Arizona Administrative Code, Title 4 — Professions and Occupations

Partial collection: 1943 complete publisher documents are included. The complete current publisher inventory has not been verified. This is a dated Cornell LII captured edition, with originals captured between 2026-09-11 and 2026-09-30. It contains 1255 substantive publisher documents and 688 complete legal-history note documents. Native notices and incomplete documents remain privately preserved. The complete current edition has not been independently verified.

Chapter 3 [REPEALED]

Article 4 [REPEALED]

Ariz. Admin. Code tit. 4, ch. 3, art. 4, tbl. 1 [Repealed]

History

• Adopted effective October 8, 1998 (Supp. 98-4). Repealed by final rulemaking at 24 A.A.R. 435, effective 2/7/2018.

Chapter 5 BOARD OF BARBERS

Article 4 SCHOOLS

Ariz. Admin. Code tit. 4, ch. 5, art. 4, exh. 2 Required Notice to an Instructor Trainee

NOTICE

This Notice is required by the Arizona State Board of Barbers.

You have applied to this school for training that will qualify you to apply for a license to be a barber instructor in Arizona. The Arizona State Board of Barbers will not issue you a license unless:

1. You are at least 19 years of age when you apply for the license.

2. You demonstrate to the Board that you hold a high school diploma or its equivalent; and

3. You document that your presence in the U.S. is authorized under federal law.

It is your responsibility to make sure you meet the requirements of the Board of Barbers. If you are unsure about whether you meet the requirements, you should contact the Board of Barbers for further information.

ACKNOWLEDGEMENT OF RECEIPT OF NOTICE

I acknowledge that I received and understand the foregoing Notice.

(student signature and date)

History

• New Exhibit 2 made by final rulemaking at 11 A.A.R. 1422, effective April 5, 2005 (Supp. 05-2). Exhibit 2 amended by final rulemaking at 21 A.A.R. 2528, effective December 8, 2015 (Supp. 15-4)

Ariz. Admin. Code tit. 4, ch. 4 RECODIFIED

History

• Title 4, Chapter 4, the rules of the Banking Department, has been recodified to Title 20, Chapter 4, pursuant to A.A.C. R1-1-102 (Supp. 95-1).

Ariz. Admin. Code tit. 4, ch. 13 RECODIFIED

History

• Title 4, Chapter 13, the rules of the Industrial Commission, has been recodified to Title 20, Chapter 5 pursuant to A.A.C. R1-1-102 (Supp. 95-1).

Ariz. Admin. Code tit. 4, ch. 14 RECODIFIED

History

• Title 4, Chapter 14, the rules of the Department of Insurance, has been recodified to Title 20, Chapter 6 pursuant to R1-1-102 (Supp. 95-1).

Ariz. Admin. Code tit. 4, ch. 27 RECODIFIED

History

• Title 4, Chapter 27, the rules of the Department of Racing, has been recodified to Title 19, Chapter 2 pursuant to A.A.C. R1-1-102 (Supp. 95-1).

Ariz. Admin. Code tit. 4, ch. 31 RECODIFIED

History

• Title 4, Chapter 31, the rules of the Department of Weights and Measures, has been recodified to Title 20, Chapter 2 pursuant to A.A.C. R1-1-102 (Supp. 95-1).

Ariz. Admin. Code tit. 4, ch. 32 [REPEALED]

History

• 4 A.A.C. 32, which formerly contained the rules of the Joint Underwriting Plan Board of Directors, was repealed in 1998. The rescinded Chapter is on file in the Office of the Secretary of State (Supp. 03-4).

Ariz. Admin. Code tit. 4, ch. 37 RECODIFIED

History

• Title 4, Chapter 37, the rules of the Arizona State Lottery Commission, has been recodified to Title 19, Chapter 3 pursuant to A.A.C. R1-1-102 (Supp. 95-1).

Ariz. Admin. Code tit. 4, ch. 41 RECODIFIED

History

• Title 4, Chapter 41, the rules of the Office of Tourism, has been recodified to Title 20, Chapter 3 pursuant to A.A.C. R1-1-102 (Supp. 95-1).

Ariz. Admin. Code tit. 4, ch. 47 RECODIFIED

History

• Title 4, Chapter 47, the rules of the Department of Commerce, has been recodified to Title 20, Chapter 1 pursuant to A.A.C. R1-1-102 (Supp. 95-1).

Ariz. Admin. Code tit. 4, ch. 48 TERMINATED

History

• 4 A.A.C. 48, formerly contained the rules of the Arizona Uniform Plumbing Code Commission. This Commission was terminated on July 1, 2007, under sunset law A.R.S. §§ 41-3007.06 and 41-2955. Laws 2007, Ch. 15 amended A.R.S. § 9-801, repealing the "state plumbing code" as established in A.R.S. § 41-619. Accordingly, the rules of this Commission have been removed from the Code under A.R.S. § 41-1011(C) (Supp. 09-1).

Chapter 1 BOARD OF ACCOUNTANCY

Article 4 REGULATION

Ariz. Admin. Code tit. 4, ch. 1, art. 4, app A Repealed

History

• Adopted effective February 22, 1978 (Supp. 78-1). Amended effective December 19, 1979 (Supp. 79-6). Editorial correction, Footnote, Rules reference corrected (Supp. 83-4). Repealed effective May 31, 1991 (Supp. 91-2).

Chapter 10 BARBERING AND COSMETOLOGY BOARD

Article 1 GENERAL PROVISIONS

Part A [Effective 5/6/2024] BARBERING

Ariz. Admin. Code tit. 4, ch. 10, art. 1, pt. A, tbl. A1 Time Frames (in days)

| License | Authority | Overall Time Frame | Administrative Time Frame | Time to Respond | Substantive Time Frame | Time to Respond | | --- | --- | --- | --- | --- | --- | --- | | Barber | A.R.S. §§ 32-322; 32-327 | 28 | 21 | 90 | 7 | 30 | | License by reci procity or universal recognition | A.R.S. §§ 32-328; 32-4302 | 28 | 21 | 90 | 7 | 30 | | Instructor | A.R.S. §§ 32-323; 32-327 | 28 | 21 | 90 | 7 | 30 | | School | A.R.S. §§ 32-325; 32-327 | 90 | 30 | 30 | 60 | 60 | | Establishment | A.R.S. §§ 32-326; 32-327 | 90 | 30 | 30 | 60 | 60 |

History

• Renumbered and amended from Table 1 by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Chapter 1 BOARD OF ACCOUNTANCY

Article 4 REGULATION

Ariz. Admin. Code tit. 4, ch. 1, art. 4, app B Repealed

History

• Adopted effective February 22, 1978 (Supp. 78-1). Repealed effective April 22, 1992 (Supp. 92-2).

Chapter 10 BARBERING AND COSMETOLOGY BOARD

Article 1 GENERAL PROVISIONS

Part B [Effective 5/6/2024] COSMETOLOGY

Ariz. Admin. Code tit. 4, ch. 10, art. 1, pt. B, tbl. B1 Time Frames (in days)

| Type of Approval | Statutory Authority | Overall Time Frame | Administrative Completeness Time Frame | Substantive Review Time Frame | | --- | --- | --- | --- | --- | | License by Examination | A.R.S. §§ 32-510, 32511, 32-512, 32-512.01, 32-531 | 90 | 60 | 30 | | Registration as Eyelash Technician | A.R.S. § 32-519 | 45 | 15 | 30 | | License by Reciprocity or Universal Recognition | A.R.S. §§ 32-513, 32532, 32-4302 | 60 | 30 | 30 | | School License | A.R.S. § 32-551 | 90 | 30 | 60 | | Approval of an Eyelash Technician Training Program | A.R.S. § 32-519 | 60 | 20 | 40 | | License or Registration Renewal | A.R.S. §§ 32-517, 32519, 32-535, 32-544, 32564 | 75 | 45 | 30 | | Establishment License | A.R.S. §§ 32-541, 32-542 | 90 | 30 | 60 | | License Reactivation | A.R.S. § 32-518 | 30 | 15 | 15 |

History

• Renumbered and amended from Table 1 by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Chapter 7 Board of Chiropractic Examiners

Article 10 PRECEPTORSHIP TRAINING PROGRAM

Ariz. Admin. Code tit. 4, ch. 7, art. 10, app C Repealed

History

• Adopted effective September 27, 1985 (Supp. 85-5). Repealed by final rulemaking at 5 A.A.R. 1602, effective May 20, 1999 (Supp. 99-2).

Ariz. Admin. Code tit. 4, ch. 7, art. 10, app D Repealed

History

• Adopted effective September 27, 1985 (Supp. 85-5). Repealed by final rulemaking at 5 A.A.R. 1602, effective May 20, 1999 (Supp. 99-2).

Ariz. Admin. Code tit. 4, ch. 7, art. 10, app E Repealed

History

• Adopted effective September 27, 1985 (Supp. 85-5). Repealed by final rulemaking at 5 A.A.R. 1602, effective May 20, 1999 (Supp. 99-2).

Ariz. Admin. Code tit. 4, ch. 7, art. 10, app F Repealed

History

• Adopted effective September 27, 1985 (Supp. 85-5). Repealed by final rulemaking at 5 A.A.R. 1602, effective May 20, 1999 (Supp. 99-2).

Chapter 1 BOARD OF ACCOUNTANCY

Article 1 GENERAL

Ariz. Admin. Code § R4-1-101 Definitions

A. The definitions in A.R.S. § 32-701 apply to this chapter.

B. In this chapter, unless the context otherwise requires:

1. "Contested case" means any proceeding in which the legal rights, duties, or privileges of a party are required by law to be determined by any agency after an opportunity for hearing.

2. "CPE" or "continuing professional education" means attending classes, writing articles, conducting or teaching courses, and taking self-study courses if the activities contribute to maintaining and improving of professional competence in accounting.

3. "Facilitated State Board Access (FSBA)" means the sponsoring organization's process for providing the Board access to peer review results via a secured website.

4. "Party" means each person or agency named or admitted as a party, or properly seeking and entitled, as of right, to be admitted as a party.

5. "Peer review" means an assessment, conducted according to R4-1-454(A), of one or more aspects of the professional work of a firm.

6. "Peer review program" means the sponsoring organization's entire peer review process, including but not limited to the standards for administering, performing and reporting on peer reviews, oversight procedures, training, and related guidance materials.

7. "Person" may include any individual, and any form of corporation, partnership, or professional limited liability company.

8. "Principal place of business" means the office designated by the individual as the principal location for the individual's practice of accounting.

8. 9. "Sponsoring organization" means a Board-approved professional society, or other organization approved by the Board responsible for the facilitation and administration of peer reviews through use of its peer review program and peer review standards.

9. 10. "Upper level course" means a course taken beyond the basic level, after any required prerequisite or introductory accounting course and does not include principles of accounting or similar introductory accounting courses.

History

• Former Rule 1A; Amended effective February 22, 1978 (Supp. 78-1). Former Section R4-1-01 renumbered as Section R4-1-101 without change effective July 1, 1983 (Supp. 83-4). Amended effective August 21, 1986 (Supp. 86-4). Amended effective December 6, 1995 (Supp. 95-4). Amended effective November 20, 1998 (Supp. 98-4). Amended by final rulemaking at 10 A.A.R. 4352, effective December 4, 2004 (Supp. 04-4). Amended by final rulemaking at 19 A.A.R. 341, effective April 6, 2013. Amended by final rulemaking at 20 A.A.R. 520, effective 2/4/2014. Amended by final rulemaking at 23 A.A.R. 3246, effective 1/1/2018. Amended by final rulemaking at 26 A.A.R. 339, effective 4/5/2020. Amended by final rulemaking at 28 A.A.R. 1106, effective 7/3/2022.

Ariz. Admin. Code § R4-1-102 Powers of the Board: Applicability; Excuse; Extension

A. This chapter applies to all actions and proceedings of the Board and is deemed part of the record in every action or proceeding without formal introduction or reference. All parties are deemed to have knowledge of this chapter, which the Board shall make available on the Board's website.

B.The Board, when within the Board's jurisdiction, may, in the interest of justice, excuse the failure of any person to comply with any part of this chapter.

C.The Board, or in case of an emergency, the President or Executive Director, when within the Board's jurisdiction, may grant an extension of time to comply with this chapter.

History

• Former Rules 1B, 1C, 1D, 1E; Former Section R4-1-02 renumbered as Section R4-1-102 without change effective July 1, 1983 (Supp. 83-4). Amended effective November 20, 1998 (Supp. 98-4). Amended by final rulemaking at 20 A.A.R. 520, effective 2/4/2014.

Ariz. Admin. Code § R4-1-103 Repealed

History

• Former Rule 2E; Former Section R4-1-03 renumbered as Section R4-1-103 without change effective July 1, 1983 (Supp. 83-4). Repealed effective August 21, 1986 (Supp. 86-4).

Ariz. Admin. Code § R4-1-104 Board Records; Public Access; Copying Fees

A. The Board shall maintain all records, subject to A.R.S. Title 39, Chapter 1, reasonably necessary or appropriate to maintain an accurate knowledge of the Board's official activities including, but not limited to:

1. Applications for CPA certificates and supporting documentation and correspondence;

2. Applications to take the Uniform Certified Public Accountant Examination;

Registration for registrants;

Documents, transcripts, and pleadings relating to disciplinary proceedings and to hearings on the denial of a certificate; and;

5. Investigative reports; staff memoranda; and general correspondence between any person and the Board, members of the Board, or staff members.

B. Any person desiring to inspect or obtain copies of records of the Board available to the public under this section shall make a request to the Board's Executive Director or the Director's designee. The Executive Director or the director's designee shall, as soon as possible within a reasonable time, advise the person making the request whether the records sought can be made available, or, if the Executive Director or the director's designee is unsure whether a record may be made available for public inspection and copying, the Executive Director or the director's designee shall refer the matter to the Board for final determination.

C. A person shall not remove original records of the Board from the office of the Board unless the records are in the custody and control of a board member, a member of the Board's committees or staff, or the Board's attorney. The Executive Director or the director's designee may designate a staff member to observe and monitor any examination of Board records.

D. The Board shall provide copies of all records available for public inspection and copying shall be provided according to the procedures described in A.R.S. Title 39, Chapter 1, Article 2.

E. Any person aggrieved by a decision of the Executive Director or the director's designee denying access to records of the Board may request a hearing before the Board to review the action of the Executive Director or the director's designee by filing a written request for hearing. Within 60 days of receipt of the request, the Board shall conduct a hearing on the matter. If the person requires immediate access to Board records, the person may request and may be granted an earlier hearing, if the person sets forth sufficient grounds for immediate access.

History

• Adopted effective January 3, 1977 (Supp. 77-1). Amended effective February 22, 1978 (Supp. 78-1). Amended effective July 17, 1978 (Supp. 78-4). Former Section R4-1-04 renumbered as Section R4-1-104 without change effective July 1, 1983 (Supp. 83-4). Amended effective November 20, 1998 (Supp. 98-4). Amended by final rulemaking at 20 A.A.R. 520, effective 2/4/2014. Amended by final rulemaking at 26 A.A.R. 339, effective 4/5/2020. Amended by final rulemaking at 27 A.A.R. 921, effective 8/1/2021. Amended by final rulemaking at 27 A.A.R. 2907, effective 7/3/2022.

Ariz. Admin. Code § R4-1-105 Expired

History

• Adopted effective January 3, 1977 (Supp. 77-1). Former Section R4-1-05 renumbered as Section R4-1-105 and amended in subsections (C) and (D) effective July 1, 1983 (Supp. 83-4). Amended effective November 20, 1998 (Supp. 98-4). Amended by final rulemaking at 20 A.A.R. 520, effective 2/4/2014. Section expired under A.R.S. § 41-1056(J) at 25 A.A.R. 3719, effective December 4, 2019 (Supp. 19-4).

Ariz. Admin. Code § R4-1-113 Meetings

A. The Board and Board committees shall conduct meetings in accordance with the current edition of Robert's Rules of Order if the rules are compatible with the laws of the state of Arizona or the Board's own resolutions regarding meetings.

1. Regular and special meetings of the Board for the purpose of conducting business shall be called by the President or a majority of the board members.

Regular and special meetings of the committees shall be called by the chairperson or a majority of the committee members.

B. The Board shall designate the time and place for conducting the CPA examination in accordance with A.R.S. § 32-723(A) (see Article 2).

History

• Former Rules 2A, 2B, 2C, 2D; Former Section R4-1-13 renumbered as Section R4-1-113 without change effective July 1, 1983 (Supp. 83-4). Amended effective November 20, 1998 (Supp. 98-4). Amended by final rulemaking at 20 A.A.R. 520, effective 2/4/2014.

Ariz. Admin. Code § R4-1-114 Hearing; Rehearing or Review

A.Hearing: The Board or an Administrative Law Judge (ALJ) employed by the Office of Administrative Hearings (OAH) shall hear all contested cases and appealable agency actions. The Board shall conduct hearings according to the provisions of A.R.S. Title 41, Chapter 6, Article 10 as supplemented by R4-1-117. The OAH shall conduct hearings according to A.R.S. Title 41, Chapter 6, Article 10 and the rules and procedures established by the OAH. To the extent that there is no conflict with A.R.S. Title 41, Chapter 6, Article 10, the provisions of A.R.S. § 32-743 apply to hearings conducted by the Board and the OAH. The following subsections apply to hearings conducted by the Board and hearings conducted by the OAH where applicable.

1. Power to join any interested party: Any board member or the ALJ may join as a party applicant or as a party defendant, any person, firm or corporation, that appears to have an interest in the matter before the Board.

2. Stipulation at hearing: The parties may stipulate to facts that are not in dispute. The stipulation may be in writing or may be made orally by reading the stipulation into the record at the hearing. The stipulation is binding upon the parties unless the Board or the ALJ grants permission to withdraw from the stipulation. The Board or the ALJ may set aside any stipulation.

Settlements and consent orders: At any time before or after formal disciplinary proceedings have been instituted against a registrant, the registrant may submit to the Board an offer of conditional settlement to avoid formal disciplinary proceedings by the Board. In the offer of conditional settlement, the registrant shall agree to take specific remedial steps such as enrolling in CPE courses, limiting the scope of the registrant's practice, accepting limitation on the filing of public reports, and submitting the registrant's work product for peer review . If the Board determines that the proposed conditional settlement will protect the public safety and welfare and is more likely to rehabilitate or educate the registrant than formal disciplinary action under A.R.S. § 32-741, the Board may accept the offer and enter an order that incorporates the registrant's proposed conditional settlement and to which the registrant consents. A consent order issued under this subsection shall provide that, upon successful compliance by the registrant with all provisions of the order, the disciplinary proceedings shall be terminated and any notice of hearing previously issued shall be vacated. The consent order shall further provide that, upon failure of the registrant to comply with all provisions of the order, or upon the discovery of material facts unknown to the Board at the time the Board issued the order, formal disciplinary proceedings against the registrant may be instituted or resumed. The consent order additionally may provide that, upon failure of the registrant to comply with all provisions of the order, the Board may immediately and summarily suspend the registrant's certificate for not more than one year. Within 30 days after the summary suspension, the registrant may request a hearing solely concerning the issue of compliance with the consent order.

4. Decisions and orders: The Board shall make all decisions and orders by a majority vote of the members considering the case. The Board shall issue a final written decision in a contested case or state the decision on the record. The decision shall state separately the findings of fact and conclusions of law on which the decision is based, and the Board's order to implement the decision. All written decisions and orders of the Board shall be signed by the President or Secretary of the Board. When the Board suspends or revokes the certificate of a registrant, the Board may order the registrant to return the registrant's certificate within 30 days after receipt of the order. The Board shall serve each party, each attorney of record, and the Attorney General with a copy of each decision or order of the Board, as provided in R4-1-117.

B.ALJ: In hearings conducted by the OAH, the ALJ shall provide the Board with written findings of fact, conclusions of law, and a recommended order within 20 days after the conclusion of the hearing or as otherwise provided by A.R.S. Title 41, Chapter 6, Article 10. The Board's decision approving or modifying the ALJ's recommendations is the final decision of the Board, subject to the filing of a motion for rehearing or review as provided in subsection (C).

C.Rehearing or Review: Any party aggrieved by a decision of the Board may file with the Board a written motion for rehearing or review within 30 days after service of the decision specifying the particular grounds for the motion. The Attorney General may file a response to the motion for rehearing within 15 days after service of the motion. The Board may require the filing of written briefs upon issues raised in the motion for rehearing or review and provide for oral argument. Upon review of the documents submitted, the Board may modify the decision or vacate it and grant a rehearing for any of the following causes materially affecting a party's rights:

1. Irregularity in the administrative proceedings or any order or abuse of discretion, that deprived a party of a fair hearing;

2. Misconduct of the Board or the ALJ;

3. Accident or surprise that could not have been prevented by ordinary prudence;

4. Newly discovered material evidence, that could not with reasonable diligence have been discovered and produced at the original hearing;

5. Excessive or insufficient penalties;

6. Error in the admission or rejection of evidence or other errors of law occurring at the administrative hearing, or during the progress of the proceeding; or

7. That the findings of fact or decision is not justified by the evidence or is contrary to law.

History

• Former Rules 5A, 5B, 5C; Amended effective January 3, 1977 (Supp. 77-1). Amended effective February 22, 1978 (Supp. 78-1). Former Section R4-1-14 renumbered as Section R4-1-114 without change effective July 1, 1983 (Supp. 83-4). Amended effective December 6, 1995 (Supp. 95-4). Amended effective November 20, 1998 (Supp. 98-4). Amended by final rulemaking at 20 A.A.R. 520, effective 2/4/2014.

Ariz. Admin. Code § R4-1-115 Accounting and Auditing and Tax Advisory Committees

A.The Board may appoint advisory committees concerning accounting reports, taxation and other areas of public accounting as the Board deems appropriate. The committees shall evaluate investigation files referred by the Board, hold voluntary informal interviews and make advisory recommendations to the Board concerning settlement, dismissal or other disposition of the reviewed matter.

B.The Board, in its discretion, may accept, reject, or modify the recommendation of the advisory committee .

History

• Adopted effective July 1, 1983 (Supp. 83-4). Amended effective November 20, 1998 (Supp. 98-4). Amended by final rulemaking at 20 A.A.R. 520, effective 2/4/2014.

Ariz. Admin. Code § R4-1-115.01 Law Review Advisory Committee

A.The Board may appoint an advisory committee to assist in the evaluation of statutory and regulatory provisions. The committee shall make advisory recommendations to the Board.

B.The Board, in its discretion, may accept, reject, or modify the recommendations of the advisory committee.

History

• Adopted effective November 20, 1998 (Supp. 98-4). Amended by final rulemaking at 20 A.A.R. 520, effective 2/4/2014.

Ariz. Admin. Code § R4-1-115.02 Continuing Professional Education Advisory Committee

A.The Board may appoint an advisory committee to assist in the evaluation of CPE. The committee shall make advisory recommendations to the Board concerning the following:

1. CPE programs;

2. A registrant's satisfaction of CPE requirements; and

3. A registrant's compliance with disciplinary orders requiring CPE.

B.The Board, in its discretion, may accept, reject, or modify the recommendations of the advisory committee.

History

• Adopted effective November 20, 1998 (Supp. 98-4). Amended by final rulemaking at 20 A.A.R. 520, effective 2/4/2014.

Ariz. Admin. Code § R4-1-115.03 Peer Review Oversight Advisory Committee

A. The Board may appoint an advisory committee to monitor and conduct the peer review program. Upon appointment the committee shall:

1. Make advisory recommendations to the Board concerning peer review, and

2. Monitor the peer review program and report to the Board on its effectiveness.

3. Make a recommendation to the Board to direct an authorized committee to conduct an initial analysis.

B. The Board may accept, reject, or modify recommendations of the Peer Review Oversight Advisory Committee.

History

• New Section made by final rulemaking at 10 A.A.R. 4352, effective December 4, 2004 (04-4). Amended by final rulemaking at 20 A.A.R. 520, effective 2/4/2014. Amended by final rulemaking at 26 A.A.R. 339, effective 4/5/2020. Amended by final rulemaking at 28 A.A.R. 1106, effective 7/3/2022.

Ariz. Admin. Code § R4-1-115.04 Certification Advisory Committee

A.The Board may appoint an advisory committee to assist in the evaluation of applicants for the Uniform Certified Public Accountant Examination and for certified public accountant. The committee shall review applications, transcripts, and related materials, and make advisory recommendations to the Board concerning the qualifications of applicants for the Uniform Certified Public Accountant Examination and for certification of certified public accountants.

B.The Board, in its discretion, may accept, reject, or modify the advisory recommendation in determining the qualifications of applicants.

History

• Amended by final rulemaking at 20 A.A.R. 520, effective 2/4/2014.

Ariz. Admin. Code § R4-1-116 Renumbered

History

• Adopted effective July 1, 1983 (Supp. 83-4). Amended effective November 20, 1998 (Supp. 98-4). Renumbered by final rulemaking at 20 A.A.R. 520, effective 2/4/2014.

Ariz. Admin. Code § R4-1-117 Procedure: Witnesses; Service

A. Pleadings; depositions; briefs; and related documents. A party shall print or type all pleadings, depositions, briefs, and related documents and use only one side of the paper.

B. Witness' depositions. If a party wants to take the oral deposition of a witness residing outside the state, the party shall file with the Board a petition for permission to take the deposition stating the name and address of the witness and describing in detail the nature and substance of the testimony expected to be given by the witness. The petition may be denied if the testimony of the witness is not relevant and material. If the petition is granted, the party may proceed to take the deposition of the witness by complying with the Arizona Rules of Civil Procedure. The party applying to the Board for permission to take a deposition shall bear the expense of the deposition.

C. Witness' interrogatories. A party desiring to take the testimony of a witness residing outside the state by means of interrogatories may do so by serving the adverse party as in civil matters and by filing with the Board a copy of the interrogatories and a statement showing the name and address of the witness. The adverse party may file in duplicate cross-interrogatories with a copy of the statement within 10 days following service on the adverse party. A party that objects to the form of an interrogatory or cross-interrogatory may file a statement of the objection with the Board within five days after service of the interrogatories or cross-interrogatories and may suggest to the Board any amendment to an interrogatory or cross-interrogatory. The Board may amend, add, or strike out an interrogatory or cross-interrogatory when the Board determines it is proper to do so.

1. Notwithstanding the fact that a party may petition for permission to take the oral deposition of a witness, the Board may require that the information be provided through written interrogatories and vice versa.

A party shall provide a copy of answers to the interrogatories to the Board within 45 days after the interrogatories are answered.

D. Subpoenas. The Board officer presiding at a hearing may authorize subpoenas for the attendance of witnesses and for the production of books, records, documents, and other evidence, and shall administer oaths. A party desiring the Board to issue a subpoena for the production of evidence, documents or to compel the appearance of a witness at a hearing shall apply for the subpoena in writing stating the substance of the witness's testimony. If the testimony appears to be relevant and material, the Board shall issue the subpoena. Affixing the seal of the Board and the signature of a Board officer is sufficient to show that the subpoena is genuine. The party applying for the subpoena shall bear the expense of service.

E. Service.

1. Service of any decision, order, subpoena, notice, or other document may be made personally in the same manner as a summons served in a civil action. If a document is served personally, service is deemed complete at the time of delivery.

2. Except as provided in subsection (E)(3), service of any document may also be made by:

a. Personal service.

b. By enclosing a copy of the document in a sealed envelope and depositing the envelope in the United States mail, with first-class postage prepaid, addressed to the party, at the address last provided to the Board.

i. Service by mail is deemed complete when the document to be served is deposited in the United States mail. If the distance between the place of mailing and the place of address is more than 100 miles, service is deemed complete one day after the deposit of the document for each 100 miles to a maximum of six days after the date of mailing.

ii. In computing time, the date of mailing is not counted. All intermediate Sundays and holidays are counted. If the last day falls on a Sunday or holiday, that day is not counted and service is considered completed on the next business day.

c. By attaching the document to an email and sending it to the email address last provided to the Board.

3. Service by mail is deemed complete when the document to be served is deposited in the United States mail. If the distance between the place of mailing and the place of address is more than 100 miles, service is deemed complete one day after the deposit of the document for each 100 miles to a maximum of six days after the date of mailing.

4. In computing time, the date of mailing is not counted. All intermediate Sundays and holidays are counted. If the last day falls on a Sunday or holiday, that day is not counted and service is considered completed on the next business day.

5 3. The Board shall mail each notice of hearing and final decision by certified mail to the last known address reflected in the records of the Board.

6 4. Service on attorney. Service on an attorney who has appeared for a party constitutes service on the party.

7 5. Proof of service. A party shall demonstrate proof of service by filing an affidavit, as provided by law, proof of mailing by certified mail, or an affidavit of first-class mailing.

History

• Former Rules 3A, 3B, 3C, 3D, 4A, 4B, 4C, 4D; Amended effective January 3, 1977 (Supp. 77-1). Former Section R4-1-15 renumbered as Section R4-1-117 without change effective July 1, 1983 (Supp. 83-4). Amended effective November 20, 1998 (Supp. 98-4). Amended by final rulemaking at 20 A.A.R. 520, effective 2/4/2014. Amended by final rulemaking at 27 A.A.R. 921, effective 8/1/2021.

Ariz. Admin. Code § R4-1-118 Repealed

History

• Former Rule 8; Amended effective January 3, 1977 (Supp. 77-1). Amended effective November 5, 1980 (Supp. 80-6). Former Section R4-1-16 renumbered as Section R4-1-118 without change effective July 1, 1983 (Supp. 83-4). Amended effective November 1, 1995 (Supp. 95-4). Repealed by final rulemaking at 20 A.A.R. 520, effective 2/4/2014.

Article 2 CPA EXAMINATION

Ariz. Admin. Code § R4-1-226 Expired

History

• Former Rules 6A, 6B, 6C; Amended effective January 15, 1976 (Supp. 76-1). Amended effective December 1, 1976 (Supp. 76-5). Amended effective July 17, 1978 (Supp. 78-4). Amended effective November 5, 1980 (Supp. 80-5). Former Section R4-1-26 renumbered as Section R4-1-226 and amended in subsections (B) and (C) effective July 1, 1983 (Supp. 83-4). Amended effective August 21, 1986 (Supp. 86-4). Amended subsection (C) effective May 25, 1989 (Supp. 89-2). Amended effective January 1, 1994; filed in the Office of the Secretary of State September 21, 1993 (Supp. 93-3). Amended effective November 20, 1998 (Supp. 98-4). Amended by final rulemaking at 5 A.A.R. 4575, effective January 1, 2000 (Supp. 99-4). Amended by final rulemaking at 6 A.A.R. 4815, effective January 1, 2001 (Supp. 00-4). Amended by final rulemaking at 9 A.A.R. 5022, effective January 3, 2004 (Supp. 03-4). Section expired under A.R.S. § 41-1056(E) at 15 A.A.R. 372, effective December 31, 2008 (Supp. 09-1).

Ariz. Admin. Code § R4-1-226.01 Applications; Examination - Computer-based

A. A person desiring to take the Uniform Certified Public Accountant Examination who is qualified under A.R.S. § 32-723 may apply by submitting an initial application. A person whose initial application has already been approved by the Board to sit for the Uniform CPA Examination may apply by submitting an application for re-examination.

1. The requirements for initial application for examination are:

a. A completed application for initial examination,

b. A $100 initial application fee if:

i. The applicant has not previously filed an application for initial examination in Arizona, or

ii. The Board administratively closed a previously submitted application, or

iii. The applicant has been previously denied by the Board.

c. University or college transcripts to verify that the applicant meets the educational requirements and if necessary for education taken outside the United States an additional course-by-course evaluation from the National Association of State Boards of Accountancy International Evaluation Services (NIES).

d. Other information or documents requested by the Board to determine compliance with eligibility requirements.

2. The requirements for application for re-examination are:

a. A completed application for re-examination, and

b. A $50 re-examination application fee.

B. Within 30 days of receiving an initial application, the Board shall provide written notice to the applicant that the application is either complete or incomplete. If the application is incomplete, the notice shall specify what information is missing. The applicant has 30 days from the date of the Board's letter to respond to the Board's request for additional information or the Board or its designee may administratively close the file. An applicant whose file is administratively closed and who later wishes to apply shall reapply under subsection (A)(1).

C. The Board's certification advisory committee (CAC) shall evaluate the applicant's file and make a recommendation to the Board to approve or deny the application. The CAC may defer a decision on the applicant's file to a subsequent CAC meeting to provide the applicant opportunity to submit any information requested by written notice by the CAC that the CAC believes is relevant to make a recommendation to the Board. The applicant has 30 days from the date of the Board's letter to respond to the CAC's request for additional information or the Board or its designee may administratively close the file.

D. If the Board approves the application, the Board shall notify the applicant in writing and send an authorization to test (ATT) to the National Association of State Boards of Accountancy (NASBA) to permit the applicant to take the specified section or sections of the examination for which the applicant applied. If the Board denies the application, the Board shall send the applicant written notice explaining:

1. The reason for denial, with citations to supporting statutes or rules;

2. The applicant's right to seek a fair hearing to challenge the denial; and

3. The time periods for appealing the denial.

E. If the applicant does not timely pay to the NASBA the fees owed for the examination section or sections for which the applicant applied, the ATT expires. An applicant that still wishes to take a section or sections of the Uniform CPA Examination shall submit an application for re-examination under subsection (A)(2).

F. After an applicant has paid NASBA, NASBA shall issue a notice to schedule (NTS) to the applicant. A NTS enables an applicant to schedule testing at an approved examination center. The NTS is effective on the date of issuance and expires when the applicant sits for all sections listed on the NTS or six months from the date of issuance, whichever occurs first. Upon written request to the Board and showing good cause that prevents the applicant from appearing for the examination, an applicant may be granted by the Board a 90-day extension to a current NTS.

G. The Board shall send the applicant any written notice required by this section in accordance with R4-1-117(E)(1) or (2).

History

• New Section made by final rulemaking at 9 A.A.R. 5022, effective January 3, 2004 (Supp. 03-4). Amended by final rulemaking at 20 A.A.R. 520, effective 2/4/2014. Amended by final rulemaking at 24 A.A.R. 3413, effective 2/4/2019. Amended by final rulemaking at 26 A.A.R. 339, effective 4/5/2020. Amended by final rulemaking at 27 A.A.R. 921, effective 8/1/2021.

Ariz. Admin. Code § R4-1-227 Repealed

History

• Former Rule 6D; Amended effective July 17, 1978 (Supp. 78-4). Former Section R4-1-27 renumbered and amended as Section R4-1-227 effective July 1, 1983 (Supp. 83-4). Section R4-1-227 repealed effective November 20, 1998 (Supp. 98-4).

Ariz. Admin. Code § R4-1-228 Denial of Examination

A. The National Association of State Boards of Accountancy (NASBA) shall mail or email examination scores to each applicant based upon the applicant's contact preference.

B. Examination scores

1. An applicant may request a score review by submitting NASBA'S CPA Examination Score Review form to NASBA.

2. An applicant may appeal an exam score by submitting NASBA's CPA Examination Score Appeal form to NASBA.

An applicant whose application for examination is denied by the Board is entitled to a hearing before the Board or an ALJ.

1. Written application. The applicant shall file a notice of appeal under A.R.S. § 41-1092.03 within 30 days after receipt of the notice of denial.

2. Hearing notice. The Board shall provide the applicant with notice of the hearing in the manner prescribed by A.R.S. § 41-1092.05.

3. Conduct of hearing. The Board or the ALJ shall conduct the hearing in accordance with A.R.S. Title 41, Chapter 6, Article 10 and applicable rules governing hearings.

4. Burden of persuasion. At the hearing, the applicant is the moving party and has the burden of persuasion.

5. Matters limited. At the hearing, the Board or ALJ shall limit the issues to those originally presented to the Board.

History

• Former Rules 6E, 6F; Former Section R4-1-28 renumbered as Section R4-1-228 without change effective July 1, 1983 (Supp. 83-4). Amended effective November 20, 1998 (Supp. 98-4). Amended by final rulemaking at 20 A.A.R. 520, effective 2/4/2014. Adopted by final rulemaking at 26 A.A.R. 339, effective 4/5/2020.

Ariz. Admin. Code § R4-1-229 Conditioned Credit

A. An applicant is allowed to sit for each section individually and in any order. An applicant is given conditioned credit for each section of the examination passed. Effective retroactively from and after January 1, 2024, a conditioned credit is valid for 30 months from the score release date of the examination. Upon written request to the Board and showing good cause, an applicant may be granted by the Board a 90-day extension to a conditioned credit.

B. Transfer of conditioned credit. The Board shall give an applicant credit for all sections of an examination passed in another jurisdiction if the credit has been conditioned. If an applicant transfers conditioned credit from another jurisdiction, the applicant shall pass the remaining sections of the examination within the 30-month period from the score release date that the first section was passed. An applicant who fails to pass all sections of the Uniform CPA Examination within 30 months shall retake previously passed sections of the Uniform CPA Examination to ensure passage of all sections within a 30-month period.

C. Any candidate who had exam credit expire between January 30, 2020, and May 11, 2023, during the National Public Health Emergency declared by the United States Department of Health and Human Services which have not been subsequently replaced by new credits for the same sections and any candidate with Uniform CPA Examination credit on January 1, 2024 will have such credit extended to June 30, 2025.

History

• Former Rules 6G, 6H; Former Section R4-1-29 renumbered as Section R4-1-229 without change effective July 1, 1983 (Supp. 83-4). Amended effective August 21, 1986 (Supp. 86-4). Section repealed, new Section adopted effective January 1, 1994; filed in the Office of the Secretary of State September 21, 1993 (Supp. 93-3). Amended effective November 20, 1998 (Supp. 98-4). Amended by final rulemaking at 9 A.A.R. 5022, effective January 3, 2004 (Supp. 03-4). Amended by final rulemaking at 20 A.A.R. 520, effective 2/4/2014. Amended by final rulemaking at 26 A.A.R. 339, effective 4/5/2020. Amended by final rulemaking at 27 A.A.R. 921, effective 8/1/2021. Amended by final rulemaking at 29 A.A.R. 1184, effective 7/3/2023. Amended by final expedited rulemaking at 30 A.A.R. 2417, effective 7/3/2024. Amended by final expedited rulemaking at 31 A.A.R. 1654, effective 5/7/2025.

Ariz. Admin. Code § R4-1-230 Expired

History

• Former Rule 6I; Former Section R4-1-30 renumbered as Section R4-1-230 without change effective July 1, 1983 (Supp. 83-4). Amended effective November 20, 1998 (Supp. 98-4). Amended by final rulemaking at 9 A.A.R. 5022, effective January 3, 2004 (Supp. 03-4). Section expired under A.R.S. § 41-1056(E) at 15 A.A.R. 372, effective December 31, 2008 (Supp. 09-1).

Ariz. Admin. Code § R4-1-231 Expired

History

• Former Rule 6J; Former Section R4-1-31 renumbered as Section R4-1-231 without change effective July 1, 1983 (Supp. 83-4). Section repealed, new Section adopted effective January 1, 1994; filed in the Office of the Secretary of State September 21, 1993 (Supp. 93-3). Section expired under A.R.S. § 41-1056(E) at 10 A.A.R. 419, effective December 31, 2003 (Supp. 04-1).

Article 3 CERTIFICATION AND REGISTRATION

Ariz. Admin. Code § R4-1-341 CPA Certificates; Firm Registration; Reinstatement; Reactivation

A. An applicant may apply for a certificate of certified public accountant or for reinstatement of a certificate by submitting:

1. An application fee of $100; and

2. For an applicant applying for certification under A.R.S. § 32-721(A) and (B), a completed application including:

a. Verification that the applicant passed the Uniform CPA Examination,

b. Verification that the applicant meets the education and experience requirements specified in R4-1-343,

c. Proof of a score of at least 90% on the American Institute of Certified Public Accountants (AICPA) examination in professional ethics taken within the two years immediately before the application is submitted,

d. Evidence of lawful presence in the United States, and

e. Other information or documents requested by the Board to determine compliance with eligibility requirements.

3. For an applicant applying for certification under A.R.S. § 32-721(A) and (C), a completed application including:

a. Verification that the applicant has passed the International Qualification Examination (IQEX),

b. License verification from each jurisdiction in which the applicant has ever been issued a certificate as a certified public accountant of which at least one must be an active certification from a jurisdiction with requirements determined by the Board to be substantially equivalent to the requirements in A.R.S. § 32-721(B) or verification that the applicant meets the education and experience requirements specified in R4-1-343,

c. Evidence of lawful presence in the United States, and

d. Other information or documents requested by the Board to determine compliance with eligibility requirements.

4. For an applicant applying for certification under A.R.S. § 32-721(A) and (D) for mutual recognition agreements adopted by the Board a completed application including:

a. Verification that the applicant has passed the International Qualification Examination (IQEX),

b. License verification from the applicant's country which has a mutual recognition agreement with the National Association of State Boards of Accountancy that has been adopted by the Board,

c. Evidence of lawful presence in the United States, and

d. Other information or documents requested by the Board to determine compliance with eligibility requirements.

5. For an applicant applying for certification under A.R.S. § 32-4302, a completed application including:

a. License verification from each jurisdiction in which the applicant holds a license;

b. Evidence of lawful presence in the United States;

c. Proof of residency;

d. Disciplinary history, if applicable;

e. Other information or documents requested by the Board to determine compliance with eligibility requirements.

6. For an applicant applying for reinstatement from cancelled status under A.R.S. § 32-732(B) a completed application including:

a. CPE that meets the requirements of R4-1-453(C)(7) and (E), and

b. Evidence of lawful presence in the United States.

7. For an applicant applying for reinstatement from expired, relinquished, or revoked status under A.R.S. § 32-732(C), a completed application including:

a. CPE that meets the requirements of R4-1-453(C)(7) and (E),

b. Evidence of lawful presence in the United States,

c. If prescribed by a board relinquishment or revocation order, evidence from an accredited institution or a college or university that maintains standards comparable to those of an accredited institution that the individual has completed at least one hundred fifty semester hours of education as follows:

i. At least 36 semester hours are accounting courses of which at least 30 semester hours are upper level courses.

ii. At least 30 semester hours are related courses.

d. If prescribed by a board relinquishment or revocation order, evidence that the individual has retaken and passed the Uniform Certified Public Accountant Examination.

B. An applicant may apply for a certified public accountant firm registration or for reinstatement of a registration by submitting:

1. For an applicant applying for a new firm under A.R.S. § 32-731, a completed application including:

a. Approved Articles of Incorporation for professional corporations, approved Articles of Organization for limited liability companies or professional limited liability companies, confirmation of business name on the Secretary of State's website for partnerships, limited liability partnerships, or an individual or sole proprietorship with a trademark name;

b. If applicable, peer review results as prescribed by R4-1-454(B); and

c. Other information or documents requested by the Board to determine compliance with eligibility requirements.

2. For an applicant applying for reinstatement from cancelled under A.R.S. § 32-732(E) a completed application including:

a. Approved Articles of Incorporation for professional corporations, approved Articles of Organization for limited liability companies or professional limited liability companies, confirmation of business name on the Secretary of State's website for partnerships, limited liability partnerships, or an individual or sole proprietorship with a trademark name;

b. If applicable, peer review results as prescribed by R4-1-454(B); and

c. Other information or documents requested by the Board to determine compliance with eligibility requirements.

3. For an applicant applying for reinstatement from expired, relinquished, or revoked status under A.R.S. § 32-732(F) a completed application including:

a. Approved Articles of Incorporation for professional corporations, approved Articles of Organization for limited liability companies or professional limited liability companies, confirmation of business name on the Secretary of State's website for partnerships, limited liability partnerships, or an individual or sole proprietorship with a trademark name;

b. If applicable, peer review results as prescribed by R4-1-454(B);

c. If applicable, substantial evidence that the applicant has been completely rehabilitated with respect to the conduct that was the basis of the expiration, relinquishment or revocation of the firm's registration; and

d. Other information or documents requested by the Board to determine compliance with eligibility requirements.

C. Pursuant to Title 41, Chapter 6, Article 7.1, the Board's licensing time frames are as follows:

1. Certification/Reinstatement/Reactivation

a. Administrative Completeness Review Time Frame. The Board shall notify the applicant within 30 days from the receipt of the application that the application is complete.

i. If the application is incomplete, an incomplete notice shall specify what information is missing. If the Board issues an incomplete notice, the administrative completeness review time frame and the overall time frame are suspended from the date the notice is issued until the date the Board receives the missing information from the applicant.

ii. The applicant has 30 days from the date of the incomplete notice to respond in writing and provide all the missing information or the Board may administratively close the file. An applicant whose file is administratively closed shall reapply under subsection (A).

b. Substantive Review Time Frame. The Board has 60 days to complete its substantive review.

i. If the Board finds deficiencies during the substantive review of the application, the Board may issue one comprehensive written request to the applicant for additional information. If the Board issues a comprehensive written request, or a supplemental request by mutual agreement, the substantive review time frame and the overall time frame are suspended from the date the request is issued until the date the Board receives the additional information from the applicant.

ii. The applicant has 30 days from the date of the written request to respond in writing and provide all the additional information or the Board may administratively close the file. An applicant whose file is administratively closed shall reapply under subsection (A).

c. Overall Time Frame. The Board has 150 days to issue a written notice to an applicant approving or denying an application.

2. Firm Registration

a. Administrative Completeness Review Time Frame. The Board shall notify the applicant within 10 days from the receipt of the application that the application is complete.

i. If the application is incomplete, an incomplete notice shall specify what information is missing. If the Board issues an incomplete notice, the administrative completeness time frame and the overall time frame are suspended from the date the notice issued until the date the Board receives the missing information from the applicant.

ii. The applicant has 30 days from the date of the incomplete notice to respond in writing and provide all the missing information or the Board may administratively close the file. An applicant whose file is administratively closed shall reapply under subsection (B).

b. Substantive Review Time Frame. The Board has 60 days to complete its substantive review.

i. If the Board finds deficiencies during the substantive review of the application, the Board may issue one comprehensive written request to the applicant for additional information. If the Board issues a comprehensive written request, or a supplemental request by mutual agreement, the substantive time frame and the overall time frame are suspended from the date the request is issued until the date the Board receives the additional information from the applicant.

ii. The applicant has 30 days from the date of the written request to respond in writing and provide all the additional information or the Board may administratively close the file. An applicant whose file is administratively closed shall reapply under subsection (B).

c. Overall Time Frame. The Board has 90 days to issue a written notice to an applicant approving or denying an application.

D. If the Board denies an applicant's request under this section, the Board shall send the applicant written notice explaining:

1. The reason for denial, with citations to supporting statutes or rules;

2. The applicant's right to seek a fair hearing to challenge the denial; and

3. The time periods for appealing the denial.

E. The Board shall send the applicant any written notice required by this section in accordance with R4-1-117(E)(1) or (2).

History

• Former Rule 7A; Amended effective December 1, 1976 (Supp. 76-5). Amended effective November 5, 1980 (Supp. 80-5). Former Section R4-1-41 renumbered as Section R4-1-341 without change effective July 1, 1983 (Supp. 83-4). Amended effective August 21, 1986 (Supp. 86-4). Amended effective September 24, 1997 (Supp. 97-3). Amended by final rulemaking at 9 A.A.R. 5022, effective January 3, 2004 (Supp. 03-4). Amended by final rulemaking at 13 A.A.R. 2151, effective August 4, 2007 (Supp. 07-2). Amended by final rulemaking at 20 A.A.R. 520, effective 2/4/2014. Amended by final rulemaking at 23 A.A.R. 3246, effective 1/1/2018. Amended by final rulemaking at 26 A.A.R. 339, effective 4/5/2020. Amended by final rulemaking at 27 A.A.R. 921, effective 8/1/2021. Amended by final rulemaking at 29 A.A.R. 1184, effective 7/3/2023. Amended by final expedited rulemaking at 30 A.A.R. 2417, effective 7/3/2024.

Ariz. Admin. Code § R4-1-341.01 Repealed

History

• Adopted effective November 1, 1995 (Supp. 95-4). Amended effective September 24, 1997 (Supp. 97-3). Amended by final rulemaking at 9 A.A.R. 5022, effective January 3, 2004 (Supp. 03-4). Section repealed by final rulemaking at 13 A.A.R. 2151, effective August 4, 2007 (Supp. 07-2).

Ariz. Admin. Code § R4-1-342 Repealed

History

• Former Rule 7B; Amended effective December 1, 1976 (Supp. 76-5). Amended effective November 5, 1980 (Supp. 80-6). Former Section R4-1-42 renumbered as Section R4-1-342 without change effective July 1, 1983 (Supp. 83-4). Amended effective March 26, 1987 (Supp. 87-1). Amended effective September 24, 1997 (Supp. 97-3). Amended effective November 20, 1998 (Supp. 98-4). Amended by final rulemaking at 13 A.A.R. 2151, effective August 4, 2007 (Supp. 07-2). Repealed by final rulemaking at 20 A.A.R. 520, effective 2/4/2014.

Ariz. Admin. Code § R4-1-343 Education and Accounting Experience

A. To demonstrate compliance with the experience requirements of A.R.S. § 32-721(B), an applicant for certification by examination or grade transfer shall submit to the Board:

1. One or more certificates of experience, completed, signed and dated by an individual who:

a. Possesses personal knowledge of the applicant's work, and

b. Is able to confirm the applicant's accounting experience, and

c. Is a certified public accountant; or

d. Has accounting education and experience similar to that of a certified public accountant; and

2. Other information requested by the Board for explanation or clarification of experience.

B. To demonstrate compliance with the experience requirements of A.R.S. § 32-721(C), an applicant for certification by reciprocity shall submit to the Board:

1. One or more certificates of experience, completed, signed and dated by an individual who:

a. Possesses personal knowledge of the applicant's work, and

b. Is able to confirm the applicant's accounting experience, and

c. Is a certified public accountant; or

d. Has accounting education and experience similar to that of a certified public accountant; or

2. If the applicant is self-employed, the applicant shall provide a signed and dated statement indicating self-employment and three signed and dated client letters, confirming years of work experience, and

3. Other information requested by the Board for explanation or clarification of experience.

C. To demonstrate compliance with the education requirements of Title 32, Chapter 6, an applicant for certification or reinstatement shall submit to the Board:

1. University or college transcripts verifying that the applicant meets the educational requirements and if necessary for education taken outside the United States, an additional course-by-course evaluation from the National Association of State Boards of Accountancy International Evaluation Services (NIES), and

2. Other information requested by the Board for explanation or clarification of education.

History

• Former Rule 7C; Former Section R4-1-43 repealed, new Section R4-1-43 adopted effective February 22, 1978 (Supp. 78-1). Former Section R4-1-43 renumbered as Section R4-1-343 without change effective July 1, 1983 (Supp. 83-4). Amended effective May 31, 1991 (Supp. 91-2). Amended effective November 20, 1998 (Supp. 98-4). Amended by final rulemaking at 13 A.A.R. 2151, effective August 4, 2007 (Supp. 07-2). Amended by final rulemaking at 20 A.A.R. 520, effective 2/4/2014. Amended by final rulemaking at 24 A.A.R. 3413, effective 2/4/2019.

Ariz. Admin. Code § R4-1-344 Denial of Certification, Firm Registration, or Reinstatement

An applicant whose application for certification, firm registration, or reinstatement of a certificate or registration is denied by the Board is entitled to a hearing before the Board or an ALJ.

1. Written application. The applicant shall file a notice of appeal under A.R.S. § 41-1092.03 within 30 days after receipt of the notice of denial.

2. Hearing notice. The Board shall provide the applicant with notice of the hearing in the manner prescribed by A.R.S. § 41-1092.05.

3. Conduct of hearing. The Board or the ALJ shall conduct the hearing in accordance with A.R.S. Title 41, Chapter 6, Article 10 and applicable rules governing hearings.

4. Burden of persuasion. At the hearing, the applicant is the moving party and has the burden of persuasion.

5. Matters limited. At the hearing, the Board or ALJ shall limit the issues to those originally presented to the Board.

History

• Former Rule 7D; Former Section R4-1-44 renumbered as Section R4-1-344 without change effective July 1, 1983 (Supp. 83-4). Amended effective November 20, 1998 (Supp. 98-4). Amended by final rulemaking at 20 A.A.R. 520, effective 2/4/2014. Amended by final rulemaking at 26 A.A.R. 339, effective 4/5/2020.

Ariz. Admin. Code § R4-1-345 Registration; Fees

A. Initial registration: After the Board approves an applicant's request for certification or firm registration, the registrant shall file a registration in a format prescribed by the Board and pay a registration fee under subsection (C).

B. Renewal registration: A registrant shall file an application for renewal registration in a format prescribed by the Board no later than 5:00 p.m. on the last business day of the month. A renewal registration is deemed filed on the date and time received in the Board office. The Board shall record the date and time either by electronic date stamp in Arizona time or on physical receipt in the board's office. The Board shall not accept a postmark as evidence of timely filing. It is the sole responsibility of the registrant to complete the renewal registration requirements at the following times:

Individual registrant: An individual registrant shall renew registration at the following times:

a. A registrant born in an even-numbered year shall renew registration during the month of birth in each even-numbered year.

b. A registrant born in an odd-numbered year shall renew registration during the month of birth in each odd-numbered year.

2. Firm registrant: A firm shall renew registration at the following times:

a. A business organization firm that initially registered with the Board in an even-numbered year shall renew registration during the board-approved month of the initial registration in each even-numbered year.

b. A business organization firm that initially registered with the Board in an odd-numbered year shall renew registration during the board-approved month of the initial registration in each odd-numbered year.

c. An individual or a sole proprietorship firm shall renew its registration pursuant to paragraph (B)(1).

C. Registration fees:

1. Initial Registration Fee -

a. Certification - $300 and, if applicable, a late fee of $50.

b. The registration fee shall be prorated by month for an initial registration period of less than two years.

2. Biennial Registration Fee -

a. Certification - $300 and, if applicable, a late fee of $50.

i. For registrations due during the period from July 1, 2020 to June 30, 2024, the biennial registration fee will be reduced temporarily to $275.

ii. For registrations due beginning July 1, 2024, the biennial registration fee will revert to $300.

b. Firm Registration - $300 and, if applicable, a late fee of $50. Under A.R.S. § 32-729, the Board shall not charge a fee for the registration of additional offices of the same firm or for the registration of a sole practitioner.

History

• Former Rule 7E; Amended effective December 1, 1976 (Supp. 76-5). Amended effective February 22, 1978 (Supp. 78-1). Amended effective July 17, 1978 (Supp. 78-4). Amended effective November 5, 1980 (Supp. 80-6). Former Section R4-1-54 renumbered and amended as Section R4-1-345 effective July 1, 1983 (Supp. 83-4). Amended effective March 26, 1987 (Supp. 87-1). Amended effective July 1, 1991; filed May 2, 1991 (Supp. 91-2). Amended effective November 20, 1998 (Supp. 98-4). Amended by final rulemaking at 5 A.A.R. 4575, effective January 1, 2000 (Supp. 99-4). Amended by final rulemaking at 6 A.A.R. 4815, effective January 1, 2001 (Supp. 00-4). Amended by final rulemaking at 20 A.A.R. 520, effective 2/4/2014. Amended by final rulemaking at 23 A.A.R. 3246, effective 1/1/2018. Amended by final rulemaking at 26 A.A.R. 339, effective 4/5/2020. Amended by final rulemaking at 28 A.A.R. 1106, effective 7/3/2022. Amended by final expedited rulemaking at 31 A.A.R. 1654, effective 5/7/2025.

Ariz. Admin. Code § R4-1-346 Notice of Change of Address

Within 30 days of any email, business, mailing, or residential change of address, a registrant shall notify the Board of the new address by filling out the change of address form prescribed by the Board.

History

• Former Rule 7F; Amended effective January 3, 1977 (Supp. 77-1). Amended effective November 5, 1980 (Supp. 80-6). Former Section R4-1-55 renumbered and amended as Section R4-1-346 effective July 1, 1983 (Supp. 83-4). Amended effective January 1, 1994; filed in the Office of the Secretary of State September 21, 1993 (Supp. 93-3). Amended effective November 20, 1998 (Supp. 98-4). Amended by final rulemaking at 13 A.A.R. 2151, effective August 4, 2007 (Supp. 07-2). . Amended by final rulemaking at 20 A.A.R. 520, effective 2/4/2014. Amended by final rulemaking at 26 A.A.R. 339, effective 4/5/2020. Amended by final rulemaking at 27 A.A.R. 921, effective 8/1/2021.

Article 4 REGULATION

Ariz. Admin. Code § R4-1-453 Continuing Professional Education

A. Measurement Standards. The Board shall use the following standards to measure the hours of credit given for CPE programs completed by an individual registrant.

1. CPE credit shall be given in one-fifth or one-half increments for periods of not less than one class hour except as noted in paragraph 8. The computation of CPE credit shall be measured as follows:

a. A class hour shall consist of a minimum of 50 continuous minutes of instruction

b. A half-class hour shall consist of a minimum of 25 continuous minutes of instruction

c. A one-fifth class hour shall consist of a minimum of 10 continuous minutes of instruction.

2. Courses taken at colleges and universities apply toward the CPE requirement as follows:

a. Each semester - system credit hour is worth 15 CPE credit hours,

b. Each quarter - system credit hour is worth 10 CPE credit hours, and

c. Each noncredit class hour is worth one CPE credit hour.

3. Each self-study program hour is worth one CPE credit hour.

4. Acting as a lecturer or discussion leader in a CPE program, including college courses, may be counted as CPE credit. The Board shall determine the amount of credit on the basis of actual presentation hours, and shall allow CPE credit for preparation time that is less than or equal to the presentation hours. A registrant may only claim as much preparation time as is actually spent for a presentation. Total credit earned under this subsection for service as a lecturer or discussion leader, including preparation time may not exceed 40 credit hours of the renewal period's requirement. Credit is limited to only one presentation of any seminar or course with no credit for repeat teaching of that course.

5. The following may be counted for a maximum of 20 hours of CPE credit during each renewal period.

a. Credit may be earned for writing and publishing articles or books that contribute to the accounting profession and is published by a recognized third-party publisher of accounting material or a sponsor as long as it is not used in conjunction with a seminar.

b. Credit may be earned for the writing or development of online course curriculum for undergraduate, graduate, or doctoral education that contribute to the accounting profession.

c. Two credit hours will be given for each 3,000 words of original material written or developed into curriculum. Materials must be at least 3,000 words in length. Multiple authors may share credit for material written or developed into curriculum.

6. A registrant may earn a combined maximum of 40 hours of CPE credit under subsections (A)(4) and (5) above during each renewal period.

7. A registrant may earn a maximum of 20 hours of CPE during each renewal period by completing introductory computer-related courses. Computer-related courses may qualify as consulting services pursuant to subsection (C).

8. A registrant may earn a maximum of 4 hours of CPE during each renewal period by completing nano-learning courses. A nanolearning program is a tutorial program designed to permit a participant to learn a given subject in a ten-minute time-frame through the use of electronic media and without interaction with a real time instructor.

9. CPE credit shall be given in one-fifth or one-half hour increments if the CPE is a segment of a continuing series related to a specific subject as long as the segments are connected by an overarching course that is a minimum of one hour and taken within the same CPE reporting period.

10. Credit shall not be allowed for repeat participation in any seminar or course during the registration period.

B. Programs that Qualify. CPE credit may be given for a program that provides a formal course of learning at a professional level and contributes directly to the professional competence of participants.

1. The Board shall accept a CPE course as qualified if it:

a. Is developed by persons knowledgeable and experienced in the subject matter,

b. Provides written outlines or full text,

c. Is administered by an instructor or organization knowledgeable in the program, and

d. Uses teaching methods consistent with the study program.

2. The Board shall accept a self-study program which includes online or computer based programs if the sponsors maintain written records of each student's participation and records of the program outline for three years following the conclusion of the program.

3. An ethics program taught or developed by an employer or co-worker of a registrant does not qualify for the ethics requirements of subsection (C)(4).

C. Hour Requirement. As a prerequisite to registration pursuant to A.R.S. § 32-730(C) or to reactivate from inactive status pursuant to A.R.S. § 32-732(A), a registrant shall complete the CPE requirements during the two-year period immediately before registration or application respectively as specified under subsections (C)(1) through (C)(5). For registration periods of less than two years CPE may be prorated by quarter, with the exception of ethics.

1. A registrant whose last registration period was for two years shall complete 80 hours of CPE.

2. A registrant shall complete a minimum of 40 hours in the subject areas of accounting, auditing, taxation, business law, or consulting services with a minimum of 16 hours in the subject areas of accounting, auditing, or taxation.

3. A registrant shall complete a minimum of 16 of the required hours:

a. In a classroom setting,

b. Through an interactive live webinar, or

c. By acting as a lecturer or discussion leader in a CPE program, including college courses

4. A registrant shall complete four hours of CPE in the subject area of ethics. The four hours required by this subsection shall include a minimum of one hour of each of the following subjects:

a. Ethics related to the practice of accounting including the Code of Professional Conduct of the American Institute of Certified Public Accountants, and

b. Board statutes and administrative rules.

5. A registrant shall report, at a minimum, the CPE hours required for the registration period.

6. CPE hours completed for a registration period may not be used for a subsequent registration period in any of the following instances:

a. To vacate a suspension for nonregistration,

b. To vacate a suspension for noncompliance with CPE requirements, or

c. To comply with a granted CPE extension.

7. As a prerequisite to reactivate from retired status or reinstate from cancelled, expired, relinquished or revoked status, a registrant or an applicant shall complete up to 160 hours of CPE during the four-year period immediately before application to reactivate or reinstate. For periods of less than four years CPE may be prorated by quarter, with the exception of ethics.

a. A registrant or an applicant shall complete a minimum of 80 hours in the subject areas of accounting, auditing, taxation, business law, or consulting services with a minimum of 32 hours in the subject areas of accounting, auditing or taxation.

b. A registrant or an applicant shall complete a minimum of 32 hours of the required hours:

i. In a classroom setting,

ii. Through an interactive live webinar, or

iii. By acting as a lecturer or discussion leader in a CPE program, including college courses.

c. A registrant or an applicant shall complete CPE in the subject area of ethics. Four hours of ethics CPE shall be required if 1 - 24 months have passed since the last registration due date for which CPE was completed. Eight hours of ethics CPE shall be required if 25 - 48 months have passed since the last registration due date for which CPE was completed. The hours required by this subsection shall include a minimum of one hour of each of the following subjects. The following subjects shall be completed during the two-year period immediately preceding application for reactivation or reinstatement:

i. Ethics related to the practice of accounting including the Code of Professional Conduct of the American Institute of Certified Public Accountants; and

ii. Board statutes and administrative rules.

D. Reporting: A registrant or an applicant for reactivation or reinstatement, a registrant who is subject to an audit, or a registrant completing their registration must report the following details about their completed CPE:

1. Sponsoring organization,

2. Number of CPE credit hours,

3. Title of program or description of content,

4. Dates attended,

5. Subject, and

6. Method.

E. In addition to the information required under subsection (D), a registrant or an applicant for reactivation or reinstatement from cancelled, expired, relinquished or revoked status, or a registrant subject to a CPE audit pursuant to subsection (G) shall provide the Board the following CPE records at its request: copies of transcripts, course outlines, and certificates of completion that include registrant's name, course provider or sponsor, course title, credit hours, and date of completion.

F. CPE Record Retention: A registrant shall maintain CPE records for three years from the date the registration was dated as received by the Board the following documents for all CPE completed for the registration period, even if not reported on the registration: transcripts, course outlines, and certificates of completion that include registrant's name, course provider or sponsor, course title, credit hours, and date of completion.

G. CPE audits: The Board, at its discretion, may conduct audits of a registrant's CPE and require that the registrant provide the CPE records that the registrant is required to maintain under subsection (F) to verify compliance with CPE requirements.

H. The Board may grant a full or partial exemption from CPE requirements on demonstration of good cause for a disability for only one registration period.

I. A non-resident registrant seeking renewal of a certificate in this state shall be determined to have met the CPE requirements of this rule by meeting the CPE requirements for renewal of a certificate in the jurisdiction in which the registrant's principal place of business is located.

1. Non-resident applicants for renewal shall demonstrate compliance with the CPE renewal requirements of the jurisdiction in which the registrant's principal place of business is located by signing a statement to that effect on the renewal application of this state.

2. If a non-resident registrant's principal place of business jurisdiction has no CPE requirements for renewal of a certificate or license, the non-resident registrant must comply with all CPE requirements for renewal of a certificate in this state.

History

• Adopted effective December 19, 1979 (Supp. 79-6). Amended effective November 5, 1980 (Supp. 80-6). Former Section R4-1-53 renumbered as Section R4-1-453 and amended in subsections (A) and (B) effective July 1, 1983 (Supp. 83-4). Former Section R4-1-453 repealed, new Section R4-1-453 adopted effective July 15, 1988 (Supp. 88-3). Correction, Historical Note for Supp. 88-3 should read "Former Section R4-1-453 repealed, new Section R4-1-453 adopted effective January 1, 1990, filed July 15, 1988" (Supp. 89-1). Section repealed, new Section adopted effective December 6, 1995 (Supp. 95-4). Amended effective November 20, 1998 (Supp. 98-4). Amended by final rulemaking at 10 A.A.R. 1886, effective January 1, 2005 (Supp. 04-2). Amended by final rulemaking at 14 A.A.R. 2927, effective January 1, 2009 (Supp. 08-3). Amended by final rulemaking at 20 A.A.R. 520, effective 2/4/2014. Amended by final rulemaking at 23 A.A.R. 3246, effective 1/1/2018. Amended by final rulemaking at 24 A.A.R. 3413, effective 2/4/2019. Amended by final rulemaking at 26 A.A.R. 339, effective 4/5/2020. Amended by final rulemaking at 27 A.A.R. 921, effective 8/1/2021. Amended by final rulemaking at 28 A.A.R. 1106, effective 7/3/2022. Amended by final rulemaking at 29 A.A.R. 1184, effective 7/3/2023.

Ariz. Admin. Code § R4-1-454 Peer Review

A. Each firm, review team, and member of a review team shall comply with the Standards for Performing and Reporting on Peer Reviews published June 15, 2024 in the AICPA Professional Standards by the American Institute of Certified Public Accountants, 220 Leigh Farm Road, Durham, North Carolina 27707-8110 (www.aicpa.org), which is incorporated by reference. This incorporation by reference does not include any later amendments or editions. The incorporated material is available for inspection and copying at the Board's office.

B. A firm shall allow the sponsoring organization to make the following documents and objective information accessible to the Board via the FSBA process:

1. Peer review report which has been accepted by the sponsoring organization,

2. Firm's letter of response accepted by the sponsoring organization, if applicable,

3. The acceptance letter from the sponsoring organization,

4. Letter or letters accepting the documents signed by the firm with the understanding that the firm agrees to take any actions required by the sponsoring organization, if applicable,

5. Letter signed by the sponsoring organization notifying the firm that required actions have been appropriately completed, if applicable,

6. Date of the most current peer review program enrollment or reenrollment letter,

7. Firm representation to the sponsoring organization that it has not performed engagements subject to peer review in the last 12 months, if applicable,

8. Due date of the current peer review and due date on any open corrective actions,

9. Date of the peer review or corrective action extension letters,

10. Date of the letter acknowledging the peer review was scheduled, and

11. Estimated dates of the peer review commencement and presentation to a report acceptance body.

C. Information discovered solely as a result of a peer review is not grounds for suspension or revocation of a certificate.

D. Firms that reorganize a current firm, rename a firm, or create a new firm, within which at least one of the prior CPA owners remains an owner or employee, shall remain subject to the provisions of this Section. If a firm is merged, combined, dissolved, or separated, the sponsoring organization shall determine which resultant firm shall be considered the succeeding firm. The succeeding firm shall retain its peer review status and the review due date.

History

• Adopted effective July 1, 1983 (Supp. 83-4). Repealed effective November 20, 1998 (Supp. 98-4). New Section made by final rulemaking at 10 A.A.R. 4352, effective December 4, 2004. Amended by final rulemaking at 12 A.A.R. 2823, effective September 9, 2006 (Supp. 06-3). Amended by final rulemaking at 20 A.A.R. 520, effective 2/4/2014. Amended by final rulemaking at 23 A.A.R. 3246, effective 1/1/2018. Amended by final rulemaking at 26 A.A.R. 339, effective 4/5/2020. Amended by final rulemaking at 27 A.A.R. 921, effective 8/1/2021. Amended by final rulemaking at 28 A.A.R. 1106, effective 7/3/2022. Amended by final rulemaking at 29 A.A.R. 1184, effective 7/3/2023. Amended by final expedited rulemaking at 30 A.A.R. 2417, effective 7/3/2024. Amended by final expedited rulemaking at 31 A.A.R. 1654, effective 5/7/2025.

Ariz. Admin. Code § R4-1-455 Professional Conduct and Standards

A. It is the Board's policy that the rules governing registrants be consistent with the rules governing the accounting profession generally. Except as otherwise set forth in these regulations, registrants shall conform their conduct to the Code of Professional Conduct, published June 15, 2024 in the AICPA Professional Standards by the American Institute of Certified Public Accountants, 220 Leigh Farm Road, Durham, North Carolina 27707-8110 (www.aicpa.org), available from the AICPA.

B. The AICPA Code of Professional Conduct, and any interpretations and ethical rulings by the issuing body, shall apply to all registrants, including those who are not members of the AICPA. The version specified above, including any interpretations and ethical rulings in effect shall apply. Any later amendments, additions, interpretations, or ethical rulings shall not apply.

History

• Former Rule 9; Amended effective January 15, 1976 (Supp. 76-1). Amended effective January 3, 1977 (Supp. 77-1). Amended effective February 22, 1978 (Supp. 78-1). Amended effective November 5, 1980 (Supp. 80-6). Former Section R4-1-56 renumbered as Section R4-1-455 and amended in subsections (B) and (D) effective July 1, 1983 (Supp. 83-4). Section R4-1-455 amended and divided into R4-1-455 and R4-1-455.01 thru R4-1-455.04 effective April 22, 1992 (Supp. 92-2). Amended effective December 6, 1995 (Supp. 95-4). Amended effective November 20, 1998 (Supp. 98-4). Amended by final rulemaking at 20 A.A.R. 520, effective 2/4/2014. Amended by final rulemaking at 23 A.A.R. 3246, effective 1/1/2018. Amended by final rulemaking at 26 A.A.R. 339, effective 4/5/2020. Amended by final rulemaking at 27 A.A.R. 921, effective 8/1/2021. Amended by final rulemaking at 28 A.A.R. 1106, effective 7/3/2022. Amended by final rulemaking at 29 A.A.R. 1184, effective 7/3/2023. Amended by final expedited rulemaking at 30 A.A.R. 2417, effective 7/3/2024. Amended by final expedited rulemaking at 31 A.A.R. 1654, effective 5/7/2025.

Ariz. Admin. Code § R4-1-455.01 Professional Conduct: Definitions; Interpretations

A. Interpretation of definitions: All terms defined in A.R.S. § 32-701 et seq. shall be construed, to the extent possible, to be consistent with corresponding definitions in the professional standards adopted in R4-1-455. The foregoing notwithstanding, for purposes of R4-1-455 and the professional standards adopted therein

1. The term "practice of public accounting" shall be defined as set forth in A.R.S. § 32-701 ; and

2. references to "member" shall be to "registrant" as defined in A.R.S. § 32-701.

History

• Section R4-1-455.01 renumbered from R4-1-455(B) and amended effective April 22, 1992 (Supp. 92-2). Amended effective November 20, 1998 (Supp. 98-4). Amended by final rulemaking at 20 A.A.R. 520, effective 2/4/2014. Amended by final rulemaking at 23 A.A.R. 3246, effective 1/1/2018. Amended by final rulemaking at 26 A.A.R. 339, effective 4/5/2020.

Ariz. Admin. Code § R4-1-455.02 Professional Conduct: Competence and Technical Standards

A. Confidential client information: A certified public accountant, public accountant, or firm shall not disclose confidential information obtained in the course of a professional engagement except with the consent of the client. This requirement shall not be construed to:

1. Relieve a certified public accountant, public accountant, or firm of the obligations under R4-1-455.01(B) and (C) ;

2. Affect the certified public accountant's, public accountant's, or firm's compliance with a validly issued subpoena or summons enforceable by order of a court;

3. Prohibit review of a certified public accountant's, public accountant's, or firm's professional practices as a part of a peer or quality review conducted under Board decision or authority; or

4. Preclude a certified public accountant, public accountant, or firm from responding to an inquiry made by the Board under state statutes.

B. Records disposition responsibility: A certified public accountant, public accountant, or firm shall furnish to a client, or former client, upon request, within a reasonable time after original issuance:

1. A copy of any tax returns prepared for the client;

2. A copy of any reports, or other documents, that were previously issued to the client; and

3. Any accounting or other records belonging to the client that the certified public accountant, public accountant, or firm may have removed from the client's premises, or received for the client's account. The certified public accountant, public accountant, or firm may make a copy of the documents if the documents form the basis for work done by the certified public accountant, public accountant, or firm.

A. In reporting on financial statements for which a registrant has performed attest services (as defined in A.R.S. § 32-701) any of the following will constitute a violation of A.R.S. § 32-741(A)(4):

1. In an audit engagement, failing to:

a. Prepare audit documentation that is sufficient to enable an experienced auditor, having no previous connection with the audit, to understand:

i. The nature, timing, and extent of the audit procedures performed;

ii. The results of the audit procedures performed, and the audit evidence obtained; and

iii. Significant findings or issues arising during the audit, the conclusions reached thereon, and significant professional judgments made in reaching those conclusions;

b. Obtain sufficient appropriate evidence to conclude that the financial statements taken as a whole are free from material misstatement; or

c. Modify the opinion in the auditor's report when:

i. The financial statements as a whole are materially misstated; or

ii. Sufficient appropriate audit evidence to conclude that the financial statements as a whole are free from material misstatement has not been obtained.

2. In a review engagement, failing to:

a. Accumulate sufficient review evidence to provide a reasonable basis for obtaining limited assurance that there are no material modifications that should be made to the financial statements in order to be in conformity with the applicable financial reporting framework; or

b. Modify the accountant's review report for a departure from the applicable financial reporting framework, including inadequate disclosure, that is material to the financial statements.

3. In an examination of prospective financial statements engagement, failing to:

a. Obtain sufficient evidence to provide a reasonable basis for the conclusion that is expressed in the report; or

b. Modify the report when:

i. One or more significant assumptions do not provide a reasonable basis for the prospective financial statements; or

ii. The examination is affected by conditions that preclude application of one or more procedures considered necessary in the circumstances.

B. The provisions of this subsection are not intended to be all inclusive or to limit the application of A.R.S. § 32-741(A)(4).

History

• Section R4-1-455.02 renumbered from R4-1-455(C) and amended effective April 22, 1992 (Supp. 92-2). Amended effective November 20, 1998 (Supp. 98-4). Amended by final rulemaking at 20 A.A.R. 520, effective 2/4/2014. Amended by final rulemaking at 23 A.A.R. 3246, effective 1/1/2018.

Ariz. Admin. Code § R4-1-455.04 Professional Conduct: Records Disposition

Document retention policies. Except as set forth in A.R.S. § 32-744(D), a registrant may retain and dispose of documents prescribed in A.R.S. § 32-744(C) in compliance with a reasonable document retention policy.

History

• Section R4-1-455.04 renumbered from R4-1-455(E) and amended effective April 22, 1992 (Supp. 92-2). Section number corrected (Supp. 97-3). Amended effective November 20, 1998 (Supp. 98-4). Amended by final rulemaking at 20 A.A.R. 520, effective 2/4/2014. Amended by final rulemaking at 23 A.A.R. 3246, effective 1/1/2018.

Ariz. Admin. Code § R4-1-456 Reporting Practice Suspensions and Violations

A. A registrant shall report to the Board:

1. Any suspension or revocation of the right to practice accounting before the federal Securities and Exchange Commission, the Internal Revenue Service, or any other state or federal agency;

2. Any final judgment in a civil action or administrative proceeding in which the court or public agency makes findings of violations, by the registrant, of any fraud provisions of the laws of this state or of federal securities laws;

3. Any final judgment in a civil action in which the court makes findings of accounting violations, dishonesty, fraud, misrepresentation, or breach of fiduciary duty by the registrant;

4. Any final judgment in a civil action involving negligence in the practice of public accounting by the registrant; and

5. All convictions of the registrant of any felony, or any crime involving accounting or tax violations, dishonesty, fraud, misrepresentation, embezzlement, theft, forgery, perjury, or breach of fiduciary duty.

B. A registrant required to report under subsection (A) shall make the report in the form of a written letter and ensure that the report is received by the Board within 30 days after the entry of any judgment or suspension or revocation of the registrant's right to practice before any agency. The registrant shall ensure that the letter contains the following information:

1. Description of the registrant's activities that resulted in a suspension or revocation;

2. Final judgment or conviction;

3. Name of the state or federal agency that restricted the registrant's right to practice;

4. Effective date and length of any practice restriction;

5. Case file number of any court action, civil or criminal;

6. Name and location of the court rendering the final judgment or conviction; and

7. Entry date of the final judgment or conviction.

History

• Adopted effective November 5, 1980 (Supp. 80-6). Former Section R4-1-57 renumbered as Section R4-1-456 without change effective July 1, 1983 (Supp. 83-4). Amended effective February 23, 1993 (Supp. 93-1). Amended by final rulemaking at 20 A.A.R. 520, effective 2/4/2014. Amended by final rulemaking at 26 A.A.R. 339, effective 4/5/2020.

Chapter 2 Agricultural Employment Relations Board

Article 1 GENERAL PROVISIONS

Ariz. Admin. Code § R4-2-101 Definitions

In addition to the definitions provided in A.R.S. § 23-1382, the following terms apply to this Chapter:

"Act" means the Agricultural Employment Relations Act, A.R.S. Title 23, Chapter 8, Article 5, § 23-1381, et seq.

"Administrative Law Judge" or "ALJ" means an individual, or the Board, who conducts and makes decisions regarding an administrative hearing in a contested case or an appealable agency action, according to A.R.S. Title 23, Chapter 8, Article 5, and these rules adopted thereunder.

"Authorization period" means the four pay periods immediately preceding the filing of a petition for election under A.R.S. § 23-1389(C).

"Bargaining unit" means those employees who share a community of interest with regard to wages and terms and conditions of employment as described in A.R.S. § 23-1389(B).

"Board agent" means any individual acting on behalf of the Board, including the Executive Secretary, the General Counsel, and investigators with whom the Board contracts to investigate issues relating to unfair labor practice charges and petitions for election.

"Calendar year" means the period beginning January 1 and ending December 31.

"Complete contact information" means mailing address, email address, phone number, and in the case of an organization or corporation, the name of the contact individual.

"Consent election" means an election held following the Board's approval of a voluntary and complete consent election agreement submitted to the Board.

"Eligibility period" means the three pay periods immediately preceding the filing of a petition for election under A.R.S. § 23-1389(C).

"Executive Secretary" means the Executive Secretary appointed by the Board under A.R.S. § 23-1388.

"General Counsel" means the attorney representing the Board.

"Independent contractor" means an employer engaged in the business of supplying labor to a farm or ranch.

"Leave of absence" means an employment status determined by the employer and the employee permitting the employee to cease work for that employer for a specified period of time.

"Pay period" means the seven-day period used by an agricultural employer for payroll purposes. If the agricultural employer does not use a seven-day pay period, pay period means a seven-day period, Sunday through Saturday.

"Respondent" means the employer in a certification election or current representative in a decertification election.

History

• Adopted effective December 26, 1995 (Supp. 95-4). Amended by final rulemaking at 9 A.A.R. 460, effective January 21, 2003 (Supp. 03-1). Amended by final rulemaking at 28 A.A.R. 395, effective 4/5/2022.

Ariz. Admin. Code § R4-2-102 Strikes

A. A dispute between an independent contractor and agricultural employees or their representative shall not be deemed to be a labor dispute involving the farm or ranch, or the owner, lessee, or operator of the farm or ranch. A person shall not use a picket sign unless the sign clearly states the person against whom the employees or their representative are conducting the strike.

B. Employees or their representative may advertise their dispute with the agricultural employer and picket the employer. Employees or their representative shall not picket so as to interfere with the work of a neutral employer or supplier who is not involved in the dispute. A dispute between an independent contractor and agricultural employees or their representative shall not be deemed to be a labor dispute involving the farm or ranch, or the owner, lessee, or operator of the farm or ranch.

History

• Adopted effective December 26, 1995 (Supp. 95-4). Amended by final rulemaking at 9 A.A.R. 460, effective January 21, 2003 (Supp. 03-1). Amended by final rulemaking at 28 A.A.R. 395, effective 4/5/2022.

Ariz. Admin. Code § R4-2-103 Notice of Appearance; Signing Pleadings and Documents; Filing Documents

A. The attorney of a party to a proceeding under investigation by the Board shall promptly file a notice of appearance with the Board. Once filed, the notice shall remain in effect for the duration of the proceeding, or until the Board is notified, in writing, that the attorney is not representing the party.

B. A document filed with the Board shall be signed by the party or the party's attorney. A signature constitutes a certification that the signer has read the document, has a good faith basis for submission of the document, and that it is not filed for the purpose of delay or harassment.

C. A person shall file a document with the Board at its principal office, between the hours of 8:00 a.m. and 5:00 p.m., Monday through Friday, with the exception of Arizona legal holidays or by mail. A document is considered filed on the date it is received by the Board.

History

• Adopted effective December 26, 1995 (Supp. 95-4). Amended by final rulemaking at 9 A.A.R. 460, effective January 21, 2003 (Supp. 03-1). Amended by final rulemaking at 28 A.A.R. 395, effective 4/5/2022.

Ariz. Admin. Code § R4-2-104 Service of Process and Legal Documents

A. A person serving a petition for election, petition for decertification, objection to an election, or subpoena shall serve according to A.R.S. § 23-1391(C).

B. Other than documents listed in subsection (A), or as provided in A.R.S. § 23-1391(C), documents may be filed with the Board electronically, by mail or personal delivery. Electronic document delivery to the Board shall be sent to the Executive Secretary email address listed on the AERB website at: https://agriculture.az.gov/boards-councils/agricultural-employment-relations-board. Documents shall be personally delivered or mailed to the Board's principal office, between the hours of 8:00 a.m. and 5:00 p.m., Monday through Friday, with the exception of Arizona legal holidays. A document is considered filed on the date its signed copy is received by the Board.

B. C. If an attorney enters a notice of appearance in a proceeding, service of motions and papers upon the attorney constitutes service upon the party.

History

• Adopted effective December 26, 1995 (Supp. 95-4). Amended by final rulemaking at 9 A.A.R. 460, effective January 21, 2003 (Supp. 03-1). Amended by final rulemaking at 28 A.A.R. 395, effective 4/5/2022.

Ariz. Admin. Code § R4-2-105 Computation of Time

In computing any period of time prescribed by this Chapter, by order of the Board, or by any applicable statute, the day of the act or event from which the designated period of time begins to run is not included. If the prescribed period of time is less than 11 days, intermediate Saturdays, Sundays, and Arizona legal holidays are not included in the computation. The last day of the period is included, unless it is a Saturday, Sunday, or Arizona legal holiday, in which event the period runs until the end of the next day which is not a Saturday, Sunday, or Arizona legal holiday.

History

• Adopted effective December 26, 1995 (Supp. 95-4). Amended by final rulemaking at 9 A.A.R. 460, effective January 21, 2003 (Supp. 03-1).

Article 2 ELECTIONS

Ariz. Admin. Code § R4-2-201 Contents of Petition for Election

A. A petition for certification election filed under A.R.S. § 23-1389(C) by an agricultural employee, a group of agricultural employees, an individual, or a labor organization acting on the employees' behalf, shall be signed under oath and shall contain the following information:

1. The name and complete contact information of the agricultural employer;

2. The address of the agricultural employer;

3. 2. A description of the bargaining unit that the petitioner claims to be appropriate;

4. 3. The approximate number of employees in the alleged appropriate unit;

5. 4. A brief statement that the employer declines to recognize the petitioner as a bargaining representative, or that the petitioner is currently recognized but desires certification under the Act;

6. 5. The name, affiliation, if any, and complete contact information of petitioner;

7. 6. The name and complete contact information of any other person who claims to represent an employee in the alleged appropriate bargaining unit;

8. 7. Whether a strike or picketing is in progress at the agricultural employer's establishment and, if so, the approximate number of employees participating, and the date the strike or picketing commenced;

9. 8. A statement that the petition for election is supported by 30 % or more of the agricultural employees in the bargaining unit; and

10. 9. Any other relevant fact.

B. A petition for decertification election filed under A.R.S. § 23-1389(J) by an agricultural employee, a group of agricultural employees, a labor organization, or an individual acting on the employees' behalf, shall be signed under oath and contain the following information:

1. The name and complete contact information of the petitioner;

2. A statement that:

a. A representative other than petitioner has been certified, or is currently recognized by the employer;

b. Petitioner desires to rescind the certification; and

c. Includes the unit claimed to be appropriate, a description of the unit, and the number of employees in the unit;

3. The name, affiliation, if any, and complete contact information of the person whose recognition or certification the petitioner seeks to rescind;

A statement whether the agricultural employer has a contract with any labor organization or other representative of its employees and, if so, the expiration date;

5. Whether a strike or picketing is in progress at the agricultural employer's establishment and, if so, the approximate number of employees participating, and the date the strike or picketing commenced;

6. A statement that the petition for decertification election is supported by 30 % or more of the agricultural employees in the bargaining unit; and

7. Any other relevant fact.

C. The Board shall not accept a petition for election that is submitted for filing if it does not contain all the information required by subsections (A) or (B).

D. The Executive Secretary shall, within 10 days after the filing of a petition for election with the Board, send a copy of the petition to the respondent named in the petition. If the Board certified a representative other than the petitioner, a copy of the petition shall also be sent to the certified representative.

History

• Adopted effective December 26, 1995 (Supp. 95-4). Amended by final rulemaking at 9 A.A.R. 460, effective January 21, 2003 (Supp. 03-1). Amended by final rulemaking at 28 A.A.R. 395, effective 4/5/2022.

Ariz. Admin. Code § R4-2-202 Withdrawal of Petition

A petition for election that is filed with the Board may not be withdrawn unless the petitioner and the respondent stipulate to the withdrawal.

History

• Adopted effective December 26, 1995 (Supp. 95-4). Amended by final rulemaking at 9 A.A.R. 460, effective January 21, 2003 (Supp. 03-1). Amended by final rulemaking at 28 A.A.R. 395, effective 4/5/2022.

Ariz. Admin. Code § R4-2-203 Challenge to Petition; Waiver

A. The Board is not required to investigate a challenge to a petition for election filed under A.R.S. § 23-1389(F).

B. If a respondent fails to file a timely challenge to the petition for election under A.R.S. § 23-1389(F), the right to challenge is waived.

History

• Adopted effective December 26, 1995 (Supp. 95-4). Amended by final rulemaking at 9 A.A.R. 460, effective January 21, 2003 (Supp. 03-1).

Ariz. Admin. Code § R4-2-204 Investigation of Petition

A. In addition to the notice of a petition sent under R4-2-201(D), the Board or its agent shall contact the agricultural employer by the most expeditious method within 10 days after a petition for election is filed; and, within seven days of notification, the agricultural employer shall furnish each employment record, payroll signature list, and other pertinent data requested by the Board or its agent to investigate the petition. The agricultural employer shall certify in writing and under oath that the information provided to the Board is true, complete, and accurate.

B. The Board shall review each authorization submitted under R4-2-205, as soon as practicable, to determine whether there is reasonable cause to believe a question of representation exists under A.R.S. § 23-1389 and R4-2-210.

C. The Board may conduct any investigation it deems necessary, following a review of the authorizations and pertinent employment data, to determine whether a question of representation exists including, but not limited to, a field investigation. In the event of any formal or informal interview during the investigation with an agricultural employee, the Board shall create and keep in its records a written investigative report, which shall include the name, affiliation, if any, complete contact information, and title of the agricultural employee interviewed and a summary of the agricultural employee's statements made during the interview. Any name, complete contact information, and statement recorded in such investigative report shall be subject to the confidentiality established under subsection (D) and (E) and R4-2-208.

D. The Board shall conduct an investigation in a manner that preserves the confidentiality of the identity of an agricultural employee and the employee's position regarding authorization.

E. Except as required by law, the Board or its agent shall not disclose to any person or party the number of authorizations filed; an investigative report; the identity of a person interviewed in conjunction with the investigation; or any other information concerning the investigation.

History

• Adopted effective December 26, 1995 (Supp. 95-4). Amended by final rulemaking at 9 A.A.R. 460, effective January 21, 2003 (Supp. 03-1). Amended by final rulemaking at 28 A.A.R. 395, effective 4/5/2022.

Ariz. Admin. Code § R4-2-205 Time for Submission of Authorizations

A. A petitioner shall submit every authorization with the petition for a certification election or decertification election. Except as provided in subsection (B), the Board shall not accept an authorization after the petition for certification election or decertification election is filed.

B. If the Board or its agent initially determines that the showing of interest is insufficient to warrant a pre-election hearing, the Board shall notify the petitioner that additional authorizations may be filed with the Board within the next two business days. An additional authorization is not valid unless it is signed after the day the petition is filed; the individual signing the authorization was an agricultural employee at the time the authorization was signed; and the signing employee was employed during the eligibility period.

History

• Adopted effective December 26, 1995 (Supp. 95-4). Amended by final rulemaking at 9 A.A.R. 460, effective January 21, 2003 (Supp. 03-1). Amended by final rulemaking at 28 A.A.R. 395, effective 4/5/2022.

Ariz. Admin. Code § R4-2-206 Form and Content of Authorizations

A. An individual can show interest by completing an authorization card or signing a petition.

B. An individual authorization card submitted to the Board as evidence of a showing of interest is not valid unless the card contains only one name, one signature, and the following legible information:

1. The employee's name, name of employer, and social security or employee identification number;

2. The signature of the employee and date in the employee's own handwriting; and

3. A statement that the employee is knowingly providing authorization that the petitioner may represent that employee for the purpose of collective bargaining in Arizona only, and authorization that the petitioner may file a petition for election under A.R.S. § 23-1389.

C. A signature petition submitted as authorization to evidence a showing of interest is not valid unless it contains:

1. The signature of the employee, social security or employee identification number, and date in the employee's own handwriting; and

2. The name of the employer and a statement that the employee is knowingly providing authorization that the petitioner may represent that employee for the purpose of collective bargaining in Arizona only, and authorization that the petitioner may file a petition for election under A.R.S. § 23-1389.

History

• Adopted effective December 26, 1995 (Supp. 95-4). Amended by final rulemaking at 9 A.A.R. 460, effective January 21, 2003 (Supp. 03-1). Amended by final rulemaking at 28 A.A.R. 395, effective 4/5/2022.

Ariz. Admin. Code § R4-2-207 Validity of Authorizations

A. A valid An authorization is one that is valid if signed at any time during the authorization period by an individual who is an agricultural employee at the time of signing the authorization, or is if signed as prescribed in R4-2-205(B).

B. An authorization is valid even if the agricultural employee who signed that authorization also signed an authorization for another labor organization.

C. An authorization signed by an agricultural employee hired after the date the petition is filed is not valid for the purpose of computing the showing of interest.

History

• Adopted effective December 26, 1995 (Supp. 95-4). Amended by final rulemaking at 9 A.A.R. 460, effective January 21, 2003 (Supp. 03-1). Amended by final rulemaking at 28 A.A.R. 395, effective 4/5/2022.

Ariz. Admin. Code § R4-2-208 Confidentiality of Authorizations

An authorization and its contents are confidential except if subject to a lawful subpoena.

History

• Adopted effective December 26, 1995 (Supp. 95-4). Amended by final rulemaking at 9 A.A.R. 460, effective January 21, 2003 (Supp. 03-1).

Ariz. Admin. Code § R4-2-209 Showing of Interest Computation

A. The Board or its agent shall compute the showing of interest for any pay period within the eligibility period by taking the total number of agricultural employees employed in the bargaining unit during that pay period and determining how many of those employees signed a valid authorization as prescribed in this Article.

B. To determine whether an individual is an agricultural employee, permanent, within the meaning of A.R.S. § 23-1382(1), six months means 132 work days.

C. The Board shall not include in the bargaining unit for a pay period an agricultural employee who is eligible for unemployment benefits for the entire pay period.

D. The Board shall not include in the bargaining unit for a pay period an agricultural employee who is on a leave of absence for the entire pay period unless the following conditions are met:

1. The employer produces a document, signed by the employee and notarized, stating that the employee was placed on leave of absence for a specified period of time;

2. The date of the employee's projected return does not exceed six months from the date the petition for election is filed; and

3. There is no substantial evidence establishing that the employee's leave of absence is a pretense or that the employee will not return from the leave of absence as scheduled.

E. The Board shall not include in the bargaining unit an agricultural employee who is placed on workers' compensation leave, unless the following conditions are met:

1. The employer produces a document signed by a licensed physician stating the date the employee was placed on workers' compensation leave and the date of the employee's projected return;

2. The date of the employee's projected return does not exceed six months from the date the petition for election is filed; and

3. There is no substantial evidence establishing that the employee's workers' compensation leave is a pretense or that the employee will not return from the workers' compensation leave of absence as scheduled.

History

• Adopted effective December 26, 1995 (Supp. 95-4). Amended by final rulemaking at 9 A.A.R. 460, effective January 21, 2003 (Supp. 03-1). Amended by final rulemaking at 28 A.A.R. 395, effective 4/5/2022.

Ariz. Admin. Code § R4-2-210 Existence of a Question of Representation

A question of representation exists in the bargaining unit if there is a 30% showing of interest in the final pay period of the eligibility period and in either of the other two pay periods of the eligibility period.

History

• Adopted effective December 26, 1995 (Supp. 95-4). Amended by final rulemaking at 9 A.A.R. 460, effective January 21, 2003 (Supp. 03-1). Amended by final rulemaking at 28 A.A.R. 395, effective 4/5/2022.

Ariz. Admin. Code § R4-2-211 Notice of Hearing

A. The Board shall issue a Notice of Hearing as prescribed in Article 4 if a question of representation exists.

B. A person may, by written request to the Board, receive notice of the filing of a petition for election and a related notice of hearing.

History

• Adopted effective December 26, 1995 (Supp. 95-4). Amended by final rulemaking at 9 A.A.R. 460, effective January 21, 2003 (Supp. 03-1).

Ariz. Admin. Code § R4-2-212 Intervention by a Subsequent Labor Organization

A. The ALJ may allow a subsequent labor organization to intervene only at the initial session of the pre-election hearing on a petition filed by the first labor organization and may place the subsequent labor organization on an election ballot only if the ALJ finds:

1. The subsequent labor organization filed with the Board a petition for certification election together with a sufficient number of signed authorizations to meet the 30 % showing of interest required to establish a question of representation under R4-2-210; and

2. The subsequent labor organization filed its petition and authorizations not later than seven days before the scheduled start of the initial session of the pre-election hearing.

B. In determining the validity of an authorization filed by a subsequent labor organization, the Board shall use the same authorization period as that of the original petitioner.

C. In determining the showing of interest for a subsequent labor organization, the Board shall use the same eligibility period as that of the original petitioner.

History

• Adopted effective December 26, 1995 (Supp. 95-4). Amended by final rulemaking at 9 A.A.R. 460, effective January 21, 2003 (Supp. 03-1). Amended by final rulemaking at 28 A.A.R. 395, effective 4/5/2022.

Ariz. Admin. Code § R4-2-213 Peak Employment During Eligibility Period and Election

A. The Board shall hold an election when the bargaining unit is at peak. A bargaining unit is at peak when the number of employees in the unit is not less than 66 2/3 percent % of the maximum number of employees who have been or will be employed in the bargaining unit during the current crop growing season. If peak does not occur at any time during the remainder of the current growing season, the Board shall hold the election at peak during the following growing season.

B. In determining the total number of bargaining unit employees who have been or will be employed at any one time during the current growing season, the ALJ shall consider:

1. The employer's prior peak employment figures;

2. The types of crops grown;

3. The past and present acreage for the crop or crops in question;

4. The number of employees at other farms with the same or similar crops and similar acreage; and

5. Any other relevant fact.

C. A question of representation exists in a bargaining unit only if the bargaining unit is at peak during the eligibility period. The respondent named in a petition has the burden to allege and prove that the bargaining unit is not at peak during a pay period in an eligibility period.

D. The Board shall hold an election when the bargaining unit is at peak. If peak does not occur at any time during the remainder of the current growing season, the Board shall hold the election at peak during the following growing season.

History

• Adopted effective December 26, 1995 (Supp. 95-4). Amended by final rulemaking at 9 A.A.R. 460, effective January 21, 2003 (Supp. 03-1). Amended by final rulemaking at 28 A.A.R. 395, effective 4/5/2022.

Ariz. Admin. Code § R4-2-214 Election Procedures

A. Only an individual who is an agricultural employee in the appropriate bargaining unit on the date of an election is eligible to vote in the election.

B. A party may be represented by two observers of the party's selection, subject to the following limitations:

1. A union shall not select as an observer an official of any labor organization, and

2. An agricultural employer shall not select as an observer a supervisor or company official.

C. A party or the Board's agent may challenge, for good cause, the eligibility of an individual to participate in an election. The Board shall impound the ballot of a challenged individual.

D. The Board shall issue a tally of the ballots upon the conclusion of the election.

E. If there are enough challenged ballots to affect the results of the election, the Board shall, as soon as practicable, investigate the challenges, issue a revised tally, and serve the revised tally upon all parties.

History

• Adopted effective December 26, 1995 (Supp. 95-4). Amended by final rulemaking at 9 A.A.R. 460, effective January 21, 2003 (Supp. 03-1).

Ariz. Admin. Code § R4-2-215 Objections to Election; Investigation

A. Within seven days after the tally of the ballots by the Board, a party may file with the Board an objection to the conduct of the election or conduct affecting the results of the election. The party filing the objection shall specifically set forth each fact and allegation in support of the objection. The party filing the objection shall simultaneously serve a copy of the objection on all other parties and file a certificate of service with the Board. The party filing the objection shall not raise in the objection an issue that was or could have been raised in either a challenge to the petition or the pre-election hearing.

B. The Board shall not take further action on an objection if the objection is not timely filed, does not comply with subsection (A), or the number of challenged ballots is insufficient to affect the election results and a run-off election is not required under R4-2-217.

C.

1. Objections are not filed within the time prescribed in subsection (A), or

2. The number of challenged ballots is insufficient to affect the election results, and

3. A run-off election is not required under R4-2-217 .

If any objection meets the requirements of subsection (A), the Board shall investigate objections to the conduct of an election or conduct affecting the results of an election. If the Board determines that the objection is valid, the Board shall decertify the election results. The Board shall dismiss the objection if the Board determines that the objection is invalid. Any action by the Board under this section shall comply with A.R.S. § 23-1387(C).

D. If the Board decertifies the election results or dismisses the objection under subsections (B) or (C), the Board shall serve all the parties with its written decision. If the Board dismisses the objection, it shall immediately issue a certification of the results of the election, including certification or decertification of the representative, as appropriate. An aggrieved party may appeal the Board's decision as prescribed in Article 4, within 30 days after the party receives the notice of the decision. The Board may extend the time for filing an appeal for good cause.

E. In investigating an objection, if the Board determines that substantial and material factual issues exist that can be resolved only after a hearing, the Board shall issue a Notice of Hearing. Any hearing under this subsection and any objection to the resulting decision shall be initiated and conducted as prescribed by Article 4.

History

• Adopted effective December 26, 1995 (Supp. 95-4). Amended by final rulemaking at 9 A.A.R. 460, effective January 21, 2003 (Supp. 03-1). Amended by final rulemaking at 28 A.A.R. 395, effective 4/5/2022.

Ariz. Admin. Code § R4-2-216 Run-off Elections

A. If an election ballot provides for a choice among at least two labor organizations and "no union," and none of the choices on the ballot receive a majority of valid votes cast, the Board shall, as soon as practicable, conduct a run-off election.

B. In a run-off election, only an individual who is an agricultural employee in the appropriate bargaining unit on the date of the run-off election is eligible to vote.

C. The ballot in a run-off election shall provide for a selection between the labor organization receiving the highest number of votes in the original election and "no union."

D. The Board shall administer a run-off election as prescribed in R4-2-214.

History

• Adopted effective December 26, 1995 (Supp. 95-4). Amended by final rulemaking at 9 A.A.R. 460, effective January 21, 2003 (Supp. 03-1). Renumbered and amended from R4-2-217 by final rulemaking at 28 A.A.R. 395, effective 4/5/2022.

Ariz. Admin. Code § R4-2-217 Consent-election Agreements

An agricultural employer may enter into a consent-election agreement with one or more individuals or labor organizations that present to the employer a claim to be recognized as the representative of a designated bargaining unit. The parties shall submit to the Board an agreement containing a description of the appropriate bargaining unit, a proposed time and place for holding the election, and a statement specifying which agricultural employees within the appropriate bargaining unit are eligible to vote. The Board shall conduct a consent election if the Board finds that the consent-election agreement is fair and not collusive. The Board shall conduct a consent election consistent with the methods followed by the Board in conducting elections.

History

• Adopted effective December 26, 1995 (Supp. 95-4). Amended by final rulemaking at 9 A.A.R. 460, effective January 21, 2003 (Supp. 03-1). Renumbered and amended from R4-2-218 by final rulemaking at 28 A.A.R. 395, effective 4/5/2022.

Ariz. Admin. Code § R4-2-218 Renumbered

History

• Adopted effective December 26, 1995 (Supp. 95-4). Amended by final rulemaking at 9 A.A.R. 460, effective January 21, 2003 (Supp. 03-1). Renumbered to R4-2-217 by final rulemaking at 28 A.A.R. 395, effective 4/5/2022.

Ariz. Admin. Code § R4-2-219 Repealed

History

• Adopted effective December 26, 1995 (Supp. 95-4). Section repealed by final rulemaking at 9 A.A.R. 460, effective January 21, 2003 (Supp. 03-1).

Article 3 UNFAIR LABOR PRACTICES

Ariz. Admin. Code § R4-2-301 Unfair Labor Practice Charges

Any person may make a charge that a person has engaged in or is engaging in an unfair labor practice. The charge may be withdrawn by the charging party before the hearing and thereafter with the consent of the ALJ. If a complaint has issued under R4-2-304 and the charge is withdrawn, the Board may dismiss the complaint on the advice of the General Counsel.

History

• Adopted effective December 26, 1995 (Supp. 95-4). Amended by final rulemaking at 9 A.A.R. 460, effective January 21, 2003 (Supp. 03-1).

Ariz. Admin. Code § R4-2-302 Form and Contents of Charge

A. A charging party shall include the following in the charge:

1. The full name and complete contact information of the individual, agricultural employer, or labor organization making the charge;

If the charge is filed by a labor organization, the full name and complete contact information of any national or international labor organization of which it is an affiliate or constituent unit;

3. The full name and complete contact information of the individual, agricultural employer, or labor organization against whom the charge is made; and

4. A clear and concise statement of the facts constituting the alleged unfair labor practice.

B. A charging party shall make the charge in writing, sign the charge, and declare under penalty of perjury that its contents are true and correct to the best of the charging party's knowledge, information, and belief.

C. The Board shall not accept a charge that is submitted for filing if it does not contain all the information required in subsections (A) and (B).

History

• Adopted effective December 26, 1995 (Supp. 95-4). Amended by final rulemaking at 9 A.A.R. 460, effective January 21, 2003 (Supp. 03-1). Amended by final rulemaking at 28 A.A.R. 395, effective 4/5/2022.

Ariz. Admin. Code § R4-2-303 Investigation of Charge

A. The Board shall, as directed by R4-2-104(A), serve a copy of a filed charge upon the individual, agricultural employer, or labor organization against whom the charge is made.

B. The General Counsel shall conduct a preliminary investigation of the charge under A.R.S. § 23-1390(K). After the preliminary investigation, and at the discretion of the General Counsel, the General Counsel may:

1. Refuse to issue a complaint; or

2. File a complaint against any individual, agricultural employer, or labor organization named in the charge that the General Counsel believes may have committed an unfair labor practice; and

3. If directed by the Board, seek appropriate injunctive relief or a restraining order, as provided for in A.R.S. § 23-1390.

C. An investigative report, note, memorandum, oral or written statement, tape recording, and any other information or work product prepared or obtained by the General Counsel during an investigation is not subject to subpoena powers of the Act and a person shall not disclose this information to any person without the consent of the General Counsel, unless otherwise provided by law.

History

• Adopted effective December 26, 1995 (Supp. 95-4). Amended by final rulemaking at 9 A.A.R. 460, effective January 21, 2003 (Supp. 03-1). Amended by final rulemaking at 28 A.A.R. 395, effective 4/5/2022.

Ariz. Admin. Code § R4-2-304 Complaint

A. If the General Counsel decides after investigating a charge that a formal proceeding should be instituted, the General Counsel shall issue and serve, as directed by R4-2-104(A), on each party a complaint stating the alleged unfair labor practice. The General Counsel shall include in the complaint a clear and concise statement of the facts upon which the assertion legal and factual basis of the Board's jurisdiction is based and a clear and concise description of the act that is claimed to constitute an unfair labor practice. The General Counsel shall include a notice of hearing issued under Article 4 with the complaint.

B. After the hearing date is set, the General Counsel shall not amend the complaint unless the General Counsel makes a motion to amend and the ALJ grants The motion.

C. The General Counsel may withdraw a complaint before the hearing. After the opening of the hearing, the complaint may be withdrawn upon motion by the General Counsel with consent of the ALJ.

History

• Adopted effective December 26, 1995 (Supp. 95-4). Amended by final rulemaking at 9 A.A.R. 460, effective January 21, 2003 (Supp. 03-1). Amended by final rulemaking at 28 A.A.R. 395, effective 4/5/2022.

Ariz. Admin. Code § R4-2-305 Refusal to Issue Complaint

A. If, after a charge is filed, the General Counsel declines to issue a complaint or, having withdrawn a complaint, refuses to reissue it, the General Counsel shall advise serve a written statement of the grounds for the action on each party in writing, accompanied by a statement of the grounds for the action. The charging party may file a request to reconsider the refusal to issue or reissue the complaint with the General Counsel within 10 days of receipt of notice of the refusal and shall simultaneously serve a copy on all other parties. The General Counsel shall file any response to the request within seven days of receiving it. The General Counsel shall advise all parties of the decision, serve the decision on each party in writing and within seven days of the date the decision is made.

B. The charging party may file a request to reconsider with the General Counsel if, after the General Counsel refuses to issue or reissue a complaint, newly discovered material evidence is found that could not with reasonable diligence have been discovered at the time the original charge was filed. The request shall be filed within 10 days after the discovery of the evidence.

C. Nothing in this Section prohibits or limits the General Counsel from issuing or reissuing a complaint following a notice of refusal to issue a complaint or withdrawal of a complaint, however, if a complaint is withdrawn or dismissed on the General Counsel's own motion, the General Counsel shall not reissue the complaint more than six months after the date of the withdrawal or dismissal of the original complaint.

D. Service under this section shall be as directed by R4-2-104(A).

History

• Adopted effective December 26, 1995 (Supp. 95-4). Amended by final rulemaking at 9 A.A.R. 460, effective January 21, 2003 (Supp. 03-1). Amended by final rulemaking at 28 A.A.R. 395, effective 4/5/2022.

Ariz. Admin. Code § R4-2-306 Repealed

History

• Adopted effective December 26, 1995 (Supp. 95-4). Section repealed by final rulemaking at 9 A.A.R. 460, effective January 21, 2003 (Supp. 03-1).

Ariz. Admin. Code § R4-2-307 Repealed

History

• Adopted effective December 26, 1995 (Supp. 95-4). Section repealed by final rulemaking at 9 A.A.R. 460, effective January 21, 2003 (Supp. 03-1).

Ariz. Admin. Code § R4-2-308 Repealed

History

• Adopted effective December 26, 1995 (Supp. 95-4). Section repealed by final rulemaking at 9 A.A.R. 460, effective January 21, 2003 (Supp. 03-1).

Ariz. Admin. Code § R4-2-309 Repealed

History

• Adopted effective December 26, 1995 (Supp. 95-4). Section repealed by final rulemaking at 9 A.A.R. 460, effective January 21, 2003 (Supp. 03-1).

Ariz. Admin. Code § R4-2-310 Repealed

History

• Adopted effective December 26, 1995 (Supp. 95-4). Section repealed by final rulemaking at 9 A.A.R. 460, effective January 21, 2003 (Supp. 03-1).

Ariz. Admin. Code § R4-2-311 Repealed

History

• Adopted effective December 26, 1995 (Supp. 95-4). Section repealed by final rulemaking at 9 A.A.R. 460, effective January 21, 2003 (Supp. 03-1).

Article 4 HEARINGS

Ariz. Admin. Code § R4-2-401 Hearings

The Board shall use the uniform administrative hearing procedures of A.R.S. Title 41, Chapter 6, Article 10 to govern the initiation and conduct of formal adjudicative proceedings before the Board.

History

• Adopted effective December 26, 1995 (Supp. 95-4). Amended by repealed by final rulemaking at 9 A.A.R. 460, effective January 21, 2003 (Supp. 03-1).

Ariz. Admin. Code § R4-2-402 Repealed

History

• Adopted effective December 26, 1995 (Supp. 95-4). Section repealed by final rulemaking at 9 A.A.R. 460, effective January 21, 2003 (Supp. 03-1).

Ariz. Admin. Code § R4-2-403 Repealed

History

• Adopted effective December 26, 1995 (Supp. 95-4). Section repealed by final rulemaking at 9 A.A.R. 460, effective January 21, 2003 (Supp. 03-1).

Ariz. Admin. Code § R4-2-404 Repealed

History

• Adopted effective December 26, 1995 (Supp. 95-4). Section repealed by final rulemaking at 9 A.A.R. 460, effective January 21, 2003 (Supp. 03-1).

Ariz. Admin. Code § R4-2-405 Repealed

History

• Adopted effective December 26, 1995 (Supp. 95-4). Section repealed by final rulemaking at 9 A.A.R. 460, effective January 21, 2003 (Supp. 03-1).

Ariz. Admin. Code § R4-2-406 Repealed

History

• Adopted effective December 26, 1995 (Supp. 95-4). Section repealed by final rulemaking at 9 A.A.R. 460, effective January 21, 2003 (Supp. 03-1).

Ariz. Admin. Code § R4-2-407 Rehearing or Review of Decision; Basis

A. A party may file a motion for rehearing or review under A.R.S. § 41-1092.09

B. The Board shall grant a rehearing or review of a final administrative law decision for any of the following causes materially affecting the moving party's rights:

1. The decision is not justified by the evidence or is contrary to law;

2. There is newly discovered material evidence that could not with reasonable diligence have been discovered and produced at the original proceeding;

3. One or more of the following has deprived the party of a fair hearing:

a. Irregularity or abuse of discretion in the conduct of the proceeding;

b. Misconduct of the Board, the ALJ, or the prevailing party; or

c. Accident or surprise that could not have been prevented by ordinary prudence; or

4. Excessive or insufficient sanction.

1. Irregularity in the administrative proceedings or abuse of discretion depriving the moving party of a fair hearing;

Misconduct of the Board, ALJ, or the prevailing party;

3. Accident or surprise that could not reasonably have been prevented;

Newly discovered material evidence that could not, with reasonable diligence, have been discovered and produced at the original hearing;

5. Excessive or insufficient penalties;

6. Error in the admission or rejection of evidence or other errors of law occurring at the administrative hearing or during the progress of the proceedings; or

7. The decision is not justified by the evidence or is contrary to law.

C. The Board may grant a rehearing or review to any or all of the parties. The rehearing or review may cover all or part of the issues for any of the reasons stated in subsection (B). An order granting a rehearing or review shall particularly state the grounds for granting the rehearing or review, and the rehearing or review shall cover only the grounds stated.

History

• Adopted effective December 26, 1995 (Supp. 95-4). Amended by final rulemaking at 9 A.A.R. 460, effective January 21, 2003 (Supp. 03-1). Amended by final rulemaking at 28 A.A.R. 395, effective 4/5/2022.

Chapter 3 [REPEALED]

Article 1 [REPEALED]

Ariz. Admin. Code § R4-3-101 [Repealed]

History

• Adopted effective January 21, 1981 (Supp. 81-1). Repealed by final rulemaking at 24 A.A.R. 435, effective 2/7/2018.

Ariz. Admin. Code § R4-3-102 [Repealed]

History

• Adopted effective January 21, 1981 (Supp. 81-1). Repealed by final rulemaking at 24 A.A.R. 435, effective 2/7/2018.

Ariz. Admin. Code § R4-3-103 [Repealed]

History

• Adopted effective January 21, 1981 (Supp. 81-1). Repealed by final rulemaking at 24 A.A.R. 435, effective 2/7/2018.

Ariz. Admin. Code § R4-3-104 [Repealed]

History

• Adopted effective January 21, 1981 (Supp. 81-1). Repealed by final rulemaking at 24 A.A.R. 435, effective 2/7/2018.

Ariz. Admin. Code § R4-3-105 [Repealed]

History

• Adopted effective January 21, 1981 (Supp. 81-1). Repealed by final rulemaking at 24 A.A.R. 435, effective 2/7/2018.

Article 2 [REPEALED]

Ariz. Admin. Code § R4-3-201 [Repealed]

History

• Adopted effective January 21, 1981 (Supp. 81-1). Repealed by final rulemaking at 24 A.A.R. 435, effective 2/7/2018.

Ariz. Admin. Code § R4-3-202 [Repealed]

History

• Adopted effective January 21, 1981 (Supp. 81-1). Repealed by final rulemaking at 24 A.A.R. 435, effective 2/7/2018.

Ariz. Admin. Code § R4-3-203 [Repealed]

History

• Adopted effective January 21, 1981 (Supp. 81-1). Repealed by final rulemaking at 24 A.A.R. 435, effective 2/7/2018.

Article 3 [REPEALED]

Ariz. Admin. Code § R4-3-301 [Repealed]

History

• Adopted effective January 21, 1981 (Supp. 81-1). Repealed by final rulemaking at 24 A.A.R. 435, effective 2/7/2018.

Ariz. Admin. Code § R4-3-302 [Repealed]

History

• Adopted effective January 21, 1981 (Supp. 81-1). Repealed by final rulemaking at 24 A.A.R. 435, effective 2/7/2018.

Ariz. Admin. Code § R4-3-303 [Repealed]

History

• Adopted effective January 21, 1981 (Supp. 81-1). Repealed by final rulemaking at 24 A.A.R. 435, effective 2/7/2018.

Ariz. Admin. Code § R4-3-304 [Repealed]

History

• Adopted effective January 21, 1981 (Supp. 81-1). Repealed by final rulemaking at 24 A.A.R. 435, effective 2/7/2018.

Ariz. Admin. Code § R4-3-305 [Repealed]

History

• Adopted effective January 21, 1981 (Supp. 81-1). Repealed by final rulemaking at 24 A.A.R. 435, effective 2/7/2018.

Ariz. Admin. Code § R4-3-306 [Repealed]

History

• Adopted effective January 21, 1981 (Supp. 81-1). Repealed by final rulemaking at 24 A.A.R. 435, effective 2/7/2018.

Ariz. Admin. Code § R4-3-307 [Repealed]

History

• Adopted effective January 21, 1981 (Supp. 81-1). Repealed by final rulemaking at 24 A.A.R. 435, effective 2/7/2018.

Ariz. Admin. Code § R4-3-308 [Repealed]

History

• Adopted effective January 21, 1981 (Supp. 81-1). Repealed by final rulemaking at 24 A.A.R. 435, effective 2/7/2018.

Ariz. Admin. Code § R4-3-309 [Repealed]

History

• Adopted effective January 21, 1981 (Supp. 81-1). Repealed by final rulemaking at 24 A.A.R. 435, effective 2/7/2018.

Ariz. Admin. Code § R4-3-310 [Repealed]

History

• Adopted effective January 21, 1981 (Supp. 81-1). Repealed by final rulemaking at 24 A.A.R. 435, effective 2/7/2018.

Article 4 [REPEALED]

Ariz. Admin. Code § R4-3-401 [Repealed]

History

• Adopted effective January 21, 1981 (Supp. 81-1). Amended subsection A. effective December 31, 1984 (Supp. 84-6). Repealed by final rulemaking at 24 A.A.R. 435, effective 2/7/2018.

Ariz. Admin. Code § R4-3-402 [Repealed]

History

• Adopted effective January 21, 1981 (Supp. 81-1). Repealed by final rulemaking at 24 A.A.R. 435, effective 2/7/2018.

Ariz. Admin. Code § R4-3-403 [Repealed]

History

• Adopted effective January 21, 1981 (Supp. 81-1). Repealed by final rulemaking at 24 A.A.R. 435, effective 2/7/2018.

Ariz. Admin. Code § R4-3-404 [Repealed]

History

• Adopted effective January 21, 1981 (Supp. 81-1). Repealed by final rulemaking at 24 A.A.R. 435, effective 2/7/2018.

Ariz. Admin. Code § R4-3-405 [Repealed]

History

• Adopted effective January 21, 1981 (Supp. 81-1). Repealed by final rulemaking at 24 A.A.R. 435, effective 2/7/2018.

Ariz. Admin. Code § R4-3-406 [Repealed]

History

• Adopted effective January 21, 1981 (Supp. 81-1). Repealed by final rulemaking at 24 A.A.R. 435, effective 2/7/2018.

Ariz. Admin. Code § R4-3-407 [Repealed]

History

• Adopted effective January 21, 1981 (Supp. 81-1). Repealed by final rulemaking at 24 A.A.R. 435, effective 2/7/2018.

Ariz. Admin. Code § R4-3-408 [Repealed]

History

• Adopted effective January 21, 1981 (Supp. 81-1). Repealed by final rulemaking at 24 A.A.R. 435, effective 2/7/2018.

Ariz. Admin. Code § R4-3-409 [Repealed]

History

• Adopted effective January 21, 1981 (Supp. 81-1). Repealed by final rulemaking at 24 A.A.R. 435, effective 2/7/2018.

Ariz. Admin. Code § R4-3-410 [Repealed]

History

• Adopted effective January 21, 1981 (Supp. 81-1). Repealed by final rulemaking at 24 A.A.R. 435, effective 2/7/2018.

Ariz. Admin. Code § R4-3-411 [Repealed]

History

• Adopted effective January 21, 1981 (Supp. 81-1). Repealed by final rulemaking at 24 A.A.R. 435, effective 2/7/2018.

Ariz. Admin. Code § R4-3-412 [Repealed]

History

• Adopted effective January 21, 1981 (Supp. 81-1). Repealed by final rulemaking at 24 A.A.R. 435, effective 2/7/2018.

Ariz. Admin. Code § R4-3-412.01 [Repealed]

History

• Adopted effective October 8, 1998 (Supp. 98-4). Repealed by final rulemaking at 24 A.A.R. 435, effective 2/7/2018.

Ariz. Admin. Code § R4-3-413 [Repealed]

History

• Former Section R4-3-43 adopted effective January 16, 1981 now renumbered as Section R4-3-413 effective January 21, 1981 (Supp. 81-1). Amended by exempt rulemaking at 17 A.A.R. 1483, effective July 20, 2011 (Supp. 11-3). Amended by exempt rulemaking at 19 A.A.R. 3578, effective September 12, 2013. Repealed by final rulemaking at 24 A.A.R. 435, effective 2/7/2018.

Ariz. Admin. Code § R4-3-414 [Repealed]

History

• Adopted effective July 27, 1981 (Supp. 81-4). Repealed by final rulemaking at 24 A.A.R. 435, effective 2/7/2018.

Ariz. Admin. Code § R4-3-415 Recodified

History

• Adopted pursuant to an exemption from A.R.S. § 41-1001 et seq. effective February 24, 1993 (Supp. 93-1). Section R4-3-415 recodified to R19-2-601 at 5 A.A.R. 1175, April 23, 1999 (Supp. 99-2).
• The following Section was adopted pursuant to an exemption from A.R.S. Title 41, Chapter 6 as specified in Laws 1992, Ch. 337, § 12. Exemption from Title 41, Chapter 6 means that the agency did not submit these rules for publication of notice of proposed rulemaking; the Governor's Regulatory Review Council did not review these rules; the agency was not required to hold public hearings on these rules; and the Attorney General has not certified these rules.

Ariz. Admin. Code § R4-3-416 Recodified

History

• Adopted pursuant to an exemption from A.R.S. § 41-1001 et seq. effective February 24, 1993 (Supp. 93-1). Section R4-3-416 recodified to R19-2-602 at 5 A.A.R. 1175, April 23, 1999 (Supp. 99-2).
• The following Section was adopted pursuant to an exemption from A.R.S. Title 41, Chapter 6 as specified in Laws 1992, Ch. 337, § 12. Exemption from Title 41, Chapter 6 means that the agency did not submit these rules for publication of notice of proposed rulemaking; the Governor's Regulatory Review Council did not review these rules; the agency was not required to hold public hearings on these rules; and the Attorney General has not certified these rules.

Ariz. Admin. Code § R4-3-417 Recodified

History

• Adopted pursuant to an exemption from A.R.S. § 41-1001 et seq. effective February 24, 1993 (Supp. 93-1). Section R4-3-417 recodified to R19-2-603 at 5 A.A.R. 1175, April 23, 1999 (Supp. 99-2).
• The following Section was adopted pursuant to an exemption from A.R.S. Title 41, Chapter 6 as specified in Laws 1992, Ch. 337, § 12. Exemption from Title 41, Chapter 6 means that the agency did not submit these rules for publication of notice of proposed rulemaking; the Governor's Regulatory Review Council did not review these rules; the agency was not required to hold public hearings on these rules; and the Attorney General has not certified these rules.

Ariz. Admin. Code § R4-3-418 Recodified

History

• Adopted pursuant to an exemption from A.R.S. § 41-1001 et seq. effective February 24, 1993 (Supp. 93-1). Section R4-3-418 recodified to R19-2-604 at 5 A.A.R. 1175, April 23, 1999 (Supp. 99-2).
• The following Section was adopted pursuant to an exemption from A.R.S. Title 41, Chapter 6 as specified in Laws 1992, Ch. 337, § 12. Exemption from Title 41, Chapter 6 means that the agency did not submit these rules for publication of notice of proposed rulemaking; the Governor's Regulatory Review Council did not review these rules; the agency was not required to hold public hearings on these rules; and the Attorney General has not certified these rules.

Ariz. Admin. Code § R4-3-419 Recodified

History

• Adopted pursuant to an exemption from A.R.S. § 41-1001 et seq. effective February 24, 1993 (Supp. 93-1). Section R4-3-419 recodified to R19-2-605 at 5 A.A.R. 1175, April 23, 1999 (Supp. 99-2).
• The following Section was adopted pursuant to an exemption from A.R.S. Title 41, Chapter 6 as specified in Laws 1992, Ch. 337, § 12. Exemption from Title 41, Chapter 6 means that the agency did not submit these rules for publication of notice of proposed rulemaking; the Governor's Regulatory Review Council did not review these rules; the agency was not required to hold public hearings on these rules; and the Attorney General has not certified these rules.

Ariz. Admin. Code § R4-3-420 Recodified

History

• Adopted pursuant to an exemption from A.R.S. § 41-1001 et seq. effective February 24, 1993 (Supp. 93-1). Section R4-3-420 recodified to R19-2-606 at 5 A.A.R. 1175, April 23, 1999 (Supp. 99-2).
• The following Section was adopted pursuant to an exemption from A.R.S. Title 41, Chapter 6 as specified in Laws 1992, Ch. 337, § 12. Exemption from Title 41, Chapter 6 means that the agency did not submit these rules for publication of notice of proposed rulemaking; the Governor's Regulatory Review Council did not review these rules; the agency was not required to hold public hearings on these rules; and the Attorney General has not certified these rules.

Ariz. Admin. Code § R4-3-421 Recodified

History

• Adopted pursuant to an exemption from A.R.S. § 41-1001 et seq. effective February 24, 1993 (Supp. 93-1). Section R4-3-421 recodified to R19-2-607 at 5 A.A.R. 1175, April 23, 1999 (Supp. 99-2).
• The following Section was adopted pursuant to an exemption from A.R.S. Title 41, Chapter 6 as specified in Laws 1992, Ch. 337, § 12. Exemption from Title 41, Chapter 6 means that the agency did not submit these rules for publication of notice of proposed rulemaking; the Governor's Regulatory Review Council did not review these rules; the agency was not required to hold public hearings on these rules; and the Attorney General has not certified these rules.

Ariz. Admin. Code § R4-3-422 Recodified

History

• Adopted pursuant to an exemption from A.R.S. § 41-1001 et seq. effective February 24, 1993 (Supp. 93-1). Section R4-3-422 recodified to R19-2-608 at 5 A.A.R. 1175, April 23, 1999 (Supp. 99-2).
• The following Section was adopted pursuant to an exemption from A.R.S. Title 41, Chapter 6 as specified in Laws 1992, Ch. 337, § 12. Exemption from Title 41, Chapter 6 means that the agency did not submit these rules for publication of notice of proposed rulemaking; the Governor's Regulatory Review Council did not review these rules; the agency was not required to hold public hearings on these rules; and the Attorney General has not certified these rules.

Ariz. Admin. Code § R4-3-423 Recodified

History

• Adopted pursuant to an exemption from A.R.S. § 41-1001 et seq. effective February 24, 1993 (Supp. 93-1). Section R4-3-423 recodified to R19-2-609 at 5 A.A.R. 1175, April 23, 1999 (Supp. 99-2).
• The following Section was adopted pursuant to an exemption from A.R.S. Title 41, Chapter 6 as specified in Laws 1992, Ch. 337, § 12. Exemption from Title 41, Chapter 6 means that the agency did not submit these rules for publication of notice of proposed rulemaking; the Governor's Regulatory Review Council did not review these rules; the agency was not required to hold public hearings on these rules; and the Attorney General has not certified these rules.

Ariz. Admin. Code § R4-3-424 Recodified

History

• Adopted pursuant to an exemption from A.R.S. § 41-1001 et seq. effective February 24, 1993 (Supp. 93-1). Section R4-3-424 recodified to R19-2-610 at 5 A.A.R. 1175, April 23, 1999 (Supp. 99-2).

Article 5 EXPIRED

Ariz. Admin. Code § R4-3-501 Expired

History

• Former Rules 10 and 11; Former Section R4-3-50 renumbered as Section R4-3-501 effective January 21, 1981 (Supp. 81-1). Section expired under A.R.S. § 41-1056(E) at 11 A.A.R. 3181, effective April 30, 2002 (Supp. 05-3).

Ariz. Admin. Code § R4-3-502 Expired

History

• Former Rule 12; Former Section R4-3-51 renumbered as Section R4-3-502 effective January 21, 1981 (Supp. 81-1). Section expired under A.R.S. § 41-1056(E) at 11 A.A.R. 3181, effective April 30, 2002 (Supp. 05-3).

Ariz. Admin. Code § R4-3-503 Expired

History

• Former Rule 13; Former Section R4-3-52 renumbered as Section R4-3-503 effective January 21, 1981 (Supp. 81-1). Section expired under A.R.S. § 41-1056(E) at 11 A.A.R. 3181, effective April 30, 2002 (Supp. 05-3).

Ariz. Admin. Code § R4-3-504 Expired

History

• Former Rule 14; Former Section R4-3-53 renumbered as Section R4-3-504 effective January 21, 1981 (Supp. 81-1). Section expired under A.R.S. § 41-1056(E) at 11 A.A.R. 3181, effective April 30, 2002 (Supp. 05-3).

Ariz. Admin. Code § R4-3-505 Expired

History

• Former Rule 15; Former Section R4-3-54 renumbered as Section R4-3-505 effective January 21, 1981 (Supp. 81-1). Section expired under A.R.S. § 41-1056(E) at 11 A.A.R. 3181, effective April 30, 2002 (Supp. 05-3).

Ariz. Admin. Code § R4-3-506 Expired

History

• Former Rule 16; Former Section R4-3-55 renumbered as Section R4-3-506 effective January 21, 1981 (Supp. 81-1). Section expired under A.R.S. § 41-1056(E) at 11 A.A.R. 3181, effective April 30, 2002 (Supp. 05-3).

Ariz. Admin. Code § R4-3-507 Expired

History

• Former Rule 17; Former Section R4-3-56 renumbered as Section R4-3-507 effective January 21, 1981 (Supp. 81-1). Section expired under A.R.S. § 41-1056(E) at 11 A.A.R. 3181, effective April 30, 2002 (Supp. 05-3).

Ariz. Admin. Code § R4-3-508 Expired

History

• Former Rule 18; Former Section R4-3-57 renumbered as Section R4-3-508 effective January 21, 1981 (Supp. 81-1). Section expired under A.R.S. § 41-1056(E) at 11 A.A.R. 3181, effective April 30, 2002 (Supp. 05-3).

Ariz. Admin. Code § R4-3-509 Expired

History

• Former Rule 19; Former Section R4-3-58 renumbered as Section R4-3-509 effective January 21, 1981 (Supp. 81-1). Section expired under A.R.S. § 41-1056(E) at 11 A.A.R. 3181, effective April 30, 2002 (Supp. 05-3).

Chapter 5 BOARD OF BARBERS

Article 1 GENERAL PROVISIONS

Ariz. Admin. Code § R4-5-101 Definitions

The definitions in A.R.S. § 32-301 apply to this Chapter. Additionally, the following definitions apply to this Chapter unless the context otherwise requires:

"Barber pole" means a stationary or revolving sign compose of a vertical cylinder or pole with alternating, diagonal, stripes of any combination including red, white, and blue or a likeness of the sign.

"Barbering implement" means any tool or device used for barbering.

"Certified hour" means instructional hours for which a barber school has issued a student a Certification of Completion or Withdrawal.

"Change of ownership" means there is a change of 10 percent or more of the owners holding a license to operate a shop or school.

"Diploma from a high school or its equivalent," as used in A.R.S. § 32-323(B), means any of the following:

A document that certifies successful course completion from any accredited secondary school in the United States, a U.S. territory, the District of Columbia, or a foreign country;

A high school equivalency diploma that certifies successful passing of a General Education Development "GED" test; or

An academic degree from an accredited college or university.

"Direct supervision" means a supervisor is physically present and observing the work of a supervisee.

"Disinfect" means the use of chemicals to kill most microbial life that can lead to infection in humans.

"Domestic administration" means barbering performed:

On oneself, or

On another person to whom the practitioner is related as follows:

Father,

Mother,

Grandfather,

Grandmother,

Child,

Step-child,

Brother,

Sister,

Foster parent,

Legal guardian,

Step-parent, or

Spouse.

"EPA" means the United States Environmental Protection Agency.

"Establishment" means a distinct physical location in which a shop or school is located but does not include an offsite training facility.

"Instructional hour" means 60 minutes during which a student receives classroom or practical instruction.

"Liquid sanitizer" means a container large enough to immerse completely any barbering implement that requires disinfecting by a solution made from an EPA-registered disinfectant.

"One year's experience as a licensed barber," as used in A.R.S. § 32-322(C), means that during 12 consecutive months, an individual:

Maintained a valid license prescribed under A.R.S. § 32-322, and Engaged in barbering at least 1,500 hours. "Owner" means a person that has controlling interest in a barber shop or school or the owner's designee.

"Patron" means an individual who receives barbering services.

"Practiced barbering for at least two years," as used in A.R.S. § 32-323(B), means that during 24 consecutive months, an individual engaged in barbering at least 1,500 hours during each 12-month consecutive period.

"Tool drawer" means an ultraviolet electrical sanitizer or a clean, dust-proof cabinet, drawer, or other container that is disinfected with an EPA-registered disinfecting agent and used exclusively to store disinfected barbering implements.

"Two years of high school education or its equivalent," as used in A.R.S. § 32-322(B), means either of the following:

Successfully completing 10 high school credits,

or

Passing a GED test.

"Workstation" means a specific location within a shop, mobile unit, offsite training facility, or school where barbering is performed not including hair-cleaning activity.

History

• New Section made by final rulemaking at 11 A.A.R. 1422, effective April 5, 2005 (Supp. 05-2). Amended by final rulemaking at 21 A.A.R. 2528, effective 12/8/2015.

Ariz. Admin. Code § R4-5-102 Fees and Service Charges

A. Under authority of A.R.S. § 32-328, the Board charges the following fees:

Barber:

a. Examination $100.

b. License by reciprocity $175.

c. Initial license $40.

d. Renewal valid for two years $80.

2. Instructor:

a. Examination $100.

b. Initial license $50.

c. Renewal valid for two years $60.

3. Shop:

a. Application and initial inspection $150.

b. Change of location $85.

c. Change of ownership $85.

d. Renewal $50.

4. Late-renewal fee for any license issued under subsections (A)(1) through (A)(3):

a. First time in a five-year period $25 plus the renewal fee.

b. Second time in a five-year period $50 plus the renewal fee.

c. Third time in a five-year period $75 plus the renewal fee.

School:

a. Application and initial inspection $1,000.

b. Change of location $500.

c. Change of ownership $500.

d. Renewal $400 annually.

e. Late-renewal fee:

i. First time in five-year period $50 plus the renewal fee.

ii. Second time in five-year period $100 plus the renewal fee.

iii. Third time in five-year period $150 plus the renewal fee.

6. Re-examination fee for an examinee who failed part of an examination after an original fee assessment under subsection (A)(1)(a) or (A)(2)(a):

a. Written $25.

b. Practical $50.

7. A duplicate of any license issued under this Chapter $20.

B. The Board charges the following for copies of non-confidential records:

1. Name and address of licensee $.25 per licensee.

2. Public records $.50 per page.

C. As authorized under A.R.S. § 44-6852, the Board shall charge and collect from an applicant that provides the Board with a check that is dishonored by the bank the actual amount assessed by the bank plus a $10 service fee.

History

• New Section made by final rulemaking at 11 A.A.R. 1422, effective April 5, 2005 (Supp. 05-2). Amended by final rulemaking at 21 A.A.R. 2528, effective 12/8/2015.

Ariz. Admin. Code § R4-5-103 Fee Payment

A. A person shall pay any fee required by the Board in full by certified instrument, money order, or credit or debit card.

B. The Board shall consider a fee payment timely if:

1. The Board receives the fee on or before the date due, or

2. The fee is postmarked or electronically submitted on or before the date due.

History

• Amended by final rulemaking at 21 A.A.R. 2528, effective 12/8/2015. Amended by final rulemaking at 23 A.A.R. 490, effective 4/8/2017.

Ariz. Admin. Code § R4-5-104 Safety and Infection Control Provisions

A. A licensee under A.R.S. Title 32, Chapter 3, and this Chapter shall adhere to the following safety and infection control procedures:

1. Use barbering implements that are:

a. New if intended for use on a single patron and disposed of immediately after use in a covered waste receptacle; or

b. In good repair, free of defect, and disinfected as described in subsection (A)(2) if intended for multiple use;

Disinfect any barbering implement intended for multiple use according to the following procedure:

a. For a non-electric barbering implement and removable parts of an electric barbering implement, other than a scissors or razor:

i. Remove all hair or debris;

ii. Wash with soap and water;

iii. Rinse with clean water;

iii. iv. Completely immerse in an EPA-registered disinfectant used according to manufacturer's instructions;

iv. Rinse with water,

v. Dry with a clean cloth or air dry; and

vi. Store in a tool drawer;

b. For a scissors or a razor:

i. Follow the procedure under subsection (A)(2)(a); or

ii. Wipe the scissors or razor with a cloth bearing an EPA-registered disinfectant used according to manufacturer's instructions and store the scissors or razor in a tool drawer; and

c. For an electric barbering implement:

i. Remove all hair or debris;

ii. Wipe or spray any parts that contact a patron with an EPA-registered disinfectant used according to manufacturer's instructions; and

iii. Store in a tool drawer.

3. Care and storage of barbering products. A licensee shall dispense any barbering product listed under subsection (A)(3)(a) according to the procedure prescribed under subsection (A)(3)(b).

a. A barbering product under this subsection includes any:

i. Oil,

ii. Gel,

iii. Shampoo,

iv. Cream,

v. Antiseptic,

vi. Clay,

vii. Ointment,

viii. Waxes, or

viii. ix. Other product intended for use on a patron,

b. Product-dispensing procedure. Avoid direct manual contact with a barbering product by:

i. Using a manufacturer's dispensing device included with the original container; or

ii. Using a new disposable or disinfected reusable spoon, spatula, or similar dispensing implement when no manufacturer dispensing device is included with the original container;

c. After a barbering product is dispensed, do not return any portion of the dispensed product to the original container; and

d. Maintain all barbering product containers with clear, correct labels indicating contents and intended use;

4. Ensure that the disinfecting solution required under subsection (A)(2) is changed if it becomes contaminated or according to the manufacturer's instructions;

5. Maintain towels or cloths for patron use that are:

a. New and disposed immediately after use if intended for single use,

b. Disinfected by laundering with detergent and chlorine bleach if intended for multiple use,

c. Stored in a closed container when disinfected before use, and

d. Stored in a closed, ventilated, container separate from disinfected towels or cloths after use;

Maintain a separate, covered, non-leaking, receptacle for garbage and hair and empty, clean, and disinfect the receptacle daily;

7. Maintain all barbering product containers with clear, correct labels indicating contents and intended use;

7. Exposure to blood or other body fluids. If there is a blood spill or exposure to other body fluids while performing a barbering service, a licensee shall stop the service and:

a. If the blood spill or body fluid is on a patron, the licensee shall:

i. Put disposable gloves on both of the licensee's hands;

ii. Use a disposable instrument to clean the wound with an antiseptic solution and dispose of the soiled instrument immediately;

iii. Use a disposable instrument to apply powdered alum, styptic powder, or a cyanoacrylate to stop bleeding and dispose of the soiled instrument immediately;

iv. Cover the wound with a sterile bandage; and

v. Dispose of the gloves used;

b. If the blood spill or body fluid results from an injury to the licensee, the licensee shall comply with subsections (A)(7)(a)(ii) through (iv) and cover the affected area with a clean, fluid-proof glove or finger cover;

c. If the blood spill or body fluid contacts any surface area, the licensee shall disinfect the surface area with an EPA-registered disinfectant used according to the manufacturer's instructions; and

d. If the blood spill or body fluid contacts any barbering instrument, the licensee shall disinfect the barbering instrument as specified in subsection (A)(2);

8. Patron protection. A licensee shall protect the health and safety of a patron by:

a. Washing the licensee's hands with liquid or powder soap and water before serving each patron;

b. Disinfecting the head rest of the barber or styling chair after each use or at least daily;

c. Placing a clean towel or paper sheet on the head rest of the barber or styling chair for each patron;

d. Using a clean neck strip with each patron to avoid having the patron contact a non-sanitized object;

e. Not performing a barbering service on a patron while the licensee has a contagious disease unless a medically-approved measure is used to prevent transmission of the disease; and

f. Not knowingly performing a barbering service on a patron who has a contagious disease;

9. Prohibited products. To protect the health and safety of a patron, a licensee shall not use any of the following products when performing barbering services:

a. Methyl Methacrylate liquid monomers;

b. Alum or other astringents in stick or lump form;

c. Fumigants such as formalin (formaldehyde) tablets or liquids;

d. Any product that penetrates the dermis layer of the skin; and

e. Any product that is banned or deemed to be poisonous or unsafe by any responsible federal, state, or local governmental entity.

10. Prohibited practices. To protect the health and safety of a patron, a licensee shall not engage in the following practices when performing barbering services:

a. Allow any animal except a service animal on the establishment premises. A covered aquarium that is maintained in a sanitary condition is allowed; or

b. Use a shaving brush and mug unless the shaving brush and mug are personally owned by the patron.

11. Use a neck strip to prevent a patron's neck from contacting a non-sanitized object; and

12. Store each neck duster not in use in a dry sanitizer.

B. In addition to licensee requirements under subsection (A), the holder of a license to operate a shop or school shall:

1. Ensure that flooring within six feet of each workstation is made of smooth, durable, and impervious material;

2. Maintain all furniture and fixtures of each establishment in a clean and orderly manner at all times;

3. Provide at least one restroom located on or near the establishment premises; and

4. Comply with all state, local, and federal requirements.

History

• New Section made by final rulemaking at 11 A.A.R. 1422, effective April 5, 2005 (Supp. 05-2). Amended by final rulemaking at 21 A.A.R. 2528, effective 12/8/2015.

Ariz. Admin. Code § R4-5-105 [Repealed]

History

• New Section made by final rulemaking at 11 A.A.R. 1422, effective April 5, 2005 (Supp. 05-2). Repealed by final rulemaking at 21 A.A.R. 2528, effective 12/8/2015.

Ariz. Admin. Code § R4-5-106 Change of Ownership or Location

A. A license issued to operate a shop or school is not transferable to:

1. A location other than the location specified on the license; or

2. An owner other than the owner specified on the license.

B. A change in the owner or location of a shop or school requires that the owner apply for a new license.

C. At least 15 days before a change in location or ownership of a shop or school, the owner of the re-located shop or school or the new owner shall submit the following to the Board:

1. Written notification of the change;

2. A completed application to operate a shop, as prescribed under R4-5-301, or school, as prescribed under R4-5-401; and

3. The applicable fee prescribed under R4-1-102(A)(3)(b), (A)(3)(c), (A)(5)(b), or (A)(5)(c).

History

• New Section made by final rulemaking at 11 A.A.R. 1422, effective April 5, 2005 (Supp. 05-2). Amended by final rulemaking at 21 A.A.R. 2528, effective 12/8/2015.

Ariz. Admin. Code § R4-5-107 Inspections

A. Applicability. This Section applies to any barbering establishment operating within Arizona and any establishment for which application for licensure has been made.

B. Time of inspection. An inspector designated by the Board:

1. Shall inspect the premises of each establishment for which an application for licensure has been made,

1. 2. Shall inspect each establishment's premises one or more times per calendar year, and

2. 3. May inspect an establishment at any time permitted under A.R.S. § 32-304(B)(2).

C. Inspection procedure. According to the requirements of A.R.S. Title 32, Chapter 3, and this Chapter, the Board's inspector shall document that:

1. Each applicable license issued is current and displayed as prescribed under A.R.S. § 32-351;

2. Equipment and barbering implements are present, clean, and in appropriate quantity to the number of employees in the establishment;

3. Each product, implement, and procedure is maintained or followed appropriately by establishment staff; and

4. All applicable statutes and rules are followed.

D. Inspection findings. An inspector shall submit a copy of a completed inspection report to:

1. The license holder or individual assigned by the license holder to operate the inspected establishment; and

2. The Board.

E. Disciplinary action. The Board shall follow disciplinary procedures prescribed under A.R.S. §§ 32-352 through 32-356 for any inspection finding indicating a violation of any provision under A.R.S. Title 32, Chapter 3, or this Chapter.

History

• New Section made by final rulemaking at 11 A.A.R. 1422, effective April 5, 2005 (Supp. 05-2). Amended by final rulemaking at 21 A.A.R. 2528, effective 12/8/2015.

Ariz. Admin. Code § R4-5-108 Licensing Time-frames

A. The overall time-frame described in A.R.S. § 41-1072(2) for all licenses issued by the Board under A.R.S. Title 32, Chapter 3, and this Chapter is specified in Table 1. An applicant and the Executive Director of the Board may agree in writing to extend the substantive review and overall time-frames by no more than 25 percent of the overall time-frame.

B. Initial school licensure. For purposes of A.R.S. Title 41, Chapter 6, Article 7.1, the Board shall issue an initial school license according to the following time-frame:

1. The overall time-frame for issuance of a license under this subsection is 60 days. The Board and an applicant may agree in writing to extend the substantive review time-frame and the overall time-frame.

2. The administrative completeness review time-frame described in A.R.S. § 41-1072(1) for a license issued by the Board is specified in Table 1 and begins on the date the Board receives a license application.

a. If the application is incomplete, the Board shall send the applicant a notice of administrative deficiency specifying the information or documents required to complete the application. The administrative completeness review and overall time-frames are suspended until the Board receives the missing information or documents.

c. The Board shall suspend for a maximum of 30 days the administrative completeness time-frame and the overall time-frame to provide the applicant time to submit the items specified in the notice of deficiency under subsection (B)(2)(b).

d. If the applicant fails to submit the deficient items within 30 days after the date of the notice of deficiency, the Board shall consider the application withdrawn.

2. If the application is complete, the Board shall send the applicant a notice of administrative completeness.

C. 3. The substantive review time-frame described in A.R.S. § 41-1072(3) for a license issued by the Board begins on the postmark date of the notice of administrative completeness sent under subsection (B)(2).

a. As part of the substantive review for an initial shop or school license, the Board shall inspect the applicant's premises according to the procedure prescribed under R4-5-107.

b. The Board shall send a license or a written notice of denial to an applicant within the substantive review time-frame.

c. During the substantive review time-frame, the Board may send a single comprehensive written notice of request for additional information that includes a written statement of the additional information needed for the Board to make a decision. The substantive review and overall time-frames are suspended from the postmark date of the comprehensive written request for additional information until the Board receives the additional information. The Board and the applicant may agree in writing to allow the Board to submit additional supplemental requests for information.

d. An applicant shall submit all required information within 15 days after the date of a notice of request for additional information sent under subsection (B)(3)(c).

e. The Board may suspend the substantive review time-frame if the Board and applicant agree in writing to a specified amount of time necessary for the applicant to return all information required under subsection (B)(3)(c) to the Board. The Board shall not grant a substantive time-frame extension that exceeds the amount of time allowed under A.R.S. § 41-1075(B) .

D. f. The Board shall close the file of an applicant if the applicant fails to submit all required information to the Board within the time specified in Table 1. If a person whose file is closed wishes to be considered further for licensure, the person shall submit another application and fee.

i. The number of days specified under subsection (B)(3)(d); or

ii. The amount of time specified by written agreement under subsection (B)(3)(e) if applicable.

g. If the Board denies a license under this subsection, the Board shall send a written denial notice to the applicant that specifies each reason for denial.

E. Within the overall time-frame specified in Table 1, the Board shall:

1. Grant a license to a person that meets all requirements in A.R.S. Title 32, Chapter 3 and this Chapter; or

2. Deny a license to a person that fails to meet all requirements in A.R.S. Title 32, Chapter 3 and this Chapter. The Board shall include in the notice of denial the reason for the denial and information regarding the right to appeal the denial under A.R.S. Title 41, Chapter 6, Article 10.

History

• New Section made by final rulemaking at 11 A.A.R. 1422, effective April 5, 2005 (Supp. 05-2). Amended by final rulemaking at 21 A.A.R. 2528, effective 12/8/2015.

Ariz. Admin. Code § R4-5-109 License Renewal

A. To renew any license issued under this Chapter, a licensee shall submit to the Board:

1. The application for renewal form attached to the license issued by the Board;

2. The renewal fee for the applicable license as prescribed under R1-4-102(A)(1)(d), (A)(2)(c), (A)(3)(d), or (A)(5)(d):

1. a. No earlier than 30 days before the expiration date, and

2. b. No later than midnight on the expiration date; and

3. If the documentation submitted under R4-5-202(D)(3), R4-5-203(C)(4), R4-5-301(B)(2)(a)(v), or R4-5-401(C)(4)(a)(iii) was a limited form of work authorization issued by the federal government, evidence that the work authorization has not expired.

B. As provided under A.R.S. § 32-355, a licensee that fails to renew a license timely shall immediately cease providing the services authorized by the license.

C. An expired license issued under this Chapter may be renewed within five years after the date of expiration by complying with subsection (A) and paying the late-renewal fee prescribed under R4-5-102.

History

• Amended and Renumbered from R4-5-204 by final rulemaking at 21 A.A.R. 2528, effective 12/8/2015.

Article 2 EXAMINATION; BARBER AND INSTRUCTOR LICENSE APPLICATION

Ariz. Admin. Code § R4-5-201 Examinations

A. Required examinations.

1. Except for an applicant for licensure by reciprocity, an applicant for:

a. A barber license shall pass an examination covering the topics listed in A.R.S. § 32-324(C); and

b. An instructor license shall pass the examination described in A.R.S. § 32-324(D);

2. As authorized under A.R.S. § 32-322(A)(2) and A.R.S. § 32-323(A)(2), the Board shall ensure that applicants for licensure by reciprocity possess necessary qualifications by requiring:

a. All applicants for licensure by reciprocity to pass an examination regarding A.R.S. Title 32, Chapter 3 and this Chapter; and

b. Applicants for licensure by reciprocity as an instructor to pass an examination regarding procedures the Board uses to measure the practical skills of barbering students.

B. In addition to requirements prescribed under A.R.S. § 32-324, the Board shall make the following provisions for any examination administered by the Board:

1. The Board shall send an applicant written notification of an assigned examination time and location at least seven days before a scheduled examination.

2. Examination language provision. The Board shall:

a. Administer an examination under this Section in English; and

b. Allow an applicant for a barber license to provide a reader or personal foreign language interpreter who shall not be:

i. A currently or previously licensed barber or cosmetologist,

ii. A barber or cosmetology instructor, or

iii. A barber or cosmetology student in any state or foreign country.

3. Examination integrity provision. The Board shall not:

a. Disclose examination questions; or

b. Return a completed examination or other examination records kept by the Board to a school or applicant.

4. The Board shall dismiss an applicant from an examination under penalty of examination fee forfeiture if the applicant:

a. Cheats, or

b. Solicits any information from another person except the examiner.

5. The Board shall require re-examination if an applicant fails to apply for a license within one year after passing an examination.

6. For purposes of an examination's practical portion, an applicant for a barber license shall supply:

a. All necessary barbering implements and supplies; and

b. A live model who shall not be:

i. A currently or previously licensed barber or cosmetologist,

ii. A barber or cosmetology instructor, or

iii. A barber or cosmetology student in any state or foreign country.

7. If an applicant fails a portion of an examination, the Board shall allow the applicant to meet with Board staff and participate in a general discussion of the failed portion of the examination if the applicant submits a written request to the Board within 30 days after the examination.

History

• New Section made by final rulemaking at 11 A.A.R. 1422, effective April 5, 2005 (Supp. 05-2). Amended by final rulemaking at 21 A.A.R. 2528, effective 12/8/2015.

Ariz. Admin. Code § R4-5-202 Barber License Application

A. An applicant for licensure as a barber shall attach the following to the application attachments required under subsections (B) or (C):

1. Proof that the applicant is at least 16 years old;

2. Proof that the applicant has at least two years of high school education or its equivalent. Acceptable proof includes an official transcript from the high school attended or a copy of a high school diploma or GED;

3. Documentation specified under A.R.S. § 41-1080(A) that the applicant's presence in the U.S. is authorized under federal law;

4. A photograph, as prescribed under A.R.S. § 32-322(A)(3), that is suitable for use on an identification card and:

a. Of the applicant only;

b. U.S. passport sized; and

c. Signed by the applicant across the front without blocking the face;

5. If currently licensed as a barber in another state with which Arizona does not have a reciprocity agreement, a copy of the license; and

6. The applicable fee specified in R4-5-102(A)(1).

7. Highest school grade completed;

8. Alternate school enrollment name if different from that provided under subsection (A)(1);

9. Dates of high school attendance;

10. Proof of an earned GED, if applicable;

11. A statement and explanation if the applicant has had a barber license suspended or revoked in the five-year period before the application date;

12. A statement of any current reciprocal license in another state and state name;

13. Any other information required by the Board; and

14. The applicant's verification that the information contained on the application is correct and complete, and the applicant's notarized signature.

B. License by examination. In addition to the requirements under subsection (A), an applicant for licensure by examination shall submit an application form, which is available from the Board, and provide the following information:

1. Full name;

2. Other names, if any, by which the applicant has been known;

3. Full address;

4. Telephone number;

5. Social Security number;

6. Date and place of birth;

7. Unless currently licensed in another state with which Arizona does not have a reciprocity agreement, name and location of barber school attended;

8. Unless currently licensed in another state with which Arizona does not have a reciprocity agreement, the number of certified hours obtained from a barber school;

9. A statement whether the applicant has ever been licensed as a barber in Arizona and if so, when;

10. A statement whether the applicant has ever been licensed in another state or country as a barber or apprentice barber and if so, when and where;

11. A statement whether the applicant has had a barber license suspended or revoked in the five years before the date of application and if so, a complete explanation of the circumstances;

12. Any other information required by the Board; and

13. The applicant's notarized signature and verification that the information provided is correct and complete.

C. License by reciprocity. In addition to the requirements under subsections (A) and (B)(1) through (6) and (9) through (13), an applicant for licensure by reciprocity shall submit the following:

1. A copy of a current barber license issued by a state with which Arizona has a reciprocity agreement; and

Documentation of at least one year of barbering work experience. The documentation shall contain the notarized signature of the barber where the work was performed.

a. A copy of a high school diploma;

b. A high school transcript or letter that verifies the minimum education requirement under this subsection;

c. Military discharge documentation that verifies the minimum education requirement under this subsection; or

d. A GED grade report indicating an overall passing grade as prescribed under R4-5-101 for two years of high school education or its equivalent;

3. A copy of a current barber license from a state that has a reciprocity agreement with Arizona; and

4. Documentation of at least one year of barbering work experience, notarized by the barber where the work was performed.

D. The Board shall require any applicant under this Section to submit the following application attachments:

1. A photograph as prescribed under A.R.S. § 32-322(A)(3) that is:

a. A professionally produced photograph of the applicant only;

b. U.S. passport sized; and

c. Signed by the applicant across the front, but without blocking the face;

2. The applicable fee in cash or by certified instrument for the type of license for which application is made.

History

• New Section made by final rulemaking at 11 A.A.R. 1422, effective April 5, 2005 (Supp. 05-2). Amended by final rulemaking at 21 A.A.R. 2528, effective 12/8/2015.

Ariz. Admin. Code § R4-5-203 Instructor License Application

A. An applicant for licensure as an instructor shall attach the following to the application required under subsections (B) and (C):

1. Proof that the applicant is at least 19 years old;

2. Proof that the applicant has a high school diploma or its equivalent;

3. Proof that the applicant has practiced barbering for at least two years. The proof shall contain the notarized signature of the barber or barbers where the work was performed;

4. Documentation specified under A.R.S. § 41-1080(A) that the applicant's presence in the U.S. is authorized under federal law;

5. A photograph that is suitable for use on an identification card and:

a. Of the applicant only;

b. U.S. passport sized; and

c. Signed by the applicant across the front without blocking the face;

6. If currently licensed as a barber instructor in another state with which Arizona does not have a reciprocity agreement, a copy of the license; and

7. The applicable fee specified in R4-5-102(A)(2).

B. License by examination. In addition to the requirements under subsection (A), an applicant for licensure by examination shall submit an application form, which is available from the Board, and provide the following information:

1. Full name;

2. Other names, if any, by which the applicant has been known;

2. 3. Full address;

3. 4. Telephone number;

5. Social Security number;

4. 6. Birth date;

5. 7. Current Arizona barber license number;

6. 8. If the applicant attended school for training as a barber instructor:

a. Name and address of barbering school attended for instructor training;

7. b. Total hours of instructor training; and

8. c. Dates during which instructor training was obtained;

9. A statement regarding whether the applicant:

a. Has ever been licensed as a barber instructor in Arizona and if so, when;

b. Has ever been a licensed barber instructor in any other country or state and if so, the country or state and dates of licensure as a barber instructor; and

c. Has had a former instructor license suspended or revoked in the five years before the date of application and if so, a complete explanation of the circumstances;

10. Name and location of high school attended;

11. Highest school grade completed;

12. Alternate school enrollment name if different from that provided under subsection (A)(1);

13. Dates of high school attendance;

14. Proof of an earned GED, if applicable;

15. 10. Any other information required by the Board; and

16. 11. The applicant's notarized signature verifying that the information provided is correct and complete.

B. C. License by reciprocity. In addition to the requirements under subsections (A) and (B)(1) through (6) and (9) through (11), an applicant for an instructor license by reciprocity shall submit the following:

1. A copy of the current license to instruct barber students issued by a state that has a reciprocity agreement with Arizona; and

2. Documentation of at least one year's experience as a licensed instructor of barber students. The documentation shall contain the notarized signature of the owner of the barber school at which instruction was provided.

History

• New Section made by final rulemaking at 11 A.A.R. 1422, effective April 5, 2005 (Supp. 05-2). Amended by final rulemaking at 21 A.A.R. 2528, effective 12/8/2015.

Ariz. Admin. Code § R4-5-204 Renumbered

History

• New Section made by final rulemaking at 11 A.A.R. 1422, effective April 5, 2005 (Supp. 05-2). Renumbered by final rulemaking at 21 A.A.R. 2528, effective 12/8/2015.

Article 3 SHOPS

Ariz. Admin. Code § R4-5-301 Application for a License to Operate a Shop

A. To apply for a license to operate a shop, a person shall submit to the Board the items under subsections (B) and (C). A person that intends to operate more than one shop shall apply for and be issued a separate license to operate each shop. A person shall not operate a shop before a license is issued.

B. On a form available from the Board, an applicant for a license to operate a shop shall provide the following information:

Indicate the applicant's requested licensing action:

a. A license to operate a new shop;

b. A change of location of an operating shop including the following information:

i. The Board file number, and

ii. Both the old and new addresses of the shop; or

c. A change of ownership of an operating shop including the following information:

i. Former owner's name;

ii. Former shop name, if the shop name is changed;

iii. Board file number; and

iv. A copy of the shop's bill of sale or the signature of the former owner on the application;

1. 2. Ownership information:

a. If the owner is an individual or partnership:

i. Name,

ii. Address,

iii. Telephone number,

iv. Social Security number of the individual or each partner owning at least 10 percent of the partnership, and

v. Documentation specified under A.R.S. § 41-1080(A) that the presence in the U.S. of the individual or each partner owning at least 10 percent of the partnership is authorized under federal law; or

b. If the owner is a corporation:

i. Corporate name;

ii. Names of all individuals owning at least 10 percent of the corporation;

iii. Tax identification number of the corporation;

iv. Name and telephone number of a contact person;

v. Name and address of the statutory agent, if required by law;

vi. Address of the corporation; and

vii. Telephone number of the corporation;

2. 3. Shop information:

a. Shop name,

b. Full physical address of the shop,

c. Telephone number, and

d. A map of approximate shop location indicating the names of major cross streets;

e. Any applicable corporate information that includes:

i. Corporate name if different from subsection (B)(2)(a);

ii. Name of contact person;

iii. Address of corporate headquarters; and

iv. Telephone number;

3. 4. If known at the time of application, the name and Arizona license number of the barber who will directly supervise the shop on behalf of the license holder;

4. 5. A projected date for the shop to open;

5. Indicate the applicant's requested licensing action:

a. A new shop license;

b. A shop relocation; or

c. A change of ownership including the following information:

i. Former owner's name,

ii. Former shop name,

iii. Board file number, and

iv. A copy of the shop's bill of sale or the signature of the former owner on the application;

6. A list of equipment in the shop including the total number of the following:

a. Barber or styling chairs,

b. Sinks with hot and cold running water,

c. Tool drawers,

d. Liquid sanitizers,

e. Workstations,

e. f. Soiled-towel receptacles, and

f. g. Garbage and hair receptacles;

7. A description of the shop's floor covering;

8. An indication of whether a license to operate the shop has been or will be obtained from the Board of Cosmetology;

9. Any other information required by the Board; and

10. The applicant's verification that the information contained on the application is correct and complete, and the applicant's notarized signature.

C. Fee. In addition to the completed application form required under subsection (B), an applicant shall submit to the Board the fee specified in R4-5-102(A)(3) for the licensing action requested under subsection (B)(1).

History

• New Section made by final rulemaking at 11 A.A.R. 1422, effective April 5, 2005 (Supp. 05-2). Amended by final rulemaking at 21 A.A.R. 2528, effective 12/8/2015.

Ariz. Admin. Code § R4-5-302 Basic Equipment Required in a Shop

A. The holder of a license to operate a shop shall ensure that the shop has at least the following equipment:

1. A barber or styling chair;

1. 2. One sink, which has hot and cold running water, for every two barber or styling chairs and located no more than six feet from the barber or styling chairs;

2. 3. Liquid or powder soap and paper towels for use at each sink;

3. 4. A separate, covered, receptacle for each of the following:

a. Garbage and hair, and

b. Reusable towels or cloths that are soiled;

5. One tool drawer and one liquid sanitizer for each barber or styling chair and the necessary EPA-registered disinfectants for each;

6. One wall mirror located near each barber or styling chair;

7. One workstation for each barber or styling chair; and

8. Cabinet in which to store additional supplies.

B. Subsection (A)(2) applies only to shops licensed under R4-5-301 after the effective date of this Section.

History

• New Section made by final rulemaking at 11 A.A.R. 1422, effective April 5, 2005 (Supp. 05-2). Amended by final rulemaking at 21 A.A.R. 2528, effective 12/8/2015.

Ariz. Admin. Code § R4-5-303 Shop Supervision

A. The holder of a license to operate a shop shall designate a barber licensed under this Chapter to directly supervise the shop during all hours of operation.

A. B. A license holder or supervising barber shall ensure that:

1. Every individual, whether an employee or independent contractor, who practices barbering in the shop has a current license issued under A.R.S. § 32-322 and R4-5-202;

2. Each required license and the most recent Board inspector's record are displayed according to A.R.S. § 32-351(A); and

3. Each licensee complies with all applicable provisions of A.R.S. Title 32, Chapter 3, and this Chapter.

B. C. The Board shall hold a license holder and any supervising barber responsible for any violation of an applicable provision of A.R.S. Title 32, Chapter 3, or this Chapter.

C. D. The holder of a license to operate a shop who is an Arizona-licensed barber may directly supervise the shop.

History

• New Section made by final rulemaking at 11 A.A.R. 1422, effective April 5, 2005 (Supp. 05-2). Amended by final rulemaking at 21 A.A.R. 2528, effective 12/8/2015.

Ariz. Admin. Code § R4-5-304 Shop Mobile Units

A. To operate a mobile unit as a shop, the owner of the mobile unit shall make application for a license under R4-5-301.

B. The Board shall issue a license to operate a mobile unit as a shop only if:

1. The mobile unit is self-contained;

The mobile unit meets all requirements for a shop specified under A.R.S. Title 32, Chapter 3, and this Chapter; and

3. The owner of the mobile unit agrees to provide the Board with written or oral notice at least 15 days before the mobile unit is placed in a location or moved to a new location.

History

• New Section made by final rulemaking at 11 A.A.R. 1422, effective April 5, 2005 (Supp. 05-2). Amended by final rulemaking at 21 A.A.R. 2528, effective 12/8/2015.

Ariz. Admin. Code § R4-5-305 Display of Barber Pole

A. Under A.R.S. § 32-355(A)(4), it is unlawful to display a sign or advertise as being engaged in the practice or business of barbering without being licensed under A.R.S. Title 32, Chapter 3, and this Chapter.

B. The Board has trademarked through the Office of the Secretary of State the barber pole as a sign of the barbering business.

C. A business shall not display a barber pole unless a barber licensed under A.R.S. Title 32, Chapter 3, and this Chapter is available to provide barbering services during the business hours that the barber pole is displayed.

History

• Adopted by final rulemaking at 21 A.A.R. 2528, effective 12/8/2015.

Article 4 SCHOOLS

Ariz. Admin. Code § R4-5-401 Application for a License to Operate a School

A. Before submitting an application under this Section, an applicant for a license to operate a school may request that Board staff review the proposed application and perform a courtesy inspection of the proposed school location.

B. The owner of a barber school that operates in more than one location, except at an offsite training facility, shall apply for and obtain a separate license to operate the barber school at each location.

A. C. On a form available from the Board an applicant for a license to operate a barber school shall provide the following information:

Indicate the applicant's requested licensing action:

a. A license to operate a new school;

b. A change of location of an operating school including the following information:

i. The Board file number, and

ii. Both the old and new addresses of the school; or

c. A change of ownership of an operating school including the following information:

i. Former owner's name;

ii. Former school name, if the school name is changed;

iii. Board file number; and

iv. A copy of the school's bill of sale or the signature of the former owner on the application;

2. School information:

1. a. School name;

2. b. Physical location address of the school; and

3. c. Telephone number;

4. 3. Applicant information:

a. Name,

b. Address, and

c. Telephone number;

5. 4. Owner information:

a. If the owner is an individual or partnership:

i. Name of the individual and all partners owning at least 10 percent of the partnership,

ii. Social Security number of the individual and all partners owning at least 10 percent of the partnership, and

iii. Documentation specified under A.R.S. § 41-1080(A) that the presence in the U.S. of the individual and all partners owning at least 10 percent of the partnership is authorized under federal law; or

b. If the owner is a corporation:

i. Corporate name;

ii. Names of all individuals owning at least 10 percent of the corporation;

iii. Tax identification number of the corporation;

iv. Name and telephone number of a contact person;

v. Name and address of the statutory agent, if required by law;

vi. Address of corporation; and

vii. Telephone number of corporation;

c. Telephone number;

6. 5. School supervisor information:

a. Name, and

b. Arizona instructor license number;

7. An indication of whether the school is or will be licensed by the Board of Cosmetology;

8. An indication of the requested licensing action:

a. A new school license,

b. A school move, or

c. A change of ownership;

9. If the applicant indicates a school move under subsection (A)(8)(b):

a. The Board file number, and

b. The school's new address;

10. If the applicant indicates a change of ownership under subsection (A)(8)(c):

a. The Board file number,

b. The school's former name if applicable, and

c. A copy of the bill of sale or the signature of the former owner on the application;

11. 6. A list of equipment in the school including the total number of the following:

a. Barber chairs,

b. Sinks,

c. Tool drawers,

d. Liquid sanitizers,

e. Latherizers,

f. Soiled-towel receptacles,

g. Garbage and hair receptacles,

h. Workstations, and

h. i. Student lockers;

12. 7. A description of the floor covering in the area in which students practice barbering skills;

8. Number and square footage of classrooms;

9. Number of students to be admitted;

10. Number of licensed instructors;

11. Hours during which instruction will be provided;

13. 12. A projected date for the Board's initial inspection;

14. 13. Any other information required by the Board; and

15. 14. The applicant's verification, under oath, that the information contained on the application is correct and complete, and the applicant's notarized signature.

D. An applicant for a license to operate a school shall attach the following to the application required under subsection (C):

1. A current school catalog,

2. A list of all courses offered at the school and the number of instructional hours devoted to each course, and

B. 3. A copy of the bond in the amount required under A.R.S. § 32-325(C)(6).

C. E. Fee. In addition to the completed application required under subsections (C) and (D), an applicant shall submit to the Board the fee specified under R4-5-102(A)(5) for the licensing action requested under subsection (C)(1).

History

• New Section made by final rulemaking at 11 A.A.R. 1422, effective April 5, 2005 (Supp. 05-2). Amended by final rulemaking at 21 A.A.R. 2528, effective 12/8/2015.

Ariz. Admin. Code § R4-5-402 Notification of Changes

The holder of a license to operate a school shall send written notice and updated information to the Board within 15 days if the license holder:

1. Amends the school catalog,

2. Stops offering a course,

3. Offers a new course,

4. Changes the number of instructional hours devoted to a course listed under R4-5-401(D),

4. 5. Changes the hours during which instruction is provided,

5. 6. Changes the school name,

6. 7. Changes the school supervisor,

7. Opens an additional location, or

8. Establishes an offsite training facility in a shop under the provisions of R4-5-411.

History

• New Section made by final rulemaking at 11 A.A.R. 1422, effective April 5, 2005 (Supp. 05-2). Amended by final rulemaking at 21 A.A.R. 2528, effective 12/8/2015.

Ariz. Admin. Code § R4-5-403 Use of "Accredited," "Approved," or Similar Terms

If "accredited," "approved," or a similar term appears in a school catalog or advertisement, the holder of the license to operate the school shall ensure that the catalog or advertisement includes the name of the accrediting or approving organization.

History

• New Section made by final rulemaking at 11 A.A.R. 1422, effective April 5, 2005 (Supp. 05-2). Amended by final rulemaking at 21 A.A.R. 2528, effective 12/8/2015.

Ariz. Admin. Code § R4-5-404 School Premises and Basic Equipment

A. In addition to the requirements of A.R.S. § 32-325(C)(2) and (C)(3), the holder of a license to operate a school shall ensure that the school has at least the following:

1. An instructor, licensed in Arizona, to teach each required course;

Instructional furnishings and fixtures for instructor and student use;

3. A workstation for each student scheduled for practical instruction;

4. Filing cabinets for school and student records;

5. Chalkboards or other writing boards;

6. A dispensary to prepare, mix, store, and dispose of supplies and chemicals used to disinfect barbering implements;

7. One liquid sanitizer and one dry sanitizer at each workstation;

8. 7. One latherizer for every five barber chairs;

9. 8. One sink, with hot and cold running water, liquid or powder soap, and towels for every two barber chairs;

10. 9. A student library that contains:

a. A dictionary;

b. Current barbering manuals and textbooks;

c. A current copy of A.R.S. Title 32, Chapter 3; and

d. A current copy of this Chapter;

10. A time clock; and

11. All equipment, implements, materials, and supplies necessary for student instruction.

B. The holder of a license to operate a school shall ensure that each student workstation has at least the following:

1. A barber chair;

1. 2. A wall mirror located behind the barber chair;

2. 3. A tool drawer that meets the standard in R4-5-101; and

3. 4. One liquid sanitizer and one spray disinfectant.

C. The holder of a license to operate a school shall ensure that each student at a workstation has access to the following:

1. A covered receptacle for soiled towels and cloths;

2. A covered receptacle for garbage and hair; and

3. A sufficient supply of barbering products listed under R4-5-104(A)(3).

History

• New Section made by final rulemaking at 11 A.A.R. 1422, effective April 5, 2005 (Supp. 05-2). Amended by final rulemaking at 21 A.A.R. 2528, effective 12/8/2015.

Ariz. Admin. Code § R4-5-405 School Operations

A. The holder of a license to operate a school shall file the school's operating schedule with the Board before the first scheduled class begins.

B. The holder of a license to operate a school shall ensure that all equipment provided under this Chapter is of sufficient quality to meet the educational needs of students and maintained in good repair.

C. Unless a student who is studying barbering possesses the equipment listed under this subsection at the time of enrollment, the holder of a license to operate a school shall provide the student with a non-returnable training kit that includes the following equipment, all of which are new:

Course textbooks,

2. One mannequin for barbering practice,

3. Twelve combs and four brushes,

4. One hair dryer,

5. One straight razor with interchangeable blades,

6. One pair of haircutting shears with at least six-inch blades,

7. One pair of thinning shears,

8. One clipper with interchangeable blades sizes 1 and .000 or an adjustable clipper,

9. One neck duster, and

10. One copy of the current statutes and rules governing the Board.

D. Trainee notices. At the time the holder of a license to operate a school enrolls a student, the license holder shall give Exhibit 1 or 2 to the student, as appropriate, and maintain the completed document for the time specified in R4-5-408(H).

E. An instructor trainee shall not teach students until the instructor trainee has received 40 instructional hours of training in methods of teaching. An instructor trainee shall complete all training in no more than six months.

F. An individual who is not an Arizona-licensed instructor shall not teach in a school but may demonstrate any process, product, or appliance to students when the individual is under the supervision of an Arizona-licensed instructor.

G. Within five days after enrolling a student, the holder of a license to operate a school shall send the following to the Board:

1. A copy of the student's written application to attend the school containing the following:

a. The student's name and address,

b. The student's enrollment date,

c. An indication regarding whether the student is enrolled in a barber or instructor course, and

d. The student's signature, and

2. Two photographs of the student that meet the standards specified in R4-5-202(A)(4).

H. Within 90 days after enrolling a student, the holder of a license to operate a school shall send the following to the Board:

1. Proof that the student is at least 16 years old if enrolled in a barber course or at least 19 years old if enrolled in an instructor course;

2. Proof that the student has at least a tenth-grade education if enrolled in a barber course or graduated from high school or its equivalent if enrolled in an instructor course; and

3. Documentation specified under A.R.S. § 41-1080(A) that the student's presence in the U.S. is authorized under federal law.

H. I. The Board shall use the information provided under subsection (G) to prepare and issue an educational card to a student. The holder of a license to operate a school shall ensure that a student:

1. Displays the card at the student workstation, and

2. Returns the card to the Board upon completion of, or withdrawal from, the course.

History

• New Section made by final rulemaking at 11 A.A.R. 1422, effective April 5, 2005 (Supp. 05-2). Amended by final rulemaking at 21 A.A.R. 2528, effective 12/8/2015.

Ariz. Admin. Code § R4-5-406 Student Training and Supervision

A. The holder of a license to operate a school shall ensure that students are graded at least monthly and informed of their grades and instructional hours completed.

B. A licensed instructor may assist students in the performance of barbering.

C. A student shall not dismiss a patron until a licensed instructor inspects and approves the student's work.

D. A student shall not attend a school for more than eight hours per day.

E. A student may receive a maximum of 20 instructional hours for field trips pertaining to barbering.

F. A student may receive up to 50 percent of the student's training at an offsite training facility operated under the provisions of R4-5-411.

G. A licensed instructor shall not ask a student to perform barbering on a patron while the student is engaged in classroom instruction or taking a written examination.

H. A student shall wear a name tag during school attendance that clearly identifies the student by name and student status.

History

• New Section made by final rulemaking at 11 A.A.R. 1422, effective April 5, 2005 (Supp. 05-2). Amended by final rulemaking at 21 A.A.R. 2528, effective 12/8/2015.

Ariz. Admin. Code § R4-5-407 School Curriculum

A. The holder of a license to operate a school shall ensure that the barbering curriculum offered complies with A.R.S. § 32-325(B).

B. In addition to the minimum requirements under A.R.S. § 32-325(B)(1), the license holder shall include instruction in the following:

1. Professional ethics,

2. Shop management, and

3. Regulatory provisions prescribed under A.R.S. Title 32, Chapter 3, and this Chapter.

History

• New Section made by final rulemaking at 11 A.A.R. 1422, effective April 5, 2005 (Supp. 05-2). Amended by final rulemaking at 21 A.A.R. 2528, effective 12/8/2015.

Ariz. Admin. Code § R4-5-408 School Records

A. The holder of one license to operate a school shall keep a student's records at the student's enrollment location.

B. The holder of multiple licenses to operate multiple schools may keep a student's records at the student's enrollment location or a location that serves all the schools operated by the same license holder.

B. C. The holder of a license to operate a school shall at least weekly enter into each student's record the following:

1. The date of the recorded entry,

2. Each subject studied and the number of instructional hours for each subject,

3. An indication whether instruction in a subject listed under subsection (C)(2) was classroom or practical, and

4. The student's signature on a paper copy of the record to acknowledge accuracy of information in the record within three days after each record update.

C. D. The holder of a license to operate a school shall maintain a complete and accurate record file for each student that includes:

1. The signed contract made between the student and the school,

2. The student's current transcript,

The applicable original notice required under R4-5-405(D), and

4. Both the record created under subsection (C) and the student-signed paper copy of the record.

D. E. Within 15 days after the end of each month, the holder of a license to operate a school shall submit a report to the Board that includes:

1. A list of each student who graduated during the month;

2. The name and license number of:

a. The supervising instructor, and

b. Each instructor providing classroom or practical instruction during the month;

3. A list of all students currently enrolled and:

a. A list of total instructional hours earned by each student during the month;

4. b. A list of each student's cumulative instructional hours; and

c. A copy of the student-signed reports required under subsection (C)(4) and prepared during the month;

5. 4. The name of any student who, during the month:

a. Transferred to another school,

b. Withdrew, or

c. Took a leave-of-absence;

6. A copy of the documents signed by a student under R4-5-408(B)(4) during the reporting period; and

7. 5. The signature of the holder of the license to operate the school or the license holder's representative verifying that all information provided is correct and complete.

F. If a student transfers from one school to another, the holder of the license to operate the school from which the student transferred shall:

1. Make final entries to ensure the student's transcript is complete and accurate, and

2. Forward a copy of the student's transcript to the student and Board within three days after the student provides notice of transfer.

G. When a student graduates or withdraws from a school, the holder of the license to operate the school shall:

1. Complete a Student's Completion of Hours or Withdrawal form;

2. Certify the number of hours completed by the student;

3. Have the form notarized; and

4. Forward a copy of the form to the graduating or withdrawing student and the Board.

H. The holder of a license to operate a school shall maintain the student record file required under subsection (D) permanently unless required under R4-5-409(E) to forward the records to the Board.

History

• New Section made by final rulemaking at 11 A.A.R. 1422, effective April 5, 2005 (Supp. 05-2). Amended by final rulemaking at 21 A.A.R. 2528, effective 12/8/2015.

Ariz. Admin. Code § R4-5-409 School Closure

A. The Board shall consider a school closed if the school fails for five consecutive school days to provide instruction in accordance with the operating schedule on file with the Board.

B. Closure notification. The holder of the license to operate a school that is closing shall deliver written or oral notice of the school's closure to each currently enrolled student and the Board:

1. Ten days before closure if the license holder can reasonably anticipate the school closure, or

2. Within five days after closure if the school's closure could not be reasonably anticipated by the license holder.

C. The holder of the license to operate a school that is closing shall ensure that the notice provided to currently enrolled students under subsection (B) includes the following information:

1. When a full refund of paid tuition will be provided to the student,

2. How to make a claim against the bond required under A.R.S. § 32-325(C)(6) and R4-5-401(D)(3),

3. How to obtain a copy of the student's transcript and certification of hours completed,

4. How to obtain possession of the training kit provided under R4-5-405(C) and other personal possessions, and

5. How to access the student's records in the future.

D. The holder of the license to operate a school that is closing shall obtain a signed statement from each currently enrolled student verifying that the license holder complied with subsection (C).

C. E. Disposition of student records. The holder of the license to operate a school that is closing shall:

1. Ensure that all student records are updated as required under R4-5-408(C) through the last day on which instruction was provided;

2. Forward all records for currently enrolled students to the Board within 10 days after the school closes; and

3. Forward to the Board a copy of all the signed statements required under subsection (D).

History

• New Section made by final rulemaking at 11 A.A.R. 1422, effective April 5, 2005 (Supp. 05-2). Amended by final rulemaking at 21 A.A.R. 2528, effective 12/8/2015.

Ariz. Admin. Code § R4-5-410 [Repealed]

History

• New Section made by final rulemaking at 11 A.A.R. 1422, effective April 5, 2005 (Supp. 05-2). Repealed by final rulemaking at 21 A.A.R. 2528, effective 12/8/2015.

Ariz. Admin. Code § R4-5-411 Offsite Training Facility

A. The holder of a license to operate a school may operate an offsite training facility in a shop that complies with the provisions of A.R.S. § 32-325(C) and R4-5-404(A)(11), R4-5-405(B), (E), and (F), and R4-5-406(B), (C), (D), (G), and (H).

B. In addition to subsection (A), a license holder operating an offsite training facility shall comply with the following:

R4-5-404(A)(1), (3), (6), (7), (8), and (9) if only practical instruction is provided at the facility; or

2. Requirements of subsection (B)(1) and R4-5-404(A)(2) and (A)(5) if classroom instruction is provided at the facility.

C. In addition to the requirements of subsections (A) and (B), a license holder operating an offsite training facility shall:

1. Clearly indicate to the public the specific portion of the shop designated as an offsite training facility,

2. Post a sign indicating that barbering services at the offsite training facility are provided by students,

3. Require a student to give oral notice of status as a student to each patron, and

4. Restrict student barbering to the portion of the shop designated as an offsite training facility.

History

• New Section made by final rulemaking at 11 A.A.R. 1422, effective April 5, 2005 (Supp. 05-2). Amended by final rulemaking at 21 A.A.R. 2528, effective 12/8/2015.

Article 5 HEARINGS

Ariz. Admin. Code § R4-5-501 Hearing Procedures

For purposes of A.R.S. § 32-354(D), the Board shall conduct all formal hearings according to A.R.S. Title 41, Chapter 6, Article 10.

History

• New Section made by final rulemaking at 11 A.A.R. 1422, effective April 5, 2005 (Supp. 05-2). Amended by final rulemaking at 21 A.A.R. 2528, effective 12/8/2015.

Ariz. Admin. Code § R4-5-502 Rehearing and Review of Decision

A. The Board shall provide for a rehearing and review of a decision under A.R.S. Title 41, Chapter 6, Article 10.

B. Except as provided in subsection (I), a party is required to file a motion for rehearing or review of a Board decision to exhaust the party's administrative remedies.

C. A party may amend a motion for rehearing or review at any time before the Board rules on the motion.

D. The Board may grant a rehearing or review for any of the following reasons materially affecting a party's rights:

1. Irregularity in the proceedings of the Board, or any order or abuse of discretion, that deprived the moving party of a fair hearing;

2. Misconduct of the Board, its staff, an administrative law judge, or the prevailing party;

3. Accident or surprise that could not have been prevented by ordinary prudence;

4. Newly discovered material evidence that could not, with reasonable diligence, have been discovered and produced at the hearing;

5. Excessive penalty;

6. Error in the admission or rejection of evidence or other errors of law occurring at the hearing or during the progress of the proceedings;

7. The Board's decision is a result of passion or prejudice; or

8. The findings of fact or decision is not justified by the evidence or is contrary to law.

E. The Board may affirm or modify a decision or grant a rehearing to all or any of the parties on all or part of the issues for any of the reasons in subsection (D). An order modifying a decision or granting a rehearing shall specify with particularity the grounds for the order.

F. If a motion for rehearing or review is based upon an affidavit, the affidavit shall be served with the motion. An opposing party may, within 15 days after service, serve opposing affidavits. The Board may extend this period for a maximum of 20 days if the parties agree.

G. Not later than 30 days after the date of a decision, after giving parties notice and an opportunity to be heard, the Board may grant a rehearing or review on its own initiative for any reason for which it might have granted relief on motion of a party. The Board may grant a motion for rehearing or review, timely served, for a reason not stated in the motion.

H. If a rehearing is granted, the Board shall hold the rehearing within 60 days after the issue date on the order granting the rehearing.

I. The Board may extend all time limits listed in this Section upon a showing of good cause. A party demonstrates good cause by showing that the grounds for the party's motion or other action could not have been known in time, using reasonable diligence, and:

1. A ruling on the motion will further administrative convenience, expedition, or economy; or

2. A ruling on the motion will avoid undue prejudice to any party. If the Board makes a specific finding that a particular administrative decision needs to be effective immediately to preserve the public peace, health, or safety and that a review or rehearing of the decision is impracticable, unnecessary, or contrary to the public interest, the Board shall issue the decision as a final administrative decision without an opportunity for rehearing or review.

History

• New Section made by final rulemaking at 11 A.A.R. 1422, effective April 5, 2005 (Supp. 05-2). Amended by final rulemaking at 21 A.A.R. 2528, effective 12/8/2015.

Chapter 6 Board Of Behavioral Health Examiners

Article 1 DEFINITIONS

Ariz. Admin. Code § R4-6-101 Definitions

A. The definitions at A.R.S. § 32-3251 apply to this Chapter. Additionally, the following definitions apply to this Chapter, unless otherwise specified:

"Applicant" means:

a. An individual requesting a license by examination, temporary license, or a license by endorsement by submitting a completed application packet to the Board; or

b. A regionally accredited college or university seeking Board approval of an educational program under R4-6-307.

2. "Application packet" means the required documents, forms, fees, and additional information required by the Board of an applicant.

3. "ARC" means an academic review committee established by the Board under A.R.S. § 32-3261(A).

4. "Assessment" means the collection and analysis of information to determine an individual's behavioral health treatment needs.

5. "ASWB" means the Association of Social Work Boards.

6. "Behavioral health entity" means any organization, agency, business, or professional practice, including a for-profit private practice, which provides assessment, diagnosis, and treatment to individuals, groups, or families for behavioral health related issues.

7. "Behavioral health service" means the assessment, diagnosis, or treatment of an individual's behavioral health issue.

"CACREP" means the Council for Accreditation of Counseling and Related Educational Programs.

9. "Client record" means collected documentation of the behavioral health services provided to and information gathered regarding a client.

10. "Clinical social work" means social work involving clinical assessment, diagnosis, and treatment of individuals, couples, families, and groups.

"Clinical supervision" means direction or oversight provided either face to face or by video conference or telephone by an individual qualified to evaluate, guide, and direct all behavioral health services provided by a licensee to assist the licensee to develop and improve the necessary knowledge, skills, techniques, and abilities to allow the licensee to engage in the practice of behavioral health ethically, safely, and competently.

12. "Clinical supervisor" means an individual who provides clinical supervision.

13. "COAMFTE" means the Commission on Accreditation for Marriage and Family Therapy Education.

14. "Clock hour" means 60 minutes of instruction, not including breaks or meals.

15. "Contemporaneous" means documentation is made within 10 business days.

"Continuing education" means training that provides an understanding of current developments, skills, procedures, or treatments related to the practice of behavioral health, as determined by the Board.

17. "Co-occurring disorder" means a combination of substance use disorder or addiction and a mental or personality disorder.

18. "CORE" means the Council on Rehabilitation Education.

19. "Counseling related coursework" means education that prepares an individual to provide behavioral health services, as determined by the ARC.

20. "CSWE" means Council on Social Work Education.

21. "Date of service" means the postmark date applied by the U.S. Postal Service to materials addressed to an applicant or licensee at the address the applicant or licensee last placed on file in writing with the Board.

22. "Day" means calendar day.

"Direct client contact" means, the performance of therapeutic or clinical functions related to the applicant's professional practice level of psychotherapy that includes diagnosis, assessment and treatment and that may include psychoeducation for mental, emotional and behavioral disorders based primarily on verbal or nonverbal communications and intervention with, and in the presence of, one or more clients. A.R.S. § 32-3251.

24. "Direct supervision" means responsibility and oversight for all services provided by a supervisee as prescribed in R4-6-211.

25. "Disciplinary action" means any action taken by the Board against a licensee, based on a finding that the licensee engaged in unprofessional conduct, including refusing to renew a license and suspending or revoking a license.

26. "Documentation" means written or electronic supportive evidence.

"Educational program" means a degree program in counseling, marriage and family therapy, social work, or substance use or addiction counseling that is:

a. Offered by a regionally accredited college or university, and

b. Not accredited by an organization or entity recognized by the Board.

28. "Electronic signature" means an electronic sound, symbol, or process that is attached to or logically associated with a record and that is executed or adopted by an individual with the intent to sign the record.

"Family member" means a parent, sibling, half-sibling, child, cousin, aunt, uncle, niece, nephew, grandparent, grandchild, and present and former spouse, in-law, stepchild, stepparent, foster parent, or significant other.

30. "Gross negligence" means careless or reckless disregard of established standards of practice or repeated failure to exercise the care that a reasonable practitioner would exercise within the scope of professional practice.

"Inactive status" means the Board has granted a licensee the right to suspend behavioral health practice temporarily by postponing license renewal for a maximum of 48 months.

32. Independent contractor" means a licensed behavioral health professional whose contract to provide services on behalf of a behavioral health entity qualifies for independent contractor status under the codes, rules, and regulations of the Internal Revenue Service of the United States.

33 32. "Independent practice" means engaging in the practice of marriage and family therapy, professional counseling, social work, or substance abuse counseling without direct supervision.

34 33. "Indirect client service" means training for, and the performance of, functions of an applicant's professional practice level in preparation for or on behalf of a client for whom direct client contact functions are also performed, including case consultation and receipt of clinical supervision. Indirect client service does not include the provision of psychoeducation. A.R.S. § 32-3251.

35 34. "Individual clinical supervision" means clinical supervision provided by a clinical supervisor to one supervisee.

36 35. "Informed consent for treatment" means a written document authorizing treatment of a client that:

a. Contains the requirements of R4-6-1101;

b. Is dated and signed by the client or the client's legal representative, and

c. Beginning on July 1, 2006, is dated and signed by an authorized representative of the behavioral health entity.

37 36. "Legal representative" means an individual authorized by law to act on a client's behalf.

38 37. "License" means written authorization issued by the Board that allows an individual to engage in the practice of behavioral health in Arizona.

39 38. "License period" means the two years between the dates on which the Board issues a license and the license expires.

40 39. "NASAC" means the National Addiction Studies Accreditation Commission.

41 40. "Practice of behavioral health" means the practice of marriage and family therapy, professional counseling, social work and substance abuse counseling pursuant to this Chapter. A.R.S. § 32-3251.

42 41. "Practice of marriage and family therapy" means the professional application of family systems theories, principles and techniques to treat interpersonal relationship issues and nervous, mental and emotional disorders that are cognitive, affective or behavioral. The practice of marriage and family therapy includes:

a. Assessment, appraisal and diagnosis.

b. The use of psychotherapy for the purpose of evaluation, diagnosis and treatment of individuals, couples, families and groups. A.R.S. § 32-3251.

43 42. "Practice of professional counseling" means the professional application of mental health, psychological and human development theories, principles and techniques to:

a. Facilitate human development and adjustment throughout the human life span.

b. Assess and facilitate career development.

c. Treat interpersonal relationship issues and nervous, mental and emotional disorders that are cognitive, affective or behavioral.

d. Manage symptoms of mental illness.

e. Assess, appraise, evaluate, diagnose and treat individuals, couples, families and groups through the use of psychotherapy. A.R.S. § 32-3251.

44 43. "Practice of social work" means the professional application of social work theories , principles, methods and techniques to:

a. Treat mental, behavioral and emotional disorders.

b. Assist individuals, families groups and communities to enhance or restore the ability to function physically, socially, emotionally, mentally and economically.

c. Assess, appraise, diagnose, evaluate and treat individuals, couples, families and groups through the use of psychotherapy. A.R.S. § 32-3251.

45 44. "Practice of substance abuse counseling" means the professional application of general counseling theories, principles and techniques as specifically adapted, based on research and clinical experience, to the specialized needs and characteristics of persons who are experiencing substance abuse, chemical dependency and related problems and to the families of those persons. The practice of substance abuse counseling includes the following as they relate to substance abuse and chemical dependency issues:

a. Assessment, appraisal, and diagnosis.

b. The use of psychotherapy for the purpose of evaluation, diagnosis and treatment of individuals, couples, families and groups. A.R.S. § 32-3251.

46 45. "Progress note" means contemporaneous documentation of a behavioral health service provided to an individual that is dated and signed or electronically acknowledged by the licensee.

47 46. "Psychoeducation" means the education of a client as part of a treatment process that provides the client with information regarding mental health, emotional disorders or behavioral health." A.R.S. § 32-3251.

48 47. "Quorum" means a majority of the members of the Board or an ARC. Vacant positions do not reduce the quorum requirement.

49 48. "Regionally accredited college or university" means the institution has been approved by an entity recognized by the Council for Higher Education Accreditation as a regional accrediting organization.

a. New England Association of Schools and Colleges,

b. Middle States Commission on Higher Education,

c. North Central Association,

d. Northwest Commission on Colleges and Universities,

e. Southern Association of Colleges and Schools, or

f. Western Association of Schools and Colleges.

50 49. "Significant other" means an individual whose participation a client considers to be essential to the effective provision of behavioral health services to the client.

51 50. "Supervised work experience" means practicing clinical social work, marriage and family therapy, professional counseling, or substance abuse counseling for remuneration or on a voluntary basis under direct supervision and while receiving clinical supervision as prescribed in R4-6-212 and Articles 4 through 7.

52 51. "Telepractice" means providing behavioral health services through interactive audio, video or electronic communication that occurs between a behavioral health professional and the client, including any electronic communication for evaluation, diagnosis and treatment, including distance counseling, in a secure platform, and that meets the requirements of telemedicine pursuant to A.R.S. § 36-3602. A.R.S. § 32-3251.

53 52. "Treatment" means the application by a licensee of one or more therapeutic practice methods to improve, eliminate, or manage a client's behavioral health issue.

54 53. "Treatment goal" means the desired result or outcome of treatment.

55 54. "Treatment method" means the specific approach a licensee used to achieve a treatment goal.

56 55. "Treatment plan" means a description of the specific behavioral health services that a licensee will provide to a client that is documented in the client record, and meets the requirements found in R4-6-1102.

B. For the purposes of this Chapter, notifications or communications required to be "written" or "in writing" may be transmitted or received by mail, electronic transmission, facsimile transmission or hand delivery and may not be transmitted or received orally. Documents requiring a signature may include a written signature or electronic signature as defined in subsection (A)(28).

History

• New Section made by exempt rulemaking at 10 A.A.R. 2700, effective July 1, 2004 (Supp. 04-2). Amended by exempt rulemaking at 14 A.A.R. 3895, effective September 16, 2008 (Supp. 08-3). Amended by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015. Amended by exempt rulemaking at 22 A.A.R. 3238, effective 11/1/2016. Formatting error with "theories" not in italics in subsection 44 corrected at the request of the Board (Supp. 17-2). Amended by final rulemaking at 24 A.A.R. 3369, effective 1/12/2019. Amended by final rulemaking at 26 A.A.R. 2881, effective 1/3/2021.

Article 2 GENERAL PROVISIONS

Ariz. Admin. Code § R4-6-201 Board Meetings; Elections

A. The Board:

1. Shall meet at least annually in June and elect the officers specified in A.R.S. § 32-3252(E);

2. Shall fill a vacancy that occurs in an officer position at the next Board meeting; and

2. 3. May hold additional meetings:

a. As necessary to conduct the Board's business; and

b. If requested by the Chair, a majority of the Board members, or upon written request from two Board members.

B. The Board shall conduct official business only when a quorum is present.

C. The vote of a majority of the Board members present is required for Board action.

History

• New Section made by exempt rulemaking at 10 A.A.R. 2700, effective July 1, 2004 (Supp. 04-2). Amended by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015.

Ariz. Admin. Code § R4-6-202 Repealed

History

• New Section made by exempt rulemaking at 10 A.A.R. 2700, effective July 1, 2004 (Supp. 04-2). Repealed by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015.

Ariz. Admin. Code § R4-6-203 Academic Review Committee Meetings; Elections

A. Each ARC:

1. Shall meet at least annually in June and elect a Chair and Secretary;

Shall fill a vacancy that occurs in an officer position at the next ARC meeting; and

2. 3. May hold additional meetings:

a. As necessary to conduct the ARC's business; and

b. If requested by the Chair of the ARC, a majority of the ARC, or upon written request from two members of the ARC.

B. An ARC shall conduct official business only when a quorum is present.

C. The vote of a majority of the ARC members present is required for ARC action.

History

• New Section made by exempt rulemaking at 10 A.A.R. 2700, effective July 1, 2004 (Supp. 04-2). Amended by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015.

Ariz. Admin. Code § R4-6-204 Repealed

History

• New Section made by exempt rulemaking at 10 A.A.R. 2700, effective July 1, 2004 (Supp. 04-2). Repealed by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015.

Ariz. Admin. Code § R4-6-205 Change of Contact Information

A. The Board shall communicate with a licensee or applicant using the contact information provided to the Board including:

1. Home address and telephone number,

2. Address and telephone number for all places of employment,

3. Mobile telephone number, and

4. E-mail address.

B. To ensure timely communication with the Board, a licensee or applicant shall notify the Board in writing within 30 days after any change of the licensee's or applicant's contact information listed in subsection (A). The licensee or applicant shall ensure that the written notice provided to the Board includes the new contact information.

History

• New Section made by exempt rulemaking at 10 A.A.R. 2700, effective July 1, 2004 (Supp. 04-2). Amended by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015. Amended by exempt rulemaking at 22 A.A.R. 3238, effective 11/1/2016.

Ariz. Admin. Code § R4-6-206 Change of Name

A licensee or an applicant shall notify the Board in writing within 30 days after the applicant's or licensee's name is changed. The applicant or licensee shall attach to the written notice:

1. A copy of a legal document that establishes the name change; or

A copy of two forms of identification, one of which includes a picture of the applicant or licensee, reflecting the changed name.

History

• New Section made by exempt rulemaking at 10 A.A.R. 2700, effective July 1, 2004 (Supp. 04-2). Amended by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015.

Ariz. Admin. Code § R4-6-207 Confidential Records

A. Except as provided in A.R.S. § 32-3282, the following records are confidential and not open to public inspection:

1. Minutes of executive session;

2. Records classified as confidential by other laws, rules, or regulations;

3. College or university transcripts, licensure examination scores, medical or mental health information, and professional references of applicants except that the individual who is the subject of the information may view or copy the records or authorize release of these records to a third party.

Records for which the Board determines that public disclosure would have a significant adverse effect on the Board's ability to perform its duties or would otherwise be detrimental to the best interests of the state. When the Board determines that the reason justifying the confidentiality of the records no longer exists, the record shall be made available for public inspection and copying; and

5. All investigative materials regarding any pending or resolved complaint.

B. As provided under A.R.S. § 39-121, a person wanting to inspect Board records that are available for public inspection may do so at the Board office by appointment.

History

• New Section made by exempt rulemaking at 10 A.A.R. 2700, effective July 1, 2004 (Supp. 04-2). Amended by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015.

Ariz. Admin. Code § R4-6-208 Conviction of a Felony or Prior Disciplinary Action

The Board shall consider the following factors to determine whether a felony conviction or prior disciplinary action will result in imposing disciplinary sanctions including refusing to renew the license of a licensee or to issue a license to an applicant:

1. The age of the licensee or applicant at the time of the felony conviction or when the prior disciplinary action occurred;

2. The seriousness of the felony conviction or prior disciplinary action;

3. The factors underlying the conduct that led to the felony conviction or imposition of disciplinary action;

4. The length of time since the felony conviction or prior disciplinary action;

5. The relationship between the practice of the profession and the conduct giving rise to the felony conviction or prior disciplinary action;

6. The licensee's or applicant's efforts toward rehabilitation;

7. The assessments and recommendations of qualified professionals regarding the licensee's or applicant's rehabilitative efforts;

8. The licensee's or applicant's cooperation or non-cooperation with the Board's background investigation regarding the felony conviction or prior disciplinary action; and

9. Other factors the Board deems relevant.

History

• New Section made by exempt rulemaking at 10 A.A.R. 2700, effective July 1, 2004 (Supp. 04-2). Amended by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015.

Ariz. Admin. Code § R4-6-209 Deadline Extensions

A. Deadlines established by date of service may be extended a maximum of two times by the chair of the Board or the chair of the ARC if a written request is postmarked or delivered to the Board no later than the required deadline.

B. The Board shall consider the following to determine whether good cause has been established:

1. Illness or disability;

2. Military service; or

3. Any other circumstance beyond the control of the individual requesting a deadline extension.

C. B.The Board shall not grant an extension for deadlines regarding renewal submission or late renewal submission.

C. If a deadline falls on a Saturday, Sunday, or official state holiday, the Board considers the next business day the deadline.

History

• New Section made by exempt rulemaking at 10 A.A.R. 2700, effective July 1, 2004 (Supp. 04-2). Amended by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015.

Ariz. Admin. Code § R4-6-210 Practice Limitations

1. An immediate family member or other individual whose objective assessment of the supervisee's performance may be limited by a relationship with the supervisee shall not provide direct or clinical supervision.

2. A supervisee may not acquire supervised work experience in a professional setting which the supervisee operates or manages or in which the supervisee has an ownership interest.

3. Supervised work experience acquired as an independent contractor must include the following:

a. The supervisee has entered into a written contract to provide services for a behavioral health entity;

b. The supervisee receives an appropriate level of direct supervision from the contracting behavioral health entity, as determined by the Board;

c. The supervisee is paid by the contracting behavioral health entity and receives no payment directly from clients;

d. The supervisee provides services to clients who are advised in writing that they are clients of the contracting behavioral health entity.

e. The written contract between the contracting behavioral health entity and the supervisee provides that the supervisee is required to comply with the contracting behavioral health entity's clinical policies and procedures, including its code of ethics and record-keeping procedures; and

f. The written contract between the contracting behavioral health entity and the supervisee provides that all client records belong to the contracting behavioral health entity and remain the contracting behavioral health entity's property at the termination of the contract between the contracting behavioral health entity and the supervisee.

4. Beginning on January 1, 2006, the Board shall not accept work experience acquired after December 31, 2005, by an unlicensed professional practicing under an exemption provided in A.R.S. § 32-3271 .

The following licensees shall not engage in the independent practice of behavioral health but rather, shall practice behavioral health only under direct supervision as prescribed in R4-6-211 :

1. Licensed baccalaureate social worker,

2. Licensed master social worker,

3. Licensed associate counselor,

4. Licensed associate marriage and family therapist,

Licensed substance abuse technician,

6. Licensed associate substance abuse counselor, or

7. Temporary licensee.

History

• New Section made by exempt rulemaking at 10 A.A.R. 2700, effective July 1, 2004 (Supp. 04-2). Amended by exempt rulemaking at 11 A.A.R. 2713, effective June 27, 2005 (Supp. 05-2). Amended by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015.

Ariz. Admin. Code § R4-6-211 Direct Supervision: Supervised Work Experience: General

A. A licensee subject to practice limitations pursuant to R4-6-210 shall practice in an entity with responsibility and clinical oversight of the behavioral health services provided by the licensee.

B. A masters level licensee working under direct supervision who operates or manages their own entity with immediate responsibility for the behavioral health services provided by the licensee shall provide the following to the board for approval prior to providing behavioral health services:

1. The name of their clinical supervisor who meets the following:

a. Is independently licensed by the board in the same discipline as the supervisee, and who has practiced as an independently licensed behavioral health professional for a minimum of two years beyond the supervisor's licensure date;

b. Is in compliance with the clinical supervisor educational requirements specified in R4-6-214;

c. Is not prohibited from providing clinical supervision by a board consent agreement; and

2. A copy of the agreement between the clinical supervisor and supervisee demonstrating:

a. The supervisee and supervisor will meet individually for one hour for every 20 hours of direct client contact provided, to include an onsite meeting every 60 days;

b. Supervisee's clients will be notified of clinical supervisor's involvement in their treatment and the means to contact the supervisor;

c. Supervision reports will be submitted to the board every six months;

d. A 30 day notice is required prior to either party terminating the agreement;

e. The supervisor and supervisee will notify the board within 10 days of the agreement termination date; and

f. The supervisee will cease practicing within 60 days of the agreement termination date until such time as a subsequent agreement is provided to the board and approved.

C. A licensee complying with subsection (B) shall not provide clinical oversight and responsibility for the behavioral health services of another licensee subject to the practice limitations pursuant to R4-6-210.

C D. To meet the supervised work experience requirements for licensure, direct supervision shall:

1. Meet the specific supervised work experience requirements contained in Articles 4, 5, 6, and 7;

2. Be acquired after completing the degree required for licensure and receiving certification or licensure from a state regulatory entity;

3. Be acquired before January 1, 2006, if acquired as an unlicensed professional practicing under an exemption provided in A.R.S. § 32-3271;

4. Involve the practice of behavioral health; and

5. Be for a term of no fewer than 24 months.

D E. An applicant who acquired supervised work experience outside of Arizona may submit that experience for approval as it relates to the qualifications of the supervisor and the entity in which the supervision was acquired. The board may accept the supervised work experience as it relates to the supervisor and the entity if it met the requirements of the state in which the supervised work experience occurred. Nothing in this provision shall apply to the supervision requirements set forth in R4-6-403, R4-6-503, R4-6-603 and R4-6-705.

E. F. If the Board determines that an applicant engaged in unprofessional conduct related to services rendered while acquiring hours under supervised work experience, including clinical supervision, the Board shall not accept the hours to satisfy the requirements of R4-6-403, R4-6-503, R4-6-603, or R4-6-706. Hours accrued before and after the time during which the conduct that was the subject of the finding of unprofessional conduct occurred, as determined by the Board, may be used to satisfy the requirements of R4-6-403, R4-6-503, R4-6-603, or R4-6-706 so long as the hours are not the subject of an additional finding of unprofessional conduct.

History

• New Section made by exempt rulemaking at 10 A.A.R. 2700, effective July 1, 2004 (Supp. 04-2). Amended by exempt rulemaking at 11 A.A.R. 2713, effective June 27, 2005 (Supp. 05-2). Amended by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015. Amended by exempt rulemaking at 22 A.A.R. 3238, effective 11/1/2016. Amended by final rulemaking at 24 A.A.R. 3369, effective 1/12/2019. Amended by final rulemaking at 26 A.A.R. 2881, effective 1/3/2021.

Ariz. Admin. Code § R4-6-212 Clinical Supervision Requirements

A. The Board shall accept hours of clinical supervision submitted by an applicant if the clinical supervision meets the requirements specified in R4-6-404, R4-6-504, R4-6-604, or R4-6-706, as applicable to the license for which application is made, and was provided by one of the following:

1. A clinical social worker, professional counselor, independent marriage and family therapist, or independent substance abuse counselor who:

a. Holds an active and unrestricted license issued by the Board, and

b. Has complied with the educational requirements specified in R4-6-214;

2. A mental health professional who holds an active and unrestricted license issued under A.R.S. Title 32, Chapter 19.1 as a psychologist and has complied with the educational requirements specified in R4-6-214; or

3. An individual who:

a. Holds an active and unrestricted license to practice behavioral health,

b. Is providing behavioral health services in Arizona:

i. Under a contract or grant with the federal government under the authority of 25 U.S.C. § 450 - 450(n) or § 1601-1683, or

ii. By appointment under 38 U.S.C. § 7402 (8-11), and

c. Has complied with the educational requirements specified in R4-6-214.

B. Unless an exemption was obtained under R4-6-212.01, the Board shall accept hours of clinical supervision submitted by an applicant if the clinical supervision was provided by an individual who:

1. Was qualified under subsection (A), and

2. Was employed by the behavioral health entity at which the applicant obtained hours of clinical supervision.

C. The Board shall accept hours of clinical supervision submitted by an applicant if the clinical supervision includes all of the following:

1. Reviewing ethical and legal requirements applicable to the supervisee's practice, including unprofessional conduct as defined in A.R.S. § 32-3251 `0000;

2. Monitoring the supervisee's activities to verify the supervisee is providing services safely and competently;

3. Verifying in writing that the supervisee provides clients with appropriate written notice of clinical supervision, including the means to obtain the name and telephone number of the supervisee's clinical supervisor;

4. Contemporaneously written documentation by the clinical supervisor of at least the following for each clinical supervision session:

a. Date and duration of the clinical supervision session;

b. Description of topics discussed. Identifying information regarding clients is not required;

c. Beginning on July 1, 2006, name and signature of the individual receiving clinical supervision;

d. Name and signature of the clinical supervisor and the date signed; and

e. Whether the clinical supervision occurred on a group or individual basis;

5. Maintaining the documentation of clinical supervision required under subsection (C)(4) for at least seven years;

6. Verifying that clinical supervision was not acquired from a family member as prescribed in R4-6-101(A)(29);

7. Conducting on-going compliance review of the supervisee's clinical documentation to ensure the supervisee maintains adequate written documentation;

8. Providing instruction regarding:

a. Assessment,

b. Diagnosis,

c. Treatment plan development, and

d. Treatment;

9. Rating the supervisee's overall performance as at least satisfactory, using a form approved by the Board; and

10. Complying with the discipline-specific requirements in Articles 4 through 7 regarding clinical supervision.

D. The Board shall accept hours of clinical supervision submitted by an applicant for licensure if:

1. At least two hours of the clinical supervision were provided in a face-to-face setting during each six-month period;

2. No more than 90 hours of the clinical supervision were provided by videoconference and telephone.

3. No more than 15 of the 90 hours of clinical supervision provided by videoconference and telephone were provided by telephone; and

Each clinical supervision session was at least 30 minutes long.

E. Effective July 1, 2006, the Board shall accept hours of clinical supervision submitted by an applicant if at least 10 of the hours involve the clinical supervisor observing the supervisee providing treatment and evaluation services to a client. The clinical supervisor may conduct the observation:

1. In a face-to-face setting,

2. By videoconference,

3. By teleconference, or

4. By review of audio or video recordings.

F. The Board shall accept hours of clinical supervision submitted by an applicant from a maximum of six clinical supervisors.

G . The Board shall accept hours of clinical supervision obtained by an applicant in both individual and group sessions, subject to the following restrictions:

1. At least 25 of the clinical supervision hours involve individual supervision, and

2. Of the minimum 100 hours of clinical supervision required for licensure, the Board may accept:

a. Up to 75 of the clinical supervision hours involving a group of two supervisees, and

b. Up to 50 of the clinical supervision hours involving a group of three to six supervisees.

H. If an applicant provides evidence that a catastrophic event prohibits the applicant from obtaining documentation of clinical supervision that meets the standard specified in subsection (C), the Board may consider alternate documentation.

History

• New Section made by exempt rulemaking at 10 A.A.R. 2700, effective July 1, 2004 (Supp. 04-2). Amended by exempt rulemaking at 11 A.A.R. 2713, effective June 27, 2005 (Supp. 05-2). Amended by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015. Amended by exempt rulemaking at 22 A.A.R. 3238, effective 11/1/2016. Amended by final rulemaking at 24 A.A.R. 3369, effective 1/12/2019. Amended by final rulemaking at 26 A.A.R. 2881, effective 1/3/2021.

Ariz. Admin. Code § R4-6-212.01 Exemptions to the Clinical Supervision Requirements

The Board shall accept hours of clinical supervision submitted by an applicant if the clinical supervision meets the requirements specified in R4-6-212 and R4-6-404, R4-6-504, R4-6-604, or R4-6-706, as applicable to the license for which application is made, unless an exemption is granted as follows:

1. An individual using supervised work experience acquired in Arizona may apply to the Board for an exemption from the following requirements:

a. Qualifications of the clinical supervisor. The Board may grant an exemption to the supervisor qualification requirements in R4-6-212(A) and R4-6-404, R4-6-504, R4-6-604, or R4-6-706, as applicable to the license for which application is made, if the Board determines the behavioral health professional who provided or will provide the clinical supervision has:

i. Education, training and experience necessary to provide clinical supervision;

ii. Complied with the educational requirements specified in R4-6-214; and

ii iii. An active and unrestricted license issued under A.R.S. Title 32 as a physician under Chapter 13 or 17 with certification in psychiatry or addiction medicine or as a nurse practitioner under Chapter 15 with certification in mental health;

b. Employment of clinical supervisor. The Board may grant an exemption to the requirement in R4-6-212(B) regarding employment of the supervisor by the behavioral health entity at which the supervisee obtains hours of clinical supervision if the supervisee provides verification that:

i. The supervisor and behavioral health entity have a written contract providing the supervisor the same access to the supervisee's clinical records provided to employees of the behavioral health entity, that is signed and dated by both parties, and

ii. Supervisee's clients authorized the release of their clinical records to the supervisor; and

c. Discipline-specific changes. The Board may grant an exemption to a requirement in R4-6-404, R4-6-504, R4-6-604, or R4-6-706, as applicable to the license for which application is made, that changed on November 1, 2015, and had the effect of making the clinical supervision previously completed or completed no later than October 31, 2017, non-compliant with the clinical supervision requirements. If the Board grants an exemption under this subsection, the Board shall evaluate the applicant's clinical supervision using the requirements in existence before November 1, 2015.

2. An individual using supervised work experience acquired outside of Arizona may apply to the Board for an exemption from the clinical supervision requirements in R4-6-404, R4-6-504, R4-6-604, or R4-6-706, as applicable to the license for which application is made. The Board may grant an exemption for clinical supervision acquired outside of Arizona if the Board determines that the behavioral health professional providing the supervision met one of the following:

a. Complied with the educational requirements specified in R4-6-214,

b. Complied with the clinical supervisor requirements of the state in which the supervision occurred, or

c. Was approved to provide supervision to the applicant by the state in which the supervision occurred.

History

• Adopted by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015. Amended by exempt rulemaking at 22 A.A.R. 3238, effective 11/1/2016. Amended by final rulemaking at 24 A.A.R. 3369, effective 1/12/2019. Amended by final rulemaking at 26 A.A.R. 2881, effective 1/3/2021.

Ariz. Admin. Code § R4-6-213 Registry of Clinical Supervisors

A. The Board shall maintain a registry of individuals who have met the educational requirements to provide supervision that are specified in R4-6-214.

B. To be included on the registry of clinical supervisors, an individual shall submit the following to the Board:

1. A registration form approved by the Board;

2. Evidence of being qualified under R4-6-212(A); and

3. Documentation of having completed the education required under R4-6-214.

C. The Board shall include an individual who complies with subsection (B) on the registry of clinical supervisors. To remain on the registry of clinical supervisors, an individual shall submit the following to the Board:

1. A registration form approved by the Board;

Evidence of being qualified under R4-6-212(A); and

3. Documentation of having completed the continuing education required under R4-6-214.

D. If the Board notified an individual before November 1, 2015, that the Board determined the individual was qualified to provide clinical supervision, the Board shall include the individual on the registry maintained under subsection (A). To remain on the registry of clinical supervisors, the individual shall comply with subsection (C).

History

• New Section made by exempt rulemaking at 10 A.A.R. 2700, effective July 1, 2004 (Supp. 04-2). Amended by exempt rulemaking at 14 A.A.R. 3895, effective September 16, 2008 (Supp. 08-3). Amended by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015.

Ariz. Admin. Code § R4-6-214 Clinical Supervisor Educational Requirements

A. The Board shall consider hours of clinical supervision submitted by an applicant only if the individual who provides the clinical supervision is qualified under R4-6-212(A) and complies with the following:

1. Completes one of the following:

a. At least 12 hours of training that meets the standard specified in R4-6-802(D), addresses clinical supervision, and includes the following:

i. Role and responsibilities of a clinical supervisor;

ii. Skills in providing effective oversight of and guidance to supervisees who diagnose, create treatment plans, and treat clients;

iii. Supervisory methods and techniques; and

iv. Fair and accurate evaluation of a supervisee's ability to plan and implement clinical assessment and treatment;

b. An approved clinical supervisor certification from the National Board for Certified Counselors/Center for Cre-dentialing and Education;

c. A clinical supervisor certification from the International Certification and Reciprocity Consortium; or

d. A clinical member with an approved supervisor designation from the American Association of Marriage and Family Therapy; and

2. Completes the three clock hour Clinical Supervision Tutorial on Arizona Statutes/Regulations.

B. Through December 31, 2017, the Board shall consider hours of clinical supervision submitted by an applicant if the individual who provided the clinical supervision was licensed at an independent level, qualified under R4-6-212(A), and the supervision was provided during the first two years the individual was licensed at the independent level.

1. For the Board to continue to accept hours of clinical supervision provided by the individual described under subsection (B), the individual shall have obtained at least 12 hours of training described in subsection (A)(1)(a):

a. Before the individual's license expired for the first time; or

b. Before providing supervision if the 12 hours of training described in subsection (A)(1)(a) were obtained after the individual's license expired;

2. For the Board to continue to accept hours of clinical supervision provided by the individual described under subsection (B)(1), the individual shall have obtained at least six hours of training described in subsection (A)(1)(a) before the individual's license expires again and during each subsequent license period expiring before January 1, 2018;

3. For the Board to continue to accept hours of clinical supervision provided by the individual described under subsection (B)(2), the individual shall comply fully with subsection (C) before the individual's license expires for the first time on or after January 1, 2018.

C B. To continue providing clinical supervision, an individual qualified under subsection (A)(1)(a) shall, at least every three years, complete a minimum of nine hours of continuing training that:

1. Meets the standard specified in R4-6-802(D);

2. Concerns clinical supervision;

3. Addresses the topics listed in subsection (A)(1)(a); and

4. Includes the three clock hour Clinical Supervision Tutorial on Arizona Statutes/Regulations.

D C. To continue providing clinical supervision, an individual qualified under subsections (A)(1)(b) through (d) shall:

1. Provide documentation that the national certification or designation was renewed before it expired, and

2. Complete the Clinical Supervision Tutorial on Arizona Statutes/Regulations.

D. An applicant submitting hours of clinical supervision by an individual qualified by meeting the clinical supervision education requirements in effect before the effective date of this Section shall provide documentation that the clinical supervisor was compliant with the education requirements during the period of supervision.

History

• New Section made by exempt rulemaking at 10 A.A.R. 2700, effective July 1, 2004 (Supp. 04-2). Amended by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015. Amended by exempt rulemaking at 22 A.A.R. 3238, effective 11/1/2016. Amended by final rulemaking at 26 A.A.R. 2881, effective 1/3/2021.

Ariz. Admin. Code § R4-6-215 Fees and Charges

A. Under the authority provided by A.R.S. § 32-3272, the Board establishes and shall collect the following fees:

1. Application for license by examination: $250;

2. Application for license by endorsement: $250;

3. Issuance of license $100;

4 3. Application for a temporary license: $50;

5 4. Application for approval of educational program: $500;

6 5. Application for approval of an educational program change: $250

7 6. Biennial renewal of first area of licensure: $325;

8 7. Biennial renewal of each additional area of licensure if all licenses are renewed at the same time: $163;

9 8. Late renewal penalty: $100 in addition to the biennial renewal fee;

10 9. Inactive status request: $100; and

11 10. Late inactive status request: $100 in addition to the inactive status request fee.

B. The Board shall charge the following amounts for the services it provides:

1. Issuing a duplicate license: $25;

2. Criminal history background check: $40;

3. Paper copy of records: $.50 per page after the first four pages;

4. Electronic copy of records: $25;

5. Copy of a Board meeting audio recording: $20;

6. Verification of licensure: $20 per discipline or free if downloaded from the Board's web site;

7. Board's rules and statutes book: $10 or free if downloaded from the Board's web site;

8. Mailing list of licensees: $150, and

9. Returned check due to insufficient funds: $50.

C. The application fees in subsections (A)(1) and (2) are non-refundable. Other fees established in subsection (A) are not refundable unless the provisions of A.R.S. § 41-1077 apply.

D. The Board shall accept payment of fees and charges as follows:

1. For an amount of $40 or less, a personal or business check;

2. For amounts greater than $40, a certified check, cashier's check, or money order; and

3. By proof of online payment by credit card for the following:

a. All fees in subsection (A);

b. The charge in subsection (B)(2) for a criminal history background check; and

c. The charge in subsection (B)(8) for a mailing list of licensees.

E. An applicant shall make payment for a criminal history background check separate from payment for other fees and charges.

History

• Adopted by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015. Adopted by final rulemaking at 23 A.A.R. 3347, effective 11/28/2017. Amended by final rulemaking at 24 A.A.R. 3369, effective 1/12/2019. Amended by final rulemaking at 26 A.A.R. 2881, effective 1/3/2021.

Ariz. Admin. Code § R4-6-216 Foreign Equivalency Determination

The Board shall accept as qualification for licensure a degree from an institution of higher education in a foreign country if the degree is substantially equivalent to the educational standards required in this Chapter for professional counseling, marriage and family therapy, and substance abuse counseling licensure. To enable the Board to determine whether a foreign degree is substantially equivalent to the educational standards required in this Chapter, the applicant shall, at the applicant's expense, have the foreign degree evaluated by an evaluation service that is a member of the National Association of Credential Evaluation Services, Inc.

1. Any document that is in a language other than English shall be accompanied by a translation with notarized verification of the translation's accuracy and completeness;

2. The translation shall be completed by an individual, other than the applicant, and demonstrates no conflict of interest; and

3. The individual providing the translation may be college or university language faculty, a translation service, or an American consul.

History

• Adopted by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015. Amended by final rulemaking at 26 A.A.R. 2881, effective 1/3/2021.

Article 3 LICENSURE

Ariz. Admin. Code § R4-6-301 Application for a License by Examination

An applicant for a license by examination shall submit a completed application packet that contains the following:

1. A statement by the applicant certifying that all information submitted in support of the application is true and correct;

2. Identification of the license for which application is made;

2. 3. The license application fee required under R4-6-215;

3. 4. The applicant's name, date of birth, social security number, and contact information;

4. 5. Each name or alias previously or currently used by the applicant;

5. 6. The name of each college or university the applicant attended and an official transcript for all education used to meet requirements;

7. Verification of current or previous licensure or certification from the licensing or certifying entity as follows:

a. Any license or certification ever held in the practice of behavioral health; and

b. Any professional license or certification not identified in subsection (7)(a) held in the last 10 years;

8. Background information to enable the Board to determine whether, as required under A.R.S. § 32-3275(A)(3), the applicant is of good moral character;

9. A list of every entity for which the applicant has worked during the last 7 years;

10. If the relevant licensing examination was previously taken, an official copy of the score the applicant obtained on the examination;

11. A report of the results of a self-query of the National Practitioner Data Bank;

12. Documentation required under A.R.S. § 41-1080(A) showing that the applicant's presence in the U.S. is authorized under federal law;

13. A completed and legible fingerprint card for a state and federal criminal history background check and payment as prescribed under R4-6-215 if the applicant has not previously submitted a full set of fingerprints to the Board, or verification that the applicant holds a current fingerprint card issued by the Arizona Department of Public Safety; and

14. Other documents or information requested by the Board to determine the applicant's eligibility.

History

• New Section made by exempt rulemaking at 10 A.A.R. 2700, effective July 1, 2004 (Supp. 04-2). Amended by exempt rulemaking at 11 A.A.R. 2713, effective June 27, 2005 (Supp. 05-2). Amended by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015. Amended by exempt rulemaking at 22 A.A.R. 3238, effective 11/1/2016. Amended by final rulemaking at 24 A.A.R. 3369, effective 1/12/2019.

Ariz. Admin. Code § R4-6-302 Licensing Time Frames

A. The overall time frames described in A.R.S. § 41-1072 for each type of license granted by the Board are listed in Table 1. The person applying for a license and the ARC may agree in writing to extend the substantive review and overall time-frame. The substantive review time-frame and the overall time-frame may not be extended by more than time frames up to 25 percent of the overall time frame.

B. The administrative completeness review time frame described in A.R.S. § 41-1072 begins when the Board receives an application packet.

1. If the application packet is not complete, the Board shall send the applicant a written notice specifying the missing document or incomplete information. The administrative completeness review and overall time frames are suspended from the date the notice is served until the date the Board receives the deficient information from the applicant.

2. An applicant may assume an application packet is complete when the Board sends the applicant a written notice of administrative completeness or when the administrative completeness time frame specified in Table 1 expires.

C. An applicant shall submit all of the deficient information specified in the notice provided under subsection (B)(1) within 60 days after the deficiency notice is served.

1. If an applicant cannot submit all deficient information within 60 days after the deficiency notice is served, the applicant may obtain a 60-day extension by submitting a written notice to the Board postmarked or delivered before expiration of the 60 days.

2. The written notice of extension shall document the reasons the applicant is unable to meet the 60-day deadline.

3. 2. An applicant who requires an additional extension shall submit to the Board a written request that is delivered or postmarked before expiration of the initial extension and documents the reasons the applicant requires an additional extension. The Board shall notify the applicant in writing of its decision to grant or deny the request for an extension.

4. 3. If an applicant fails to submit all of the deficient information within the required time, the Board shall administratively close the applicant's file with no recourse to appeal. To receive further consideration for licensure, an applicant whose file is administratively closed shall submit a new application and fee.

D. The substantive review time frame described in A.R.S. § 41-1072 begins on the date the administrative completeness time frame is complete as described under subsection (B)(2).

1. If the credentialing committee finds an applicant is ineligible for licensure, the credentialing committee shall recommend to the Board that the applicant be denied licensure.

2. If the credentialing committee finds an applicant is eligible for licensure, the credentialing committee shall recommend to the Board that the applicant be licensed.

3. Upon receipt of the credentialing committee's recommendation, the Board shall either:

a. Send a written notice of approval to an applicant who meets the qualifications and requirements in A.R.S. Title 32, Chapter 33 and this Chapter; or

b. Send a written notice of denial to an applicant who fails to meet the qualifications and requirements in A.R.S. Title 32, Chapter 33 and this Chapter.

4. 1. If an application is referred to the ARC for substantive review and the ARC finds that additional information is needed, the ARC shall provide a comprehensive written request for additional information to the applicant. The substantive review and overall time frames are suspended from the date the comprehensive written request for additional information is served until the applicant provides all information to the Board.

2. As provided under A.R.S. § 41-1075(A), the ARC and the applicant may agree in writing to allow the ARC to make additional supplemental requests for information. If the ARC issues an additional supplemental request for information, the substantive review and overall time frames are suspended from the date of the additional supplemental request for information until the applicant provides the information to the Board.

5. 3. An applicant shall submit all of the information requested under subsection (D)(1) within 60 days after the comprehensive request for additional information is served. If the ARC issues an additional comprehensive request for information under subsection (D)(2), the applicant shall submit the additional information within 60 days after the additional comprehensive request for information is served. If the applicant cannot submit all requested information within the time provided, the applicant may obtain an extension under the terms specified in subsection (C)(2).

6. If the credentialing committee determines the applicant has not taken and passed the required licensure examination, the deficiency notice shall include the approval for and requirement that the applicant take and pass an approved licensure examination.

7. 4. If an applicant fails to submit all of the requested information within the time provided under subsection (D)(3), the Board shall administratively close the applicant's file with no recourse to appeal. To receive further consideration for licensure, an applicant whose file is administratively closed shall submit a new application and fee.

E. An applicant may withdraw an application for licensure under the terms specified in A.R.S. § 32-3275(D).

F. After the substantive review of an application is complete:

1. If the applicant is found ineligible for licensure, a recommendation shall be made to the Board that the applicant be denied licensure;

2. If the applicant is found eligible for licensure, a recommendation shall be made to the Board that the applicant be granted licensure;

G. After reviewing the recommendation made under subsection (F), the Board shall send a written notice to an applicant that either:

1. Grants a license to an applicant who meets the qualifications and requirements in A.R.S. Title 32, Chapter 33 and this Chapter; or

2. Denies a license to an applicant who fails to meet the qualifications and requirements in A.R.S. Title 32, Chapter 33 and this Chapter. The Board shall ensure that the written notice of denial includes the information required under A.R.S. § 41-1092.03.

E. H. If a time frame's last day falls on a Saturday, Sunday, or an official state holiday, the Board considers the next business day the time frame's last day.

History

• Amended by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015.

Ariz. Admin. Code § R4-6-303 Repealed

History

• New Section made by exempt rulemaking at 10 A.A.R. 2700, effective July 1, 2004 (Supp. 04-2). Repealed by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015.

Ariz. Admin. Code § R4-6-304 Application for a License by Endorsement

An applicant who meets the requirements specified under A.R.S. § 32-3274 for a license by endorsement shall submit a completed application packet, as prescribed in R4-6-301, and the following:

1. The name of one or more other jurisdictions where the applicant is certified or licensed as a behavioral health professional by a state or federal regulatory entity, and has been for at least three years;

2. A verification of each certificate or license identified in subsection (1) by the state regulatory entity issuing the certificate or license that includes the following:

a. The certificate or license number issued to the applicant by the state regulatory entity;

b. The issue and expiration date of the certificate or license;

c. Whether the applicant has been the subject of disciplinary proceedings by a state regulatory entity; and

d. Whether the certificate or license is active and in good standing;

3. If applying at a practice level listed in A.R.S. § 32-3274(B), include:

a. An official transcript as prescribed in R4-6-301(6); and

b. If applicable, a foreign degree evaluation prescribed in R4-6-216 or R4-6-401; and

4. Documentation of completion of the Arizona Statutes/Regulations Tutorial.

History

• New Section made by exempt rulemaking at 10 A.A.R. 2700, effective July 1, 2004 (Supp. 04-2). Amended by exempt rulemaking at 11 A.A.R. 2713, effective June 27, 2005 (Supp. 05-2). Amended by exempt rulemaking at 14 A.A.R. 2714, effective June 6, 2008 (Supp. 08-2). Amended by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015. Amended by exempt rulemaking at 22 A.A.R. 3238, effective 11/1/2016. Amended by final rulemaking at 24 A.A.R. 3369, effective 1/12/2019. Amended by final rulemaking at 26 A.A.R. 2881, effective 1/3/2021.

Ariz. Admin. Code § R4-6-305 Inactive Status

A. A licensee seeking inactive status shall submit:

1. A written request to the Board before expiration of the current license, and

2. The fee specified in R4-6-215 for inactive status request.

B. To be placed on inactive status after license expiration, a licensee shall, within three months after the date of license expiration, comply with subsection (A) and submit the fee specified in R4-6-215 for late request for inactive status.

1. A written request for inactive status to the credentialing committee,

2. The inactive status fee, and

3. The late inactive status fee.

C. The Board shall grant a request for inactive status to a licensee upon receiving a written request for inactive status. The Board shall grant inactive status for a maximum of 24 months.

D. The Board shall not grant a request for inactive status that is received more than three months after license expiration.

E. Inactive status does not change:

1. The date on which the license of the inactive licensee expires, and

2. The Board's ability to start or continue an investigation against the inactive licensee.

F. To return to active status, a licensee on inactive status shall:

1. Comply with all renewal requirements prescribed under R4-6-801; and

2. Establish to the Board's satisfaction that the licensee is competent to practice safely and competently. To assist with determining the licensee's competence, the Board may order a mental or physical evaluation of the licensee at the licensee's expense.

G. Upon a showing of good cause, the Board shall grant a written request for modification or reduction of the continuing education requirement received from a licensee on inactive status. The Board shall consider the following to show good cause:

1. Illness or disability,

2. Active military service, or

3. Any other circumstance beyond the control of the licensee.

H. The Board may, upon a written request filed before the expiration of the original 24 months of inactive status and for good cause, as described in subsection (G), permit an inactive licensee to remain on inactive status for one additional period not to exceed 24 months. To return to active status after being placed on a 24-month extension of inactive status, a licensee shall, comply with the requirements in subsection (F) and complete an additional 30 hours of continuing education during the 24-month extension.

I. A licensee on inactive status shall not engage in the practice of behavioral health.

J. To return to active practice, the licensee must establish the licensee's competence to practice safely and competently. When reviewing a licensee's request to return to active practice, the Board may order any type of mental or physical evaluation, at the licensee's expense, it deems necessary to determine the licensee's competence to practice safely and competently.

K. The Board may start or continue an investigation against a licensee regardless of whether the licensee seeks to obtain inactive status or is on inactive status.

History

• New Section made by exempt rulemaking at 10 A.A.R. 2700, effective July 1, 2004 (Supp. 04-2). Amended by exempt rulemaking at 11 A.A.R. 2713, effective June 27, 2005 (Supp. 05-2). Amended by final rulemaking at 14 A.A.R. 4516, effective December 2, 2008 (Supp. 08-4). Amended by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015.

Ariz. Admin. Code § R4-6-306 Application for a Temporary License

A. To be eligible for a temporary license, an applicant shall:

1. Have applied under R4-6-301 for a license by examination or R4-6-304 for a license by endorsement,

Have submitted an application for a temporary license using a form approved by the Board and paid the fee required under R4-6-215, and

3. Be one of the following:

a. Applying for a license by endorsement;

b. Applying for a license by examination, not currently licensed or certified by a state behavioral health regulatory entity, and:

i. Within 12 months after obtaining a degree from the education program on which the applicant is relying to meet licensing requirements,

ii. Has completed all licensure requirements except passing the required examination, and

iii. Has not previously taken the required examination; or

c. Applying for a license by examination and currently licensed or certified by another state behavioral health regulatory entity.

B. An individual is not eligible for a temporary license if the individual:

Is the subject of a complaint pending before any state behavioral health regulatory entity,

2. Has had a license or certificate to practice a health care profession suspended or revoked by any state regulatory entity,

3. The applicant has not previously taken the required examination

3. Has a criminal history or history of disciplinary action by a state behavioral health regulatory entity unless the Board determines the history is not of sufficient seriousness to merit disciplinary action, or

4. Has been previously denied a license by the Board.

C. A temporary license issued to an applicant expires one year after issuance by the Board.

D. A temporary license issued to an applicant who has not previously passed the required examination for licensure expires immediately if the temporary licensee:

1. Fails to take the required examination by the expiration date of the temporary license; or

2. Takes but fails the required examination.

E. A temporary licensee shall provide written notice and return the temporary license to the Board if the temporary licensee fails the required examination.

I. F.An applicant who is issued a temporary license shall practice as a behavioral health professional only under direct supervision. The temporary license may contain restrictions as to time, place, and supervision that the Board deems appropriate.

G. The Board shall issue a temporary license only in the same discipline for which application is made under subsection (A).

J. H. The Board shall not extend the time of a temporary license or grant an additional temporary license based on the application submitted under subsection (A).

K. I.A temporary licensee is subject to disciplinary action by the Board under A.R.S. § 32-3281. A temporary license may be summarily revoked without a hearing under A.R.S. § 32-3279(C)(4).

L. J. If the Board denies a license by examination or endorsement to a temporary licensee, the temporary licensee shall return the temporary license to the Board within five days of receiving the Board's notice of the denial.

M. K. If a temporary licensee withdraws the license application submitted under R4-6-301 for a license by examination or R4-6-304 for a license by endorsement, the temporary license expires.

History

• New Section made by exempt rulemaking at 10 A.A.R. 2700, effective July 1, 2004 (Supp. 04-2). Amended by exempt rulemaking at 11 A.A.R. 2713, effective June 27, 2005 (Supp. 05-2). Amended by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015. Amended by exempt rulemaking at 22 A.A.R. 3238, effective 11/1/2016. Amended by final rulemaking at 24 A.A.R. 3369, effective 1/12/2019.

Ariz. Admin. Code § R4-6-307 Approval of an Educational Program

A. A person holding a reciprocal license may apply for a regular license at the same level and in the same discipline if the person meets all of the following requirements:

1. After issuance of the reciprocal license, the applicant for a regular license shall complete a minimum of 1600 hours of supervised work experience in Arizona in the practice of behavioral health in no less than 12 months.

a. Supervised work experience in the practice of behavioral health is limited to the use of psychotherapy for the purpose of assessment, diagnosis and treatment of individuals, couples, families and groups.

b. The 1600 hours of supervised work experience in behavioral health shall include a minimum of 800 hours of direct client contact.

2. During the supervised work experience required in subsection (A)(1), an applicant for a regular license shall receive a minimum of 50 hours of clinical supervision in no less than 12 months.

3. During the supervised work experience required in subsection (A)(1), an applicant for a regular license shall demonstrate satisfactory performance in the following areas:

a. Assessment,

b. Diagnostics,

c. Individual and group psychotherapy,

d. Referrals,

e. Personal integrity,

f. Appropriate use of supervision,

g. Insight into client's problems,

h. Objectivity,

i. Ethics,

j. Concern for welfare of clients,

k. Responsibility,

l. Boundaries,

m. Recognition of own limits, and

n. Confidentiality by having the applicant's clinical supervisor submit a performance evaluation on forms available from the Agency.

o. The time span covered by the performance evaluation shall be the same as that for the supervised work experience required in subsection (A)(1).

B. An applicant for a regular license shall receive the clinical supervision required in subsection (A)(2) from any of the following behavioral health professionals licensed at the independent level in Arizona:

1. A licensed professional counselor,

2. A licensed clinical social worker,

3. A licensed marriage and family therapist,

4. A licensed psychologist, or

5. An allopathic or osteopathic medical doctor with a specialty in psychiatry.

C. An applicant for a regular license in substance abuse counseling shall receive the clinical supervision required in subsection (A)(2) from a professional listed in subsection (B) or from a licensed independent substance abuse counselor.

D. An applicant for a regular license shall submit a completed application packet that includes the following:

1. A notarized statement, signed by the applicant, stating that all information submitted in support of the application is true and correct;

2. The license fee required under R4-6-213 ;

3. The applicant's name, date of birth, Social Security number, residence and business address, and residence and business telephone number;

4. Each name or alias previously or currently used by the applicant;

5. Verification of the work experience required under subsection (A).

6. Other documents or information requested by the credentialing committee to determine the applicant's eligibility.

A. To obtain the Board's approval of an educational program, an authorized representative of the regionally accredited college or university shall submit:

1. An application, using a form approved by the Board;

2. The fee prescribed under R4-6-215; and

3. Documentary evidence that the educational program is consistent with the curriculum standards specified in A.R.S. Title 32, Chapter 33, and this Chapter.

B. The Board shall review the application materials for administrative completeness and determine whether additional information is necessary.

1. If the application packet is incomplete, Board shall send a written deficiency notice to the applicant specifying the missing or incomplete information. The applicant shall provide the additional information within 60 days after the deficiency notice is served.

2. The applicant may obtain a 60-day extension of time to provide the deficient information by submitting a written request to the Board before expiration of the time specified in subsection (B)(1).

3. If an applicant fails to provide the deficient information within the time specified in the written notice or as extended under subsection (B)(2), the Board shall administratively close the applicant's file with no recourse to appeal. To receive further consideration for approval of an educational program, an applicant whose file is administratively closed shall comply with subsection (A).

C. When an application for approval of an educational program is administratively complete, the ARC shall substantively review the application packet.

1. If the ARC finds that additional information is needed, the ARC shall provide a written comprehensive request for additional information to the applicant.

2. The applicant shall provide the additional information within 60 days after the comprehensive request of additional information is served.

3. If an applicant fails to provide the additional information within the time specified under subsection (C)(2), the Board shall administratively close the applicant's file with no recourse to appeal. To receive further consideration for approval of an educational program, an applicant whose file is administratively closed shall comply with subsection (A).

D. After the ARC determines the substantive review is complete:

1. If the ARC finds the applicant's educational program is eligible for approval, the ARC shall recommend to the Board that the educational program be approved.

2. If the ARC finds the applicant's educational program is ineligible for approval, the ARC shall send written notice to the applicant of the finding of ineligibility with an explanation of the basis for the finding. An applicant may appeal a finding of ineligibility for educational program approval using the following the procedure:

a. Submit to the ARC a written request for an informal review meeting within 30 days after the notice of ineligibility is served. If the applicant does not request an informal review meeting within the time provided, the ARC shall recommend to the Board that the educational program be denied approval and the applicant's file be closed with no recourse to appeal.

b. If the ARC receives a written request for an informal review meeting within the 30 days provided, the ARC shall schedule the informal review meeting and provide at least 30 days' notice of the informal review meeting to the applicant.

c. At the informal review meeting, the ARC shall provide the applicant an opportunity to present additional information regarding the curriculum of the educational program.

d. When the informal review is complete, the ARC shall make a second finding whether the educational program is eligible for approval and send written notice of the second finding to the applicant.

e. An applicant that receives a second notice of ineligibility under subsection (D)(2)(d), may appeal the finding by submitting to the Board, within 30 days after the second notice is served, a written request for a formal administrative hearing under A.R.S. Title 41, Chapter 6, Article 10.

f. The Board shall either refer a request for a formal administrative hearing to the Office of Administrative Hearings or schedule the hearing before the Board. If no request for a formal administrative hearing is made under subsection (D)(2)(e), the ARC shall recommend to the Board that the educational program be denied approval and the applicant's file be closed with no recourse to appeal.

g. If a formal administrative hearing is held before the Office of Administrative Hearings, the Board shall review the findings of fact, conclusions of law, and recommendation of the Administrative Law Judge and issue an order either granting or denying approval of the educational program.

h. If a formal administrative hearing is held before the Board, the Board shall issue findings of fact and conclusions of law and issue an order either granting or denying approval of the educational program.

i. The Board shall send the applicant a copy of the findings of fact, conclusions of law, and order.

E. The Board shall add an approved educational program to the list of approved educational programs that the Board maintains.

F. The Board's approval of an educational program is valid for five years unless the accredited college or university makes a change to the educational program that is inconsistent with the curriculum standards specified in A.R.S. Title 32, Chapter 33, and this Chapter.

G. An authorized representative of a regionally accredited college or university with a Board-approved educational program shall certify annually, using a form available from the Board, that there have been no changes to the approved educational program.

H. If a regionally accredited college or university makes one of the following changes to an approved educational program, the regionally accredited college or university shall notify the Board within 60 days after making the change and request approval of the educational program change under subsection (I):

1. Change to more than 25 percent of course competencies;

2. Change to more than 25 percent of course learning objectives;

3. Addition of a course in one of the core content areas specified in R4-6-501, R4-6-601, or R4-6-701; or

4. Deletion of a course in one of the core content areas specified in R4-6-501, R4-6-601, or R4-6-701.

I. To apply for approval of an educational program change, an authorized representative of the regionally accredited college or university shall submit:

1. An approved educational program change form available from the Board;

The fee prescribed under R4-6-215; and

3. Documentary evidence that the change to the approved educational program is consistent with the curriculum standards specified in A.R.S. Title 32, Chapter 33, and this Chapter.

J. To maintain approved status of an educational program after five years, an authorized representative of the regionally accredited college or university shall make application under subsection (A).

K. The Board shall process the materials submitted under subsections (I) and (J) using the procedure specified in subsections (B) through (D).

L. Unless an educational program is currently approved by the Board under this Section, the regionally accredited college or university shall not represent that the educational program is Board approved in any program or marketing materials.

History

• New Section made by exempt rulemaking at 14 A.A.R. 2714, effective June 6, 2008 (Supp. 08-2). Amended by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015.

Article 4 SOCIAL WORK

Ariz. Admin. Code § R4-6-401 Curriculum

A. An applicant for licensure as a baccalaureate social worker shall have a baccalaureate degree in social work from a regionally accredited college or university in a program accredited by the CSWE or an equivalent foreign degree as determined by the Foreign Equivalency Determination Service of the CSWE.

B. An applicant for licensure as a master or clinical social worker shall have a master or higher degree in social work from a regionally accredited college or university in a program accredited by the CSWE or an equivalent foreign degree as determined by the Foreign Equivalency Determination Service of the] CSWE.

History

• New Section made by exempt rulemaking at 10 A.A.R. 2700, effective July 1, 2004 (Supp. 04-2). Amended by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015.

Ariz. Admin. Code § R4-6-402 Examination

A. To be licensed as a baccalaureate social worker, an applicant shall receive a passing score on the bachelors, masters, advanced generalist, or clinical examination offered by ASWB.

B. To be licensed as a master social worker, an applicant shall receive a passing score on the masters, advanced generalist, or clinical examination offered by ASWB.

C. Except as specified in subsection (F)(2), to be licensed as a clinical social worker, an applicant shall receive a passing score on the clinical examination offered by ASWB.

D. An applicant for baccalaureate, master, or clinical social worker licensure shall receive a passing score on an approved examination for the level of licensure requested within 12 months after receiving written examination authorization from the Board. An applicant shall not take an approved licensure examination more than three times during the 12-month testing period.

E. If an applicant does not receive a passing score on an approved licensure examination within the 12 months referenced in subsection (D), the Board shall close the applicant's file with no recourse to appeal. To receive further consideration for licensure, an applicant whose file is closed shall submit a new application and fee.

F. The Board may grant a one-time 90-day examination extension request to an applicant who demonstrates good cause as specified under R4-6-305(G).

G. To be licensed by endorsement as a clinical social worker, an applicant shall receive a passing score on:

1. The clinical examination offered by ASWB; or

2. The advanced generalist examination offered by ASWB if the applicant:

a. Was licensed as a clinical social worker before July 1, 2004;

b. Met the examination requirement of the state being used to qualify for licensure by endorsement; and

c. Has been licensed continuously at the same level since passing the examination.

History

• New Section made by exempt rulemaking at 10 A.A.R. 2700, effective July 1, 2004 (Supp. 04-2). Amended by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015. Amended by exempt rulemaking at 22 A.A.R. 3238, effective 11/1/2016. Amended by final rulemaking at 24 A.A.R. 3369, effective 1/12/2019. Amended by final rulemaking at 26 A.A.R. 2881, effective 1/3/2021.

Ariz. Admin. Code § R4-6-403 Supervised Work Experience for Clinical Social Worker Licensure

A. An applicant for clinical social worker licensure shall demonstrate completion of at least 3200 hours of supervised work experience in the practice of clinical social work in no less than 24 months. Supervised work experience in the practice of clinical social work shall include:

1. At least 1600 hours of direct client contact involving the use of psychotherapy;

2. No more than 400 of the 1600 hours of direct client contact are in psychoeducation;

2 3. At least 100 hours of clinical supervision as prescribed under R4-6-212 and R4-6-404; and

3 4. For the purpose of licensure, no more than 1600 hours of indirect client contact related to psychotherapy services.

B. For any month in which an applicant provides direct client contact, the applicant shall obtain at least one hour of clinical supervision.

C. An applicant may submit more than the required 3200 hours of supervised work experience for consideration by the Board.

B. D. During the period of required supervised work experience specified in subsection (A), an applicant for clinical social worker licensure shall practice behavioral health under the limitations specified in R4-6-210.

C. E. There is no supervised work experience requirement for licensure as a baccalaureate or master social worker.

History

• New Section made by exempt rulemaking at 10 A.A.R. 2700, effective July 1, 2004 (Supp. 04-2). Amended by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015. Amended by exempt rulemaking at 22 A.A.R. 3238, effective 11/1/2016.

Ariz. Admin. Code § R4-6-404 Clinical Supervision for Clinical Social Worker Licensure

A. An applicant for clinical social worker licensure shall demonstrate that the applicant received at least 100 hours of clinical supervision that meet the requirements specified in subsection (B) and R4-6-212 during the supervised work experience required under R4-6-403.

B. The Board shall accept hours of clinical supervision for clinical social worker licensure if the hours required under subsection (A) meet the following:

1. At least 50 hours are supervised by a clinical social worker licensed by the Board, and

2. The remaining hours are supervised by an individual qualified under R4-6-212(A), or

3. The hours are supervised by an individual for whom an exemption was obtained under R4-6-212.01.

C. The time span covered by the performance evaluations shall be the same as that for the supervised work experience required in R4-6-403 .

D. Clinical supervision of an applicant for clinical social worker licensure shall be provided by a clinical social worker licensed in Arizona.

E. An applicant may submit a written request to the social work credentialing committee for an exemption from the requirement of subsection (D). The request shall include the name of the behavioral health professional proposed by the applicant to act as the clinical supervisor, a copy of the proposed clinical supervisor's transcript and curriculum vitae, and any additional documentation requested by the committee. The social work credentialing committee shall review the supervision exemption request to determine whether the proposed supervisor has the necessary education, training, and experience to provide supervision acceptable for clinical social worker licensure. If the proposed supervisor has the necessary education, training, and experience, the social work credentialing committee shall grant the supervision exemption request.

1. The social work credentialing committee shall accept a maximum of 75 hours of clinical supervision provided by an alternative behavioral health professional as provided in subsection (E)(2). An applicant must obtain a minimum of 25 hours of clinical supervision by a social worker at the masters or higher level certified or licensed at the independent level by a state behavioral health regulatory entity.

2. When reviewing supervision exemption requests, the social work credentialing committee will only consider supervision provided by a masters or higher level professional certified or licensed at the independent level by a state behavioral health regulatory entity, a licensed psychologist, or a medical doctor with a specialty in psychiatry. The social work credentialing committee will take into consideration an applicant's ability to demonstrate that supervision by a certified or licensed social worker was not available or available supervision was not specific to the applicant's area of practice. When considering the availability of a certified or licensed social worker, the social work credentialing committee will consider the size of the professional setting in which the applicant worked and its geographic location.

3. The social work credentialing committee will not grant an exemption request for an unlicensed clinical supervisor providing clinical supervision in Arizona after July 1, 2006, except that an exemption may be granted by the committee if the clinical supervisor holds a current active license to practice behavioral health at the independent level and is providing services pursuant to a contract or grant with the federal government under the authority of 25 U.S.C. 450 - 450(n) or 25 U.S.C. 1601 - 1683.

4. The Board shall not accept hours of clinical supervision for clinical social worker licensure provided by a substance abuse counselor.

History

• New Section made by exempt rulemaking at 10 A.A.R. 2700, effective July 1, 2004 (Supp. 04-2). Amended by exempt rulemaking at 11 A.A.R. 2713, effective June 27, 2005 (Supp. 05-2). Amended by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015.

Ariz. Admin. Code § R4-6-405 Repealed

History

• New Section made by exempt rulemaking at 10 A.A.R. 2700, effective July 1, 2004 (Supp. 04-2). Repealed by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015.

Article 5 COUNSELING

Ariz. Admin. Code § R4-6-501 Curriculum

A. An applicant for licensure as an associate or professional counselor shall have a master's or higher degree with a major emphasis in counseling from:

1. A program accredited by CACREP or CORE that consists of at least 60 semester or 90 quarter credit hours, including a supervised counseling practicum as prescribed under subsection (E);

2. An educational program previously approved by the Board under A.R.S. § 32-3253(A)(14) that consists of at least 60 semester or 90 quarter credit hours, including a supervised counseling practicum as prescribed under subsection (E); or

3. A program from a regionally accredited college or university that consists of at least 60 semester or 90 quarter credit hours, meets the requirements specified in subsections (C) and (D), and includes a supervised counseling practicum as prescribed under subsection (E).

B. To assist the Board to evaluate a program under subsection (A)(3), an applicant who obtained a degree from a program under subsection (A)(3) shall attach the following to the application required under R4-6-301 :

1. Published college or university course descriptions for the year and semester enrolled for each course submitted to meet curriculum requirements,

Verification, using a form approved by the Board, of completing the supervised counseling practicum required under subsection (E); and

3. Other documentation requested by the Board.

C. The Board shall accept for licensure the curriculum from a program not accredited by CACREP or CORE if the curriculum includes at least 60 semester or 90 quarter credit hours in counseling-related coursework, of which at least three semester or 4 quarter credit hours are in each of the following eight core content areas:

1. Professional orientation and ethical practice: Studies that provide a broad understanding of professional counseling ethics and legal standards, including but not limited to:

a. Professional roles, functions, and relationships;

b. Professional credentialing;

c. Ethical standards of professional organizations; and

d. Application of ethical and legal considerations in counseling;

2. Social and cultural diversity: Studies that provide a broad understanding of the cultural context of relationships, issues, and trends in a multicultural society, including but not limited to:

a. Theories of multicultural counseling, and

b. Multicultural competencies and strategies;

3. Human growth and development: Studies that provide a broad understanding of the nature and needs of individuals at all developmental stages, including but not limited to:

a. Theories of individual and family development across the life-span, and

b. Theories of personality development;

4. Career development: Studies that provide a broad understanding of career development and related life factors, including but not limited to:

a. Career development theories, and

b. Career decision processes;

5. Helping relationship: Studies that provide a broad understanding of counseling processes, including but not limited to:

a. Counseling theories and models,

b. Essential interviewing and counseling skills, and

c. Therapeutic processes;

Group work: Studies that provide a broad understanding of group development, dynamics, counseling theories, counseling methods and skills, and other group work approaches, including but not limited to:

a. Principles of group dynamics,

b. Group leadership styles and approaches, and

c. Theories and methods of group counseling;

Assessment: Studies that provide a broad understanding of individual and group approaches to assessment and evaluation, including but not limited to:

a. Diagnostic process including differential diagnosis and use of diagnostic classification systems such as the Diagnostic and Statistical Manual of Mental Disorders and the International Classification of Diseases,

b. Use of assessment for diagnostic and intervention planning purposes, and

c. Basic concepts of standardized and non-standardized testing; and

8. Research and program evaluation: Studies that provide a broad understanding of recognized research methods and design and basic statistical analysis, including but not limited to:

a. Qualitative and quantitative research methods, and

b. Statistical methods used in conducting research and program evaluation.

D. In evaluating the curriculum required under subsection (C), the Board shall assess whether a core content area is embedded or contained in more than one course. The applicant shall provide information the Board requires to determine whether a core content area is embedded in multiple courses. The Board shall not accept a core content area embedded in more than two courses unless the courses are succession courses. The Board shall allow subject matter in a course to qualify in only one core content area.

E. The Board shall accept a supervised counseling practicum that is part of a master's or higher degree program if the supervised counseling practicum meets the following standards:

1. Consists of at least 700 clock hours in a professional counseling setting,

2. Includes at least 240 hours of direct client contact,

3. Provides an opportunity for the supervisee to perform all activities associated with employment as a professional counselor,

4. Oversight of the counseling practicum is provided by a faculty member, and

5. Onsite supervision is provided by an individual approved by the college or university.

F. The Board shall require that an applicant for professional counselor licensure who received a master's or higher degree before July 1, 1989, from a program that did not include a supervised counseling practicum complete three years of post-master's or higher degree work experience in counseling under direct supervision. One year of a doctoral-clinical internship may be substituted for one year of supervised work experience.

G. The Board shall accept for licensure only courses that the applicant completed with a passing grade.

H. The Board shall deem an applicant to meet the curriculum requirements for professional counselor licensure if the applicant:

1. Holds an active and in good standing associate counselor license issued by the Board; and

2. Met the curriculum requirements with a master's degree in a behavioral health field from a regionally accredited university when the associate counselor license was issued.

History

• New Section made by exempt rulemaking at 10 A.A.R. 2700, effective July 1, 2004 (Supp. 04-2). Amended by exempt rulemaking at 11 A.A.R. 2713, effective June 27, 2005 (Supp. 05-2). Amended by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015. Amended by final rulemaking at 26 A.A.R. 2881, effective 1/3/2021.

Ariz. Admin. Code § R4-6-502 Examination

A. The Board approves the following examinations for applicants for counselor licensure:

1. National Counselor Examination for Licensure and Certification offered by the National Board for Certified Counselors,

2. National Clinical Mental Health Counseling Examination offered by the National Board for Certified Counselors, and

Certified Rehabilitation Counselor Examination offered by the Commission on Rehabilitation Counselor Certification.

B. An applicant for counselor licensure shall receive a passing score on an approved licensure examination.

C B. Except as specified in subsection (E), an applicant shall pass an approved examination within 12 months after receiving written examination authorization from the Board. An applicant shall not take an examination more than three times during the 12-month testing period.

D C. If an applicant does not receive a passing score within the 12 months referenced in subsection (B), the Board shall close the applicant's file with no recourse to appeal. To receive further consideration for licensure, an applicant whose file is closed shall submit a new application and fee.

E D. The Board may grant a one-time 90-day examination extension request to an applicant who demonstrates good cause as specified under R4-6-305(G).

E. The Board shall deem an applicant for professional counselor licensure to meet the exam requirement if the applicant holds an active and in good standing associate counselor license issued by the Board according to A.R.S. § 32-3274 or A.R.S. § 32-4302.

History

• New Section made by exempt rulemaking at 10 A.A.R. 2700, effective July 1, 2004 (Supp. 04-2). Amended by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015. Amended by exempt rulemaking at 22 A.A.R. 3238, effective 11/1/2016. Amended by final rulemaking at 24 A.A.R. 3369, effective 1/12/2019. Amended by final rulemaking at 26 A.A.R. 2881, effective 1/3/2021.

Ariz. Admin. Code § R4-6-503 Supervised Work Experience for Professional Counselor Licensure

A. An applicant for professional counselor licensure shall demonstrate completion of at least 3200 hours of supervised work experience in the practice of professional counseling in no less than 24 months. The applicant shall ensure that the supervised work experience includes:

1. At least 1600 hours of direct client contact involving the use of psychotherapy;

2. No more than 400 of the 1600 hours of direct client contact are in psychoeducation;

3. At least 100 hours of clinical supervision as prescribed under R4-6-212 and R4-6-504; and

4. For the purpose of licensure, no more than 1600 hours of indirect client contact related to psychotherapy services.

B. For any month in which an applicant provides direct client contact, the applicant shall obtain at least one hour of clinical supervision.

C. An applicant may submit more than the required 3200 hours of supervised work experience for consideration by the Board.

B. D. During the period of supervised work experience specified in subsection (A), an applicant for professional counselor licensure shall practice behavioral health under the limitations specified in R4-6-210

C. E. There is no supervised work experience requirement for licensure as an associate counselor.

History

• New Section made by exempt rulemaking at 10 A.A.R. 2700, effective July 1, 2004 (Supp. 04-2). Amended by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015. Amended by exempt rulemaking at 22 A.A.R. 3238, effective 11/1/2016.

Ariz. Admin. Code § R4-6-504 Clinical Supervision for Professional Counselor Licensure

A. An applicant for professional counselor licensure shall demonstrate that the applicant received at least 100 hours of clinical supervision that meet the requirements specified in subsection (B) and R4-6-212 during the supervised work experience required under R4-6-503.

B. The Board shall accept hours of clinical supervision for professional counselor licensure from the following behavioral health professionals who meet the educational requirements under R4-6-214 :

1. A licensed professional counselor;

2. A licensed clinical social worker;

3. A licensed marriage and family therapist;

4. A licensed psychologist; or

3 5. An individual for whom an exemption was obtained under R4-6-212.01.

C. The Board shall not accept hours of clinical supervision provided by a substance abuse counselor for professional counselor licensure.

History

• New Section made by exempt rulemaking at 10 A.A.R. 2700, effective July 1, 2004 (Supp. 04-2). Amended by exempt rulemaking at 11 A.A.R. 2713, effective June 27, 2005 (Supp. 05-2). Amended by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015. Amended by final rulemaking at 26 A.A.R. 2881, effective 1/3/2021.

Ariz. Admin. Code § R4-6-505 Post-degree Programs

An applicant who has a master's or higher degree with a major emphasis in counseling but does not meet all curriculum requirements specified in R4-6-501 may take post-graduate courses from a regionally accredited college or university to remove the curriculum deficiencies as follows:

1. An applicant whose degree did not consist of 60 semester or 90 quarter credit hours may take graduate or higher level counseling-related courses to meet the curriculum requirement;

2. An applicant whose degree did not include the eight core content areas specified in R4-6-501(C) may take graduate or higher level courses to meet the core content requirement; and

3. An applicant whose practicum did not meet the requirements specified in R4-6-501(E) may obtain additional graduate level supervised practicum hours.

History

• New Section made by exempt rulemaking at 10 A.A.R. 2700, effective July 1, 2004 (Supp. 04-2). Amended by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015.

Article 6 MARRIAGE AND FAMILY THERAPY

Ariz. Admin. Code § R4-6-601 Curriculum

A. An applicant for licensure as an associate marriage and family therapist or a marriage and family therapist shall have a master's or higher degree from a regionally accredited college or university in a behavioral health science program that:

1. Is accredited by COAMFTE;

2. Was previously approved by the Board under A.R.S. § 32-3253(A)(14); or

3. Includes at least three semester or four quarter credit hours in each of the number of courses specified in the six core content areas listed in subsection (B).

B. A program under subsection (A)(3) shall include:

1. Marriage and family studies: Three courses from a family systems theory orientation that collectively contain at minimum the following elements:

a. Introductory family systems theory;

b. Family development;

c. Family systems, including marital, sibling, and individual subsystems; and

d. Gender and cultural issues;

2. Marriage and family therapy: Three courses that collectively contain at minimum the following elements:

a. Advanced family systems theory and interventions;

b. Major systemic marriage and family therapy treatment approaches;

c. Communications; and

d. Sex therapy;

3. Human development: Three courses that may integrate family systems theory that collectively contain at minimum the following elements:

a. Normal and abnormal human development;

b. Human sexuality; and

c. Psychopathology and abnormal behavior;

Professional studies: One course including at minimum:

a. Professional ethics as a therapist, including legal and ethical responsibilities and liabilities; and

b. Family law;

5. Research: One course in research design, methodology, and statistics in behavioral health science; and

6. Supervised practicum: Two courses that supplement the practical experience gained under subsection (D).

C. In evaluating the curriculum required under subsection (B), the Board shall assess whether a core content area is embedded or contained in more than one course. The applicant shall provide information the Board requires to determine whether a core content area is embedded in multiple courses. The Board shall not accept a core content area embedded in more than two courses unless the courses are succession courses. The Board shall allow subject matter in a course to qualify in only one core content area.

D. A program's supervised practicum shall meet the following standards:

1. Provides an opportunity for the enrolled student to provide marriage and family therapy services to individuals, couples, and families in an educational or professional setting under the direction of a faculty member or supervisor designated by the college or university;

2. Includes at least 300 client-contact hours provided under direct supervision;

3. Has supervision provided by a designated licensed marriage and family therapist.

E. An applicant may submit a written request to the ARC for an exemption from the requirement specified in subsection (D)(3). The request shall include the name of the behavioral health professional proposed by the applicant to act as supervisor of the practicum, a copy of the proposed supervisor's transcript and curriculum vitae, and any additional documentation requested by the ARC. The ARC shall grant the exemption if the ARC determines the proposed supervisor is qualified by education, experience, and training to provide supervision.

F. The Board shall deem an applicant to meet the curriculum requirements for marriage and family therapist licensure if the applicant:

1. Holds an active and in good standing associate marriage and family therapist license issued by the Board; and

2. Met the curriculum requirements with a master's degree in a behavioral health field from a regionally accredited university when the associate marriage and family therapist license was issued.

History

• New Section made by exempt rulemaking at 10 A.A.R. 2700, effective July 1, 2004 (Supp. 04-2). Amended by exempt rulemaking at 11 A.A.R. 2713, effective June 27, 2005 (Supp. 05-2). Amended by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015. Amended by exempt rulemaking at 22 A.A.R. 3238, effective 11/1/2016. Amended by final rulemaking at 26 A.A.R. 2881, effective 1/3/2021.

Ariz. Admin. Code § R4-6-602 Examination

A. The Board approves the marriage and family therapy licensure examination offered by the Association of Marital and Family Therapy Regulatory Boards.

B. An applicant for associate marriage and family therapist or marriage and family therapist licensure shall receive a passing score on the approved licensure examination.

C B. Except as specified in subsection (E), an applicant shall pass the approved examination within 12 months after receiving written examination authorization from the Board. An applicant shall not take the examination more than three times during the 12-month testing period.

D C. If an applicant does not receive a passing score within the 12 months referenced in subsection (B), the Board shall close the applicant's file with no recourse to appeal. To receive further consideration for licensure, an applicant whose file is closed shall submit a new application and fee.

E D. The Board may grant a one-time 90-day examination extension request to an applicant who demonstrates good cause as specified under R4-6-305(G).

E. The Board shall deem an applicant for marriage and family therapist licensure to meet the examination requirement if the applicant holds an active and in good standing associate marriage and family therapist license issued by the Board pursuant to A.R.S. § 32-3274 or A.R.S. § 32-4302.

History

• New Section made by exempt rulemaking at 10 A.A.R. 2700, effective July 1, 2004 (Supp. 04-2). Amended by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015. Amended by exempt rulemaking at 22 A.A.R. 3238, effective 11/1/2016. Amended by final rulemaking at 24 A.A.R. 3369, effective 1/12/2019. Amended by final rulemaking at 26 A.A.R. 2881, effective 1/3/2021.

Ariz. Admin. Code § R4-6-603 Supervised Work Experience for Marriage and Family Therapy Licensure

A. An applicant for licensure as a marriage and family therapist shall demonstrate completion of at least 3200 hours of supervised work experience in the practice of marriage and family therapy in no less than 24 months. The applicant shall ensure that the supervised work experience includes:

1. At least 1600 hours of direct client contact involving the use of psychotherapy:

a. At least 1000 of the 1600 hours of direct client contact are with couples or families; and

b. No more than 400 of the 1600 hours of direct client contact are in psychoeducation and at least 60 percent of psychoeducation hours are with couples or families;

2. At least 100 hours of clinical supervision as prescribed under R4-6-212 and R4-6-604; and

3. For the purpose of licensure, no more than 1600 hours of indirect client contact related to psychotherapy services.

B. For any month in which an applicant provides direct client contact, the applicant shall obtain at least one hour of clinical supervision.

C. An applicant may submit more than the required 3200 hours of supervised work experience for consideration by the Board.

D. During the period of supervised work experience specified in subsection (A), an applicant for marriage and family therapist licensure shall practice behavioral health under the limitations specified in R4-6-210.

E. There is no supervised work experience requirement for licensure as an associate marriage and family therapist.

History

• New Section made by exempt rulemaking at 10 A.A.R. 2700, effective July 1, 2004 (Supp. 04-2). Amended by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015. Amended by exempt rulemaking at 22 A.A.R. 3238, effective 11/1/2016.

Ariz. Admin. Code § R4-6-604 Clinical Supervision for Marriage and Family Therapy Licensure

A. An applicant for marriage and family therapy licensure shall demonstrate that the applicant received at least 100 hours of clinical supervision that meets the requirements specified in subsection (B) and R4-6-212 during the supervised work experience required under R4-6-603.

B. The Board shall accept hours of clinical supervision for marriage and family therapist licensure if:

1. The hours are supervised by an individual who meets the educational requirements under R4-6-214;

2. At least 50 of the hours are supervised by:

a. A marriage and family therapist licensed by the Board or

b. An independently licensed behavioral health professional who holds an Approved Supervisor designation from the American Association for Marriage and Family Therapy; and

3. The remaining hours are supervised by one or more of the following:

a. A professional counselor licensed by the Board;

b. A clinical social worker licensed by the Board;

c. A marriage and family therapist licensed by the Board; or

d. A psychologist licensed under A.R.S. Title 32, Chapter 19.1; or

The hours are supervised by an individual for whom an exemption is obtained under R4-6-212.01.

C. The Board shall not accept hours of clinical supervision provided by a substance abuse counselor for marriage and family therapy licensure.

History

• New Section made by exempt rulemaking at 10 A.A.R. 2700, effective July 1, 2004 (Supp. 04-2). Amended by exempt rulemaking at 11 A.A.R. 2713, effective June 27, 2005 (Supp. 05-2). Amended by final rulemaking at 12 A.A.R. 1386, effective June 4, 2006 (Supp. 06-2). Amended by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015. Amended by final rulemaking at 26 A.A.R. 2881, effective 1/3/2021.

Ariz. Admin. Code § R4-6-605 Post-degree Programs

An applicant who has a master's or higher degree in a behavioral health science but who does not meet all curriculum requirements specified in R4-6-601 may take post-graduate courses from a regionally accredited college or university to remove the curriculum deficiencies if:

1. The deficiencies constitute no more than 12 semester or 16 quarter credit hours; and

2. Courses taken to remove the deficiencies are at a graduate or higher level.

History

• New Section made by exempt rulemaking at 10 A.A.R. 2700, effective July 1, 2004 (Supp. 04-2). Amended by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015.

Ariz. Admin. Code § R4-6-606 Repealed

History

• New Section made by exempt rulemaking at 10 A.A.R. 2700, effective July 1, 2004 (Supp. 04-2). Repealed by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015.

Article 7 SUBSTANCE ABUSE COUNSELING

Ariz. Admin. Code § R4-6-701 Licensed Substance Abuse Technician Curriculum

A. An applicant for licensure as a substance abuse technician shall have:

1. An associate's or bachelor's degree from a regionally accredited college or university in a program accredited by NASAC;

2. An associate's or bachelor's degree from a regionally accredited college or university in an educational program previously approved by the Board under A.R.S. § 32-3253(A)(14); or

3. An associate's or bachelor's degree from a regionally accredited college or university in a behavioral health science program that includes coursework from the seven core content areas listed in subsection (B).

B. An associate's or bachelor's degree under subsection (A)(3), shall include at least three semester or four quarter credit hours in each of the following core content areas:

1. Psychopharmacology, including but not limited to

a. Nature of psychoactive chemicals;

b. Behavioral, psychological, physiological, and social effects of psychoactive substance use;

c. Symptoms of intoxication, withdrawal, and toxicity;

d. Toxicity screen options, limitations, and legal implications; and

e. Use of pharmacotherapy for treatment of addiction effects on mood, behavior, cognition and physiology;

2. Models of treatment and relapse prevention, including but not limited to philosophies and practices of generally accepted and evidence-supported models

a. Treatment,

b. Recovery,

c. Relapse prevention, and

d. Continuing care for addiction and other substance use related problems;

3. Group work: Group dynamics and processes as they relate to addictions and substance use disorders;

4. constitute no more than six semester credit hours. Working with diverse populations: Issues and trends in a multicultural and diverse society as they relate to substance use disorder and addiction;

5. Co-occurring disorders, including but not limited to philosophies and practices of generally accepted and evidence-supported models

a. Symptoms of mental health and other disorders prevalent in individuals with substance use disorders or addictions;

b. Screening and assessment tools used to detect and evaluate the presence and severity of co-occurring disorders; and

c. Evidence-based strategies for managing risks associated with treating individuals who have co-occurring disorders;

Ethics, including but not limited to:

a. Legal and ethical responsibilities and liabilities;

b. Standards of professional behavior and scope of practice;

c. Client rights, responsibilities, and informed consent; and

d. Confidentiality and other legal considerations in the practice of behavioral health; and

7. Assessment, diagnosis, and treatment. Use of assessment and diagnosis to develop appropriate treatment interventions for substance use disorders or addictions.

C. The Board shall waive the education requirement in subsection (A) for an applicant requesting licensure as a substance abuse technician if the applicant demonstrates all of the following:

1. The applicant provides services under a contract or grant with the federal government under the authority of 25 U.S.C. § 5301 or § 1601 - 1683;

2. The applicant has obtained at least the equivalent of a high school diploma;

3. Because of cultural considerations, obtaining the degree required under subsection (A) would be an extreme hardship for the applicant; and

4. The applicant has completed at least 6400 hours of supervised work experience in substance abuse counseling, as prescribed in R4-6-705(C), in no less than 48 months within the seven years immediately preceding the date of application.

D. In evaluating the curriculum required under subsection (B), the Board shall assess whether a core content area is embedded or contained in more than one course. The applicant shall provide information the Board requires to determine whether a core content area is embedded in multiple courses. The Board shall not accept a core content area embedded in more than two courses unless the courses are succession courses. The Board shall allow subject matter in a course to qualify in only one core content area.

E. An applicant for licensure as a substance abuse technician who completed the applicant's educational training before the effective date of this Section or no later than October 31, 2017, may request that the Board evaluate the applicant's educational training using the standards in effect before the effective date of this Section.

History

• New Section made by exempt rulemaking at 10 A.A.R. 2700, effective July 1, 2004 (Supp. 04-2). Amended by exempt rulemaking at 11 A.A.R. 2713, effective June 27, 2005 (Supp. 05-2). Amended by exempt rulemaking at 14 A.A.R. 4532, effective January 1, 2009 (Supp. 08-4). Amended by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015. Amended by exempt rulemaking at 22 A.A.R. 3238, effective 11/1/2016. Amended by final rulemaking at 26 A.A.R. 2881, effective 1/3/2021.

Ariz. Admin. Code § R4-6-702 Licensed Associate Substance Abuse Counselor Curriculum

A. An applicant for licensure as an associate substance abuse counselor shall have one of the following:

1. A bachelor's degree from a regionally accredited college or university in a program accredited by NASAC and supervised work experience that meets the standards specified in R4-6-705(A);

2. A master's or higher degree from a regionally accredited college or university in a program accredited by NASAC;

3. A bachelor's degree from a regionally accredited college or university in a behavioral health science program that meets the core content standards specified in R4-6-701(B) and supervised work experience that meets the standards specified in R4-6-705(A);

4. A master's or higher degree from a regionally accredited college or university in a behavioral health science program that meets the core content standards specified in R4-6-701(B) and includes at least 300 hours of supervised practicum as prescribed under subsection (C); or

5. A bachelor's degree from a regionally accredited college or university in an educational program previously approved by the Board under A.R.S. § 32-3253(A)(14) and supervised work experience that meets the standards specified in R4-6-705(A); or

6. A master's or higher degree from a regionally accredited college or university in an educational program previously approved by the Board under A.R.S. § 32-3253(A)(14) and includes at least 300 hours of supervised practicum as prescribed under subsection (C).

B. In evaluating the curriculum required under subsection (A)(3) or (4), the Board shall assess whether a core content area is embedded or contained in more than one course. The applicant shall provide information the Board requires to determine whether a core content area is embedded in multiple courses. The Board shall not accept a core content area embedded in more than two courses unless the courses are succession courses. The Board shall allow subject matter in a course to qualify in only one core content area.

C. Supervised practicum. A supervised practicum shall integrate didactic learning related to substance use disorders with face-to-face, direct counseling experience. The counseling experience shall include intake and assessment, treatment planning, discharge planning, documentation, and case management activities.

D. The Board shall deem an applicant to meet the curriculum requirements for associate substance abuse counselor licen-sure if the applicant:

1. Holds an active and in good standing substance abuse technician license issued by the Board; and

2. Met the curriculum requirements with a bachelor's degree when the substance abuse technician license was issued.

E. An applicant for licensure as an associate substance abuse counselor who completed the applicant's educational training before the effective date of this Section or no later than October 31, 2017, may request that the Board evaluate the applicant's educational training using the standards in effect before the effective date of this Section.

History

• New Section made by exempt rulemaking at 10 A.A.R. 2700, effective July 1, 2004 (Supp. 04-2). Amended by exempt rulemaking at 11 A.A.R. 2713, effective June 27, 2005 (Supp. 05-2). Amended by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015. Amended by exempt rulemaking at 22 A.A.R. 3238, effective 11/1/2016.

Ariz. Admin. Code § R4-6-703 Licensed Independent Substance Abuse Counselor Curriculum

A. An applicant for licensure as an independent substance abuse counselor shall have a master's or higher degree from a regionally accredited college or university in one of the following:

1. A program accredited by NASAC;

2. A behavioral health science program that meets the core content standards specified in R4-6-701(B) and includes at least 300 hours of supervised practicum as prescribed under subsection (D); or

3. An educational program previously approved by the Board under A.R.S. § 32-3253(A)(14) that includes at least 300 hours of supervised practicum as prescribed under subsection (D).

B. In addition to the degree requirement under subsection (A), an applicant for licensure as an independent substance abuse counselor shall complete the supervised work experience requirements prescribed under R4-6-705(B).

C. In evaluating the curriculum required under subsection (A)(2), the Board shall assess whether a core content area is embedded or contained in more than one course. The applicant shall provide information the Board requires to determine whether a core content area is embedded in multiple courses. The Board shall not accept a core content area embedded in more than two courses unless the courses are succession courses. The Board shall allow subject matter in a course to qualify in only one core content area.

D. Supervised practicum. A supervised practicum shall integrate didactic learning related to substance use disorders with face-to-face, direct counseling experience. The counseling experience shall include intake and assessment, treatment planning, discharge planning, documentation, and case management activities.

E. The Board shall deem an applicant to meet the curriculum requirements for independent substance abuse counselor licensure if the applicant:

1. Holds an active and in good standing associate substance abuse counselor license issued by the Board; and

2. Met the curriculum requirements with a master's degree when the associate substance abuse counselor license was issued.

F. An applicant for licensure as an independent substance abuse counselor who completed the applicant's educational training before the effective date of this Section or no later than October 31, 2017, may request that the Board evaluate the applicant's educational training using the standards in effect before the effective date of this Section.

History

• New Section made by exempt rulemaking at 10 A.A.R. 2700, effective July 1, 2004 (Supp. 04-2). Amended by exempt rulemaking at 11 A.A.R. 2713, effective June 27, 2005 (Supp. 05-2). Amended by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015. Amended by exempt rulemaking at 22 A.A.R. 3238, effective 11/1/2016.

Ariz. Admin. Code § R4-6-704 Examination

A. The Board approves the following licensure examinations for an applicant for substance abuse technician licensure:

1. Alcohol and Drug Counselor and Advanced Alcohol and Drug Counselor Examinations offered by the International Certification and Reciprocity Consortium, and

2. Level I or higher examinations offered by the NAADAC, the Association of Addiction Professionals.

B. The Board approves the following licensure examinations for an applicant for associate or independent substance abuse counselor licensure:

1. Advanced Alcohol and Drug Counselor Examination offered by the International Certification and Reciprocity Consortium,

2. Level II or higher examinations offered by the NAADAC, the Association of Addiction Professionals, and

3. Examination for Master Addictions Counselors offered by the National Board for Certified Counselors.

C. For an applicant for associate or independent substance abuse counselor licensure who received written examination authorization from the Board before the effective date of this Section, the Board shall accept an examination listed in subsection (A) through expiration of the written examination authorization provided by the Board.

D C. The Board shall deem an applicant for independent substance abuse counselor licensure as meeting the examination requirements if all of the following apply:

1. The applicant has an active associate substance abuse counselor license;

2. The applicant passed a written examination listed in subsection (A) before November 1, 2015; and

3. The applicant submitted an application to the Board on or after November 1, 2015.

E D. An applicant shall pass an approved examination within 12 months after receiving written examination authorization from the Board. An applicant shall not take an approved examination more than three times during the 12-month testing period.

F E. If an applicant does not receive a passing score on an approved licensure examination within the 12 months referenced in subsection (D), the Board shall close the applicant's file with no recourse to appeal. To receive further consideration for licensure, an applicant whose file is closed shall submit a new application and fee.

G F. The Board may grant a one-time 90-day examination extension request to an applicant who demonstrates good cause as specified under R4-6-305(G).

History

• New Section made by exempt rulemaking at 10 A.A.R. 2700, effective July 1, 2004 (Supp. 04-2). Amended by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015. Amended by exempt rulemaking at 22 A.A.R. 3238, effective 11/1/2016. Amended by final rulemaking at 24 A.A.R. 3369, effective 1/12/2019. Amended by final rulemaking at 26 A.A.R. 2881, effective 1/3/2021.

Ariz. Admin. Code § R4-6-705 Supervised Work Experience for Substance Abuse Counselor Licensure

A. An applicant for associate substance abuse counselor licensure who has a bachelor's degree and is required under R4-6-702(A) to participate in a supervised work experience shall complete at least 3200 hours of supervised work experience in substance abuse counseling in no less than 24 months. The applicant shall ensure that the supervised work experience relates to substance use disorder and addiction and meets the following standards:

1. At least 1600 hours of direct client contact involving the use of psychotherapy related to substance use disorder and addiction issues,

No more than 400 of the 1600 hours of direct client contact are in psychoeducation,

3. For the purpose of licensure, no more than 1600 hours of indirect client contact related to psychotherapy services,

4. At least 100 hours of clinical supervision as prescribed under R4-6-212 and R4-6-706, and

5. At least one hour of clinical supervision in any month in which the applicant provides direct client contact.

B. An applicant for independent substance abuse counselor licensure shall demonstrate completion of at least 3200 hours of supervised work experience in substance abuse counseling in no less than 24 months. The applicant shall ensure that the supervised work experience meets the standards specified in subsection (A).

C. An applicant for substance abuse technician qualifying under R4-6-701(C) shall complete at least 6400 hours of supervised work experience in no less than 48 months. The applicant shall ensure that the supervised work experience includes:

1. At least 3200 hours of direct client contact;

2. Using psychotherapy to assess, diagnose, and treat individuals, couples, families, and groups for issues relating to substance use disorder and addiction; and

3. At least 200 hours of clinical supervision as prescribed under R4-6-212 and R4-6-706.

D. An applicant may submit more than the required number of hours of supervised work experience for consideration by the Board.

D. E. During the period of required supervised work experience, an applicant for substance abuse licensure shall practice behavioral health under the limitations specified in R4-6-210.

E. F. There is no supervised work experience requirement for an applicant for licensure as:

1. A substance abuse technician qualifying under R4-6-701(A), or

2. An associate substance abuse counselorqualifying under R4-6-702(A) with a master's or higher degree.

History

• New Section made by exempt rulemaking at 10 A.A.R. 2700, effective July 1, 2004 (Supp. 04-2). Amended by exempt rulemaking at 11 A.A.R. 2713, effective June 27, 2005 (Supp. 05-2). Amended by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015. Amended by exempt rulemaking at 22 A.A.R. 3238, effective 11/1/2016.

Ariz. Admin. Code § R4-6-706 Clinical Supervision for Substance Abuse Counselor Licensure

A. During the supervised work experience required under R4-6-705, an applicant for substance abuse counselor licensure shall demonstrate that the applicant received, for the level of licensure sought, at least the number of hours of clinical supervision specified in R4-6-705 that meets the requirements in subsection (B) and R4-6-212.

B. The Board shall accept hours of clinical supervision for substance abuse licensure if the focus of the supervised hours relates to substance use disorder and addiction and:

1. At least 50 hours are supervised by:

a. An independent substance abuse counselor licensed by the Board; or

b. An independently licensed behavioral health professional who:

i. Provides evidence of knowledge and experience in substance use disorder treatment; and

ii. Is approved by the ARC or designee, and

2. The remaining hours are supervised by an individual qualified under R4-6-212(A), or

3. The hours are supervised by an individual for whom an exemption was obtained under R4-6-212.01.

History

• New Section made by exempt rulemaking at 10 A.A.R. 2700, effective July 1, 2004 (Supp. 04-2). Amended by exempt rulemaking at 11 A.A.R. 2713, effective June 27, 2005 (Supp. 05-2). Amended by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015. Amended by final rulemaking at 26 A.A.R. 2881, effective 1/3/2021.

Ariz. Admin. Code § R4-6-707 Post-degree Programs

An applicant who has a behavioral health science degree from a regionally accredited college or university but does not meet all curriculum requirements specified in R4-6-701, R4-6-702, or R4-6-703 may take post-graduate courses from a regionally accredited college or university to remove the curriculum deficiencies. The Board shall accept a post-graduate course from a regionally accredited college or university to remove a curriculum deficiency if the course meets the following requirement, as applicable:

1. For an applicant who has an associate's or bachelor's degree, an undergraduate or higher level course; or

2. For an applicant who has a master's degree, a graduate or higher level course.

History

• New Section made by exempt rulemaking at 10 A.A.R. 2700, effective July 1, 2004 (Supp. 04-2). Amended by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015.

Article 8 LICENSE RENEWAL AND CONTINUING EDUCATION

Ariz. Admin. Code § R4-6-801 Renewal of Licensure

A. Under A.R.S. & § 32-3273, a license issued by the Board under A.R.S. Title 32, Chapter 33 and this Chapter is renewable every two years. A licensee who has more than one license may request in writing that the Board synchronize the expiration dates of the licenses. The licensee shall pay any prorated fees required to accomplish the synchronization.

B. A licensee holding an active license to practice behavioral health in this state shall complete 30 clock hours of continuing education as prescribed under R4-6-802 between the date the Board received the licensee's last renewal application and the next license expiration date. A licensee may not carry excess continuing education hours from one license period to the next.

B. C.To renew licensure, a licensee shall submit the following to the Board on or before the date of license expiration or as specified in A.R.S. § 32-4301:

1. A renewal application form, approved by the Board. The licensee shall ensure that the renewal form:

a. Includes a list of 30 clock hours of continuing education that the licensee completed during the license period;

b. If the documentation previously submitted under R4-6-301(12) was a limited form of work authorization issued by the federal government, includes evidence that the work authorization has not expired; and

c. Is signed by the licensee attesting that all information submitted is true and correct;

2. Payment of the renewal fee as prescribed in R4-6-215; and

3. Other documents requested by the Board to determine that the licensee continues to meet the requirements under A.R.S. Title 32, Chapter 33 and this Chapter.

C. A license shall expire unless the licensee submits to the agency the items listed in subsection (B) on or before the license expiration date.

D. The Board shall mail to each licensee a license renewal application. Failure to receive the license renewal application shall not relieve the licensee of the requirements of subsection (A).

E. D.The Board may audit a licensee to verify compliance with the continuing education requirements under subsection (B). A licensee shall maintain documentation verifying compliance with the continuing education requirements as prescribed under R4-6-803.

F. E. A licensee whose license expires may have the license reinstated by complying with subsection (C) and paying a late renewal penalty within 90 days of the license expiration date. A license reinstated under this subsection is effective with no lapse in licensure.

History

• New Section made by exempt rulemaking at 10 A.A.R. 2700, effective July 1, 2004 (Supp. 04-2). Amended by exempt rulemaking at 11 A.A.R. 2713, effective June 27, 2005 (Supp. 05-2). Amended by final rulemaking at 14 A.A.R. 4516, effective December 2, 2008 (Supp. 08-4). Amended by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015.

Ariz. Admin. Code § R4-6-802 Continuing Education

A. A licensee who maintains more than one license may apply the same continuing education hours for renewal of each license if the content of the continuing education relates to the scope of practice of each license.

B. For each license period, a licensee may report a maximum of:

1. Ten clock hours of continuing education for first-time presentations by the licensee that deal with current developments, skills, procedures, or treatments related to the practice of behavioral health. The licensee may claim one clock hour for each hour spent preparing, writing, and presenting information;

2. Six clock hours of continuing education for attendance at a Board meeting where the licensee is not:

a. A member of the Board,

b. The subject of any matter on the agenda, or

c. The complainant in any matter that is on the agenda; and

3. Ten clock hours of continuing education for service as a Board or ARC member.

C. For each license period, a licensee shall report:

1. A minimum of three clock hours of continuing education sponsored, approved, or offered by an entity listed in subsection (D) in:

a. Behavioral health ethics or mental health law, and

b. Cultural competency and diversity; and

2. Completion of the three clock hour Arizona Statutes/Regulations Tutorial.

D. A licensee shall participate in continuing education that relates to the scope of practice of the license held and to maintaining or improving the skill and competency of the licensee. The Board has determined that in addition to the continuing education listed in subsections (B) and (C), the following continuing education meets this standard:

1. Activities sponsored or approved by national, regional, or state professional associations or organizations in the specialties of marriage and family therapy, professional counseling, social work, substance abuse counseling, or in the allied professions of psychiatry, psychiatric nursing, psychology, or pastoral counseling;

2. Programs in behavioral health sponsored or approved by a regionally accredited college or university;

3. In-service training, courses, or workshops in behavioral health sponsored by federal, state, or local social service agencies, public school systems, or licensed health facilities or hospitals;

4. Graduate or undergraduate courses in behavioral health offered by a regionally accredited college or university. One semester-credit hour or the hour equivalent of one semester hour equals 15 clock hours of continuing education.;

5. Publishing a paper, report, or book that deals with current developments, skills, procedures, or treatments related to the practice of behavioral health. For the license period in which publication occurs, the licensee may claim one clock hour for each hour spent preparing and writing materials;

6. Programs in behavioral health sponsored by a state superior court, adult probation department, or juvenile probation department.

E. The Board has determined that a substance abuse technician, associate substance abuse counselor, or an independent substance abuse counselor shall ensure that at least 20 of the 30 clock hours of continuing education required under R4-6-801(B) are in the following categories:

Pharmacology and psychopharmacology,

2. Addiction processes,

3. Models of substance use disorder and addiction treatment,

4. Relapse prevention,

5. Interdisciplinary approaches and teams in substance use disorder and addiction treatment,

6. Substance use disorder and addiction assessment and diagnostic criteria,

7. Appropriate use of substance use disorder and addiction treatment modalities,

8. Substance use disorder and addiction as it related to diverse populations,

Substance use disorder and addiction treatment and prevention,

10. Clinical application of current substance use disorder and addiction research, or

11. Co-occurring disorders.

History

• New Section made by exempt rulemaking at 10 A.A.R. 2700, effective July 1, 2004 (Supp. 04-2). Amended by exempt rulemaking at 11 A.A.R. 2713, effective June 27, 2005 (Supp. 05-2). Amended by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015. Amended by exempt rulemaking at 22 A.A.R. 3238, effective 11/1/2016. Amended by final rulemaking at 26 A.A.R. 2881, effective 1/3/2021.

Ariz. Admin. Code § R4-6-803 Continuing Education Documentation

A. A licensee shall maintain documentation of continuing education for 24 months following the date of the license renewal.

B. The licensee shall retain the following documentation as evidence of participation in continuing education:

1. For conferences, seminars, workshops, and in-service training presentations, a signed certificate of attendance or a statement from the provider verifying the licensee's participation in the activity, including the title of the program, name, address, and telephone number of the sponsoring organization, names of presenters, date of the program, and clock hours involved;

2. For first-time presentations by a licensee, the title of the program, name, address, and telephone number of the sponsoring organization, date of the program, syllabus, and clock hours required to prepare and make the presentation;

3. For a graduate or undergraduate course, an official transcript;

4. For an audited graduate or undergraduate course, an official transcript; and

5. For attendance at a Board meeting, a signed certificate of attendance prepared by the Board.

Repealed

A. To be eligible to renew a license, a licensee shall complete a minimum of three clock hours of continuing education in behavioral health ethics or mental health law and a minimum of three clock hours of continuing education in cultural competency and diversity during the two years before the license renewal date.

B. To be eligible to renew a license, a substance abuse technician, associate substance abuse counselor and an independent

substance abuse counselor shall complete a minimum of 20 clock hours of continuing education in any combination of the following categories during the two years before the license renewal date:

1. Pharmacology and psychopharmacology,

2. Addiction processes,

3. Models of substance abuse treatment,

4. Relapse prevention,

5. Interdisciplinary approaches and teams in substance abuse treatment,

6. Substance abuse assessment and diagnostic criteria,

7. Appropriate use of substance abuse treatment modalities,

8. Recognizing needs of diverse populations,

9. Substance abuse treatment and prevention,

10. Clinical application of current substance abuse research, or

11. Co-occurring disorders.

C. Clinical supervision of a supervisee for licensure as a marriage and family therapist, professional counselor, clinical social worker, or independent substance abuse counselor. Beginning on July 1, 2006, a licensee acting as a clinical supervisor shall complete continuing education as follows:

1. Between July 1, 2004, and the individual's first license expiration date following July 1, 2006, at least 12 clock hours shall be taken in the following categories:

a. The role and responsibility of a clinical supervisor;

b. The skill sets necessary to provide oversight and guidance to a supervisee who diagnoses, creates treatment plans, and treats clients;

c. The concepts of supervision methods and techniques; and

d. Evaluation of a supervisee's ability to plan and implement clinical assessment and treatment processes; and

2. A licensee who seeks to continue providing clinical supervision after completion of the requirements under subsection (C)(1) shall complete at least six clock hours of continuing education as provided in subsection (C)(1)(a) through (d) between the date the Board receives the licensee's last renewal application and the next license expiration date.

D. Clinical supervision training required pursuant to subsection (C) shall be waived if the clinical supervisor holds any of the following certifications or designations if the certification or designation is current as of the clinical supervisor's license renewal date:

1. NBCC/CCE Approved Clinical Supervisor certification.

2. ICRC Clinical Supervisor certification.

3. American Association of Marriage and Family Therapists Clinical Member with Approved Supervisor designation.

E. Continuing education clock hours completed pursuant to this Section may be submitted to meet the general continuing education requirements described in R4-6-801(A) .

F. The agency shall begin enforcement of this Section on July 1, 2006.

History

• New Section made by exempt rulemaking at 10 A.A.R. 2700, effective July 1, 2004 (Supp. 04-2). Amended by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015.

Ariz. Admin. Code § R4-6-804 Repealed

History

• New Section made by exempt rulemaking at 10 A.A.R. 2700, effective July 1, 2004 (Supp. 04-2). Amended by exempt rulemaking at 11 A.A.R. 2713, effective June 27, 2005 (Supp. 05-2). Repealed by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015.

Article 9 APPEAL OF LICENSURE OR LICENSURE RENEWAL INELIGIBILITY

Ariz. Admin. Code § R4-6-901 Appeal Process for Licensure Ineligibility

A. An applicant for licensure may be found ineligible because of unprofessional conduct or failure to meet licensure requirements.

B. If the ARC finds an applicant is ineligible because of failure to meet licensure requirements:

1. The ARC shall send a written notice of the finding of ineligibility to the applicant with an explanation of the basis for the finding.

2. An applicant who wishes to appeal the finding of ineligibility shall submit a written request for an informal review meeting to the ARC within 30 days after the notice of ineligibility is served. If an informal review meeting is not requested within the time provided, the ARC shall recommend to the Board that licensure be denied and the licensee's file be closed with no recourse to appeal.

3. If a request for an informal review meeting is received within the 30 days provided under subsection (B)(2), the ARC shall schedule the informal review meeting and provide at least 30-days' notice to the applicant. At the informal review meeting, the ARC shall allow the applicant to present additional information regarding the applicant's qualifications for licensure.

When the review is complete, the ARC shall make a second finding whether the applicant is eligible for licensure. The ARC shall send written notice of this second finding to the applicant with an explanation of the basis for the finding.

5. If the credentialing committee again finds the applicant is ineligible for licensure, an applicant who wishes to appeal the second finding of ineligibility shall submit a written request for an informal meeting to the credentialing committee within 30 days from the date of service of the notice of ineligibility. If an informal meeting is not requested within the time provided, the credentialing committee shall recommend to the Board that licensure be denied and that the licensee's file be closed with no recourse to appeal.

6. If a request for an informal meeting is received within the required 30 days, the credentialing committee shall schedule the informal meeting and provide a minimum of 30 days notice of the informal meeting to the applicant. At the informal meeting, the credentialing committee shall allow the applicant to present additional information regarding the applicant's qualifications for licensure.

7. Upon completion of the informal meeting, the credentialing committee shall make a third finding whether the applicant is eligible for licensure. The agency shall send written notice of this third finding to the applicant.

8. 5. If the ARC again finds the applicant is ineligible for licensure, an applicant who wishes to appeal the second finding of ineligibility shall submit a written request to the Board for a formal administrative hearing under the Administrative Procedure Act. A.R.S. Title 41, Chapter 6, Article 10, within 30 days after the second notice of ineligibility is served. The Board shall either refer the request for a formal administrative hearing to the Office of Administrative Hearings or schedule the formal administrative hearing before the Board. If a formal administrative hearing is not requested within 30 days, the ARC shall recommend to the Board that licensure be denied and the applicant's file be closed with no recourse to appeal.

9. 6. If the formal administrative hearing is held before the Office of Administrative Hearings, the Board shall review the findings of fact, conclusions of law, and recommendation and issue an order either to grant or deny licensure.

10.7. If the formal administrative hearing is held before the Board, the Board shall issue the findings of fact and conclusions of law and shall issue an order either to grant or deny licensure.

11.8. The Board shall send the applicant a copy of the final findings of fact, conclusions of law, and order. An applicant who is denied licensure following a formal administrative hearing is required to exhaust the applicant's administrative remedies as described in R4-6-1002 before seeking judicial review of the Board's final administrative decision.

C. If the Board receives a complaint against an applicant while the applicant is under review for licensure, the Board shall review the complaint in accordance with the procedures in R4-6-1001. The Board shall not take final action on an application while a complaint is pending against the applicant.

History

• New Section made by exempt rulemaking at 10 A.A.R. 2700, effective July 1, 2004 (Supp. 04-2). Amended by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015.

Ariz. Admin. Code § R4-6-902 Appeal Process for Licensure Renewal Ineligibility

A. A licensee who applies for licensure renewal may be found ineligible because of failure to meet licensure renewal requirements.

B. If the Board finds an applicant for licensure renewal is ineligible because of failure to meet licensure renewal requirements:

1. The Board shall send a written notice of the finding of ineligibility to the licensee with an explanation of the basis for the finding.

2. A licensee who wishes to appeal the finding of ineligibility for licensure renewal shall submit a written request for an informal review meeting to the Board within 30 days after the notice of ineligibility is served. If an informal review meeting is not requested within the time provided, the Board shall deny licensure renewal and close the licensee's file with no recourse to appeal.

3. If a request for an informal review meeting is received within the 30 days provided under subsection (B)(2), the Board shall schedule the informal review meeting and provide at least 30-days' notice to the licensee. At the informal review meeting, the Board shall allow the licensee to present additional information regarding the licensee's qualifications for renewal.

4. When the informal review meeting is complete, the Board shall make a second finding whether the licensee meets renewal requirements. The Board shall send written notice of this second finding to the licensee with an explanation of the basis for the finding.

5. If the Board again finds the licensee is ineligible for licensure renewal, a licensee who wishes to appeal the second finding of ineligibility shall submit a written request to the Board for a formal administrative hearing under the Administrative Procedure Act, A.R.S. Title 41, Chapter 6, Article 10, within 30 days after the second notice of ineligibility is served. The Board shall either refer the request for a formal administrative hearing to the Office of Administrative Hearings or schedule the formal administrative hearing before the Board. If a formal administrative hearing is not requested within 30 days, the Board shall deny licensure renewal and close the licensee's file with no recourse to appeal.

6. If the formal administrative hearing is held before the Office of Administrative Hearings, the Board shall review the findings of fact, conclusions of law, and recommendation and issue an order either to grant or deny licensure renewal.

7. If the formal administrative hearing is held before the Board, the Board shall issue the findings of fact and conclusions of law and issue an order either to grant or deny licensure renewal.

8. The Board shall send the licensee a copy of the final findings of fact, conclusions of law, and order. A licensee who is denied licensure renewal following a formal administrative hearing is required to exhaust the licensee's administrative remedies as described in R4-6-1002 before seeking judicial review of the Board's final administrative decision.

History

• New Section made by exempt rulemaking at 10 A.A.R. 2700, effective July 1, 2004 (Supp. 04-2). Amended by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015.

Article 10 DISCIPLINARY PROCESS

Ariz. Admin. Code § R4-6-1001 Disciplinary Process

A. If the Board receives a written complaint alleging a licensee is or may be incompetent, guilty of unprofessional practice, or mentally or physically unable to engage in the practice of behavioral health safely, the Board shall send written notice of the complaint to the licensee and require the licensee to submit a written response within 30 days from the date of service of the written notice of the complaint.

B. The Board shall conduct all disciplinary proceedings according to A.R.S. §§ 32-3281 and 3282 and Title 41, Chapter 6, Article 10.

C. As provided under A.R.S. § 32-3282(B), a licensee who is the subject of a complaint, or the licensee's designated representative, may review the complaint investigative file at the Board office at least five business days before the meeting at which the Board is scheduled to consider the complaint. The Board may redact confidential information before making the investigative file available to the licensee.

B. D. If the Board determines that disciplinary action is appropriate, the Board shall consider factors including, but not limited to, the following when determining the appropriate discipline:

1. Prior disciplinary offenses;

2. Dishonest or self-serving motive;

3. Pattern of misconduct; multiple offenses;

Bad faith obstruction of the disciplinary proceeding by intentionally failing to comply with rules or orders of the Board;

5. Submission of false evidence, false statements, or other deceptive practices during the investigative or disciplinary process;

6. Refusal to acknowledge wrongful nature of conduct; and

7. Vulnerability of the victim.

History

• New Section made by exempt rulemaking at 10 A.A.R. 2700, effective July 1, 2004 (Supp. 04-2). Amended by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015.

Ariz. Admin. Code § R4-6-1002 Review or Rehearing of a Board Decision

A. The Board shall provide for a rehearing or review of its decisions under A.R.S. Title 41, Chapter 6, Article 10 and the rules established by the Office of Administrative Hearings.

B. Except as provided in subsection (I), a party is required to file a motion for rehearing or review of a Board decision to exhaust the party's administrative remedies. A party that has exhausted the party's administrative remedies may apply for judicial review of the final order issued by the Board in accordance with A.R.S. § 12-901 et seq.

C. When a motion for rehearing or review is based on affidavits, the affidavits shall be served with the motion. An opposing party may, within 15 days after service, serve opposing affidavits.

D. A party may amend a motion for rehearing or review at any time before the Board rules on the motion.

E. An aggrieved party may seek a review or rehearing of a Board decision by submitting a written request for a review or rehearing to the Board within 30 days after service of the decision. The request shall specify the grounds for a review or rehearing. The Board shall grant a request for a review or rehearing for any of the following reasons materially affecting the rights of an aggrieved party:

1. Irregularity in the administrative proceedings or any abuse of discretion that deprived the aggrieved party of a fair hearing;

2. Misconduct of the Board, its staff, an administrative law judge, or any party;

3. Accident or surprise that could not have been prevented by ordinary prudence;

3. 4. Newly discovered material evidence that could not with reasonable diligence have been discovered and produced at the hearing;

4. 5. Excessive penalties;

5. 6. Decision, findings of fact, or conclusions not justified by the evidence or contrary to law; or

6. 7. Errors regarding the admission or rejection of evidence or errors of law that occurred at the hearing or during the progress of the proceedings.

B. F. The Board may affirm or modify the decision or grant a rehearing to any party on all or part of the issues for any of the reasons listed in subsection(E). An order modifying a decision or granting a rehearing shall specify with particularity the grounds for the order. The rehearing, if granted, shall be limited to the matters specified by the Board.

C. G. No later than 30 days after a decision is rendered, the Board may order a rehearing or review on its own initiative, for any reason it might have granted relief on motion of a party.

D. H. If the Board grants a request forrehearing, the Board shall hold the rehearing within 60 days after the date on the order granting the rehearing.

E. An aggrieved party may apply for judicial review of the final order issued by the Board in accordance with A.R.S. § 12-901 et seq.

F. I. If the Board makes a specific finding that a particular decision needs to be effective immediately to preserve the public health, safety, or welfare, and that a rehearing or review of the decision is impracticable, unnecessary, or contrary to the public interest, the Board may issue the decision as a final order without an opportunity for a rehearing or review.

History

• New Section made by exempt rulemaking at 10 A.A.R. 2700, effective July 1, 2004 (Supp. 04-2). Amended by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015.

Article 11 STANDARDS OF PRACTICE

Ariz. Admin. Code § R4-6-1101 Consent for Treatment

A licensee shall:

Provide treatment to a client only in the context of a professional relationship based on informed consent for treatment;

2. Document in writing for each client the following elements of informed consent for treatment:

a. Purpose of treatment;

b. General procedures to be used in treatment, including benefits, limitations, and potential risks;

c. The client's right to have the client's records and all information regarding the client kept confidential and an explanation of the limitations on confidentiality;

d. Notification of the licensee's supervision or involvement with a treatment team of professionals;

e. Methods for the client to obtain information about the client's records;

f. The client's right to participate in treatment decisions and in the development and periodic review and revision of the client's treatment plan;

g. The client's right to refuse any recommended treatment or to withdraw consent to treatment and to be advised of the consequences of refusal or withdrawal; and

h. The client's right to be informed of all fees that the client is required to pay and the licensee's refund and collection policies and procedures; and

3. Obtain a dated and signed informed consent for treatment from a client or the client's legal representative before providing treatment to the client and when a change occurs in an element listed in subsection (2) that might affect the client's consent for treatment;

4. Obtain a dated and signed informed consent for treatment from a client or the client's legal representative before audio or video taping the client or permitting a third party to observe treatment provided to the client.; and

5. Include a dated signature from an authorized representative of the behavioral health entity.

History

• New Section made by exempt rulemaking at 10 A.A.R. 2700, effective July 1, 2004 (Supp. 04-2). Amended by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015. Amended by final rulemaking at 24 A.A.R. 3369, effective 1/12/2019. Amended by final rulemaking at 26 A.A.R. 2881, effective 1/3/2021.

Ariz. Admin. Code § R4-6-1102 Treatment Plan

A licensee shall:

Work jointly with each client or the client's legal representative to prepare an integrated, individualized, written treatment plan, based on the licensee's provisional or principal diagnosis and assessment of behavior and the treatment needs, abilities, resources, and circumstances of the client, that includes:

a. One or more treatment goals;

b. One or more treatment methods;

c. The date when the client's treatment plan will be reviewed;

d. If a discharge date has been determined, the aftercare needed ;

e. The dated signature of the client or the client's legal representative; and

f. The dated signature of the licensee;

2. Review and reassess the treatment plan:

a. According to the review date specified in the treatment plan as required under subsection (1)(c); and

b. At least annually with the client or the client's legal representative to ensure the continued viability and effectiveness of the treatment plan and, where appropriate, add a description of the services the client may need after terminating treatment with the licensee;

Ensure that all treatment plan revisions include the dated signature of the client or the client's legal representative and the licensee;

4. Upon written request, provide a client or the client's legal representative an explanation of all aspects of the client's condition and treatment; and

Ensure that a client's treatment is in accordance with the client's treatment plan.

History

• New Section made by exempt rulemaking at 10 A.A.R. 2700, effective July 1, 2004 (Supp. 04-2). Amended by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015.

Ariz. Admin. Code § R4-6-1103 Client Record

A. A licensee shall ensure that a client record is maintained for each client and:

1. Is protected at all times from loss, damage, or alteration;

2. Is confidential;

3. Is legible and recorded in ink or electronically recorded;

4. Contains entries that are dated and include the printed name and signature or electronic signature of the individual making the entry;

5. Is current and accurate;

6. Contains original documents and original signature, initials, or authentication; and

7. Is disposed of in a manner that protects client confidentiality.

B. A licensee shall ensure that a client record contains the following, if applicable:

1. The client's name, address, and telephone number;

2. Documentation of informed consent to treatment;

3. Documentation of the treatment plan and all updates and revisions to the treatment plan;

4. 2. Information or records provided by or obtained from another person regarding the client;

5. 3. Written authorization to release the client's record or information;

6. Documentation of requests for client records and of the resolution of those requests;

7. Documentation of the release of any information in the client record;

8. 4. Progress notes;

9. Documentation of telephone, written, or face-to-face contact with the client or another individual that relates to the client's health, safety, welfare, or treatment;

10. Documentation of behavioral health services provided to the client;

Informed consent to treatment;

Contemporaneous documentation of:

a. Treatment plan and all revisions to the treatment plan;

b. Requests for client records and resolution of the requests;

c. Release of any information in the client record;

d. Contact with the client or another individual that relates to the clients health, safety, welfare, or treatment; and

e. Behavioral health services provided to the client;

11. 7. Other information or documentation required by state or federal law.

12. 8. Financial records, including:

a. Records of financial arrangements for the cost of providing behavioral health services;

b. Measures that will be taken for nonpayment of the cost of behavioral health services provided by the licensee.

C. A licensee shall make client records in the licensee's possession promptly available to another health professional and the client or the client's legal representative in accordance with A.R.S. § 12-2293.

D. A licensee shall make client records of a minor client in the licensee's possession promptly available to the minor client's parent in accordance with A.R.S. § 25-403.06.

E. A licensee shall retain records in accordance with A.R.S. § 12-2297.

F. A licensee shall ensure the safety and confidentiality of any client records the licensee creates, maintains, transfers, or destroys whether the records are written, taped, computerized, or stored in any other medium.

G. A licensee shall ensure that a client's privacy and the confidentiality of information provided by the client is maintained by subordinates, including employees, supervisees, clerical assistants, and volunteers.

H. A licensee shall ensure that each progress note includes the following:

1. The date a behavioral health service was provided;

2. The time spent providing the behavioral health service;

3. If counseling services were provided, whether the counseling was individual, couples, family, or group; and

4. The dated signature of the licensee who provided the behavioral health service.

History

• New Section made by exempt rulemaking at 10 A.A.R. 2700, effective July 1, 2004 (Supp. 04-2). Amended by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015.

Ariz. Admin. Code § R4-6-1104 Financial and Billing Records

A licensee shall:

Make financial arrangements with a client or the client's legal representative, third-party payer, or supervisee that are reasonably understandable and conform to accepted billing practices;

Before entering a therapeutic relationship, clearly explain to a client or the client's legal representative, all financial arrangements related to professional services, including the use of collection agencies or legal measures for nonpayment;

Truthfully represent financial and billing facts to a client or the client's legal representative, third-party payer, or supervisee regarding services rendered; and

4. Maintain billing records, separate from clinical documentation, which correspond with the client record.

History

• New Section made by exempt rulemaking at 10 A.A.R. 2700, effective July 1, 2004 (Supp. 04-2). Amended by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015.

Ariz. Admin. Code § R4-6-1105 Confidentiality

A. A licensee shall release or disclose client records or any information regarding a client only:

1. In accordance with applicable federal or state law that authorizes release or disclosure; or

2. With written authorization from the client or the client's legal representative.

B. A licensee shall ensure that written authorization for release of client records or any information regarding a client is obtained before a client record or any information regarding a client is released or disclosed unless otherwise allowed by state or federal law.

C. Written authorization includes:

1. The name of the person disclosing the client record or information;

2. The purpose of the disclosure;

3. The individual, agency, or entity requesting or receiving the record or information;

4. A description of the client record or information to be released or disclosed;

5. A statement indicating authorization and understanding that authorization may be revoked at any time;

6. The date or circumstance when the authorization expires, not to exceed 12 months;

7. The date the authorization was signed; and

8. The dated signature of the client or the client's legal representative.

D. A licensee shall ensure that any written authorization to release a client record or any information regarding a client is maintained in the client record.

E. If a licensee provides behavioral health services to multiple members of a family, each legally competent, participating family member shall independently provide written authorization to release client records regarding the family member . Without authorization from a family member, the licensee shall not disclose the family member's client record or any information obtained from the family member.

History

• New Section made by exempt rulemaking at 10 A.A.R. 2700, effective July 1, 2004 (Supp. 04-2). Amended by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015.

Ariz. Admin. Code § R4-6-1106 Telepractice

A. Except as otherwise provided by statute, an individual who provides counseling, social work, marriage and family therapy, or substance abuse counseling via telepractice to a client located in Arizona shall be licensed by the Board.

B. Except as otherwise provided by statute, a licensee who provides counseling, social work, marriage and family therapy, or substance abuse counseling via telepractice to a client located outside Arizona shall comply with not only A.R.S. Title 32, Chapter 33, and this Chapter but also the laws and rules of the jurisdiction in which the client is located.

C. An individual who provides counseling, social work, marriage and family therapy, or substance abuse counseling via telepractice shall:

In addition to complying with the requirements in R4-6-1101, document the limitations and risks associated with telepractice, including but not limited to the following;

a. Inherent confidentiality risks of electronic communication,

b. Potential for technology failure,

c. Emergency procedures when the licensee is unavailable, and

d. Manner of identifying the client when using electronic communication that does not involve video;

2. In addition to complying with the requirements in R4-6-1103, include the following in the progress note required under R4-6-1103(H) :

a. Mode of session, whether interactive audio, video, or electronic communication; and

b. Verification of the client's:

i. Physical location during the session; and

ii. Local emergency contacts.

History

• Adopted by exempt rulemaking at 21 A.A.R. 2630, effective 11/1/2015. Amended by final rulemaking at 26 A.A.R. 2881, effective 1/3/2021.

Chapter 7 Board of Chiropractic Examiners

Article 1 DEFINITIONS; MEETINGS

Ariz. Admin. Code § R4-7-101 Definitions

In addition to the definitions in A.R.S. § 32-900, unless otherwise specified, the following terms have the following meanings:

1. "Adequate patient records" means legible chiropractic records containing, at the minimum, sufficient information to identify the patient and physician, support the diagnosis, identify the specific elements of the chiropractic service performed, indicate special circumstances or instruction provided to the patient, if any, identify a treatment plan, and provide sufficient information for another practitioner to assume continuity of patient care.

2. "Business day" means Monday through Friday, 8:00 a.m. to 5:00 p.m. except for state holidays.

3. "C.A." means a chiropractic assistant under A.R.S. § 32-900.

4. "Certification" means approval to practice chiropractic specialties under A.R.S. § 32-922.02.

5. "Chiropractor" means doctor of chiropractic or chiropractic physician pursuant to A.R.S. §§ 32-925(A), 32-926(A) and (B) and may be designated by the abbreviation "D.C."

6. "Controlled substance" means a drug or substance identified, defined, or listed in A.R.S. Title 36, Chapter 27, Article 2.

7. "Device" has the same meaning as prescribed in A.R.S. § 32-1901.

8. "Diagnosis" means the determination of the nature of a condition or illness under A.R.S. § 32-925(A) and (B).

9. "Dispense" means to deliver to an ultimate user under A.R.S. § 32-925(A) and (B).

10. "Extern" means a student of a Board-approved chiropractic college who participates in the preceptorship training program.

11. "License" means a document issued by the Board to practice chiropractic

12. "Non-prescription drug" or "over-the-counter drug" has the same meaning as prescribed in A.R.S. § 32-1901. Drug has the same meaning as prescribed in A.R.S. § 32-1901, but does not include those substances referenced in subsection (13).

13. "Nutrition" includes, but is not limited to, vitamins, minerals, water, enzymes, botanicals, homeopathic preparations, phytonutrients, glandular extracts, and natural hormones.

14. "Preceptor" means a supervising chiropractor approved by the Board to supervise a student in a Board approved preceptorship training program.

15. "Preceptorship training program" means a Board approved program by which a student may practice chiropractic under the supervision of a preceptor.

16. "Prescribe" means to order or recommend a treatment or device.

17. "Prescription drug" has the same meaning as prescribed in A.R.S. § 32-1901.

18. "Supervision" means a licensed chiropractor is present in the office, sees a patient, assigns the work to be done regarding the patient, and is available to check the work of the supervised individual as it progresses and the completed work.

History

• Adopted effective December 31, 1975 (Supp. 75-2). Former Section R4-7-01 renumbered as Section R4-7-101 and amended effective September 27, 1985 (Supp. 85-5). Amended effective December 18, 1992 (Supp. 92-4). Amended effective July 6, 1993 (Supp. 93-3). Amended effective June 19, 1997 (Supp. 97-2). Amended by final rulemaking at 5 A.A.R. 998, effective March 16, 1999 (Supp. 99-1). Amended by final rulemaking at 14 A.A.R. 502, effective April 5, 2008 (Supp. 08-1).

Ariz. Admin. Code § R4-7-102 Repealed

History

• Adopted effective December 31, 1975 (Supp. 75-2). Former Section R4-7-02 renumbered as Section R4-7-102 without change effective September 27, 1985 (Supp. 85-5). Repealed effective July 6, 1993 (Supp. 93-3).

Ariz. Admin. Code § R4-7-103 Renumbered

History

• Former Section R4-7-03 renumbered as Section R4-7-103 effective September 27, 1985 (Supp. 85-5).

Ariz. Admin. Code § R4-7-104 Meetings

The Board shall hold its annual election of officers during its July meeting.

History

• Former Article I, Rules 1, 2, and 3; Amended effective December 31, 1975 (Supp. 75-2). Former Section R4-7-04 renumbered as Section R4-7-104 without change effective September 27, 1985 (Supp. 85-5). Amended effective July 6, 1993 (Supp. 93-3).

Article 2 COMMITTEES

Ariz. Admin. Code § R4-7-201 Formation

The Board may from time to time appoint such committees as it deems necessary or proper to assist it in carrying out its duties. Committees may be appointed for such periods of time as the Board designates.

History

• Former Article II, Rule 1; Amended effective December 31, 1975 (Supp. 75-2). Former Section R4-7-10 renumbered as Section R4-7-201 without change effective September 27, 1985 (Supp. 85-5). Amended effective July 6, 1993 (Supp. 93-3).

Ariz. Admin. Code § R4-7-202 Powers and Duties

Committees appointed by the Board shall make reports to the Board based on their findings or investigations and may make recommendations for further action by the Board.

History

• Former Article II, Rule 2; Former Section R4-7-11 renumbered as Section R4-7-202 without change effective September 27, 1985 (Supp. 85-5).

Ariz. Admin. Code § R4-7-203 Renumbered

History

• Former Article II, Rule 3; Repealed effective December 31, 1975 (Supp. 75-2). Former Section R4-7-12 renumbered as Section R4-7-203 effective September 27, 1985 (Supp. 85-5).

Article 3 HEARINGS

Ariz. Admin. Code § R4-7-301 Investigation of a Complaint

A. The Board may investigate any complaint alleging violation of A.R.S. § 32-900 et seq. or this Chapter.

B. A subpoena compelling the production of documentary evidence or testimony of a witness under A.R.S. § 32-929 shall bear the seal of the Board and the signature of any member of the Board or the Board's executive director.

C. If the Board finds probable cause that a licensee has violated A.R.S. § 32-900 et seq. or this Chapter, the Board shall notice the licensee of the time and place for a formal interview under A.R.S. Title 32, Chapter 8, Article 2, for a public hearing under A.R.S. Title 41, Chapter 6, Article 10.

History

• Former Article III, Rule 1; Former Section R4-7-15 repealed, new Section R4-7-15 adopted effective December 31, 1975 (Supp. 75-2). Former Section R4-7-15 renumbered as Section R4-7-301 without change effective September 27, 1985 (Supp. 85-5). Section repealed, new Section adopted effective July 6, 1993 (Supp. 93-3). Amended by final rulemaking at 7 A.A.R. 1539, effective March 13, 2001 (Supp. 01-1). Amended by final rulemaking at 13 A.A.R. 1848, effective July 10, 2007 (Supp. 07-2).

Ariz. Admin. Code § R4-7-302 Service

A. Service of any document, or a copy thereof, is deemed to have been made upon personal service or by enclosing a copy of the document in a sealed envelope and depositing the envelope as certified mail in the United States mail, with first-class postage prepaid, addressed to the party, at the address last provided to the Board.

B. Service by mail is deemed complete five days following the day the paper to be served is deposited in the United States mail.

C. In computing time, the date of mailing is not counted. All intermediate Sundays and holidays are counted but, if the last day falls on a Sunday or a holiday, that day is not counted and service is considered completed on the next business day.

D. The Board shall mail each notice of formal interview or hearing and final decision by certified mail to the last known address reflected in the records of the Board.

E. In addition to service of any pleading upon the Board or any member of the Board, a copy of the pleading shall also be served upon the Attorney General of this state.

History

• Former Article III, Rule 2; Amended effective December 31, 1975 (Supp. 75-2). Former Section R4-7-16 renumbered as Section R4-7-302 without change effective September 27, 1985 (Supp. 85-5). Section repealed, new Section adopted effective July 6, 1993 (Supp. 93-3). Amended by final rulemaking at 13 A.A.R. 1848, effective July 10, 2007 (Supp. 07-2).

Ariz. Admin. Code § R4-7-303 Conduct of Hearing or Formal Interview

A. All hearings shall be conducted before the Board or a hearing officer pursuant to A.R.S. Title 41, Chapter 6, Article 10. All formal interviews shall be conducted before the Board pursuant to A.R.S. Title 32, Chapter 8, Article 2.

1. Parties may stipulate to any facts that are not in dispute. Stipulations may be made in writing or orally by reading the stipulation into the record. A stipulation is binding upon the parties unless the Board grants permission to withdraw from the stipulation. The Board may set aside any stipulation and proceed to ascertain the facts.

2. The Board may, of its own motion or at request of any party, call a conference of the parties at the opening of any hearing or formal interview or at any subsequent time, for the purpose of clarifying the procedural steps to be followed in the proceeding, or the legal or factual issues involved.

3. By order of the Board, proceedings involving a common question of law or fact may be consolidated for hearing or formal interview regarding any or all matters at issue.

B. If a licensee fails to appear when noticed at any proceeding before the Board, the Board may act upon the available evidence and information without further notice to the licensee.

History

• Former Article III, Rule 3; Former Section R4-7-17 repealed, new Section R4-7-17 adopted effective December 31, 1975 (Supp. 75-2). Former Section R4-7-17 renumbered as Section R4-7-303 without change effective September 27, 1985 (Supp. 85-5). Section repealed, new Section adopted effective July 6, 1993 (Supp. 93-3). Amended by final rulemaking at 13 A.A.R. 1848, effective July 10, 2007 (Supp. 07-2).

Ariz. Admin. Code § R4-7-304 Repealed

History

• Former Article III, Rule 4; Former Section R4-7-18 renumbered as Section R4-7-304 without change effective September 27, 1985 (Supp. 85-5). Section repealed effective July 6, 1993 (Supp. 93-3).

Ariz. Admin. Code § R4-7-305 Rehearing or Review

A. Except as provided in subsection (G), any party in an appealable agency action or contested case before the Board aggrieved by a decision may file with the Board a written motion for rehearing or review specifying the particular grounds not later than 30 days after service of the final administrative decision.

B. A party may amend a motion for rehearing or review no later than eight days prior to the date set for the Board to rule on the motion. A party may respond within 15 days after service of the motion or amended motion. The Board may require the filing of written briefs upon the issues raised in the motion and may provide for oral argument.

C. The Board may grant a rehearing or review for any of the following causes materially affecting the moving party's rights:

1. Irregularity in the administrative proceedings of the Board, its hearing officer, or the prevailing party, or any order or abuse of discretion that deprives the moving party of a fair hearing;

2. Misconduct of the Board, the hearing officer, or the prevailing party;

3. Accident or surprise that could not have been prevented by ordinary prudence;

4. Newly discovered material evidence that could not with reasonable diligence have been discovered and produced at the original hearing;

5. Excessive or insufficient penalties;

6. Error in the admission or rejection of evidence or other errors of law occurring at the administrative hearing; or

7. That the decision is not justified by the evidence or is contrary to law.

D. The Board may affirm or modify the decision or grant a rehearing or review to all or any of the parties on all or part of the issues for any of the reasons in subsection (C). An order granting a rehearing or review shall specify with particularity the grounds for the order.

E. Not later than 10 days after the decision, the Board may, after serving each party with notice and an opportunity to be heard, order a rehearing or review of its decision for any reason for which it might have granted a rehearing or review on motion of a party. The Board may grant a motion for rehearing or review for a reason not stated in the motion. In either case, the order granting a rehearing or review shall specify the grounds on which it is granted.

F. When a motion for rehearing or review is based upon an affidavit, the affidavit shall be served with the motion. An opposing party may, within 10 days after service, serve an opposing affidavit. The Board may extend the period for serving an opposing affidavit for not more than 20 days for good cause shown or by written stipulation of the parties. The Board my permit a reply affidavit.

G. If the Board makes a specific finding that the immediate effectiveness of a particular decision is necessary for the preservation of the public peace, health, or safety and that a rehearing or review is impracticable, unnecessary, or contrary to the public interest, the decision may be issued as a final decision without an opportunity for a rehearing or review. If a decision is issued as a final decision without an opportunity for rehearing or review, an application for judicial review of the decision may be made within the time limits permitted for applications for judicial review of the Board's final decisions.

History

• Adopted effective September 15, 1978 (Supp. 78-5). Former Section R4-7-19 renumbered as Section R4-7-305 without change effective September 27, 1985 (Supp. 85-5). Amended effective July 6, 1993 (Supp. 93-3). Amended effective June 23, 1997 (Supp. 97-2). Amended by final rulemaking at 7 A.A.R. 1539, effective March 13, 2001 (Supp. 01-1). Amended by final rulemaking at 13 A.A.R. 1846, effective July 10, 2007 (Supp. 07-2).

Article 4 EXAMINATIONS

Ariz. Admin. Code § R4-7-401 Repealed

History

• Former Article IV, Rule 1 (in part); Amended effective December 31, 1975 (Supp. 75-2). Former Section R4-7-20 renumbered as Section R4-7-401 without change effective September 27, 1985 (Supp. 85-5). Repealed effective December 9, 1994 (Supp. 94-4).

Ariz. Admin. Code § R4-7-402 Renumbered

History

• Former Article IV, Rule 1 (in part); Repealed effective December 31, 1975 (Supp. 75-2). Former Section R4-7-21 renumbered as Section R4-7-402 effective September 27, 1985 (Supp. 85-5).

Ariz. Admin. Code § R4-7-403 Repealed

History

• Former Article IV, Rule 1 (in part); Amended effective December 31, 1975 (Supp. 75-2). Former Section R4-7-22 renumbered as Section R4-7-403 without change effective September 27, 1985 (Supp. 85-5). Repealed effective December 9, 1994 (Supp. 94-4).

Ariz. Admin. Code § R4-7-404 Investigations

The Board may require an applicant to appear and supply to the Board information or documents necessary to establish the qualifications of applicant.

History

• Former Article IV, Rule 2; Former Section R4-7-23 renumbered as Section R4-7-404 without change effective September 27, 1985 (Supp. 85-5). Amended by final rulemaking at 7 A.A.R. 1539, effective March 13, 2001 (Supp. 01-1). Amended by final rulemaking at 18 A.A.R. 2552, effective November 19, 2012 (Supp. 12-3).

Ariz. Admin. Code § R4-7-405 Refusal to Issue Licenses

If the Board, after investigation of an applicant either before or after the applicant has taken the examination, determines that an applicant is not qualified to be issued a license, the Board shall notify applicant immediately of its decision to refuse to issue a license and the reasons therefore.

History

• Former Article IV, Rule 3; Former Section R4-7-24 renumbered as Section R4-7-405 without change effective September 27, 1985 (Supp. 85-5). Amended effective December 9, 1994 (Supp. 94-4).

Ariz. Admin. Code § R4-7-406 Repealed

History

• Former Article IV, Rule 4; Former Section R4-7-25 renumbered as Section R4-7-406 without change effective September 27, 1985 (Supp. 85-5). Repealed effective December 9, 1994 (Supp. 94-4).

Article 5 LICENSES

Ariz. Admin. Code § R4-7-501 Display of Licenses

A licensee shall, at all times, display the license issued to the licensee by the Board in a conspicuous place at all locations where the licensee engages in the practice of chiropractic, including mobile practices. A licensee shall, upon request of any person, produce for inspection the license renewal certificate for the current calendar year.

History

• Former Article V, Rule 1; Former Section R4-7-30 renumbered as Section R4-7-501 without change effective September 27, 1985 (Supp. 85-5). Amended by final rulemaking at 7 A.A.R. 2821, effective June 12, 2001 (Supp. 01-2). Amended by final rulemaking at 13 A.A.R. 1848, effective July 10, 2007 (Supp. 07-2).

Ariz. Admin. Code § R4-7-502 Procedures for Processing Initial License Applications

A. An applicant may obtain a license application package at the Board Office on business days, from the Board website, or by requesting that the Board mail the application to an address specified by the applicant. An applicant shall pay the Board a non-refundable $10 fee for each license application package.

B. A completed license application package shall be submitted to the Board office on business days. The Board shall deem the license application package received on the date that the Board stamps on the package as the date the package is delivered to the Board office;

C. To complete a license application package, an applicant shall provide the following information and documentation:

1. Two identical passport quality photographs, showing the applicant's full front face and a description of identifying characteristics, if any;

2. The applicant's full current name and any former names;

3. The applicant's current home and all office addresses, current home and all office phone numbers, all current office fax numbers, and any previous home or office address or addresses for the past five years;

4. The type of license, for which application is made;

5. All applicable fees.

6. A record of education requirements described in A.R.S. § 32-921(B) including the applicant's chiropractic college transcript and the applicant's certificate of attainment of passing scores for Parts I, II, III, and IV of the examination conducted by the National Board of Chiropractic Examiners;

7. Any record of being convicted of, pleading guilty to, or pleading nolo contendere to a misdemeanor or a felony, even if the record of the conviction or plea was sealed or expunged or the conviction was set aside or forgiven, and any record of an arrest, investigation, indictment, or charge within the last 12 months. The applicant shall submit any record of being refused a license to practice chiropractic or any other health care profession in this or any other state, and any record of a formal sanction taken against the applicant's license in this or any other state;

8. A completed fingerprint card;

9. A list of all other states or jurisdictions in which the applicant is or has been licensed or certified to practice chiropractic or any other health care profession with a verification of good standing for each current license or certification submitted directly by the licensing agency of the other state or jurisdiction;

10. The name and professional designation of the owner or owners of the clinic or office at which the applicant will be employed, if applicable;

11. The applicant's Social Security number;

12. The applicant's notarized signature, attesting to the truthfulness of the information provided by the applicant;

13. A score of 75% or higher on the Arizona Jurisprudence Examination. The applicant shall not sit for the Arizona Jurisprudence Examination until the application package is otherwise complete.

D. Within 25 business days of receiving a license application package, the Board shall notify the applicant in writing that the package is either complete or incomplete. If the package is incomplete, the notice shall specify the information that is missing. If the Board does not provide notice to the applicant, the license application package shall be deemed complete after the passage of 25 business days.

E. An applicant with an incomplete license application package shall supply the missing information within 60 calendar days from the date of the notice. An applicant who is unable to supply the missing information within 60 calendar days may submit a written request to the Board for an extension of time in which to provide a complete application package. The request for an extension of time shall be submitted to the Board office before the 60-day deadline for submission of a complete application package, and shall state the reason that the applicant is unable to comply with the 60-day requirement and the amount of additional time requested. The Board shall grant a request for an extension of time if the Board finds that the reason the applicant was unable to comply with the 60-day requirement was due to circumstances beyond the applicant's control and that compliance can reasonably be expected to be remedied during the extension of time.

F. If an applicant fails to submit a complete license application package within the time permitted, the Board shall close the applicant's file and send a notice to the applicant by U.S. Mail that the application file has been closed. An applicant whose file has been closed and who later wishes to become licensed, shall apply anew.

G. After receiving all missing information as specified in subsection (E), the Board shall notify the applicant that the license application package is complete.

H. The Board shall render a licensing decision no later than 120 business days after receiving a completed license application package. The Board shall deem a license application package to be complete on the postmarked date of the notice advising the applicant that the package is complete.

I. An applicant seeking initial licensure by reciprocity under A.R.S. § 32-922.01 shall submit an application to the Board and shall comply with all provisions of R4-7-502 except that the applicant is not required to submit proof of obtaining a passing score on Part IV of the examination conducted by the National Board of Chiropractic Examiners.

J. An applicant seeking initial licensure by endorsement under A.R.S. § 32-922.03 shall submit an application to the Board and shall comply with all provisions of R4-7-502 except that the applicant is not required to submit proof of obtaining a passing score on Part III & IV of the examination conducted by the National Board of Chiropractic Examiners.

J. K. For the purpose of A.R.S. § 41-1073, the Board establishes the following time-frames for initial licenses:

1. Administrative completeness review time-frame: 25 business days.

Substantive review time-frame: 120 business days.

3. Overall time-frame: 145 business days.

History

• Former Article V, Rule 2; Amended effective December 31, 1975 (Supp. 75-2). Former Section R4-7-31 renumbered as Section R4-7-502 without change effective September 27, 1985 (Supp. 85-5). Repealed effective July 6, 1993 (Supp. 93-3). Adopted effective November 1, 1998; filed in the Office of the Secretary of State October 22, 1998 (Supp. 98-4). Amended by final rulemaking at 13 A.A.R. 1848, effective July 10, 2007 (Supp. 07-2). Amended by final rulemaking at 23 A.A.R. 3534, effective 1/1/2018.

Ariz. Admin. Code § R4-7-503 Renewal License: Issuance, Reinstatement

A. Under A.R.S. § 32-923(B), an individual licensed under A.R.S. Title 32, Chapter 8, shall renew the license every year before January 1.

B. The licensee renewal application shall be returned to the Board office on a business day. The date of receipt shall be the postmarked date or the date the licensee hand delivers the license renewal application.

C. To complete a license renewal application, a licensee shall provide the following information and documentation:

1. The licensee's full name;

2. The licensee's current home and office addresses, current home and all office phone numbers, and all current office fax numbers;

3. The name and professional designation of the owner or owners of the clinic or office at which the licensee is employed;

4. The licensee's Social Security number;

5. A record of any professional disciplinary investigation or sanction taken against the licensee by a licensing board since the licensee last applied for renewal of a license in this or any other state;

6. A record of any arrest, indictment or charge or any conviction or plea agreement for a misdemeanor or felony since the licensee last applied for renewal of the license;

7. The renewal fee 00 as required by A.R.S. § 32-923;

8. Attestation of compliance with the continuing education requirements under A.R.S. § 32-931 and R4-7-801. The licensee shall attest to compliance with continuing education requirements by documenting, on the renewal form, the date or dates the continuing education course was attended, the number of hours of continuing education completed, the qualifying course topic or topics, and the name of the accredited college or university with whom the course instructor is affiliated with as faculty. If the course does not meet the requirements under A.R.S. § 32-931 and R4-7-801, but has been approved by the Board, the applicant shall provide the continuing education course approval number issued by the Board instead of the name of the affiliated college or university;

9. The licensee's signature attesting to the truthfulness of the information provided by the licensee.

D. In accordance with A.R.S. § 32-923(C), the Board shall automatically suspend a license if the licensee does not submit a completed application for renewal before January 1 of each calendar year. The Board shall send written notice of the license suspension to the licensee on or before January 20.

E. The Board shall reinstate a suspended license if the licensee pays the annual license renewal fee, pays an additional fee of $200 as required by A.R.S. § 32-923(D), and submits a completed license renewal application between January 1, and March 31 of the calendar year for which the license renewal is made.

F. On or after July 1 of the calendar year for which a license renewal application was to be made, an individual who wishes to have a suspended license reinstated shall apply for reinstatement in accordance with A.R.S. § 32-923(D).

G. An application for reinstatement of license shall be made on a form and in a manner prescribed by the Board.

H. A completed application for reinstatement of a license shall be submitted to the Board office on a business day. The Board shall deem an application for reinstatement of a license received on the date that the Board stamps on the application as the date it is delivered to the Board office.

I. To complete an application for reinstatement of license, an applicant shall provide the following information and documentation:

1. The applicant's full current name, suspended license number, and certification number if a specialty certification was held by the licensee;

2. The applicant's current home and all office addresses, current home and all office phone numbers, and all current office fax numbers;

3. The name and professional designation of the owner or owners of the office or clinic at which the applicant will be employed;

4. The applicant's Social Security number;

5. A list of all other states or jurisdictions in which the applicant is or has been licensed or certified to practice chiropractic or any other health care profession with a verification of good standing for each current license or certification submitted directly by the licensing agency of the other states or jurisdictions;

6. A list of required continuing education courses completed and certification of course completion;

7. A record of any professional disciplinary investigation or sanction initiated since the applicant last applied to renew the license;

8. A record of any arrest, indictment or charge or any conviction or plea agreement for a misdemeanor or a felony since the date of the applicant's last application for licensure;

9. The applicant's notarized signature attesting to the truthfulness of the information provided by the applicant.

J. The Board shall process a license reinstatement application in accordance with R4-7502(D) through (J). The Board shall deem the application received on the date that the Board stamps on the application as the date the application is delivered to the Board Office.

K. The Board shall reinstate or renew a license if:

1. The applicant or licensee has complied with the requirements of this Chapter and A.R.S. § 32-900 et seq.;

2. The applicant or licensee has not had any professional disciplinary sanction taken against the applicant's or licensee's license by a licensing board since the last application for licensure;

3. The applicant or licensee has not been convicted of, pled guilty to, or pled nolo contendere to a misdemeanor or a felony since the last application for licensure.

L. If the provisions of subsection (K) are satisfied, the Board shall issue a license renewal certificate on or before February 1, of each year. The license renewal certificate shall serve as notice that the renewal application is complete and approved.

M. If there is reason to believe that the provisions of subsection (K) have not been satisfied or that possible grounds for denying the renewal or reinstatement application exist, the Board shall notify the applicant of this possibility within 25 business days of the date that the application is received at the Board office.

N. An applicant who is so notified that renewal or reinstatement may be denied may provide a written response and shall submit any documentation as required through written notice by the Board within 60 calendar days from the date of the Board's notice. An applicant who is unable to supply the required documentation within 60 calendar days may submit a written request to the Board for an extension of time in which to provide the required documentation. The request for an extension of time shall be submitted to the Board office before the 60-day deadline for submission of the required documentation, and shall state the reason that the applicant is unable to comply with the 60-day requirement and the amount of additional time requested. The Board shall grant a request for an extension of time if the Board finds that the reason the applicant was unable to comply with the 60-day requirement was due to circumstances beyond the applicant's control and that compliance can reasonably be expected to be remedied during the extension of time.

O. If an applicant fails to submit required documentation within the time permitted, the Board shall issue a notice of intent to deny the renewal application or reinstatement application.

P. The Board shall make a licensing decision no later than 70 business days after receiving all required documentation as specified in subsection (N). The Board shall deem required documentation received on the date that the Board stamps on the documentation as the date the documentation is delivered to the Board's office.

Q. For the purpose of A.R.S. § 41-1073, the Board establishes the following time-frames for renewal or reinstatement of licenses:

1. Administrative completeness review time-frame: 25 business days.

2. Substantive review time-frame: 70 business days.

3. Overall time-frame: 95 business days.

History

• Former Article V, Rule 3; Repealed effective December 31, 1975 (Supp. 75-2). Former Section R4-7-32 renumbered as Section R4-7-503 effective September 27, 1985 (Supp. 85-5). Adopted effective November 1, 1998; filed in the Office of the Secretary of State October 22, 1998 (98-4). Amended by final rulemaking at 13 A.A.R. 1848, effective July 10, 2007 (Supp. 07-2). Amended by final rulemaking at 23 A.A.R. 3534, effective 1/1/2018.

Ariz. Admin. Code § R4-7-504 License: Denial

If the Board denies a license, the Board shall send the applicant written notice explaining:

1. The reason for denial, with citations to supporting statutes or rules;

The applicant's right to seek a fair hearing to challenge the denial;

3. The time periods for appealing the denial; and

4. The right to request an informal settlement conference with the Board's authorized agent.

History

• Former Article V, Rule 4 (in part); Amended effective December 31, 1975 (Supp. 75-2). Former Section R4-7-33 renumbered as Section R4-7-504 without change effective September 27, 1985 (Supp. 85-5). Repealed effective July 6, 1993 (Supp. 93-3). Adopted effective November 1, 1998; filed in the Office of the Secretary of State October 22, 1998 (98-4). Amended by final rulemaking at 18 A.A.R. 2552, effective November 19, 2012 (Supp. 12-3).

Ariz. Admin. Code § R4-7-505 Renumbered

History

• Former Article V, Rule 4 (in part); Repealed effective December 31, 1975 (Supp. 75-2). Former Section R4-7-34 renumbered as Section R4-7-505 effective September 27, 1985 (Supp. 85-5).

Article 6 SPECIALITY CERTIFICATIONS

Ariz. Admin. Code § R4-7-601 Definition of Acupuncture as Applied to Chiropractic

A. Acupuncture as applied to chiropractic is stimulation of a certain meridian point or points on or near the surface of the body to control and regulate the flow and balance of energy of the body.

B. Acupuncture includes acupuncture by needle, electrical stimulation, ultrasound, acupressure, laser, auricular therapy, or any implement that stimulates acupuncture points.

C. Acupuncture does not include cupping, moxibustion, or cosmetic therapy.

History

• Repealed effective December 31, 1975 (Supp. 75-2). New Section R4-7-40 adopted effective January 25, 1984 (Supp. 84-1). Former Section R4-7-40 renumbered as Section R4-7-601 without change effective September 27, 1985 (Supp. 85-5). Amended by final rulemaking at 7 A.A.R. 2821, effective June 12, 2001 (Supp. 01-2). Amended by final rulemaking at 18 A.A.R. 2552, effective November 19, 2012 (Supp. 12-3).

Ariz. Admin. Code § R4-7-602 Percutaneous Therapy as Applied to Chiropractic

A. "Percutaneous Therapy" means a skilled procedure performed by a Chiropractic Physician that uses a filiform needle to penetrate the skin and produce changes to underlying neural, muscular and other biologic tissues for the evaluation and management of neuromus-culoskeletal conditions.

B. "Percutaneous Therapy" includes the use of electrified needles.

C. Effective January 1, 2018, A Chiropractic Physician, who wishes to perform the Percutaneous Therapy procedure, shall have met the qualifications established in paragraph (D) before providing "Percutaneous Therapy."

D. A Chiropractic Physician offering to provide or providing "Percutaneous Therapy" procedure(s) shall provide documented proof of compliance with the qualifications to the Board within 30 days of completion of the course content in paragraph (G - J) or within 30 days of initial licensure as a chiropractic physician in Arizona.

E. An application for review and approval of a chiropractic physician offering to provide "Percutaneous Therapy" shall be made on a form and in a matter prescribed by the Board. An applicant shall pay the Board a non-refundable $50 fee for each application package.

F. An application for approval of a "Percutaneous Therapy" course shall comply with R4-7-801(E).

G. The course content shall be approved by one or more of the following entities prior to the course(s) being completed by the Chiropractic Physician.

1. State of Arizona Board of Chiropractic Examiners

2. American Chiropractic Association

3. The Federation of Chiropractic Licensing Boards

International Chiropractic Association

5. Providers of Approved Continuing Education (PACE)

6. American Medical Association

7. American Osteopathic Association

8. Accreditation Council for Continuing Medical Education (ACCME)

H. The course content shall include the following components of education and training:

1. Sterile Needle procedures to include either the U.S. Centers for Disease Control and Prevention, or The U.S. Occupational Safety and Health Administration

2. Anatomical Review

3. Blood Borne Pathogens

4. Indications and Contraindication for "Percutaneous Therapy"

L. The course content required of this section shall total a minimum of 24 in person contact hours of education.

J. At the request of a licensee, the Board may:

1. Review coursework completed prior to January 1, 2018 for approval.

2. Waive some or all of the hours required by subsection 4, if the licensee presents satisfactory proof of completing course work that constitutes adequate training of "Percutaneous Therapy" or of the components of education and training require for "Percutaneous Therapy".

3. Determine the licensee has received adequate training to be eligible to perform "Percutaneous Therapy."

4. Determine that a licensee who has been issued an Acupuncture certification is qualified to perform "Percutaneous Therapy".

K. The Standard of Care of the "Percutaneous Therapy" procedure includes, but is not limited to the Following:

1. "Percutaneous Therapy" cannot be delegated to any assistive personnel.

Consent & Documentation for Treatment shall be maintained in accordance with R4-7-101(1) and R4-7-902(5) & (6).

L. The Board may upon its own motion or on receipt of a complaint may withdraw its approval for a licensee to provide "Percutaneous Therapy" or it may withdraw its approval of a "Percutaneous Therapy" course.

M. The Board shall keep a register of licensees who have been approved to provide "Percutaneous Therapy".

History

• Repealed effective December 31, 1975 (Supp. 75-2). New Section R4-7-41 adopted effective January 25, 1984 (Supp. 84-1). Former Section R4-7-41 renumbered as Section R4-7-602 without change effective September 27, 1985 (Supp. 85-5). Repealed effective December 9, 1994 (Supp. 94-4). Amended by final rulemaking at 23 A.A.R. 3534, effective 1/1/2018.

Ariz. Admin. Code § R4-7-603 Renumbered

History

• Repealed effective December 31, 1975 (Supp. 75-2). Former Section R4-7-42 renumbered as Section R4-7-603 effective September 27, 1985 (Supp. 85-5).

Ariz. Admin. Code § R4-7-604 Renumbered

History

• Repealed effective December 31, 1975 (Supp. 75-2). Former Section R4-7-43 renumbered as Section R4-7-604 effective September 27, 1985 (Supp. 85-5).

Ariz. Admin. Code § R4-7-605 Renumbered

History

• Repealed effective December 31, 1975 (Supp. 75-2). Former Section R4-7-44 renumbered as Section R4-7-605 effective September 27, 1985 (Supp. 85-5).

Ariz. Admin. Code § R4-7-606 Renumbered

History

• Repealed effective December 31, 1975 (Supp. 75-2). Former Section R4-7-45 renumbered as Section R4-7-606 effective September 27, 1985 (Supp. 85-5).

Article 7 STANDARDS OF EDUCATION

Ariz. Admin. Code § R4-7-701 Repealed

History

• Adopted as an emergency effective June 24, 1977 (Supp. 77-3). Former Section R4-7-50 adopted as an emergency pursuant to A.R.S. § 41-1003, valid for only 90 days. New Section R4-7-50 adopted effective December 29, 1977 (Supp. 77-6). Former Section R4-7-50 renumbered as Section R4-7-701 without change effective September 27, 1985 (Supp. 85-5). Amended effective July 6, 1993 (Supp. 93-3). Section repealed by final rulemaking at 8 A.A.R. 4895, effective January 7, 2003 (Supp. 02-4).

Ariz. Admin. Code § R4-7-702 Educational Requirements for Licensure

To qualify for licensure, an individual shall have graduated from a college of chiropractic that is accredited as specified in A.R.S. § 32-921(B)(2)(a) or that meets the standards of education for accreditation contained in The Council on Chiropractic Education Standards for Doctor of Chiropractic Programs and Institutions.

History

• Adopted as an emergency effective June 24, 1977 (Supp. 77-3). Former Section R4-7-51 adopted as an emergency pursuant to A.R.S. § 41-1003, valid for only 90 days. New Section R4-7-51 adopted effective December 29, 1977 (Supp. 77-6). Former Section R4-7-51 renumbered as Section R4-7-702 without change effective September 27, 1985 (Supp. 85-5). Amended effective July 6, 1993 (Supp. 93-3). Section repealed; new Section made by final rulemaking at 8 A.A.R. 4895, effective January 7, 2003 (Supp. 02-4).

Article 8 CONTINUING EDUCATION

Ariz. Admin. Code § R4-7-801 Continuing Education Requirements

A. To be eligible to renew a license, a licensee shall complete 12 credits of continuing education between January 1 and December 31 of each year, and document compliance with continuing education requirements on the license renewal application as required by R4-7-503(C). Continuing education credit shall be given for a minimum of fifty minutes of continuous study for each class hour. No credit shall be allowed for breaks or for time expended for study outside of the classroom.

B. Basic requirements - The primary consideration in determining whether or not a specific course qualifies as acceptable continuing education is that it must be a formal program of learning which will contribute directly to the professional competence of a licensee in the practice of chiropractic. Each course shall be on subjects of clinical benefit to the consumer of chiropractic services.

1. The content of the course, seminar or workshop must be recognized by reputable authorities as having validity, and must conform to the scope of practice for assessment, treatment and diagnosis as authorized under A.R.S. § 32-925 and A.R.S. § 32-922.02.

2. Instructors shall be qualified by education and/ or experience to provide instruction in the relevant subject matter.

3. Each licensee is responsible for determining in advance that the course which he or she attends qualifies for continuing education credit under this Article.

C. A licensee shall only obtain continuing education credit by:

1. Attending a course, (which includes a seminar or workshop), through a provider and on a subjects that have been pre-approved by the Board.

2. Participating in the development of, or proctoring the National Board of Chiropractic Examiners (NBCE) examinations. Continuing education credits earned in this manner are calculated as one credit hour for each hour of participation in the development of the NBCE examination for a maximum credit of eight hours per year, and one credit hour for each hour proctoring the NBCE exam for a total of eight hours per year. A licensee shall obtain a certificate of participation from the National Board of Chiropractic Examiners to verify compliance with this provision.

3. By teaching a post-graduate course that has been pre-approved by the Board for continuing education credit under this Section as a faculty member of a college or university that is accredited by or is in good standing with the Council on Chiropractic Education or is accredited by an accrediting agency recognized by the United States Department of Education or the Private Postsec-ondary Education Board during the renewal year. Continuing education credits earned in this manner are calculated as one credit of continuing education for each hour of post-graduate course instruction. A maximum of six credits of continuing education credit may be earned in this manner annually.

By completing a post-graduate mediated instruction or programmed learning course pre-approved by the Board through an accredited college or university that meets the requirements of A.R.S. § 32-931(B). Mediated instruction and programmed learning refers to learning transmitted by intermediate mechanisms such as webinar or other internet delivered courses that are structured to confirm 50 minutes of continuous instruction for each credit hour received. A licensee shall obtain a certificate of program completion from the accredited college or university to verify compliance with this provision.

D. The following are predetermined to meet Board approval as providers for continuing education. Additional approval is not required, nor should it be expected. An application submitted for a course that falls under this subsection shall be returned to the applicant without a review and subsection (E) does not apply. Coursework provided by these entities is approved as meeting continuing education requirements only for those subjects listed in subsections (J) and (K) of this Section. Preapproval does not include mediated instruction or programmed learning courses.

1. A college or university that meets the requirements of A.R.S. § 32-921(B)(2)(a), the American Chiropractic Association and the International Chiropractors Association, with qualified instructors and that provide courses that meet the subject requirements under subsections (J) or (K).

2. CPR training provided or sponsored by the American Heart Association, the American Red Cross, or an entity that meets equivalent standards of the American Heart Association and the American Red Cross. A maximum of four credits of continuing education credit may be earned in this manner annually.

Participation in the development of or proctoring the NBCE examinations.

E. Prior approval is required for all course providers not mentioned in subsection (D) and for all mediated instruction or programed learning courses regardless of subsection (D). A provider applying for approval of a continuing education course shall submit a complete application to the Board at least 60 days prior to the anticipated initial date of the course if submitted by internet, or 75 days if provided in hard copy form. The Board shall notify the applicant in writing that the package is either complete or incomplete. If the package is incomplete, the notice shall specify the information that is missing and the applicant must submit the missing information within 10 days of the notice. The Board will not approve a course if a complete application has not been submitted at least 15 business days prior to the initial date of the course identified in the initial application. If the applicant changes the initial date of the course or the course content or the instructors, it shall be considered a new application. A complete application shall include:

1. The name, dates, and locations of the course.

2. The number of hours requested for approval.

3. The subjects of the course, broken down by the specific time of instruction in/of each subject.

4. A course description including the content, explicit written objectives identifying expected learner outcomes for each section of the course and teaching method (i.e. lecture, discussion, PowerPoint, internet, webinar).

5. A detailed, hour by hour syllabus identifying the subject of instruction for each hour, with the instructor for each section identified. If less than an hour is dedicated to a subject, the syllabus shall identify the number of minutes dedicated to instruction on that subject.

6. A resume or curriculum vitae for each instructor and an attestation of the following:

a. Licenses for all instructors are currently in good standing.

b. No instructor has had a license placed on probation or restricted within the past five years in this or any other jurisdiction.

c. No instructor has ever had a license suspended or surrendered for unprofessional conduct or revoked in this or any other jurisdiction.

d. No instructor has had a license application or renewal denied for unprofessional conduct.

e. No instructor has been convicted of a misdemeanor involving moral turpitude or a felony in this or any other jurisdiction.

Documentation of license in good standing for each instructor for each state in which the instructor has or currently holds a license, if applicable. If an instructor is currently under investigation by a regulatory agency or is under investigation for, or been charged with, a criminal offence, the applicant shall disclose the investigation or charge and shall provide all relevant records.

8. One letter of reference for each course instructor from a person familiar with the instructor's qualifications as an instructor and education and/or experience in the relevant subject.

9. Identification of a sponsor, if applicable, and disclosure of any connection between the provider and/or instructor and/or sponsor of any commercial relationship and/or any external entity giving financial support to the course. If the course does have a sponsor, a completed sponsor/program provider agreement for continuing education, signed and notarized by a responsible party must be provided with the application.

10. Documentation of the method by which attendance will be monitored, confirmed and documented.

11. The name and contact information for the attendance certifying officer with an attestation that the certifying officer is supervised by the applicant provider and a description of the supervision method employed to confirm that the certifying officer is performing the duty of monitoring and confirming attendance.

12. Attestation that each course hour consists of no less than 50 minutes of continuous instruction and that credit is not provided for breaks.

13. The non-refundable fee required under R4-7-1301 for each course, whether individual or included in a program of multiple courses.

14. The name, address, telephone number, fax number and e-mail of a contact person.

15. Any other information required or requested by the Board.

16. If the course is a mediated instruction or programmed learning course, a detailed description of the method used to confirm that the participant was engaged in 50 minutes of continuous instruction for each credit hour awarded.

17. The Board may require that the applicant provide additional information in support of the application if the course qualifications are not clearly demonstrated through the materials provided.

18. At the request of a provider, the Board may review courses for retroactive approval and waive the requirement of 60 days, if the following requirements are met:

a. The provider submits an application for retroactive course approval.

b. Pays the nonrefundable retroactive application fee of $50.00.

c. The course was provided no more than 12 months prior to the application being submitted.

d. Meets all other requirements of this section.

F. The Board shall approve a continuing education course if the applicant has submitted a complete application to the Board's satisfaction within the time-frame required by this chapter and has demonstrated the following:

1. The course complies with this Chapter.

2. The course instructor is faculty at an accredited college or university that meets the requirements of A.R.S. § 32-921(B)(2)(a) or demonstrates equivalent qualifications through postgraduate study and experience teaching postgraduate coursework. An instructor must:

a. Hold an applicable license in good standing.

b. Shall not have had a license placed on probation within the last five years.

c. Shall not ever have had a license suspended, surrendered for unprofessional conduct or revoked.

d. Shall not have had a license application or renewal denied for unprofessional conduct.

e. Shall not or been convicted of a felony in this or any other jurisdiction.

3. The course instructor is qualified by education and experience to provide instruction in the relevant subject matter.

4. The subject of the course qualifies under subsections (D)(2) and (3), (J) and (K).

5. The course demonstrates attendance and/or monitoring procedures. Monitoring procedures must provide confirmation that a licensee was engaged in 50 minutes of continuous study for each credit hour.

G. The Board shall not approve a continuing education course if the applicant fails to submit a complete application within the time-frame required by this Chapter or if:

1. The course does not qualify under this Chapter.

2. The course subject does not qualify for continuing education credit under subsections (D)(2) and (3), (J) and (K).

3. The instructor's does not qualify as per subsection (F)(2).

4. The instructor's references do not support the qualifications of the instructor as per subsection (F).

5. The course primary focus is to promote a product or service.

6. The course requires participants to purchase a product or service.

7. The course has no significant relationship to the assessment, diagnosis or treatment of patients within the scope of practice of chiropractic as defined under A.R.S. §§ 32-925 and 32-922.02.

8. The content cannot be verified.

9. The course refutes generally accepted medical care and treatment and/or instructs participants to encourage patients to stop taking medication and/or stops participating in generally accepted medical care or fails to qualify under subsection (K).

H. A course approved by the Board pursuant to subsections (E) and (F) shall be issued an approval number. Once approved, a course provider shall:

1. Provide course attendees with a certificate confirming course participation. The certificate shall:

a.) include the name of the college or university through which the course was completed, or the course approval code issued by the Board, if applicable,

b.) the name and Arizona license number of the attendee,

c.) the name of the course provider, the course subject matter,

d.) the name of the course if different than the subject matter listed,

e.) the date and location of the course, and the number of hours of continuing education completed.

Maintain a list of all course attendees for a minimum of five years after each date that the course is held, and shall provide a copy of the list to the board within 10 days of a written request to do so.

3. Maintain a copy of the course syllabus and stated learning objectives, a list of instructors and documentation of the name, location and date of the course for a minimum of five years and shall provide the Board with a copy these materials within 10 days of a written request to do so.

4. Monitor course attendance by each attendee in a manner that confirms that the attendee was present and participating in the course for a continuous 50 minutes for each hour of continuing education credited.

5. Notify the Board immediately of concerns or problems that may arise regarding the approved course, to include discipline being imposed on the license of an instructor or an instructor being convicted of a criminal offense.

6. Reapply for Board approval every two years no later than the first day of the month in which the course was initially approved, and every time the subject of the course changes and/or there is a change in instructors that does not include an instructor already approved by the Board. Failure to reapply as per this subsection shall disqualify the course for ongoing continuing education credit.

7. Not represent that the course is sanctioned or promoted by the state of Arizona Board of Chiropractic Examiners. The provider may state that the course meets the continuing education requirements as per A.R.S. § 32-931. If the course has been directly approved by the Board, the provider may display the Board's course approval number.

I. The Board may monitor a continuing education provider's compliance with continuing education statutes and rules as follows:

1. The Board may request any or all documentation as per Section (H) of this rule from a board-approved Continuing education provider for any course registered for license renewal to ensure compliance with this rule.

2. A representative of the Board may attend any approved continuing education course for the purpose of verifying the content of the program and ensuring compliance with the Board's continuing education rules at no charge to the Board representative.

3. If the Board finds that a course or provider is not compliant with the Continuing statutes or rules, has misrepresented course content or instructors in an application, failed to obtain new approval for a course with a change in subject or instructor or failed to pay the course fee, the Board may withdraw its approval for continuing credit for the course and/or the provider. The withdrawal of approval shall be effective upon written notification to the provider's contact of record by the Board.

4. The Board shall notify a provider that it will consider withdrawal of course approval and provide the date, time and location of the meeting at which the matter will be discussed and possible action taken.

5. If approval is withdrawn, the Board shall notify the provider of the reasons for withdrawal of approval.

6. The provider shall notify all Arizona licensees who attended the course that any course hours obtained through the course cannot be used for continuing education credit of license renewal in the State of Arizona. If a provider fails to provide appropriate notice to Arizona licensed attendees, within ten business days of written notice from the Board that course approval has been withdrawn, that provider shall not be considered for approval of continuing education credit in the future. The notice to the Arizona licensed attendees must be made by certified mail in order to establish documentation that the requirement was met.

J. Course subjects approved for continuing education for renewal of an Arizona chiropractic license are:

1. Adjusting techniques;

2. Spinal analysis;

3. Physical medicine modalities and therapeutic procedures as defined in A.R.S. § 32-900(7) and (8);

4. Record keeping and documentation;

5. Ethics;

6. CPR;

7. Public health;

8. Communicable diseases;

9. Sexual boundaries;

10. Emergency procedures;

11. Acupuncture;

12. Nutrition;

13. Examination;

14. Assessment and diagnostic procedures to include physical, orthopedic, neurological procedures;

15. Radiographic technique;

16. Diagnostic imaging and interpretation;

17. Laser as permitted by law;

18. Clinical laboratory procedures limited to urine collection, fingerpicks and venipuncture (not to be confused with evaluation of lab reports);

19. Anatomy;

20. Physiology;

21. Bacteriology;

22. Chiropractic orthopedics and neurology;

23. Chemistry;

24. Pathology;

25. Patient management;

26. Evidence-based clinical interventions models;

Symptomatology;

28. Arizona jurisprudence;

29. Participation in National Board of Chiropractic Examiners examination development or administration of examinations.

Billing & Coding;

Recognition of substance abuse in a patient and Substance Abuse and Mental Health Services Administration Topics; and

31. Participation in National Board of Chiropractic Examiners examination development or administration of examinations.

K. In addition to the subjects in subsections (A), (C), (D) and (J), courses for the purpose of recognizing, assessing and determining appropriate referral or collaborative treatment of complex conditions, including but not limited to cancer, autism, multiple sclerosis, diabetes, and developmental disorders, for the purpose of co-management of the patient's condition with qualified medical providers shall qualify for continuing education credit.

L. The following subjects shall not qualify for continuing education for the purpose of license renewal and shall not be approved by the Board:

1. Billing, coding:

21. Malpractice defense;

3 2. Practice management;

4 3. Risk management;

5 4. Promotion of a product or a service or a requirement that attendees purchase a product or service;

6 5. Strategies to increase insurance payments;

7 6. Administrative or economic aspects of a practice;

8 7. Motivational courses;

9 8. Legal courses other than pre-approved Board jurisprudence;

10 9. Anti-aging;

1110. Hormone treatment;

12 11. Aroma therapy;

13 12. Stress management;

14 13. Psychological treatment;

15 14. HIPAA;

16 15. Homeopathic practice that exceeds A.R.S. § 32-925;

17 16. Professional or business meetings, speeches at luncheons, banquets, etc.;

18 17. Subject matter that exceeds the assessment, diagnosis and treatment of patients within the scope of practice of chiropractic as defined in this chapter;

19 18. Any course without a significant relationship to the safe and effective practice of chiropractic under A.R.S. § 32-925 and A.R.S. § 32-922.02;

20 19. And any course that involves a distance learning format or materials if the course has not been pre-approved by the board and issued a board approval number;

M. A licensee's compliance with subsections (A), and (C), shall include the following coursework in order to renew a license.

Each licensee shall complete a minimum of two hours of continuing education in recordkeeping for every even numbered year.

2. Each person who is issued a new license to practice chiropractic in Arizona on or after January 1, 2013 is required to attend three hours of a single regularly scheduled Board meeting within the first year of residence in Arizona. The licensee cannot distribute the three hours of Board meeting attendance over two or more Board meetings. The licensee shall notify the Board in writing within ten days of moving to Arizona. The meeting attendance must be pre-scheduled and pre-approved by Board staff. Continuing education credit will not be awarded if the licensee is attending the meeting as a subject of an investigation or other Board review or if the licensee fails to properly schedule attendance as per this Section. This subsection does not pertain to any person who has had a license to practice chiropractic in Arizona issued prior to January 1, 2013.

N. The Board shall grant an extension of 90 days to comply with the continuing education requirements to a qualified licensee. To qualify for an extension, a licensee shall:

1. Timely file a license renewal application and renewal fee; and

2. Submit a written request for an extension no later than December 1 of the current renewal year, including evidence of good cause why the continuing education requirements cannot be met by December 31 of the current renewal year.

O. The following reasons constitute good cause for the Board to grant an extension of time to comply with the continuing education requirements:

1. The licensee lived in a country where there was no accredited chiropractic college, or a college that meets the requirements of R4-7-702, for at least seven months during the year that the continuing education requirements are to be met;

2. The licensee was in active military service for at least seven months during the year that the continuing education requirements are to be met; or

3. The licensee was not able to complete the continuing education requirements because of a documented disability of the licensee or the licensee's spouse, child, or parent.

P. If the Board grants an extension of time to complete the required 12 hours of continuing education requirements, 12 hours of required continuing education credits obtained during the 90-day extension shall be applied to meet only the requirements for which the extension is granted. A licensee shall not report those 12 hours of continuing education credit earned during a 90-day extension for a subsequent renewal year.

History

• Adopted as an emergency effective Oct. 7, 1977 (Supp. 77-5). Former Section R4-7-60 repealed, New Section R4-7-60 adopted effective December 29, 1977 (Supp. 77-6). Repealed effective May 14, 1980 (Supp. 80-3). Former Section R4-7-60 renumbered as Section R4-7-801 effective September 27, 1985 (Supp. 85-5). Adopted effective June 19, 1997 (Supp. 97-2). Amended by final rulemaking at 7 A.A.R. 2821, effective June 12, 2001 (Supp. 01-2). Amended by final rulemaking at 13 A.A.R. 1848, effective July 10, 2007 (Supp. 07-2). Amended by final rulemaking at 18 A.A.R. 2554, effective November 19, 2012 (Supp. 12-3). Amended by final rulemaking at 23 A.A.R. 3534, effective 1/1/2018.

Ariz. Admin. Code § R4-7-802 Documenting Compliance with Continuing Education Requirements

A. A licensee shall retain documents to verify compliance with the continuing education requirements for at least five years from the date the continuing education credit is used to qualify the licensee for renewal. The Board may audit continuing education compliance at any time during those five years by requiring submission of documentation of course completion.

B. With each license renewal application, a licensee shall attest by providing the licensee's signature, that the licensee has met the continuing education requirements, and complied with R4-7-503(C)(8) and subsection (A). A licensee's documentation of compliance on the license renewal application shall include the name of the approved course provider.

C. The Board may require a licensee to provide documentation to verify compliance with continuing education requirements, including evidence that:

Each continuing education credit was for 50 minutes of education,

2. The requirements of subsections (A) and (B) were satisfied,

3. Continuing education credit was earned between the immediately preceding January 1 and the date that the license renewal application was filed or the date on which an extension of time expired,

4. No continuing education credit earned between the immediately preceding January 1 and the date that the license renewal application was filed was earned under an extension of time to comply with the continuing education requirements of a previous year, and

5. The provisions of A.R.S. § 32-931 and R4-7-801 were met.

D. Documentation shall be in the form of a certificate of completion issued by a Board-approved provider. The Board may require submission of a time sheet demonstrating that the licensee was in attendance for a continuous 50 minutes for every hour of continuing education credit awarded.

E. The Board shall suspend a license upon notification to the licensee that the licensee has failed to demonstrate compliance with continuing education requirements as per A.R.S. §§ 32-923(C) and 32-931.

History

• Adopted as an emergency effective Oct. 7, 1977 (Supp. 77-5). Former Section R4-7-61 repealed, new Section R4-7-61 adopted effective December 29, 1977 (Supp. 77-6). Repealed effective May 14, 1980 (Supp. 80-3). Former Section R4-7-61 renumbered as Section R4-7-802 effective September 27, 1985 (Supp. 85-5). Adopted effective June 19, 1997 (Supp. 97-2). Amended by final rulemaking at 13 A.A.R. 1848, effective July 10, 2007 (Supp. 07-2). Amended by final rulemaking at 18 A.A.R. 2554, effective November 19, 2012 (Supp. 12-3).

Ariz. Admin. Code § R4-7-803 Effect of Suspension on Continuing Education Requirements

A licensee whose license is suspended under A.R.S. §§ 32-923, 32-924, or 32-931, shall complete 12 credits of continuing education for each calendar year or part of a calendar year that the license is suspended before the license may be reinstated or renewed.

History

• Adopted as an emergency effective Oct. 7, 1977 (Supp. 77-5). Former Section R4-7-62 repealed, new Section R4-7-62 adopted effective December 29, 1977 (Supp. 77-6). Repealed effective May 14, 1980 (Supp. 80-3). Former Section R4-7-62 renumbered as Section R4-7-803 effective September 27, 1985 (Supp. 85-5). Adopted effective June 19, 1997 (Supp. 97-2).

Article 9 UNPROFESSIONAL CONDUCT

Ariz. Admin. Code § R4-7-901 Advertising of a Deceptive and Misleading Nature

The Board shall investigate an allegation of advertising in a false, deceptive, or misleading manner by a licensee and may sanction a licensee for a violation under A.R.S. § 32-924. Advertising of a false, deceptive, or misleading manner includes, but is not limited to, the following:

Advertising painless procedures;

Advertising complete health services; or

3. Advertising that uses the words "specialist," "specializing," or "expert."

History

• Adopted effective May 8, 1978 (Supp. 78-3). Former Section R4-7-70 renumbered as Section R4-7-901 without change effective September 27, 1985 (Supp. 85-5). Amended by final rulemaking at 8 A.A.R. 4895, effective January 7, 2003 (Supp. 02-4).

Ariz. Admin. Code § R4-7-902 Unprofessional or Dishonorable Conduct

Unprofessional or dishonorable conduct, as used in A.R.S. § 32-924(A)(5), means:

1. Failing to disclose, in writing, to a patient or a third-party payor that the licensee has a financial interest in a diagnostic or treatment facility, test, good, or service when referring a patient for a prescribed diagnostic test, treatment, good, or service and that the diagnostic test, treatment, good or service is available on a competitive basis from another provider. This subsection does not apply to a referral by one licensee to another within a group of licensees who practice together. This subsection applies regardless of whether the referred service is provided at the licensee's place of practice or at another location.

2. Knowingly making a false or misleading statement to a patient or a third-party payor.

3. Knowingly making a false or misleading statement, providing false or misleading information, or omitting material information in any oral or written communication, including attachments, to the Board, Board staff, or a Board representative or on any form required by the Board.

4. Knowingly filing with the Board an application or other document that contains false or misleading information.

5. Failing to create an adequate patient record that includes the patient's health history, clinical impression, examination findings, diagnostic results, x-ray films if taken, x-ray reports, treatment plan, notes for each patient visit, and a billing record. The notes for each patient visit shall include the patient's name, the date of service, the chiropractic physician's findings, all services rendered, and the name or initials of the chiropractic physician who provided services to the patient.

6. Failing to maintain the information required by subsection (5) for a patient, for at least six years after the last treatment date, or for a minor, six years after the minor's 18th birthday, or failing to provide written notice to the Board about how to access the patient records of a chiropractic practice that is closed by providing, at a minimum, the physical address, telephone number and full name of a person who can be contacted regarding where the records are maintained, for at least six years after each patient's last treatment date or 18th birthday.

7. Failing to:

a. Release a copy of all requested patient records under subsection (5), including the original or diagnostic quality radiographic copy x-rays, to another licensed physician, the patient, or the authorized agent of the patient, within 10 business days of the receipt of a written request to do so. This subsection does not require the release of a patient's billing record to another licensed physician.

b. Release a copy of any specified portion or all of a patient's billing record to the patient or the authorized agent of the patient, within 10 business days of the receipt of a written request to do so.

c. In the case of a patient or a patient's authorized agent who has verbally requested the patient record:

i. Provide the patient record, or

ii. Inform the patient or patient's authorized agent that the record must be provided if a written request is made under subsection (7)(a) or (b).

d. Return original x-rays to a licensed physician within 10 business days of a written request to do so.

e. Provide free of charge, copies of patient records to another licensed physician, the patient, or the authorized agent of the patient in violation of A.R.S. Title 12, Chapter 13, Article 7.1.

8. Representing that the licensee is certified by this Board in a specialty area in which the licensee is not certified or has academic or professional credentials that the licensee does not have.

9. Failing to provide to a patient upon request documentation of being certified by the Board in a specialty area or the licensee's academic certification, degree, or professional credentials.

Practicing, or billing for services under any name other than the name by which the chiropractic physician is licensed by the Board, including corporate, business, or other licensed health care providers' names, without first notifying the Board in writing.

Suggesting or having sexual contact, as defined in A.R.S. § 13-1401, in the course of patient treatment or within three months of the last chiropractic examination, treatment, or consultation with an individual with whom a consensual sexual relationship did not exist prior to a chiropractic/patient relationship being established.

Intentionally viewing a completely or partially disrobed patient in the course of an examination or treatment if the viewing is not related to the patient's complaint, diagnoses, or treatment under current practice standards.

13. Improper billing. Improper billing means:

a. Knowingly charging a fee for services not rendered;

b. Knowingly charging a fee for services not documented in the patient record as being provided;

c. Charging a fee by fraud or misrepresentation, or willfully and intentionally filing a fraudulent claim with a third-party payor;

d. Misrepresenting the service provided for the purpose of obtaining payment; and

e. Charging a fee for a service provided by an unlicensed person who is not a chiropractic assistant under A.R.S. § 32-900 or for services provided by an unsupervised chiropractic assistant; and

f. Repeatedly billing for services not rendered or not documented as rendered or repeatedly engaging in acts prohibited under subsections (13)(c) through (e).

14. Failing to timely comply with a board subpoena pursuant to A.R.S. § 32-929 that authorizes Board personnel to have access to any document, report, or record maintained by the chiropractic physician relating to the chiropractic physician's practice or professional activities.

15. Failing to notify the Board of hiring a chiropractic assistant or to register a chiropractic assistant under R4-7-1102 or failing to supervise a chiropractic assistant, under A.R.S. § 32-900 that is supervised or employed by the chiropractic physician.

16. Allowing or directing a person who is not a chiropractic assistant and who is not licensed to practice a health care profession to provide patient services, other than clerical duties.

17. Intentionally misrepresenting the effectiveness of a treatment, diagnostic test, or device.

18. Administering, prescribing, or dispensing prescription-only medicine, or prescription-only drugs, or a prescription-only device as defined in A.R.S. § 32-1901 and pursuant to A.R.S. § 32-925(B). This subsection does not apply to those substances identified under R4-7-101(13).

19. Performing surgery or practicing obstetrics in violation of A.R.S. § 32-925(B).

20. Performing or providing colonic irrigation.

21. Penetration of the rectum by a rectal probe or device for the administration of ultrasound, diathermy, or other modalities.

Use of ionizing radiation in violation of A.R.S. § 32-2811.

23. Promoting or using diagnostic testing or treatment for research or experimental purposes:

a. Without obtaining informed consent from the patient, in writing, before the diagnostic test or treatment. Informed consent includes disclosure to the patient of the research protocols, contracts the licensee has with researchers, if applicable, and information on the institutional review committee used to establish patient protection.

b. Without conforming to generally accepted research or experimental criteria, including following protocols, maintaining detailed records, periodic analysis of results, and periodic review by a peer review committee; or

c. For the financial benefit of the licensee.

24. Having professional connection with, lending one's name to, or billing on behalf of an illegal practitioner of chiropractic or an illegal practitioner of any healing art.

25. Holding oneself out to be a current or past Board member, Board staff member or a Board chiropractic consultant if this is not true.

26. Claiming professional superiority in the practice of chiropractic under A.R.S. § 32-925.

27. Engaging in disruptive or abusive behavior in a clinical setting.

Providing substandard care due to an intentional or negligent act or failure to act regardless of whether actual injury to the patient is established.

29. Intentionally disposing of confidential patient information or records without first redacting all personal identifying patient information or by any means other than shredding or incinerating the information or record.

30. Intentionally disclosing a privileged communication or document, or confidential patient information except as otherwise required or allowed by law.

31. Having been diagnosed by a physician whom the Board determines is qualified to render the diagnosis as habitually using or having habitually used alcohol, narcotics, or stimulants to the extent of incapacitating the licensee for the performance of professional duties.

32. Committing a felony, whether or not involving moral turpitude, or a misdemeanor involving moral turpitude. Conviction by a court of competent jurisdiction or a plea of no contest is conclusive evidence of the commission.

33. Having an action taken against a professional license in another jurisdiction, any limitation or restriction of the license, probation, suspension, revocation, surrender of the license as a disciplinary measure or denial of a license application or license renewal for a reason related to unprofessional conduct.

34. Directly or indirectly dividing a professional fee for patient referrals among health care providers or health care institutions or between providers and institutions or entering into a contractual arrangement to that effect. This subsection does not prohibit the members of any regularly and properly organized business entity recognized by law from dividing fees received for professional services among themselves as they determine necessary.

Failing to report in writing to the Board any information based upon personal knowledge that a chiropractic physician may be grossly incompetent, guilty of unprofessional or dishonorable conduct, or mentally or physically unable to provide chiropractic services safely. Any person who reports or provides information to the Board in good faith is not subjected to civil damages as a result of reporting or providing the information. If the informant requests that the informant's name not be disclosed, the Board shall not disclose the informant's name unless disclosure is essential to the disciplinary proceedings conducted under A.R.S. § 32-924 or required under A.R.S. § 41-1010.

36. Violating any federal or state statute or rule or regulation applicable to the practice of chiropractic.

37. Any act or omission identified in A.R.S. § 32-924(A).

History

• Adopted effective September 9, 1997 (Supp. 97-3). Amended by final rulemaking at 14 A.A.R. 502, effective April 5, 2008 (Supp. 08-1).

Article 10 PRECEPTORSHIP TRAINING PROGRAM

Ariz. Admin. Code § R4-7-1001 Eligibility; Application

A. Both extern and preceptor shall submit a written application to the Board for approval of participation in a preceptor training program. The Board shall process the application within the time-frames provided in R4-7-502(J).

1. The application shall be submitted on a form that contains:

a. The extern's photo;

b. The extern's and preceptor's names, addresses, telephone numbers, and any other names of the extern or preceptor;

c. The preceptor's license number, number of years in practice, and disciplinary history;

d. A waiver of confidentiality under subsection (B)(2) and notarized signature from both the extern and preceptor;

e. The beginning and ending date of the program;

f. Location, days, and hours of the program;

g. The name and contact number for the college sponsoring the preceptorship program under subsection (B)(1);

h. The date of extern graduation from a chiropractic college and identification of the proposed scope of the program for which the application is being submitted and the eligibility of the applicants for approval.

2. The application shall require the extern and the preceptor to disclose any convictions or sanctions and whether the extern or preceptor is currently under investigation for a violation of criminal or administrative law.

B. Except as provided in subsection (D), the Board shall approve participation by an extern who does not come under subsection (C) and who:

1. Concurrently participates in an undergraduate or postgraduate preceptorship program offered by an accredited chiropractic college and provides verifiable proof of enrollment;

2. Submits a written waiver of confidentiality that permits the Board access to any information, records, or documentation collected or used by the college to evaluate the extern's eligibility for or performance in the program;

3. Provides a certificate of attainment on Parts I and II of the examination by the National Board of Chiropractic Examiners;

4. Successfully completes and provides documentation of the coursework required by A.R.S. § 32-922.02 for practice of chiropractic specialties, if specialties are to be included in the training program; and

Submits the $75.00 filing fee, which is non-refundable except if A.R.S. § 41-1077 applies.

C. The Board shall not approve participation for an extern who:

1. Has been the subject of disciplinary sanction or convicted of a felony or misdemeanor involving moral turpitude;

2. Is currently under investigation for a licensing violation, or a felony or misdemeanor involving moral turpitude;

3. Fails to demonstrate good character and reputation;

4. Fails to demonstrate the physical and mental ability to practice chiropractic skillfully and safely; or

5. Has practiced chiropractic without a license or through participation in an approved preceptor program.

D. The Board shall approve participation for a preceptor who:

Concurrently participates as a preceptor at the chiropractic college in which the extern is enrolled throughout the time period of the preceptor program and provides verifiable proof of participation;

2. Submits a written waiver of confidentiality that permits the Board access to any information, records, or documentation collected or used by the college to evaluate the preceptor's eligibility for or performance in the program; and

3. Is continuously licensed in Arizona for at least five years before the date the program is to begin and, if the program is to include practice of chiropractic specialties, is certified in those specialties for at least three years before the date upon which the program is to begin; and

E. The Board shall not approve participation for a preceptor who:

1. Has been the subject of disciplinary sanction or convicted of a felony or a misdemeanor involving moral turpitude;

2. Is currently under investigation for a licensing violation, felony, or misdemeanor involving moral turpitude;

3. Fails to demonstrate good character and reputation; or

4. Fails to demonstrate the physical and mental ability to practice chiropractic skillfully and safely.

History

• Adopted effective September 27, 1985 (Supp. 85-5). Section repealed and new Section adopted by final rulemaking at 5 A.A.R. 1602, effective May 20, 1999 (Supp. 99-2). Amended by final rulemaking at 8 A.A.R. 3293, effective July 17, 2002 (Supp. 02-3).

Ariz. Admin. Code § R4-7-1002 Practice Limitations

A. Under the supervision of the preceptor and commensurate with the extern's education, training, and experience, an extern may engage in the practice of health care, as defined in A.R.S. § 32-925, except that an extern shall not perform any procedure defined as a chiropractic specialty requiring certification unless the extern and the preceptor have met the eligibility requirements in R4-7-1001 for that specialty.

B. At all times when patients may be present, the extern shall wear a badge showing the extern's name and the title "Extern" in capital letters equal in size to the name.

C. Before an extern conducts an examination or renders care to a patient, the preceptor shall secure from the patient a written consent to the examination or care. The written consent shall specify that the patient understands that an extern is not a licensed doctor, and that the preceptor retains responsibility for quality of care. The preceptor shall maintain the signed consent as a part of the patient's file.

History

• Adopted effective September 27, 1985 (Supp. 85-5). Section repealed and new Section adopted by final rulemaking at 5 A.A.R. 1602, effective May 20, 1999 (Supp. 99-2).

Ariz. Admin. Code § R4-7-1003 Regulation and Termination of the Preceptorship Program

A. The Board, on its own initiative or upon receipt of a complaint, may investigate conduct of an extern or preceptor occurring within the program for compliance with this Chapter and A.R.S. § 32-924. The Board may, pursuant to A.R.S. § 32-929, obtain patient records as part of the investigation.

B. If after investigation, the Board determines that the conduct of the extern or preceptor imperatively requires emergency action, the Board shall suspend approval of the program pending proceedings for termination or other action. The Board shall promptly notify the extern, the preceptor, and the college of the suspension, the reasons for the suspension, and the conditions under which the suspension may be lifted, if any.

C. If after a hearing, the Board determines that the conduct of the preceptor or the extern constitutes a violation of this Chapter or A.R.S. § 32-924, the Board shall terminate the program and may sanction the preceptor or deny licensure to the extern if the extern has applied for a license.

D. If the Board receives written verification from a chiropractic college that the extern or preceptor is no longer concurrently participating in the associated chiropractic college program, the Board shall terminate approval of the extern's training program.

E. An extern may participate in a preceptorship program until the results of the next scheduled Part IV of the National Board of Chiropractic Examiners examination are released or for six months immediately following the extern's date of graduation from chiropractic college, whichever occurs first.

History

• Adopted effective September 27, 1985 (Supp. 85-5). Section repealed and new Section adopted by final rulemaking at 5 A.A.R. 1602, effective May 20, 1999 (Supp. 99-2). Amended by final rulemaking at 8 A.A.R. 3293, effective July 17, 2002 (Supp. 02-3).

Article 11 CHIROPRACTIC ASSISTANTS

Ariz. Admin. Code § R4-7-1101 Use of the Term "Chiropractic Assistant"

Only a chiropractic assistant as defined in A.R.S. § 32-900 who assists a chiropractor by performing basic health care duties, shall use the term "chiropractic assistant" or "C.A."

History

• Adopted effective December 18, 1992 (Supp. 92-4). Amended by final rulemaking at 5 A.A.R. 998, effective March 16, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-7-1102 Chiropractic Assistant Training

A. A C.A. shall complete 24 clock hours of coursework, with a minimum of four hours in each of the following subjects: chiropractic principles, management of common diseases, history taking, recordkeeping, professional standards of conduct, and CPR. If a chiropractor supervising a C.A. is certified in physiotherapy under A.R.S. § 32-922.02, the C.A. shall complete 12 hours of training in physiotherapy in addition to the 24 hours of coursework. If a chiropractor supervising a C.A. is certified in acupuncture under A.R.S. § 32-922.02, the C.A. shall complete two hours of training in acupuncture in addition to the 24 hours of coursework.

B. A C.A. shall take coursework from a Board-approved facility or chiropractor. The facility or chiropractor providing coursework shall submit documentation that describes each subject listed in subsection (A) to the Board for approval prior to offering the course.

C. A chiropractor shall inform the Board, in writing, that the chiropractor has employed a chiropractic assistant within seven days of hiring the C.A. by submitting the name of the C.A., the name and license number of the supervising chiropractor, the address and phone number where the C.A. is employed, and the initial date of hire. A C.A. shall begin Board-approved coursework within three months of initial employment with a supervising chiropractor, and shall complete the coursework within one year of initial employment with the supervising chiropractor.

D. A C.A. shall register with the Board upon completing required coursework. A C.A. shall submit a separate registration form for each place of employment and each supervisor. A C.A. shall register by submitting documentation to the Board on a Board-approved form, signed by the supervising chiropractor, showing the date that the C.A. completed each required subject. The Board shall issue the C.A.'s registration upon approval of the registration form.

E. A chiropractor supervising a C.A. shall maintain at the C.A.'s place of employment a copy of the C.A.'s registration.

History

• Adopted effective December 18, 1992 (Supp. 92-4). Amended by final rulemaking at 5 A.A.R. 998, effective March 16, 1999 (Supp. 99-1). Amended by final rulemaking at 13 A.A.R. 4584, effective February 2, 2008 (Supp. 07-4).

Ariz. Admin. Code § R4-7-1103 Scope of Practice

A. A C.A. may only perform clinical duties that are:

1. Consistent with a supervising chiropractor's licensure and certification; and

2. Delegated by the supervising chiropractor.

B. Clinical duties that a chiropractic assistant may perform as directed by the supervising chiropractor under subsection (A) include, but are not limited to:

1. Asepsis and infection control,

2. Taking patient histories and vital signs,

3. Performing first aid and CPR,

4. Preparing patients for procedures,

5. Assisting the supervising chiropractor with examinations and treatments, and

6. Collecting and processing specimens.

C. A chiropractic assistant who meets the education requirements for physiotherapy under R4-7-1102(A) may administer, under the direct supervision of a chiropractor certified in physiotherapy, but is not limited to administering:

1. Whirlpool treatments,

2. Diathermy treatments,

3. Electronic galvanization stimulation treatments,

4. Ultrasound therapy,

5. Massage therapy,

6. Traction treatments,

7. Transcutaneous nerve stimulation unit treatments, and

Hot and cold pack treatments.

D. A chiropractic assistant that meets the education requirements for acupuncture under R4-7-1102(A) may prepare and sterilize instruments and may remove acupuncture needles under the direct supervision of a chiropractor certified in acupuncture.

E. A C.A. shall not:

1. Take an x-ray,

2. Perform an independent examination,

3. Diagnose a patient,

4. Determine a regimen of patient care,

5. Change the regimen of patient care set by the supervising chiropractor,

6. Perform an adjustment, or

7. Perform acupuncture by needle insertion.

F. A person who has had a license to practice chiropractic or any other health care profession suspended, revoked, or denied for any reason other than failing to meet education or licensing examination requirements in this or any other jurisdiction shall not perform the clinical duties of a chiropractic assistant.

G. As per A.R.S. § 32-900(3), a chiropractic assistant shall not be licensed to practice chiropractic in this or any other jurisdiction.

H. A supervising chiropractor shall be responsible for all acts or omissions of a C.A.

I. A person who does not meet the requirements of R4-7-1102 shall perform only clerical or administrative duties.

History

• Adopted effective December 18, 1992 (Supp. 92-4). Amended by final rulemaking at 5 A.A.R. 998, effective March 16, 1999 (Supp. 99-1). Amended by final rulemaking at 13 A.A.R. 4584, effective February 2, 2008 (Supp. 07-4).

Article 12 EXPIRED

Ariz. Admin. Code § R4-7-1201 Expired

History

• New Section made by final rulemaking at 8 A.A.R. 259, effective December 17, 2001 (Supp. 01-4). Section expired under A.R.S. § 41-1056(E) at 12 A.A.R. 688, effective December 31, 2005 (Supp. 06-1).

Ariz. Admin. Code § R4-7-1202 Expired

History

• New Section made by final rulemaking at 8 A.A.R. 259, effective December 17, 2001 (Supp. 01-4). Section expired under A.R.S. § 41-1056(E) at 12 A.A.R. 688, effective December 31, 2005 (Supp. 06-1).

Ariz. Admin. Code § R4-7-1203 Expired

History

• New Section made by final rulemaking at 8 A.A.R. 259, effective December 17, 2001 (Supp. 01-4). Section expired under A.R.S. § 41-1056(E) at 12 A.A.R. 688, effective December 31, 2005 (Supp. 06-1).

Ariz. Admin. Code § R4-7-1204 Expired

History

• New Section made by final rulemaking at 8 A.A.R. 259, effective December 17, 2001 (Supp. 01-4). Section expired under A.R.S. § 41-1056(E) at 12 A.A.R. 688, effective December 31, 2005 (Supp. 06-1).

Article 13 CHARGES

Ariz. Admin. Code § R4-7-1301 Additional Charges

A. The Board shall collect charges for services as follows:

1. Annual license renewal fee: $170.00;

2. Copies of public records: $0.25 per page, with a minimum fee of $2.00;

3. Directories or labels: $40.00;

4. Annual subscription for meeting minutes: $70.00;

5. Agendas: $25.00 for an annual subscription or $2.00 per agenda;

6. Recordings of Board meetings: $5.00 per disc or tape;

7.Lists of licensees, applicants, chiropractic assistants: $0.05 per name, with a minimum fee of $2.00;

8. Hard copy credential verification: $2.00 per name;

9. Verification of license status: $25.00;

10. Continuing education course review for approval: $50.00;

11. Jurisprudence booklet: $10.00;

12. Du uplicate or ene amenta cei icense: $20.00;

14. Duplicate ornamental certificate $20.00; and

15. Penalty for insufficient funds check submitted to Board as payment of fee or other charge: $25.00.

A. The Board shall collect charges for services as follows:

1. Annual license renewal fee: $225.00;

2. Licensure by Examination & Reciprocity Application Fee: $325.00

3. Licensure by Endorsement Application Fee: $500.00

4. Specialties Certification Application Fee: $125.00

5. Issuance Fee: $125.00

6. Copies of public records: $0.25 per page, with a minimum fee of $2.00;

Directories or labels: $40.00;

Annual subscription for meeting minutes: $70.00;

9. Agendas: $25.00 for an annual subscription or $2.00 per agenda;

10. Recordings of Board meetings: $5.00 per disc or tape;

11. Lists of licensees, applicants, chiropractic assistants: $0.05 per name, with a minimum fee of $2.00;

12. Hard copy credential verification: $2.00 per name;

13. Verification of license status: $25.00;

Continuing education course review for approval: $50.00;

15. Jurisprudence booklet: $10.00;

16. Renewal Receipt: $5.00;

17. Ornamental License: $20.00;

18. Ornamental Certificate: $20.00; and

19. Penalty for insufficient funds check submitted to Board as payment of fee or other charge: $25.00.

B. All charges are non-refundable, except if A.R.S. § 41-1077 applies

C. The fees in this Section pertain regardless of the method by which the document is delivered.

History

• New Section adopted by final rulemaking at 5 A.A.R. 4532, effective November 9, 1999 (Supp. 99-4). Amended by final rulemaking at 7 A.A.R. 4328, effective September 20, 2001 (Supp. 01-3). Amended by final rulemaking at 9 A.A.R. 5026, effective January 3, 2004 (Supp. 03-4). Amended by final rulemaking at 12 A.A.R. 4687, effective February 3, 2007 (Supp. 06-4). Amended by final rulemaking at 23 A.A.R. 3534, effective 1/1/2018.

Article 14 BUSINESS ENTITIES

Ariz. Admin. Code § R4-7-1401 Application for Business Entity; Qualifications of Applicant; Fee

A.A business entity that wishes to operate a clinic, franchise, business, club, or any other entity which uses the services of a licensed doctor of chiropractic to provide a service, supervise the provision of services, act as clinical director or otherwise perform any function under a person's chiropractic license (doctor of chiropractic) shall submit a complete application to the Board at least sixty days prior to the intended implementation of engaging the services of a licensed doctor of chiropractic. A business entity that uses the services of a doctor of chiropractic as defined in this subsection prior to the effective date of these rules shall submit a complete application to the Board no later than ten days from the effective date of these rules. A business entity shall not engage the services of a doctor of chiropractic as noted in this section until the Board has approved and issued the registration. The registration shall serve as a license for the purpose of compliance with this Chapter

B. "Owner, officer or director" means any person with a fiscal or an administrative interest in the business entity, regardless of whether the business is a for-profit or non-profit affiliation.

C. To be eligible for business entity registration, the applicant owners, officers or directors shall:

1. Be of good character and reputation.

2. Have obtained a license or a permit to conduct a business under applicable law and jurisdiction.

D. The Board may deny registration to a business entity if

1. The business entity fails to qualify for registration.

2. An owner, an officer or a director has had a license to practice any profession refused, revoked, suspended, surrendered or restricted by a regulatory entity in this or any other jurisdiction for any act that constitutes unprofessional conduct pursuant to this Chapter

3. An owner, an officer or a director is currently under investigation by a regulatory entity in this or any other jurisdiction for an act that may constitute unprofessional conduct pVsuant to this Chapter

4. An owner, an officer or a director has surrendered a license for an act that constitutes unprofessional conduct pursuant to this Chapter in this or any other jurisdiction.

5. An owner, an officer or a director has been convicted of criminal conduct that constitutes grounds for disciplinary action pursuant to this Chapter

The business entity allows or has allowed any person to practice chiropractic without a license or fails or failed to confirm that a person that practices chiropractic is properly licensed.

7. The business entity allows or has allowed a person who is not a licensed doctor of chiropractic and who is not a chiropractic assistant to provide patient services according to this Chapter

E. The applicant shall pay to the Board a nonrefundable application fee of $400.00.

F. In order to determine an applicant business entity's (applicant) eligibility for approval, the Board may require the business entity's owners, officers or directors to submit a full set of fingerprints to the Board. The Board shall submit the fingerprints to the department of public safety for the purpose of obtaining a state and federal criminal records check pursuant to section A.R.S. 41-1750 and Public Law 92-544. The department of public safety may exchange this fingerprint data with the federal bureau of investigation. The Board shall charge each applicant a fee that is necessary to cover the cost of the investigation. The Board shall forward this fee to the department of public safety.

History

• New Section made by final rulemaking at 20 A.A.R. 2239, effective 10/5/2014. Amended by final rulemaking at 23 A.A.R. 3534, effective 1/1/2018.

Ariz. Admin. Code § R4-7-1402 Display of Registration

A business entity shall, at all times, display the registration issued to the business entity by the Board in a conspicuous place at all locations where a doctor of chiropractic is employed, contracted or otherwise functions in any capacity under a chiropractic license, including mobile practices. The business entity shall, upon request of any person, immediately produce for inspection the annual renewal certificate for the current registration period and shall keep a renewal certificate issued by the Board present at all locations.

History

• New Section made by final rulemaking at 20 A.A.R. 2239, effective 10/5/2014.

Ariz. Admin. Code § R4-7-1403 Procedures for Processing Initial Registration Applications

A. An application for Business Entity Registration shall be made on a form and in a manner prescribed by the Board.

B. A completed business entity registration application package shall be submitted to the Board office on a business day. The Board shall deem the business entity application package received on the date that the Board stamps on the package as the date the package is delivered to the Board office.

C. To complete a business entity application package, an applicant shall provide the following information and documentation:

1. The full current name and any former names and title of any and all owners, officers or directors.

2. The current home and all office addresses, current home and all office phone numbers, all current office fax numbers, and any previous home or office addresses for the past five years for each owner, officer or director.

3. The business name and the current addresses, phone numbers and fax numbers for each office, clinic or other setting where any service is performed, supervised or directed by a licensed doctor of chiropractic according to R4-7-1401(A) and this Chapter.

4. The non-refundable application fee of four hundred dollars.

5. The name and license number of each doctor of chiropractic employed with, contracted with, or otherwise affiliated with the business entity according to R4-7-1401(A) and this Chapter.

6. A completed fingerprint card for each owner, officer or director.

7. Copies of any and all contracts or any other agreement between the business entity and the doctor of chiropractic, to include employment or franchise contracts, agreements or equivalent.

8. 6. Any record of an owner, officer or director being convicted of, pleading guilty to, or pleading nolo contendere to a misdemeanor or a felony, even if the record of the conviction or plea was sealed or expunged or the conviction was set aside or forgiven, and any record of an arrest, investigation, indictment, or charge that has not been concluded.

9. 7. Any record of an owner, officer or director being refused a license to practice chiropractic or any other profession in this or any other jurisdiction, and any record of a disciplinary action taken against an owner, officer or director's license in this or any other jurisdiction.

10. 8. The social security number for each owner, officer, or director.

11. 9. A government issued photo identification confirming U.S. citizenship or legal presence in the United States for each owner, officer or director, or if those individuals reside outside of the United States, confirmation of legal authority to operate a business in the United States.

12. 10. A copy of the written protocol required by A.R.S. § 32-934(G).

13. 11. The name, phone number and address for a contact person.

14. 12. A notarized signature for each owner, officer or director attesting to the truthfulness of the information provided by the applicants. A stamped signature will not be accepted for the purposes of completing the application.

D. Within 25 business days of receiving a business entity registration application package, the Board shall notify the applicant in writing that the package is either complete or incomplete. If the package is incomplete, the notice shall specify the information that is missing.

E. An applicant with an incomplete business entity registration application package shall supply the missing information within 30 calendar days from the date of the notice. An applicant who is unable to supply the missing information within 30 calendar days may submit a written request to the Board for an extension of time in which to provide a complete application package. The request for an extension of time shall be submitted to the Board office before the 30-day deadline for submission of a complete application package, and shall state the reason that the applicant is unable to comply with the 30-day requirement and the amount of additional time requested. The Board shall grant a request for an extension of time if the Board finds that the reason the applicant was unable to comply with the 30-day requirement was due to circumstances beyond the applicant's control and that compliance can reasonably be expected to be remedied during the extension of time.

F. If an applicant fails to submit a complete business entity registration application package within the time permitted, the Board shall close the applicant's file and send a notice to the applicant by U.S. Mail that the application file has been closed. An applicant whose file has been closed and who later wishes to become registered shall reapply pursuant to R4-7-1401 and R4-7-1403.

G. After timely receipt of all missing information as specified in subsection (E), the Board shall notify the applicant that the application package is complete.

H. The Board shall render a decision no later than 120 business days after receiving a completed registration application package. The Board shall deem a registration application package to be complete on the postmarked date of the notice advising the applicant that the package is complete.

I. The Board shall approve the registration for a business entity that meets all of the following requirements:

1. Timely submits a complete application.

2. The Board does not find grounds to deny the application under subsection R4-7-1401(D).

3. Pays the original business entity prorated renewal fee of seventeen dollars per month from the first day of the month the business entity is registered through May 31 plus $25 for each duplicate license issued by the Board for the purpose of compliance with R4-7-1402.

J. For the purpose of A.R.S. § 41-1073, the Board establishes the following time-frames for initial registration:

1. Administrative completeness review time-frame: 25 business days.

Substantive review time-frame: 120 business days.

3. Overall time-frame: 145 business days.

History

• New Section made by final rulemaking at 20 A.A.R. 2239, effective 10/5/2014. Amended by final rulemaking at 23 A.A.R. 3534, effective 1/1/2018.

Ariz. Admin. Code § R4-7-1404 Business Entity Registration Renewal: Issuance, Reinstatement

A. A business entity registration expires on June 1 of each year.

B. Under A.R.S. § 32-934(C), a Business Entity Registered under A.R.S. Title 32, Chapter 8, shall renew the registration every year before June 1.

C. The business entity registration renewal application shall be returned to the Board office on a business day. The Board shall deem the business entity registration renewal application package received on the date that the Board stamps on the package as the date the package is delivered to the Board office.

D. To complete a registration renewal application, a business entity shall provide the following information and documentation:

1. The name of the business entity.

2. The current addresses, phone numbers, and fax numbers for each facility requiring registration under this Chapter.

3. Notice of any change of owners, officers or directors, to include any additions and/or deletions with the date of the change for each individual, and notice of any change in home address, office address and phone numbers for owners, officers or directors with the date of the change for each individual.

4. The name and license number of each doctor of chiropractic employed with, contracted with, or otherwise affiliated with the business entity per Section R4-7-1401(A), to include any affiliation through a franchise.

5. The record of any professional disciplinary investigation or action taken against an owner, officer or director in this or any other jurisdiction within the last 12 months.

6. Any record of an owner, officer or director being convicted of, pleading guilty to, or pleading nolo contendere to a misdemeanor or a felony, even if the record of the conviction or plea was sealed or expunged or the conviction was set aside or forgiven, within the last 12 months and any record of an arrest, investigation, indictment within the last 12 months.

7. A statement attesting that the contract or any other form of agreement with the doctors of chiropractic has not changed, or if the contract or agreement has changed, a copy of any new or amended contract or agreement.

8. Report any change in the status of the business entity's license or permit to own and operate a business in the State of Arizona.

9. The renewal fee of $200 plus a $25 fee for each duplicate Board issued renewal certificate for the purpose of compliance with R4-7-1402. A business entity applying for renewal for the first time shall pay a prorated fee according to A.R.S. § 32-934(C).

10. The name, address, phone number, fax number and email for a contact person.

11. The original signature of the delegated contact person attesting to the truthfulness of the information provided by the business entity. All owners, officers or directors also remain responsible for the accuracy and truthfulness of the application. A stamped signature will not be accepted for the purpose of a complete application.

E. A business entity registration shall automatically expire if the business entity does not submit a completed application for renewal, the renewal fee and the fee for duplicate renewal certificates for the purpose of complying with R4-71402 before June 1 of each registration period. The Board shall send written notice to the business entity that its registration has expired on or before June 20. A business entity shall not use the services of a licensed doctor of chiropractic according to R4-7-1401(A) if the business entity's registration has expired.

F. The Board shall reinstate an expired business entity registration if the business entity pays the annual renewal fee, the additional fee for duplicate certificates for the purpose of compliance with R4-7-1402, pays an additional non-refundable late fee of $200 as required by A.R.S. § 32-934(C), and submits a completed renewal application between June 1, and July 30 of the registration period for which the business entity registration renewal is made.

G. On or after August 1 of the registration period for which a renewal application was to be made, a business entity that wishes to have an expired registration reinstated shall apply in accordance with subsection (L).

H. If the business entity fails to timely submit a complete business entity reinstatement application within 6 months of the date the registration expired, the business entity's registration shall lapse. "Lapse" means that the business entity is no longer registered and cannot offer services per this Chapter.

I. A business entity that has had a registration lapse and that later wishes to become registered must apply as a new candidate pursuant to R4-7-1401 and R4-7-1403.

J. An application for reinstatement of business entity registration shall be made on a form and in a manner prescribed by the Board.

K. A completed application for reinstatement of a business entity registration shall be submitted to the Board office on a business day. The Board shall deem an application for reinstatement of a business entity registration received on the date that the Board stamps on the application as the date it is delivered to the Board office.

L. To complete an application for reinstatement of a registration, a business entity shall provide the following information and documentation:

1. The business entity's name and expired registration number.

2. The current addresses, phone numbers, and fax numbers for each facility requiring registration under this Chapter.

The names, home addresses, office addresses and phone numbers for each owner, officer or director.

4. The name and license number of each doctor of chiropractic employed with, contracted with or otherwise affiliated with the business entity according to R4-7-1401(A) and this Chapter, to include franchises.

5. The record of any professional disciplinary investigation or action taken against an owner, officer or director in this or any other jurisdiction.

6. Any record of an owner, officer or director being convicted of, pleading guilty to, or pleading nolo contendere to a misdemeanor or a felony, even if the record of the conviction or plea was sealed or expunged or the conviction was set aside or forgiven, within the last 12 months and any record of an arrest, investigation, indictment, or charge within the last 12 months, to include new owners, officers or directors.

7. A statement attesting that the contract or other agreement with the doctors of chiropractic has not changed, or if the contract or agreement has changed, a copy of the new or amended contract or agreement.

Report any change in the status of the business entity's license or other permit to own and operate a business in the State of Arizona.

9. The non-refundable renewal fee of $200 and a $25 fee for each Board issued duplicate renewal certificate for the purpose of compliance with R4-7-1402.

10. The non-refundable late fee of $200.

11. The name, phone number, fax number and email for a contact person.

12. The original signature of the delegated contact attesting to the truthfulness of the information provided by the business entity. All owners, officers or directors also remain responsible for the accuracy and truthfulness of on application. A stamped signature will not be accepted for the purpose of completing an application.

M. The Board shall process a business entity registration reinstatement application in accordance with R4-7-1403(D) through (G).

N. The Board shall reinstate or renew a business entity registration if:

1. The business entity has timely submitted a complete application and paid all fees.

2. The business entity has complied with the requirements of this Chapter and A.R.S. § 32-900 et seq.

3. The Board does not find grounds to deny the application under subsection (D).

4. The business holds a current business license or other permit to own and operate the business in the State of Arizona.

O. If the provisions of subsection (N) are satisfied, the Board shall issue a business registration renewal certificate. The renewal certificate shall serve as notice that the renewal application is complete and approved.

P. The Board shall make a decision no later than 70 business days after receiving all required documentation as specified in subsection (N). The Board shall deem required documentation received on the date that the Board stamps on the documentation as the date the documentation is delivered to the Board's office.

Q. For the purpose of A.R.S. § 41-1073, the Board establishes the following time-frames for registration renewal or reinstatement of registration:

Administrative completeness review time-frame: 25 business days.

2. Substantive review time-frame: 70 business days.

3. Overall time-frame: 95 business days.

History

• New Section made by final rulemaking at 20 A.A.R. 2239, effective 10/5/2014. Amended by final rulemaking at 23 A.A.R. 3534, effective 1/1/2018.

Ariz. Admin. Code § R4-7-1405 Business Entity Registration: Denial

If the Board denies a business entity registration, the Board shall send the applicant written notice explaining:

1. The reason for denial, with citations to supporting statutes or rules;

The applicant's right to seek a fair hearing to challenge the denial;

3. The time periods for appealing the denial; and,

4. The right to request a settlement conference with the Board's authorized agent.

History

• New Section made by final rulemaking at 20 A.A.R. 2239, effective 10/5/2014.

Ariz. Admin. Code § R4-7-1406 Reporting; Civil Penalty

A.A business entity that reports a change to any owner, officer or director pursuant to A.R.S. § 32-934(D) (2) shall include the following:

1. Any record of the new owner, officer or director being convicted of, pleading guilty to, or pleading nolo contendere to a misdemeanor or a felony, even if the record of the conviction or plea was sealed or expunged or the conviction was set aside or forgiven, and any record of an arrest, investigation, indictment, or unconcluded charge.

2. Any record of a new owner, officer or director being refused a license to practice chiropractic or any other profession in this or any other jurisdiction, and any record of a disciplinary action taken against the new owner, officer or director's license in this or any other jurisdiction.

B.A business entity that fails to comply with A.R.S. § 32-934(D) shall pay to the Board a non-refundable civil penalty of $100.00 for each violation. If the business entity fails to pay the civil penalty within thirty days, the business entity shall within 15 days pay an increased civil penalty of one $150.00 for each violation.

History

• New Section made by final rulemaking at 20 A.A.R. 2239, effective 10/5/2014.

Ariz. Admin. Code § R4-7-1407 Licensed Doctors of Chiropractic and Business Entities, Unprofessional Conduct

A.Nothing in this Section shall be construed to exempt a licensed doctor of chiropractic from complying with this Chapter.

B.The following are grounds for disciplinary action under A.R.S. § 32-924(A) and R4-7-902 for a licensed doctor of chiropractic who:

Performs any service according to R4-7-1401(A) for a business entity in the State of Arizona that is not registered per this Chapter, and/or;

2. Enters into an agreement of any nature with a business entity to engage in any activity that violates A.R.S. § 32-924(A), R4-7-901 or R4-7-902 or any provision of this Chapter, and/or;

3. Fails to report in writing to the Board any knowledge of a business entity that fails to register with this Board under this Chapter or a business entity that violates any provisions of this Chapter.

History

• New Section made by final rulemaking at 20 A.A.R. 2239, effective 10/5/2014.

Ariz. Admin. Code § R4-7-1408 Exemptions

A chiropractic assistant does not hold a license and is not exempt from A.R.S. § 32-934 or this Article.

History

• New Section made by final rulemaking at 20 A.A.R. 2239, effective 10/5/2014.

Chapter 8 ACUPUNCTURE BOARD OF EXAMINERS

Article 1 GENERAL PROVISIONS

Ariz. Admin. Code § R4-8-101 Definitions

The definitions in A.R.S. § 32-3901 apply to this Chapter. Additionally, in this Chapter:

"ACAOM" means the Accreditation Commission for Acupuncture and Oriental Medicine.

"Acupuncture program" means a Board-approved training designed to prepare a student for the NCCAOM examination and licensure.

"Acupuncture student" means an individual enrolled in an acupuncture or auricular acupuncture training program.

"Acupuncturist" means an individual licensed or certified by the Board to practice acupuncture in this state.

"Administrative completeness review" means the Board's process for determining whether an applicant provided a complete application packet.

"Applicant" means an individual who applies to the Board for an initial or renewal license or certificate.

"Application packet" means the fees, forms, documents, and additional information the Board requires to be submitted by an applicant or on an applicant's behalf.

"Approved continuing education" means a planned educational experience the Board determines meets the criteria in R4-8-408.

"Auricular acupuncture" means a therapy in which the five-needle protocol is used to treat alcoholism, substance abuse, or chemical dependency.

"Clean needle technique" means a manner of needle sterilization and use that avoids the spread of disease and infection, protects the public and the patient, and complies with state and federal law.

"Clinical hours" means actual clock hours that a student spends providing patient care under the supervision of an individual licensed under R4-8-203 or R4-8-208.

"Course" means a systematic learning experience that assists a participant to acquire knowledge, skills, and information relevant to the practice of acupuncture.

"Day" means calendar day.

"Five-needle protocol" means a therapy, developed by NADA to treat alcoholism, substance abuse, or chemical dependency, which involves inserting five needles into specific points on the outer ear.

"Hour" means at least 50 minutes of course participation.

"Letter of concern" means an alternative sanction that informs a licensee or certificate holder that, while the evidence does not warrant disciplinary action, the Board believes the licensee or certificate holder should change certain practices and failure to change the practices may result in disciplinary action. A letter of concern is a public document that may be used in future disciplinary proceedings.

"NADA" means the National Acupuncture Detoxification Association.

"NCCAOM" means the National Certification Commission for Acupuncture and Oriental Medicine.

"Preceptorship training" means a program in which a student studies under a Board-approved supervisor who assumes responsibility for the didactic and clinical training of the student.

"Respondent" means an individual accused of violating A.R.S. Title 32, Chapter 39 or this Chapter.

"Successful completion of a clean needle technique course" means a course participant:

Attended the course, and

Received a passing score on an examination or other confirmation from the course provider that evidences the participant mastered the course content.

"Supervisor" means an acupuncturist licensed by the Board who is responsible for the oversight and direction of an acupuncture student or a certificate holder.

History

• New Section adopted by final rulemaking at 6 A.A.R. 2534, effective June 12, 2000 (Supp. 00-2). Amended by final rulemaking at 11 A.A.R. 2435, effective August 6, 2005 (Supp. 05-2). Amended by final rulemaking at 14 A.A.R. 690, effective April 5, 2008 (Supp. 08-1). Amended by final rulemaking at 22 A.A.R. 2175, effective 8/2/2016.

Ariz. Admin. Code § R4-8-102 Authentication of Documentation; Translation; Verification

A. An applicant shall ensure that a document submitted to the Board by or on behalf of the applicant has an official or government seal or written verification authenticating the document. If the Board determines that an applicant cannot obtain the seal or verification through the exercise of due diligence, the Board shall waive this requirement.

B. An applicant shall ensure that an official copy of any diploma, transcript, license, certificate, examination score, or other document required for application is forwarded directly to the Board by the issuing entity.

C. An applicant shall ensure that a document submitted in a language other than English is accompanied by an original English translation, performed by a qualified translator who is not the applicant. The applicant shall ensure that the translation is accompanied by an Affidavit of Accuracy in which the translator who performed or verified the translation affirms, under oath and penalty of perjury, that the entire document has been translated, nothing has been omitted or added, and the translation is true and correct. The Board shall return an original translation to the applicant only if the applicant provides a photocopy of the entire translation, including the Affidavit of Accuracy.

D. The following persons are regarded as qualified translators:

1. An officer or employee of an official translation bureau or governmental agency;

2. A professor or instructor who teaches the translated language at an accredited college or university in the United States. The professor or instructor shall ensure that the Affidavit of Accuracy includes the name of the course taught, is on official letterhead of the college or university, and is notarized;

3. An American consul in the country where the translated document was issued. If a private translator translated the document, the American consul shall verify the translation as required under subsection (C) and the identity of the translator; and

4. A consul general or diplomatic representative accredited in the United States, or other representative of a foreign government agency. If a private translator translated the document, the representative shall verify the translation as required under subsection (C) and the identity of the translator.

History

• New Section adopted by final rulemaking at 6 A.A.R. 2534, effective June 12, 2000 (Supp. 00-2). Amended by final rulemaking at 14 A.A.R. 690, effective April 5, 2008 (Supp. 08-1).

Ariz. Admin. Code § R4-8-103 Change of Mailing Address, E-mail Address, or Telephone Numbers

The Board shall communicate with a licensee, certificate holder, or a person holding an approval from the Board using the contact information provided to the Board. To ensure timely communication from the Board, a licensee, certificate holder, or person holding an approval from the Board shall notify the Board, in writing, within 30 days of any change of mailing address (giving both the old and the new address), e-mail address, or residential, business, or mobile telephone number.

History

• New Section adopted by final rulemaking at 6 A.A.R. 2534, effective June 12, 2000 (Supp. 00-2). Amended by final rulemaking at 14 A.A.R. 690, effective April 5, 2008 (Supp. 08-1).

Ariz. Admin. Code § R4-8-104 Expired

History

• New Section adopted by final rulemaking at 6 A.A.R. 2534, effective June 12, 2000 (Supp. 00-2). Amended by final rulemaking at 14 A.A.R. 690, effective April 5, 2008 (Supp. 08-1). Section expired under A.R.S. § 41-1056(E) at 16 A.A.R. 2451, effective December 7, 2010 (Supp. 10-4).

Ariz. Admin. Code § R4-8-105 Time-frames for Licensure, Certification, and Approval

A. For the purpose of A.R.S. § 41-1073, the Board establishes the time-frames listed in Table 1. An applicant or a person requesting an approval from the Board and the Executive Director of the Board may agree in writing to extend the substantive review and overall time-frames by no more than 25% of the overall time-frame.

B. The administrative completeness review time-frame begins when the Board receives an application packet or a request for approval. During the administrative completeness review time-frame, the Board shall notify the applicant or person requesting approval that the application packet or request for approval is either complete or incomplete. If the application packet or request for approval is incomplete, the Board shall specify in the notice what information is missing.

C. An applicant or person requesting approval whose application packet or request for approval is incomplete, shall submit the missing information to the Board within the time to complete listed in Table 1. Both the administrative completeness review and overall time-frames are suspended from the date of the Board's notice under subsection (B) until the Board receives all of the missing information.

D. Upon receipt of all missing information, the Board shall notify the applicant or person requesting approval that the application packet or request for approval is complete. The Board shall not send a separate notice of completeness if the Board grants or denies a license, certificate, or approval within the administrative completeness time-frame listed in Table 1.

E. The substantive review time-frame listed in Table 1 begins on the date of the Board's notice of administrative completeness.

F. If the Board determines during the substantive review that additional information is needed, the Board shall send the applicant or person requesting approval a comprehensive written request for additional information.

G. An applicant or person requesting approval who receives a request under subsection (F), shall submit the additional information to the Board within the time for response listed in Table 1. Both the substantive review and overall time-frames are suspended from the date of the Board's request until the Board receives the additional information.

H. An applicant or person requesting approval may receive a 30-day extension of the time provided under subsection (C) or (G) by providing written notice to the Board before the time expires. If an applicant or person requesting approval fails to submit to the Board the missing or additional information within the time provided under Table 1 or the time as extended, the Board shall close the applicant's or person's file. To receive further consideration, an applicant or person requesting approval whose file is closed shall re-apply.

I. Within the overall time-frame listed in Table 1, the Board shall:

1. Grant a license, certificate, or approval if the Board determines that the applicant or person requesting approval meets all criteria required by statute and this Chapter; or

2. Deny a license, certificate, or approval if the Board determines that the applicant or person requesting approval does not meet all criteria required by statute and this Chapter.

J. If the Board denies a license, certificate, or approval, the Board shall send the applicant or person requesting approval a written notice explaining:

1. The reason for denial, with citations to supporting statutes or rules;

The applicant's or person's right to appeal the denial by filing an appeal under A.R.S. Title 41, Chapter 6, Article 10;

3. The time for appealing the denial; and

4. The applicant's or person's right to request an informal settlement conference.

K. If a time-frame's last day falls on a Saturday, Sunday, or official state holiday, the next business day is the time-frame's last day.

History

• New Section adopted by final rulemaking at 6 A.A.R. 2534, effective June 12, 2000 (Supp. 00-2). Amended by final rulemaking at 11 A.A.R. 2435, effective August 6, 2005 (Supp. 05-2). Amended by final rulemaking at 14 A.A.R. 690, effective April 5, 2008 (Supp. 08-1).

Ariz. Admin. Code § R4-8-106 Fees

A. Under the authority provided at A.R.S. § 32-3927, the Board establishes and shall collect the following fees:

1. Application for an acupuncture license: $150;

2. Issuance of an initial acupuncture license: $275;

Renewal of an acupuncture license: $275;

4. Additional fee for late renewal of an acupuncture license: $100;

Application for an auricular acupuncture certificate: $75;

6. Issuance of an initial auricular acupuncture certificate: $75;

Renewal of an auricular acupuncture certificate: $75;

8. Visiting professor certificate: $600;

9. Extension of a visiting professor certificate: $600; and

10. Duplicate license or certificate: $50.

B. Except as provided in subsections (B)(1) through (B)(3) or as required under A.R.S. § 41-1077, all fees are nonrefundable. The Board shall refund the fee paid under subsection (A)(2) or (A)(6) if:

1. The Board denies a license or certificate to an applicant,

2. The Board closes the file of an applicant under R4-8-105, or

3. An applicant withdraws an application.

History

• New Section adopted by final rulemaking at 6 A.A.R. 2534, effective June 12, 2000 (Supp. 00-2). Amended by final rulemaking at 14 A.A.R. 690, effective April 5, 2008 (Supp. 08-1).

Ariz. Admin. Code § R4-8-107 Materials Incorporated by Reference

A. The Board incorporates the following material by reference:

1. "NADA Registered Trainer Resource Manual," 1999, published by the National Acupuncture Detoxification Association, 3220 N Street NW #275, Washington, D.C. 20007;

2. "Clean Needle Technique Manual for Acupuncturists," 5th edition, 2004, published by the National Acupuncture Foundation, P.O. Box 137, Chaplin, CT 06235; and

3. "Accreditation Handbook," Part One, 2005, published by the Accreditation Commission for Acupuncture and Oriental Medicine, Maryland Trade Center #3, 7501 Greenway Center Drive, Suite 260, Greenbelt, MD 20770.

B. The materials incorporated by reference under subsection (A) contain no later editions or amendments and are on file with the Board.

History

• New Section made by final rulemaking at 14 A.A.R. 690, effective April 5, 2008 (Supp. 08-1).

Article 2 ACUPUNCTURE LICENSING; VISITING PROFESSOR CERTIFICATE

Ariz. Admin. Code § R4-8-201 Renumbered

History

• New Section adopted by final rulemaking at 6 A.A.R. 2534, effective June 12, 2000 (Supp. 00-2). Former Section R4-8-201 renumbered to R4-8-301 by final rulemaking at 14 A.A.R. 690, effective April 5, 2008 (Supp. 08-1).

Ariz. Admin. Code § R4-8-202 Renumbered

History

• New Section adopted by final rulemaking at 6 A.A.R. 2534, effective June 12, 2000 (Supp. 00-2). Former Section R4-8-202 renumbered to R4-8-302 by final rulemaking at 14 A.A.R. 690, effective April 5, 2008 (Supp. 08-1).

Ariz. Admin. Code § R4-8-203 Application for Acupuncture License

A. To be licensed to practice acupuncture, an applicant shall submit an application packet to the Board that includes:

1. An application, on a form provided by the Board, that provides the following information about the applicant:

a. Name;

b. Other names by which the applicant has been known;

c. Date of birth;

d. Social Security number;

e. Home, business, and e-mail addresses;

f. Home, business, and mobile telephone numbers;

g. A statement of whether the applicant has ever been permitted by law to practice a health-care profession in this or another state, territory, or district of the United States, or another country or subdivision of another country, and if so:

i. A list of the jurisdictions in which the applicant has been permitted by law to practice a health-care profession;

ii. The number of each license;

iii. The date each license was issued;

iv. The date each license expired or expires;

v. Limitations, if any, for each license;

vi. Whether each license was granted by endorsement, examination, or another means;

h. A statement of whether the applicant is certified by the NCCAOM, and if so, whether the certification is active and current, and the dates of issuance and expiration;

i. If not certified by the NCCAOM, a statement of whether the applicant:

i. Has passed all the following NCCAOM modules: Point Location; Foundations of Oriental Medicine; Bio-medicine; and Acupuncture; or

ii. Has passed the State of California Acupuncture Licensing Examination;

j. A statement of whether the applicant has completed an acupuncture program accredited within the United States or another country or subdivision of another country, and if so, the date of program completion;

k. A statement of whether the applicant has ever had a licensing authority of another state, district, or territory of the United States, or another country or subdivision of another country, deny the applicant a license or certificate to practice acupuncture, and if so, the name of the jurisdiction denying a license or certificate, date of the denial, and an explanation of the circumstances;

l. A statement of whether the applicant has ever had a licensing authority of another state, district, or territory of the United States, or another country or subdivision of another country, revoke, suspend, limit, restrict, or take any other action regarding the applicant's license or certificate to practice acupuncture, and if so, the name of the jurisdiction taking the action, the action taken, date of the action, and an explanation of the circumstances;

m. A statement of whether the applicant has ever been convicted of a crime, including driving under the influence of drugs or alcohol, other than a minor traffic offense, and if so, the name of the jurisdiction in which convicted, the nature of the crime, date of the conviction, and current status;

n. A statement of whether the applicant has ever had a claim for malpractice or a lawsuit filed against the applicant alleging professional malpractice or negligence in the practice of acupuncture, and if so, the claim or case number, date of the claim or lawsuit, the matters alleged, and whether the claim or lawsuit is still pending or the manner in which it was resolved;

o. A statement of whether the applicant has any condition that may impair the applicant's ability to practice acupuncture safely and skillfully, and if so, the nature of the condition and any accommodations necessary;

p. A statement of whether the applicant has ever resigned, voluntarily or involuntarily, from a health-care facility while under investigation, and if so, the name of the health-care facility, the date of the resignation, and an explanation of the circumstances; and

q. A statement of whether the applicant has ever had a health-care facility terminate, restrict, or take any other action regarding the applicant's employment, professional training, or privileges, and if so, the name of the health-care facility, the date of the action, and an explanation of the circumstances;

2. An official record or document that relates to the applicant's explanation of an item under subsections (A)(1)(k) through (A)(1)(q);

3. Documentation of one of the following:

a. Certification from the NCCAOM or its successor;

b. Certification by another certifying body recognized by the Board;

c. Certification as a result of passing a licensing or certifying examination in acupuncture; or

d. Authorization by law to practice acupuncture in another state, district, or territory of the United States, or another country or subdivision of another country with licensing standards substantially similar to those in this Chapter that has not been revoked;

Documentation of successfully completing a Board-approved clean needle technique course. A copy of the certificate of completion showing the name of the course and the date on and location at which the course was completed is acceptable documentation;

5. A 2" X 2" photograph, taken within the last year, that shows the front of the applicant's face;

6. A completed Arizona Statement of Citizenship and Alien Status for State Public Benefits, which is a form available from the Board; and

7. A complete set of fingerprints that meet the criteria of the Federal Bureau of Investigation and are taken by a law enforcement agency or other qualified entity;

8. The amount charged by the Department of Public Safety to process fingerprints for a state and federal criminal records check; and

9. The application and initial licensing fees prescribed by the Board under R4-8-106(A)(1) and (A)(2).

B. In addition to the materials required under subsection (A), an applicant shall provide evidence that the applicant completed at least 1,850 hours of training in acupuncture, including at least 800 clinical hours, by having submitted directly to the Board an official transcript from each school at which the applicant attended a Board-approved acupuncture program showing:

1. The name and address of the school,

2. The dates on which the applicant attended the school,

3. The courses and clinical training completed by the applicant,

4. The number of hours in each course or clinical training,

5. The grade or score obtained by the applicant in each course or clinical training, and

f.6. Whether the applicant received a diploma or degree from the school.

C. In addition to complying with subsections (A) and (B), an applicant shall sign, date, and have notarized an affidavit that indicates all information provided in the application packet, including any accompanying documents submitted by or on behalf of the applicant, are true, complete, and correct.

History

• New Section adopted by final rulemaking at 6 A.A.R. 2534, effective June 12, 2000 (Supp. 00-2). Amended by final rulemaking at 14 A.A.R. 690, effective April 5, 2008 (Supp. 08-1). Amended by final rulemaking at 22 A.A.R. 2175, effective 8/2/2016.

Ariz. Admin. Code § R4-8-204 Renewal of an Acupuncture License

A. An acupuncture license expires 12 months after the date issued.

B. The Board shall provide a licensee with 60-days notice of the need to renew. It is the responsibility of the licensee to renew timely. Failure to receive notice of the need to renew does not excuse failure to renew timely.

C. If a licensee fails to submit a renewal application packet as described in subsection (D) on or before the expiration date, the licensee shall cease the practice of acupuncture.

D. To renew an acupuncture license, a licensee shall submit to the Board:

1. A renewal application that provides the following information about the licensee:

a. Name;

b. License number;

c. Business name;

d. Home, business, and e-mail addresses;

e. Home, business, and mobile telephone numbers;

f. A statement of whether during the last 12 months a licensing authority of another state, district, or territory of the United States or another country or subdivision of another country denied the licensee a license or certificate to practice acupuncture and if so, the name of the jurisdiction denying a license or certificate, date of the denial, and an explanation of the circumstances;

g. A statement of whether during the last 12 months a licensing authority of another state, district, or territory of the United States or another country or subdivision of another country revoked, suspended, limited, restricted, or took other action regarding the license of the licensee and if so, the name of the jurisdiction taking action against the license, the action taken, date of the action, and an explanation of the circumstances;

h. A statement of whether during the last 12 months the licensee has been convicted of a crime, including driving under the influence of drugs or alcohol, other than a minor traffic offense, and if so, the name of the jurisdiction in which convicted, the nature of the crime, date of the conviction, and current status;

i. A statement of whether during the last 12 months a claim for malpractice or a lawsuit was filed against the licensee alleging professional malpractice or negligence in the practice of acupuncture, and if so, the claim or case number, date of the claim or lawsuit, the matters alleged, and whether the claim or lawsuit is still pending or the manner in which it was resolved;

j. A statement of whether during the last 12 months the licensee has any condition that may impair the licensee's ability to practice acupuncture safely and skillfully, and if so, the nature of the condition and any accommodations necessary;

k. A statement of whether during the last 12 months the licensee resigned, voluntarily or involuntarily, from a health-care facility while under investigation, and if so, the name of the health-care facility, the date of the resignation, and an explanation of the circumstances; and

l. A statement of whether during the last 12 months the licensee had a health-care facility terminate, restrict, or take any other action regarding the licensee's employment, professional training, or privileges, and if so, the name of the health-care facility, the date of the action, and an explanation of the circumstances;

2. An affirmation that the licensee completed the continuing education required under R4-8-206;

3. An affirmation that the licensee is in compliance with the requirements at A.R.S. § 32-3211;

4. A completed Arizona Statement of Citizenship and Alien Status for State Public Benefits, which is a form available from the Board;

5. The renewal fee required under R4-8-106(A)(3); and

6. The licensee's dated signature affirming that the information provided is accurate, true, and complete.

History

• New Section adopted by final rulemaking at 6 A.A.R. 2534, effective June 12, 2000 (Supp. 00-2). Amended by final rulemaking at 14 A.A.R. 690, effective April 5, 2008 (Supp. 08-1).

Ariz. Admin. Code § R4-8-205 Reinstatement of an Acupuncture License

A. An individual whose acupuncture license expires because of failure to renew timely under R4-8-204(D) may apply to the Board for reinstatement of the acupuncture license by submitting, within 60 days after expiration of the license:

1. The application packet described under R4-8-204(D);

2. A sworn affidavit that the individual has not practiced acupuncture since the license expired; and

3. The fee prescribed under R4-8-106(A)(4) for late renewal of an acupuncture license.

B. The Board shall not reinstate an acupuncture license that expires more than 60 days before the former licensee complies with subsection (A). If an acupuncture license is expired for more than 60 days, the former licensee may apply for licensure by complying with R4-8-203.

History

• New Section adopted by final rulemaking at 6 A.A.R. 2534, effective June 12, 2000 (Supp. 00-2). Former R4-8-205 renumbered to R4-8-206; new R4-8-205 renumbered from R4-8-206 and amended by final rulemaking at 14 A.A.R. 690, effective April 5, 2008 (Supp. 08-1).

Ariz. Admin. Code § R4-8-206 Continuing Education Requirement

A. A licensee shall complete at least 15 hours of approved continuing education per year.

B. The Board shall award hours in an approved continuing education as follows:

1. Seminar or workshop: One hour of continuing education for each contact hour;

2. Course at an accredited educational institution: 15 hours of continuing education for each semester hour;

3. Self-study, online, or correspondence course: Hours of continuing education determined by the course provider;

4. Teaching an approved continuing education: One hour of continuing education for each hour taught;

5. Having an article on the practice of acupuncture or traditional East-Asian medicine published in a peer-reviewed professional journal or in a text book: 15 hours of continuing education;

6. Attending a Board meeting: One hour for attending one meeting during a year; and

7. Having a text book published relating to the practice of acupuncture or traditional East-Asian medicine: 15 hours of continuing education.

C. The Board shall limit the number of hours of approved continuing education awarded as follows:

1. No more than 30 percent of the required hours may be obtained from teaching an approved continuing education. Hours may be obtained from teaching a particular approved continuing education only once during each year. No hours may be obtained from participating as a member of a panel at an approved continuing education; and

2. Hours that exceed the maximum required during a year may not be carried over to a subsequent year.

D. A licensee shall obtain a certificate or other evidence of attendance from the provider of each approved continuing education attended that includes the following:

1. Name of the licensee;

2. License number of the licensee;

3. Name of the approved continuing education;

4. Name of the continuing education provider;

Name of the entity that approved the continuing education;

6. Date, time, and location of the approved continuing education; and

7. Number of hours of approved continuing education.

E. A licensee shall maintain the evidence of attendance described in subsection (D) for two years and make the evidence available to the Board under R4-8-207 and as otherwise required under this Chapter.

History

• New Section adopted by final rulemaking at 6 A.A.R. 2534, effective June 12, 2000 (Supp. 00-2). Former R4-8-206 renumbered to R4-8-205; new R4-8-206 renumbered from R4-8-205 and amended by final rulemaking at 14 A.A.R. 690, effective April 5, 2008 (Supp. 08-1).

Ariz. Admin. Code § R4-8-207 Audit of Compliance and Sanction for Noncompliance with Continuing Education Requirement

When notice of the need to renew a license is provided, the Board shall also provide notice of an audit of continuing education records to a random sample of licensees. A licensee subject to a continuing education audit shall submit the documentation required under R4-8-206(D) at the same time that the licensee submits the renewal application packet required under R4-8-204(D). If a licensee fails to submit the required documentation with the renewal application packet before the date of expiration, the license expires.

History

• New Section adopted by final rulemaking at 6 A.A.R. 2534, effective June 12, 2000 (Supp. 00-2). Amended by final rulemaking at 14 A.A.R. 690, effective April 5, 2008 (Supp. 08-1).

Ariz. Admin. Code § R4-8-208 Application for Visiting Professor Certificate; Extension of Visiting Professor Certificate

A. To obtain a visiting professor certificate, an applicant shall submit to the Board:

1. The application form required under R4-8-203(A) and a signed verification that the information provided is accurate, true, and complete;

The fee required under R4-8-106(A)(8);

3. Documentation of at least five years of experience in the practice of acupuncture;

4. Evidence of skill and training in the subject that the applicant will be teaching, including one of the following:

a. Documentation from a college or university of experience, education, or other training in the subject the applicant will be teaching;

b. Documentation of experience in teaching the same or similar subject matter content within the two years before the application; or

c. Documentation of one year of experience within the last two years in the specialized area in which the applicant is teaching; and

5. A detailed plan outlining the duties of the visiting professor.

B. A visiting professor certificate is valid for one year from the date issued. To extend a visiting professor certificate for another year, the certificate holder shall, at least 30 days before the certificate expires, submit to the Board an application for extension. An application for extension includes:

1. The renewal application form described in R4-8-204(D)(1) including a signed verification that the information provided is accurate, true, and complete;

2. A letter on official letterhead from an official of the school of acupuncture at which the visiting professor will be teaching requesting that the extension be granted; and

3. The fee required under R4-8-106(A)(9).

C. The Board shall not extend a visiting professor certificate more than twice.

History

• New Section adopted by final rulemaking at 6 A.A.R. 2534, effective June 12, 2000 (Supp. 00-2). Amended by final rulemaking at 14 A.A.R. 690, effective April 5, 2008 (Supp. 08-1).

Ariz. Admin. Code § R4-8-209 Repealed

History

• New Section adopted by final rulemaking at 6 A.A.R. 2534, effective June 12, 2000 (Supp. 00-2). Section automatically repealed on January 31, 2001 (Supp. 02-3).

Ariz. Admin. Code § R4-8-210 Repealed

History

• New Section adopted by final rulemaking at 6 A.A.R. 2534, effective June 12, 2000 (Supp. 00-2). Section automatically repealed on January 31, 2001 (Supp. 02-3).

Article 3 AURICULAR ACUPUNCTURE CERTIFICATION

Ariz. Admin. Code § R4-8-301 Application for Auricular Acupuncture Certificate

To be certified as an auricular acupuncturist to provide auricular acupuncture services in a Board-approved alcoholism, substance abuse, or chemical dependency program, an applicant shall submit an application packet to the Board that includes:

1. An application, on a form provided by the Board, that provides the following information about the applicant:

a. Name;

b. Other names by which the applicant has been known;

c. Date of birth;

d. Social Security number;

e. Home, business, and e-mail addresses;

f. Home, business, and mobile telephone numbers;

g. A statement of whether the applicant has ever been permitted by law to practice auricular acupuncture in another state, territory, or district of the United States, or another country or subdivision of another country, and if so:

i. A list of the jurisdictions in which the applicant has been permitted by law to practice auricular acupuncture;

ii. The number of each license or certificate;

iii. The date each license or certificate was issued;

iv. The date each license or certificate expired or expires;

v. Limitations, if any, for each license or certificate;

vi. Current status of each license or certificate; and

vii. Whether each license or certificate was granted by endorsement, examination, or another means;

h. A statement of whether the applicant has ever had a licensing authority of another state, district, or territory of the United States, or another country or subdivision of another country, deny the applicant a license or certificate to practice auricular acupuncture, and if so, the name of the jurisdiction denying a license or certificate, date of the denial, and an explanation of the circumstances;

i. A statement of whether the applicant has ever had a licensing authority of another state, district, or territory of the United States, or another country or subdivision of another country, revoke, suspend, limit, restrict, or take any other action regarding the applicant's license or certificate to practice auricular acupuncture, and if so, the name of the jurisdiction taking the action, the action taken, date of the action, and an explanation of the circumstances;

j. A statement of whether the applicant has ever been convicted of a crime, including driving under the influence of drugs or alcohol, other than a minor traffic offense, and if so, the name of the jurisdiction in which convicted, the nature of the crime, date of the conviction, and current status;

k. A statement of whether the applicant has ever had a claim for malpractice or a lawsuit filed against the applicant alleging professional malpractice or negligence in the practice of auricular acupuncture, and if so, the claim or case number, date of the claim or lawsuit, the matters alleged, and whether the claim or lawsuit is still pending or the manner in which it was resolved;

l. A statement of whether the applicant has any condition that may impair the applicant's ability to practice auricular acupuncture safely and skillfully, and if so, the nature of the condition and any accommodations necessary;

m. A statement of whether the applicant has ever resigned, voluntarily or involuntarily, from a health-care facility while under investigation, and if so, the name of the health-care facility, the date of the resignation, and an explanation of the circumstances; and

n. A statement of whether the applicant has ever had a health-care facility terminate, restrict, or take any other action regarding the applicant's employment, professional training, or privileges, and if so, the name of the health-care facility, the date of the action, and an explanation of the circumstances;

2. An official record or document that relates to the applicant's explanation of an item under subsections (1)(h) through (1)(n);

3. The application and initial certification fees prescribed by the Board under R4-8-106(A)(5) and (A)(6);

4. Documentation of successfully completing a Board-approved:

a. Training program in auricular acupuncture for the treatment of alcoholism, substance abuse, or chemical dependency. A copy of the certificate of completion showing the name, date, and location of the course is acceptable documentation; and

b. Clean needle technique course. A copy of the certificate of completion showing the name, date, and location of the course is acceptable documentation;

5. The name, license number, and telephone number of the Arizona licensed acupuncturist who will supervise the applicant if the applicant is certified;

6. A 2" X 2" photograph, taken within the last year, that shows the front of the applicant's face and that the applicant signs on the back or the white frame around the photograph;

7. A completed Arizona Statement of Citizenship and Alien Status for State Public Benefits, which is a form available from the Board; and

8. The applicant's dated and notarized signature affirming that the information provided in the application, including any accompanying documents submitted by or on behalf of the applicant, are true and complete.

History

• New Section adopted by final rulemaking at 6 A.A.R. 2534, effective June 12, 2000 (Supp. 00-2). Section R4-8-301 recodified to R4-8-401 at 13 A.A.R. 482, effective January 24, 2007 (Supp. 07-1). New R4-8-301 renumbered from R4-8-201 and amended by final rulemaking at 14 A.A.R. 690, effective April 5, 2008 (Supp. 08-1).

Ariz. Admin. Code § R4-8-302 Requirements for the Practice of Auricular Acupuncture

A. A holder of an auricular acupuncture certificate shall provide auricular acupuncture services only in an alcoholism, substance abuse, or chemical dependency program approved by the Board or the state or federal government.

B. A holder of an auricular acupuncture certificate shall provide auricular acupuncture services only under the supervision of an individual licensed under A.R.S. § 32-3924 and R4-8-203.

C. The Board approves an alcoholism, substance abuse, or chemical dependency program that provides services and is licensed by the Arizona Department of Health Services as a behavioral health agency under A.R.S. Title 36, Chapter 4.

History

• New Section adopted by final rulemaking at 6 A.A.R. 2534, effective June 12, 2000 (Supp. 00-2). Section R4-8-302 recodified to R4-8-402 at 13 A.A.R. 482, effective January 24, 2007 (Supp. 07-1). New R4-8-302 renumbered from R4-8-202 and amended by final rulemaking at 14 A.A.R. 690, effective April 5, 2008 (Supp. 08-1).

Ariz. Admin. Code § R4-8-303 Renewal of an Auricular Acupuncture Certificate

A. An auricular acupuncture certificate expires 12 months after the date issued.

B. The Board shall provide a certificate holder with 60-days notice of the need to renew. It is the responsibility of the certificate holder to renew timely. Failure to receive notice of the need to renew does not excuse failure to renew timely.

C. If a certificate holder fails to submit a renewal application packet as described in subsection (D) on or before the expiration date, the certificate holder shall cease the practice of auricular acupuncture.

D. To renew an auricular acupuncture certificate, a certificate holder shall submit to the Board:

1. A renewal application that provides the following information listed about the certificate holder:

a. Name;

b. Certificate number;

c. Renewal date;

d. The name, address, and telephone number of the alcoholism, substance abuse, or chemical dependency facility at which the certificate holder works;

e. Residential and e-mail addresses;

f. Residential and mobile telephone numbers;

g. A statement of whether during the last 12 months a licensing authority of another state, district, or territory of the United States or another country or subdivision of another country denied the certificate holder a license or certificate to practice auricular acupuncture and if so, the name of the jurisdiction denying a license or certificate, date of the denial, and an explanation of the circumstances;

h. A statement of whether during the last 12 months a licensing authority of another state, district, or territory of the United States or another country or subdivision of another country revoked, suspended, limited, restricted, or took other action regarding the license or certificate of the certificate holder and if so, the name of the jurisdiction taking action, the action taken, date of the action, and an explanation of the circumstances;

i. A statement of whether during the last 12 months the certificate holder has been convicted of a crime, including driving under the influence of drugs or alcohol, other than a minor traffic offense, and if so, the name of the jurisdiction in which convicted, the nature of the crime, date of the conviction, and current status;

j. A statement of whether during the last 12 months a claim for malpractice or a lawsuit was filed against the certificate holder alleging professional malpractice or negligence in the practice of auricular acupuncture, and if so, the claim or case number, date of the claim or lawsuit, the matters alleged, and whether the claim or lawsuit is still pending or the manner in which it was resolved;

k. A statement of whether during the last 12 months the certificate holder has any condition that may impair the certificate holder's ability to practice auricular acupuncture safely and skillfully, and if so, the nature of the condition and any accommodations necessary;

l. A statement of whether during the last 12 months the certificate holder resigned, voluntarily or involuntarily, from a health-care facility while under investigation, and if so, the name of the health-care facility, the date of the resignation, and an explanation of the circumstances;

m. A statement of whether during the last 12 months the certificate holder had a health-care facility terminate, restrict, or take any other action regarding the certificate holder's employment, professional training, or privileges, and if so, the name of the health-care facility, the date of the action, and an explanation of the circumstances; and

n. The name, license number, and telephone number of the licensed acupuncturist who supervises the certificate holder;

2. A completed Arizona Statement of Citizenship and Alien Status for State Public Benefits, which is a form available from the Board;

3. The renewal fee required under R4-8-106(A)(7); and

4. The certificate holder's dated signature affirming that the information provided is accurate, true, and complete.

E. The Board does not have authority to reinstate an expired auricular acupuncture certificate. An individual whose auricular acupuncture certificate expires because of failure to renew timely under subsection (D) may apply for certification by complying with R4-8-301.

History

• New Section adopted by final rulemaking at 6 A.A.R. 2534, effective June 12, 2000 (Supp. 00-2). Amended by final rulemaking at 11 A.A.R. 2435, effective August 6, 2005 (Supp. 05-2). Section R4-8-303 recodified to R4-8-403 at 13 A.A.R. 482, effective January 24, 2007 (Supp. 07-1). New Section made by final rulemaking at 14 A.A.R. 690, effective April 5, 2008 (Supp. 08-1).

Ariz. Admin. Code § R4-8-304 Notice of Change in Supervisor

A. A certificate holder shall provide written notice to the Board within 10 days after one of the following occurs:

1. The certificate holder changes employment from one approved alcoholism, substance abuse, and chemical dependency program to another;

2. The certificate holder ceases to practice as an auricular acupuncturist; or

3. The licensed acupuncturist supervising the certificate holder changes.

B. A certificate holder required to provide notice under subsection (A), shall include the following information in the notice:

1. Name and certificate number of the certificate holder;

2. Name and address of the approved alcoholism, substance abuse, and chemical dependency program at which the certificate holder is employed; and

3. Name, license number, and telephone number of the licensed acupuncturist supervising the certificate holder; or

4. A statement that the certificate holder is not practicing as an auricular acupuncturist.

History

• New Section adopted by final rulemaking at 6 A.A.R. 2534, effective June 12, 2000 (Supp. 00-2). Amended by final rulemaking at 11 A.A.R. 2435, effective August 6, 2005 (Supp. 05-2). Section R4-8-304 recodified to R4-8-404 at 13 A.A.R. 482, effective January 24, 2007 (Supp. 07-1). New Section made by final rulemaking at 14 A.A.R. 690, effective April 5, 2008 (Supp. 08-1).

Ariz. Admin. Code § R4-8-305 Recodified

History

• New Section adopted by final rulemaking at 6 A.A.R. 2534, effective June 12, 2000 (Supp. 00-2). Section R4-8-305 recodified to R4-8-405 at 13 A.A.R. 482, effective January 24, 2007 (Supp. 07-1).

Ariz. Admin. Code § R4-8-306 Recodified

History

• New Section adopted by final rulemaking at 6 A.A.R. 2534, effective June 12, 2000 (Supp. 00-2). Section R4-8-306 recodified to R4-8-406 at 13 A.A.R. 482, effective January 24, 2007 (Supp. 07-1).

Ariz. Admin. Code § R4-8-307 Recodified

History

• New Section adopted by final rulemaking at 6 A.A.R. 2534, effective June 12, 2000 (Supp. 00-2). Amended by final rulemaking at 11 A.A.R. 2435, effective August 6, 2005 (Supp. 05-2). Section R4-8-307 recodified to R4-8-407 at 13 A.A.R. 482, effective January 24, 2007 (Supp. 07-1).

Ariz. Admin. Code § R4-8-308 Recodified

History

• New Section adopted by final rulemaking at 6 A.A.R. 2534, effective June 12, 2000 (Supp. 00-2). Section R4-8-308 recodified to R4-8-408 at 13 A.A.R. 482, effective January 24, 2007 (Supp. 07-1).

Ariz. Admin. Code § R4-8-309 Recodified

History

• New Section adopted by final rulemaking at 6 A.A.R. 2534, effective June 12, 2000 (Supp. 00-2). Section R4-8-309 recodified to R4-8-409 at 13 A.A.R. 482, effective January 24, 2007 (Supp. 07-1).

Ariz. Admin. Code § R4-8-310 Recodified

History

• New Section adopted by final rulemaking at 6 A.A.R. 2534, effective June 12, 2000 (Supp. 00-2). Section R4-8-310 recodified to R4-8-410 at 13 A.A.R. 482, effective January 24, 2007 (Supp. 07-1).

Ariz. Admin. Code § R4-8-311 Recodified

History

• New Section made by final rulemaking at 11 A.A.R. 2435, effective August 6, 2005 (Supp. 05-2). Section R4-8-311 recodified to R4-8-411 at 13 A.A.R. 482, effective January 24, 2007 (Supp. 07-1).

Ariz. Admin. Code § R4-8-312 Recodified

History

• New Section made by final rulemaking at 11 A.A.R. 2435, effective August 6, 2005 (Supp. 05-2). Section R4-8-312 recodified to R4-8-412 at 13 A.A.R. 482, effective January 24, 2007 (Supp. 07-1).

Article 4 TRAINING PROGRAMS AND CONTINUING EDUCATION

Ariz. Admin. Code § R4-8-401 Auricular Acupuncture Training Program Approval

A. The Board approves an auricular acupuncture training program that is recognized by NADA.

B. To obtain Board approval of an auricular acupuncture training program that is not approved under subsection (A), the provider of the training program shall submit to the Board evidence that the program is:

1. Conducted in accordance with the "NADA Registered Trainer Resource Manual," which is incorporated by reference in R4-8-107; and

2. Approved by another board-approved certifying entity for acupuncture.

History

• New Section adopted by final rulemaking at 6 A.A.R. 2534, effective June 12, 2000 (Supp. 00-2). Amended by final rulemaking at 11 A.A.R. 2435, effective August 6, 2005 (Supp. 05-2). Former R4-8-401 recodified to R4-8-501; new Section recodified from R4-8-301 at 13 A.A.R. 482, effective January 24, 2007 (Supp. 07-1). Amended by final rulemaking at 14 A.A.R. 690, effective April 5, 2008 (Supp. 08-1).

Ariz. Admin. Code § R4-8-402 Clean Needle Technique Course Approval

To be approved by the Board, a person that proposes to conduct a clean needle technique course shall submit to the Board evidence that the course is conducted in accordance with "Clean Needle Technique Manual for Acupuncturists," which is incorporated by reference in R4-8-107.

History

• New Section adopted by final rulemaking at 6 A.A.R. 2534, effective June 12, 2000 (Supp. 00-2). Amended by final rulemaking at 11 A.A.R. 2435, effective August 6, 2005 (Supp. 05-2). Former R4-8-402 recodified to R4-8-502; new Section recodified from R4-8-302 at 13 A.A.R. 482, effective January 24, 2007 (Supp. 07-1). Amended by final rulemaking at 14 A.A.R. 690, effective April 5, 2008 (Supp. 08-1).

Ariz. Admin. Code § R4-8-403 Approval of an Acupuncture or Clinical Training Program

A. To be approved by the Board, the provider of an acupuncture program shall submit to the Board either:

1. Documentation that the acupuncture program is a candidate for accreditation or has accreditation through the ACAOM and provides at least 1,850 hours of training, including at least 800 hours of clinical training; or

Documentation that the acupuncture program meets the standards at R4-8-404(A).

B. To be approved by the Board, the provider of an acupuncture clinical training program shall submit to the Board either:

1. Documentation that the clinical training program is part of an acupuncture program that is a candidate for accreditation or has accreditation through the ACAOM, or is itself a candidate for accreditation or has accreditation through ACAOM; or

2. Documentation that the clinical program meets the standards at R4-8-404(B).

History

• New Section adopted by final rulemaking at 6 A.A.R. 2534, effective June 12, 2000 (Supp. 00-2). Former R4-8-403 recodified to R4-8-503; new Section recodified from R4-8-303 at 13 A.A.R. 482, effective January 24, 2007 (Supp. 07-1). Amended by final rulemaking at 14 A.A.R. 690, effective April 5, 2008 (Supp. 08-1). Amended by final rulemaking at 22 A.A.R. 2175, effective 8/2/2016.

Ariz. Admin. Code § R4-8-404 Standards for an Acupuncture or Clinical Training Program

A. The Board shall approve an acupuncture program that does not meet the standard at R4-8-403(A)(1) only if the program:

1. Is for at least three years;

2. Complies with the essential requirements and attendant criteria in Part One of the "Accreditation Handbook," which is incorporated by reference in R4-8-107; and

3. Provides the following course content and minimum hours:

a. Traditional East-Asian medical theory, diagnosis, treatment techniques in acupuncture, and related studies: 690 hours;

b. Clinical training: 800 hours; and

c. Biomedical clinical sciences: 360 hours.

B. The Board shall approve an acupuncture clinical training program that does not meet the standard of R4-8-403(B)(1) only if the clinical training program:

1. Is operated by a person who owns and operates an acupuncture clinic,

Provides at least 75% of clinical instruction in the acupuncture clinic, and

3. Provides direct patient contact in the following:

a. Supervised observation of the clinical practice of acupuncture with case presentations and discussions;

b. Application of Eastern and Western diagnostic procedures in evaluating a patient; and

c. Clinical treatment of a patient with acupuncture techniques.

History

• New Section recodified from R4-8-304 at 13 A.A.R. 482, effective January 24, 2007 (Supp. 07-1). Amended by final rulemaking at 14 A.A.R. 690, effective April 5, 2008 (Supp. 08-1).

Ariz. Admin. Code § R4-8-405 Documentation Required for Approval

To obtain Board approval of an acupuncture or clinical training program under R4-8-404, the provider of the program shall submit or have the custodian of program records submit to the Board documents and other evidence that demonstrates that the program meets the standards in R4-8-404. These documents and other evidence may include catalogues, course descriptions, curricula plans, and study bulletins.

History

• New Section recodified from R4-8-305 at 13 A.A.R. 482, effective January 24, 2007 (Supp. 07-1). Amended by final rulemaking at 14 A.A.R. 690, effective April 5, 2008 (Supp. 08-1).

Ariz. Admin. Code § R4-8-406 Repealed

History

• New Section recodified from R4-8-306 at 13 A.A.R. 482, effective January 24, 2007 (Supp. 07-1). Repealed by final rulemaking at 14 A.A.R. 690, effective April 5, 2008 (Supp. 08-1).

Ariz. Admin. Code § R4-8-407 Program Monitoring; Records; Reporting

A. The provider of an approved acupuncture or clinical training program shall submit to the Board, within 60 days after the close of the program's fiscal year, a letter attesting that the acupuncture or clinical training program continues to meet the standards of R4-8-403 or R4-8-404, and a course catalog that includes:

1. A description of the courses in the next year's proposed curriculum;

2. A list of members of the program faculty, administration, and governing body; and

3. A description of the program facility.

C.B. A representative of the Board may conduct an onsite visit of an approved acupuncture or clinical training program to review and evaluate the status of the program. The provider of the approved program shall reimburse the Board for direct costs incurred in conducting this review and evaluation.

D.C. The provider of an approved acupuncture or clinical training program shall ensure that all student records are maintained in English.

E.D. The provider of an approved acupuncture or clinical training program shall, within 30 days, report to the Board any failure to meet the standards at R4-8-403 or R4-8-404.

History

• New Section recodified from R4-8-307 at 13 A.A.R. 482, effective January 24, 2007 (Supp. 07-1). Amended by final rulemaking at 14 A.A.R. 690, effective April 5, 2008 (Supp. 08-1). Amended by final rulemaking at 22 A.A.R. 2175, effective 8/2/2016.

Ariz. Admin. Code § R4-8-408 Approval of Continuing Education

A. The Board shall approve a continuing education only if the continuing education:

1. Is related to the knowledge or technical skills used to practice acupuncture safely and competently; or

2. Is related to direct or indirect acupuncture patient care, including practice management, medical ethics, or Chinese language; and

3. Includes a method by which the continuing education participants evaluate:

a. The extent to which the continuing education met its stated objectives,

b. The adequacy of the instructor's knowledge of the subject taught,

c. The use of appropriate teaching methods, and

d. The applicability or usefulness of the information provided; and

4. Provides continuing education participants with a certificate of attendance that meets the requirements at R4-8-206(D).

B. The Board shall approve a continuing education, without application under R4-8-409, if the continuing education is:

1. Approved by a licensing board of acupuncture in another state,

2. Provided by the Continuing Education Council of NCCAOM, or

3. Provided by a board-approved acupuncture or clinical training program.

History

• New Section recodified from R4-8-308 at 13 A.A.R. 482, effective January 24, 2007 (Supp. 07-1). Amended by final rulemaking at 14 A.A.R. 690, effective April 5, 2008 (Supp. 08-1).

Ariz. Admin. Code § R4-8-409 Application for Continuing Education Approval

A. To obtain the Board's approval for a continuing education, the provider of the continuing education shall submit to the Board at least 45 days before teaching the continuing education:

1. A form, which is available from the Board, containing the following information:

a. Title of the continuing education;

b. Name and address of the continuing education provider;

c. Name, telephone and fax numbers of a contact person for the continuing education provider;

d. Date, time, and place at which the continuing education will be taught, if known;

e. Subject matter of the continuing education;

f. Method of instruction; and

g. Number of continuing education hours requested; and

2. The following documents:

a. Curriculum vitae of the continuing education instructor,

b. Objective of the continuing education,

c. Detailed outline of the continuing education,

d. Agenda for the continuing education showing the hours of instruction and the subject matter taught during each hour,

e. Method by which participants evaluate the continuing education, and

f. Certificate of attendance that meets the requirements at R4-8-206(D).

B. The provider of a continuing education that is not approved under R4-8-408(B) shall not advertise that the continuing education is approved by the Board until the Board acts on an application submitted under subsection (A).

C. The Board's approval of a continuing education is valid for one year unless there is a change in subject matter, instructor, or hours of instruction. At the end of one year or when there is a change in subject matter, instructor, or hours of instruction, the continuing education provider shall apply again for approval.

History

• New Section recodified from R4-8-309 at 13 A.A.R. 482, effective January 24, 2007 (Supp. 07-1). Amended by final rulemaking at 14 A.A.R. 690, effective April 5, 2008 (Supp. 08-1).

Ariz. Admin. Code § R4-8-410 Repealed

History

• New Section recodified from R4-8-310 at 13 A.A.R. 482, effective January 24, 2007 (Supp. 07-1). Repealed by final rulemaking at 14 A.A.R. 690, effective April 5, 2008 (Supp. 08-1).

Ariz. Admin. Code § R4-8-411 Expired

History

• New Section recodified from R4-8-311 at 13 A.A.R. 482, effective January 24, 2007 (Supp. 07-1). Amended by final rulemaking at 14 A.A.R. 690, effective April 5, 2008 (Supp. 08-1). Section expired under A.R.S. § 41-1056(J) at 22 A.A.R. 14, effective October 30, 2015 (Supp. 15-4).

Ariz. Admin. Code § R4-8-412 Expired

History

• New Section recodified from R4-8-312 at 13 A.A.R. 482, effective January 24, 2007 (Supp. 07-1). Amended by final rulemaking at 14 A.A.R. 690, effective April 5, 2008 (Supp. 08-1). Section expired under A.R.S. § 41-1056(J) at 22 A.A.R. 14, effective October 30, 2015 (Supp. 15-4).

Article 5 SUPERVISION; RECORDKEEPING

Ariz. Admin. Code § R4-8-501 Treatment of Patients by Acupuncture Students; Supervision

A. Before a supervising acupuncturist allows an acupuncture student to treat a patient, the supervising acupuncturist shall:

1. Consult with the acupuncture student regarding the treatment to be provided;

2. Ensure that the acupuncture student has the level of training required to provide the treatment safely and effectively;

3. Ensure that written evidence of informed consent is obtained from the patient indicating that the patient knows a student will be treating the patient; and

4. Ensure that the supervisor is physically present in the clinic during any patient treatment performed by the acupuncture student.

B. If an acupuncture student treats a patient, the supervising acupuncturist shall ensure that records of the treatment:

1. Are maintained as required under R4-8-502;

2. Include the written evidence of informed consent required under subsection (A)(3), and

3. Indicate the names of both the supervising acupuncturist and the acupuncture student.

History

• New Section adopted by final rulemaking at 6 A.A.R. 2534, effective June 12, 2000 (Supp. 00-2). Section expired under A.R.S. § 41-1056(E) at 12 A.A.R. 689, effective October 31, 2005 (Supp. 06-1). Former R4-8-501 recodified to R4-8-701; new R4-8-501 recodified from R4-8-401 at 13 A.A.R. 482, effective January 24, 2007 (Supp. 07-1). Amended by final rulemaking at 14 A.A.R. 690, effective April 5, 2008 (Supp. 08-1).

Ariz. Admin. Code § R4-8-502 Recordkeeping

A. An acupuncturist shall:

1. Make a complete, legible, and accurate record of each patient to whom an acupuncture treatment is given. The acupuncturist shall ensure that a patient record is in English and includes:

a. Name of the patient,

b. Patient history,

c. Dates of treatment,

d. Treatment given, and

e. Progress made during acupuncture treatments; and

Maintain a patient record for six years after the last treatment of the patient or as prescribed at A.R.S. § 12-2297, whichever date occurs later.

B. The provider of an acupuncture, auricular acupuncture, or clinical training program shall:

1. Make accurate and complete records of:

a. Compliance with the program standards in Article 4, and

b. Students enrolled in the program. The provider shall ensure that a student record indicates:

i. Name of the student;

ii. Date enrolled;

iii. Courses taken;

iv. Grade obtained in each course;

v. Date on which the program was completed or the student ceased to participate; and

vi. Whether the student was awarded a diploma, degree, or certificate of completion.

2. Maintain the records required under subsection (B)(1)(a) for six years, and

3. Maintain the records required under subsection (B)(1)(b) for 25 years after the student completes or is last enrolled in the program or as required by A.R.S. § 32-3001 et seq. and the rules of the Board of Private Postsecondary Education, whichever is longer.

C. The provider of an approved continuing education shall:

1. Make accurate and complete records of:

a. The Board's approval of the continuing education;

b. The date, time, and location of each presentation of the continuing education; and

c. Participants at each presentation of the continuing education.

Maintain the records required under subsection (C)(1) for two years.

History

• New Section adopted by final rulemaking at 6 A.A.R. 2534, effective June 12, 2000 (Supp. 00-2). Former R4-8-502 recodified to R4-8-702; new R4-8-502 recodified from R4-8-402 at 13 A.A.R. 482, effective January 24, 2007 (Supp. 07-1). Amended by final rulemaking at 14 A.A.R. 690, effective April 5, 2008 (Supp. 08-1). Amended by final rulemaking at 22 A.A.R. 2175, effective 8/2/2016.

Ariz. Admin. Code § R4-8-503 Supervision of an Auricular Acupuncturist

A licensed acupuncturist supervising an auricular acupuncture certificate holder shall:

1. Be available promptly to consult with the auricular acupuncture certificate holder in person, by telephone, or electronically during normal working hours; and

2. Ensure that the auricular acupuncture certificate holder performs auricular acupuncture safely and effectively and complies with the law regarding auricular acupuncture.

History

• New Section adopted by final rulemaking at 6 A.A.R. 2534, effective June 12, 2000 (Supp. 00-2). Section expired under A.R.S. § 41-1056(E) at 12 A.A.R. 689, effective October 31, 2005 (Supp. 06-1). Former R4-8-503 recodified to R4-8-703; new R4-8-503 recodified from R4-8-403 at 13 A.A.R. 482, effective January 24, 2007 (Supp. 07-1). Amended by final rulemaking at 14 A.A.R. 690, effective April 5, 2008 (Supp. 08-1).

Ariz. Admin. Code § R4-8-504 Recodified

History

• New Section adopted by final rulemaking at 6 A.A.R. 2534, effective June 12, 2000 (Supp. 00-2). Former R4-8-504 recodified to R4-8-704 at 13 A.A.R. 482, effective January 24, 2007 (Supp. 07-1).

Ariz. Admin. Code § R4-8-505 Recodified

History

• New Section adopted by final rulemaking at 6 A.A.R. 2534, effective June 12, 2000 (Supp. 00-2). Section expired under A.R.S. § 41-1056(E) at 12 A.A.R. 689, effective October 31, 2005 (Supp. 06-1). Former R4-8-505 recodified to R4-8-705 at 13 A.A.R. 482, effective January 24, 2007 (Supp. 07-1).

Ariz. Admin. Code § R4-8-506 Recodified

History

• New Section adopted by final rulemaking at 6 A.A.R. 2534, effective June 12, 2000 (Supp. 00-2). Former R4-8-506 recodified to R4-8-706 at 13 A.A.R. 482, effective January 24, 2007 (Supp. 07-1).

Article 6 COMPLAINTS; HEARING PROCEDURES; DISCIPLINE

Ariz. Admin. Code § R4-8-601 Making a Complaint

A. Anyone, including the Board, may file a complaint that alleges a violation of A.R.S. Title 32, Chapter 39 or this Chapter.

B. A complaint may be filed against:

1. An individual licensed under A.R.S. § 32-3921 and R4-8-203;

2. An individual certified under A.R.S. § 32-3922 and R4-8-301;

3. An individual certified under A.R.S. § 32-3926 and R4-8-208; or

4. An individual who is not exempt under A.R.S. § 32-3921(B) and believed to be practicing acupuncture without a license or certificate issued under A.R.S. Title 32, Chapter 39 and this Chapter.

C. To file a complaint, an individual shall provide the following information, either orally or in writing, to the Board:

Date;

2. Name, address, and telephone number of the individual complained against;

3. Name, address, and telephone number of the complainant;

4. If the complaint is filed on behalf of a third party, the name and address of the third party;

5. The date on which the complaint was last discussed with the individual complained against or a representative of an involved business:

a. A statement of whether the last discussion of the complaint was by telephone or in person, and

b. The name of the individual with whom the complaint was last discussed; and

6. A detailed description, including dates, of the events alleged to constitute a violation of A.R.S. Title 32, Chapter 39 or this Chapter.

D. A complainant shall file a complaint within 90 days of the events alleged to constitute a violation of A.R.S. Title 32, Chapter 39 or this Chapter.

E. A complainant may withdraw a complaint at any time by providing notice to the Board.

History

• New Section made by final rulemaking at 14 A.A.R. 690, effective April 5, 2008 (Supp. 08-1).

Ariz. Admin. Code § R4-8-602 Complaint Procedures

A. The Board shall review a complaint to determine whether it meets the requirements under R4-8-601. If a complaint does not meet the requirements under R4-8-601, the Board shall provide written notice to the complainant that the complaint is dismissed without further action.

B. If the Board determines that a complaint meets the requirements under R4-8-601, the Board shall assess whether the complaint alleges a violation of A.R.S. Title 32, Chapter 39 or this Chapter and:

1. Dismiss the complaint if the Board determines that the allegation, if true, does not amount to a violation of A.R.S. Title 32, Chapter 39 or this Chapter and provide written notice of the dismissal to the complainant; or

2. Serve a copy of the complaint on the respondent if the Board determines that the allegation, if true, amounts to a violation of A.R.S. Title 32, Chapter 39 or this Chapter and provide the respondent with 20 days to submit:

a. A response in which the individual admits, denies, or further explains each allegation in the complaint; and

b. Records relevant to the complaint.

C. If a respondent responds to a complaint, the Board shall send a copy of the response to the complainant and provide five days for the complainant to submit a rebuttal.

D. When the times provided under subsections (B)(2) and (C) expire, the Board shall conduct an investigation and prepare a report that summarizes the complaint and results of the investigation. The Board shall:

1. Provide a copy of the investigative report to the complainant and respondent; and

2. Provide written notice to the complainant and respondent of the date, time, and location of the Board meeting at which the complaint will be considered.

E. Both the complainant and respondent may be represented by an attorney at the Board meeting at which the complaint is considered.

F. At the Board meeting at which a complaint is considered, the Board shall:

1. Provide the complainant and respondent with an opportunity to address the Board, present evidence, and cross-examine witnesses; and

2. Negotiate an equitable and just resolution of the matters asserted in the complaint; or

3. Forward the complaint to a formal hearing.

History

• New Section made by final rulemaking at 14 A.A.R. 690, effective April 5, 2008 (Supp. 08-1).

Ariz. Admin. Code § R4-8-603 Hearing Procedures

The Board shall conduct any hearing required by law according to the procedures in A.R.S. Title 41, Chapter 6, Article 10.

History

• New Section made by final rulemaking at 14 A.A.R. 690, effective April 5, 2008 (Supp. 08-1).

Ariz. Admin. Code § R4-8-604 Rehearing or Review of Decision

A. The Board shall provide for a rehearing and review of its decisions under A.R.S. Title 41, Chapter 6, Article 10.

B. Except as provided in subsection (I), a party is required to file a motion for rehearing or review of a decision of the Board to exhaust the party's administrative remedies.

C. A party may amend a motion for rehearing or review at any time before the Board rules on the motion.

D. The Board may grant a rehearing or review for any of the following reasons materially affecting a party's rights:

1. Irregularity in the proceedings of the Board or any order or abuse of discretion that deprived the moving party of a fair hearing;

Misconduct of the Board, its staff, or an administrative law judge;

3. Accident or surprise that could not have been prevented by ordinary prudence;

4. Newly discovered material evidence that could not, with reasonable diligence, have been discovered and produced at the hearing;

5. Excessive or insufficient penalty;

6. Error in the admission or rejection of evidence or other errors of law occurring at the hearing or during the progress of the proceedings; and

7. The findings of fact or a decision is not justified by the evidence or is contrary to law.

E. The Board may affirm or modify a decision or grant a rehearing or review to all or some of the parties on all or some of the issues for any of the reasons listed in subsection (D). An order modifying a decision or granting a rehearing or review shall specify with particularity the grounds for the order. If a rehearing or review is granted, the rehearing or review shall cover only the matters specified in the order.

F. Within 30 days after the date of a decision and after giving the parties notice and an opportunity to be heard, the Board may, on its own initiative, order a rehearing or review of its decision for any reason it might have granted a rehearing or review on motion of a party. The Board may grant a motion for rehearing or review, timely served, for a reason not stated in the motion. An order granting a rehearing or review shall specify with particularity the grounds on which the rehearing or review is granted.

G. When a motion for rehearing is based upon affidavits, they shall be served with the motion. An opposing party may, within 15 days after service, serve opposing affidavits. This period may be extended by the Board for a maximum of 20 days for good cause as described in subsection (H) or by written stipulation of the parties. Reply affidavits may be permitted.

H. The Board may extend all time limits listed in this Section upon a showing of good cause. A party demonstrates good cause by showing that the grounds for the party's motion or other action could not have been known in time, using reasonable diligence, and a ruling on the motion will:

1. Further administrative convenience, expedition, or economy; or

2. Avoid undue prejudice to any party.

I. If, in a particular decision, the Board makes a specific finding that the immediate effectiveness of the decision is necessary for preservation of the public health, safety, or welfare and that a rehearing or review of the decision is impracticable, unnecessary, or contrary to the public interest, the decision may be issued as a final decision without an opportunity for a rehearing or review. If an application for judicial review of the decision is made, it shall be made under A.R.S. § 12-901 et seq.

History

• New Section made by final rulemaking at 14 A.A.R. 690, effective April 5, 2008 (Supp. 08-1).

Ariz. Admin. Code § R4-8-605 Disciplinary Action

After a Board meeting at which a complaint is considered or after a hearing that results in a determination that a licensee or certificate holder violated A.R.S. Title 32, Chapter 39 or this Chapter, the Board shall consider the following factors to determine the degree of discipline to impose under A.R.S. § 32-3951:

1. Prior conduct resulting in discipline;

2. Dishonest or self-serving motive;

3. Amount of experience as an acupuncturist;

Bad faith obstruction of the disciplinary proceeding by intentionally failing to comply with rules or orders of the Board;

5. Submission of false evidence, false statements, or other deceptive practices during the investigative or disciplinary process;

6. Refusal to acknowledge wrongful nature of conduct;

7. Degree of harm resulting from the conduct; and

8. Whether harm resulting from the conduct was cured.

History

• New Section made by final rulemaking at 14 A.A.R. 690, effective April 5, 2008 (Supp. 08-1).

Article 7 PUBLIC PARTICIPATION PROCEDURES

Ariz. Admin. Code § R4-8-701 Expired

History

• New Section R4-8-701 recodified from R4-8-501 at 13 A.A.R. 482, effective January 24, 2007 (Supp. 07-1).

Ariz. Admin. Code § R4-8-702 Petition for Rulemaking; Review of Agency Practice or Substantive Policy Statement; Objection to Rule Based upon Economic, Small Business, or Consumer Impact

A. A person may petition the Board under A.R.S. § 41-1033 for a:

1. Rulemaking action relating to a Board rule, including making a new rule or amending or repealing an existing rule; or

2. Review of an existing Board practice or substantive policy statement alleged to constitute a rule.

B. A person may petition the Board under A.R.S. § 41-1056.01 objecting to all or part of a Board rule because the actual economic, small business, or consumer impact of the rule:

Exceeds the estimated economic, small business, or consumer impact of the rule; or

2. Was not estimated and imposes a significant burden on persons subject to the rule.

C. To act under A.R.S. § 41-1033 or 41-1056.01 and this Section, a person shall submit to the Board a written petition including the following information:

1. The name, home or business and e-mail addresses, and telephone and fax numbers of the petitioner;

2. Name of any person represented by the petitioner;

3. If requesting a rulemaking action:

a. Statement of the rulemaking action sought, including the A.A.C. citation to all existing rules, and the specific language of a new rule or rule amendment; and

b. Reasons for the rulemaking action, including an explanation of why an existing rule is inadequate, unreasonable, unduly burdensome, or unlawful;

4. If requesting a review of an existing Board practice or substantive policy statement:

a. Subject matter of the existing practice or substantive policy statement; and

b. Reasons why the existing practice or substantive policy statement constitutes a rule.

5. If objecting to a rule because of its economic, small business, and consumer impact statement:

a. The A.A.C. citation of the rule to which objection is made; and

b. A description of how the actual economic, small business, or consumer impact of the rule differs from that estimated; or

c. A description of the actual economic, small business, or consumer impact of the rule and an assessment of the burden on persons subject to the rule; and

6. Dated signature of the petitioner.

D. A person may submit supporting information with a petition.

History

• New Section R4-8-702 recodified from R4-8-502 at 13 A.A.R. 482, effective January 24, 2007 (Supp. 07-1). Amended by final rulemaking at 14 A.A.R. 690, effective April 5, 2008 (Supp. 08-1).

Ariz. Admin. Code § R4-8-703 Expired

History

• New Section R4-8-703 recodified from R4-8-503 at 13 A.A.R. 482, effective January 24, 2007 (Supp. 07-1).

Ariz. Admin. Code § R4-8-704 Oral Proceedings

A. A person requesting an oral proceeding, as prescribed in A.R.S. § 41-1023(C), shall:

1. File the request with the Board;

2. Include the name and current address of the person making the request; and

3. Refer to the proposed rule and include, if known, the date and issue of the Arizona Administrative Register in which the notice of the proposed rule is published.

B. The Board shall make a record of an oral proceeding. The Board shall make any material submitted during an oral proceeding part of the official rulemaking record.

C. The presiding officer shall use the following guidelines to conduct an oral proceeding:

1. Registration of attendees. Registration of attendees is voluntary;

Registration of persons intending to speak. A person wishing to speak shall provide the following information on a form that is available from the Board:

a. Name,

b. Representative capacity, if applicable,

c. Whether the person supports or opposes the proposed rule, and

d. Approximate length of time the person wishes to speak;

Opening of the record. The presiding officer shall open the proceeding by identifying the rule to be considered and the location, date, time, and purpose of the proceeding, and by presenting the agenda;

4. A statement by Board representative. A Board representative shall explain the background and general content of the proposed rule;

5. A public oral comment period. Any person may speak at an oral proceeding. A person who speaks shall address the proposed rule. A person who speaks may ask questions regarding the proposed rule and present oral argument, data, and views on the proposed rule. The presiding officer may limit the time allotted to each speaker and preclude undue repetition; and

6. Closing remarks. The presiding officer shall announce the location and last day for submitting written comments about the proposed rule.

History

• New Section R4-8-704 recodified from R4-8-504 at 13 A.A.R. 482, effective January 24, 2007 (Supp. 07-1). Amended by final rulemaking at 14 A.A.R. 690, effective April 5, 2008 (Supp. 08-1).

Ariz. Admin. Code § R4-8-705 Expired

History

• New Section R4-8-705 recodified from R4-8-505 at 13 A.A.R. 482, effective January 24, 2007 (Supp. 07-1).

Ariz. Admin. Code § R4-8-706 Written Criticism of Rule

A. A person may file a written criticism of an existing rule with the Board.

B. A person filing a written criticism of a rule shall identify the rule by its A.A.C. citation and specify why the rule is inadequate, unduly burdensome, unreasonable, or otherwise improper.

C. The Board shall acknowledge receipt of any criticism within 15 days and place the criticism in the official record for review by the Board under A.R.S. § 41-1056.

History

• New Section R4-8-706 recodified from R4-8-506 at 13 A.A.R. 482, effective January 24, 2007 (Supp. 07-1). Amended by final rulemaking at 14 A.A.R. 690, effective April 5, 2008 (Supp. 08-1).

Chapter 9 REGISTRAR OF CONTRACTORS

Article 1 GENERAL PROVISIONS

Ariz. Admin. Code § R4-9-101 Definitions

A.Appurtenances means all structures and improvements subordinate to a residence within residential property lines, excluding the residential structure itself, such as driveways, fences, patios, swimming pools, landscaping, sport courts, and gazebos.

B. Licensee means a business entity (sole proprietor, partnership, limited liability company or corporation) to which a license is issued and not the individuals comprising the ownership or management of the licensee, except for a sole proprietor. The license is held by the licensee and not the qualifying party.

History

• Former Rule I. Former Section R4-9-01 repealed, new Section R4-9-01 adopted effective February 23, 1976 (Supp. 76-1). Amended effective November 21, 1979 (Supp. 79-6). Amended effective April 18, 1984 (Supp. 84-2). Former Section R4-9-01 amended effective July 9, 1987, and renumbered as Section R4-9-101 (Supp. 87-3). Amended effective January 20, 1998 (Supp. 98-1). Amended by final rulemaking at 20 A.A.R. 568, effective 7/1/2014.

Ariz. Admin. Code § R4-9-102 Commercial Contractor License Classifications and Scopes of Work

A.Commercial contractor license classifications. License classifications for commercial contractors are as follows:

ENGINEERING CONTRACTING

A General Engineering

A-4 Drilling

A-5 Excavating, Grading and Oil Surfacing

A-7 Piers and Foundations

A-9 Swimming Pools

A-11 Steel and Aluminum Erection

A-12 Sewers, Drains and Pipe Laying

A-14 Asphalt Paving

A-15 Seal Coating

A-16 Waterworks

A-17 Electrical and Transmission Lines

A-19 Swimming Pools, Including Solar

GENERAL COMMERCIAL CONTRACTING

B-1 General Commercial Contractor

B-2 General Small Commercial Contractor

SPECIALTY COMMERCIAL CONTRACTING

C-1 Acoustical Systems

C-3 Awnings, Canopies, Carports and Patio Covers

C-4 Boilers, Steamfitting and Process Piping

C-6 Swimming Pool Service and Repair

C-7 Carpentry

C-8 Floor Covering

C-9 Concrete

C-10 Drywall

C-11 Electrical

C-12 Elevators

C-14 Fencing

C-15 Blasting

C-16 Fire Protection Systems

C-21 Hardscaping and Irrigation Systems

C-24 Ornamental Metals

C-27 Lightweight Partitions

C-31 Masonry

C-34 Painting and Wall Covering

C-36 Plastering

C-37 Plumbing

C-38 Signs

C-39 Air Conditioning and Refrigeration

C-40 Insulation

C-41 Septic Tanks and Systems

C-42 Roofing

C-45 Sheet Metal

C-48 Ceramic, Plastic and Metal Tile

C-49 Refrigeration

C-53 Water Well Drilling

C-54 Water Conditioning Equipment

C-56 Welding

C-57 Wrecking

C-58 Comfort Heating, Ventilating, Evaporative Cooling

C-60 Finish Carpentry

C-61 Carpentry, Remodeling and Repairs

C-63 Appliances

C-65 Glazing

C-67 Low Voltage Communication Systems

C-70 Reinforcing Bar and Wire Mesh

C-74 Boilers, Steamfitting and Process Piping, Including Solar

C-77 Plumbing Including Solar

C-78 Solar Plumbing Liquid Systems Only

C-79 Air Conditioning and Refrigeration, Including Solar

B. Commercial contracting scopes. The scope of work which may be done under the commercial contracting license classifications is as follows:

A- GENERAL ENGINEERING

This classification allows the licensee to construct or repair:

1. Fixed works

2. Streets

3. Roads

4. Power and utility plants

5. Dams

6. Hydroelectric plants

7. Sewage and waste disposal plants

8. Bridges

9. Tunnels

10. Overpasses

11. Public parks

Also included are the scopes of work allowed by the A-4 through A-19 This classification does not include work authorized by the B-1, B-2, B-, or B-3 scopes.

A-4 DRILLING

This classification allows the licensee to drill, including horizontal and vertical drilling or boring, constructing, deepening, repairing, or abandoning wells; exploring for water, gas, and oil; and constructing dry wells, and monitor wells. Also included is the erection of rigs, derricks and related substructures, and installation, service and repair of pumps and pumping equipment.

A-5 EXCAVATING, GRADING AND OIL SURFACING

This classification allows the licensee to apply oil surfacing or other similar products; place shoring, casing, geo-textiles or liners; and perform incidental blasting or drilling as required for the licensee to move, alter, or repair earthen materials by:

1. Digging

2. Trenching

3. Grading

4. Horizontal boring

5. Compacting

6. Filling

This license does not allow the licensee to excavate for water, gas or oil wells.

A-7 PIERS AND FOUNDATIONS

This classification allows the licensee to install piers and foundations using concrete, rebar, post tension and other materials common to the industry. Includes pile driving, excavation, forming and other techniques and equipment common to the industry.

A-9 SWIMMING POOLS

This classification allows the licensee to construct, service, and repair swimming pools and spas, including water and gas service lines from point of service to pool equipment, wiring from pool equipment to first readily accessible disconnect, pool piping, fittings, backflow prevention devices, waste lines, and other integral parts of a swimming pool or spa.

Also included is the installation of swimming pool accessories, covers, safety devices, and fencing for protective purposes, if in the original contract.

A-11 STEEL AND ALUMINUM ERECTION

This classification allows the licensee to install and repair architectural and structural steel and aluminum materials common to the industry. This classification also includes reinforcing steel and field layout, cutting, assembly, and erection by welding, bolting, wire tying or riveting.

A-12 SEWERS, DRAINS AND PIPE LAYING

This classification allows the licensee to install and repair any project involving sewer access holes, the laying of pipe for storm drains, water and gas lines, irrigation, and sewers. Includes connecting sewer collector lines to building drains and the installation of septic tanks, leach lines, dry wells, all necessary connections, liners and related excavating and backfilling.

A-14 ASPHALT PAVING

This classification allows the licensee to install asphalt paving, and all related fine grading on streets, highways, driveways, parking lots, tennis courts, running tracks, play areas, and gas station driveways and areas, using materials and accessories common to the industry. Only permitted as it pertains to the larger scope of work, the classification also permits excavation and grading for height adjustment of existing sewer access holes, storm drains, water valves, sewer cleanouts, and drain gates. Also included is the scope of work allowed by the A-15 Seal Coating Classification.

A-15 SEAL COATING

This classification allows the licensee to apply seal coating to asphalt paving surfaces. This classification also allows repair of surface cracks and application of painted marking symbols.

A-16 WATER WORKS

This classification allows the licensee to perform all work necessary for the production and distribution of water including drilling well, setting casing and pump, related electrical work, related concrete work, excavation, piping for storage and distribution, storage tanks, related fencing, purification and chlorination equipment.

A-17 ELECTRICAL AND TRANSMISSION LINES

This classification allows the licensee to install, alter, and repair transmission lines on public right-of-ways, including erection of poles, guying systems, tower line erection, cellular and communication towers, street lighting of all voltages, and all underground systems including ducts for signal, communication, and similar installations. This classification also allows the licensee to install transformers, circuit breakers, capacitors, primary metering devices and other related equipment of all commercial electrical construction.

A-19 SWIMMING POOLS, INCLUDING SOLAR

This classification allows the licensee to perform the same scope of work permitted by the A-9 but also includes installation and repair of solar heating devices.

B-1 GENERAL COMMERCIAL CONTRACTOR

This classification allows the licensee to construct, alter, and repair in connection with any structure built, being built, or to be built for the support, shelter, and enclosure of persons, animals, or movable property of any kind. This scope includes the supervision of all or any part of the above and includes the management, or direct or indirect supervision of any work performed.

Work related to electrical, plumbing, air conditioning systems, boilers, swimming pools, spas and water wells must be subcontracted to an appropriately licensed contractor. This classification does not include work authorized by the A-, B-, or B-3 scopes.

B-2 GENERAL SMALL COMMERCIAL CONTRACTOR

For projects of $2,000,000 or less including labor and materials, this classification allows the licensee to perform commercial construction in connection with any new structure or addition built, being built, or to be built for the support, shelter and enclosure of persons, animals, or movable property of any kind. This scope includes the supervision of all or any part of the above and includes the management or direct or indirect supervision of any work performed.

Work related to electrical, plumbing, fire protection systems, air conditioning systems, boilers, swimming pools, spas and water wells must be subcontracted to an appropriately licensed contractor. This classification does not include work authorized by the A-, B-, B-3, or residential scopes.

C-1 ACOUSTICAL SYSTEMS

This classification allows the licensee to install and repair pre-manufactured acoustical ceiling and wall systems. This classification does not allow the licensee to install or repair electrical or mechanical systems.

C-3 AWNINGS, CANOPIES, CARPORTS AND PATIO COVERS

This classification allows the licensee to place concrete footings and concrete slabs as required for the licensee to install and repair:

1. Window awnings

2. Door hoods

3. Freestanding or attached canopies

4. Carport and patio covers constructed of metal, fabric, fiberglass, or plastic

5. Screened and paneled enclosures, which are not intended for use as habitable spaces, using metal panels, plastic inserts, and screen doors. A minimum of 60% of the wall area of an enclosure shall be constructed of screening material.

6. Fascia panels

7. Flashing and skirting

8. Exterior, detached metal storage units not to exceed 120 square feet

This classification does not allow the licensee to install or repair electrical, plumbing, or air conditioning systems.

C-4 BOILERS, STEAM FITTING AND PROCESS PIPING

This classification allows the licensee to install, alter, and repair steam and hot water systems and boilers, including chimney connections, flues, refractories, burners, piping, fittings, valves, thermal insulation, and accessories; fuel and water lines from source of supply to boilers; process and specialty piping and related equipment; pneumatic and electrical controls.

If necessary, a new circuit may be added to the existing service panel or sub-panel. Excluded is the installation of a new service panel or sub-panel.

C-6 SWIMMING POOL SERVICE AND REPAIR

This classification allows the licensee to replace and repair commercial pools and accessories including all existing connections and equipment. Plumbing connections to a potable water system, gas lines, gas chlorine systems, and electrical work beyond the first disconnect must be subcontracted to a properly licensed contractor.

This classification does not allow the licensee to perform a complete replacement of plaster or pebble pool interiors and decks.

C-7 CARPENTRY

This classification allows the licensee to install and repair:

1. Rough carpentry

2. Finish carpentry

3. Hardware

4. Millwork

5. Metal studs

6. Metal doors or door frames

7. Windows

C-8 FLOOR COVERING

This classification allows the licensee to prepare a surface as required for the licensee to install and repair the following floor covering materials:

1. Carpet

2. Floor tile

3. Wood

4. Linoleum

5. Vinyl

6. Asphalt

7. Rubber

8. Concrete coatings

C-9 CONCRETE

This classification allows the licensee to install and repair concrete, concrete products, and accessories common to the industry.

This classification also allows the licensee to perform trenching, excavating, backfilling, and grading in connection with concrete construction.

C-10 DRYWALL

This classification allows the licensee to install and repair:

1. Gypsum wall board

2. Ceiling grid systems

3. Movable partitions

4. Wall board tape and texture

5. Non-load bearing, lightweight, steel wall partitions

C-11 ELECTRICAL

This classification allows the licensee to install, alter, and repair any wiring, related electrical material and equipment used in the generating, transmitting, or utilization of electrical energy less than 600 volts, including all overhead electrical wiring on public right-of-ways for signs and street decorations, and all underground electrical distribution systems of less than 600 volts serving private properties.

This classification also allows the licensee to install, alter, and repair all outside, overhead, and underground electrical construction and all wiring in or on any building of less than 600 volts, but does not permit work in public right-of-ways.

C-12 ELEVATORS

This classification allows the licensee to install and repair:

1. Elevators

2. Dumbwaiters

3. Escalators

4. Moving walks and ramps

5. Stage and orchestra lifts

C-14 FENCING

This classification allows the licensee to install and repair:

1. Metal, wood, and cement block fencing

2. Automatic gates

3. Fire access strobes

4. Highway guard rails

5. Cattle guards

6. Low voltage U.L. approved electrical fence protective devices of less than 25 volts and 100 watts

This classification does not allow the licensee to install or repair retaining walls.

C-15 BLASTING

This classification allows the licensee to drill, bore, move earth, and build temporary shelters or barricades, as required for the licensee's use of explosives and explosive devices for:

1. Excavation

2. Demolition

3. Geological exploration

4. Mining

5. Construction related blasting

C-16 FIRE PROTECTION SYSTEMS

This classification allows the licensee to install, alter, and repair fire protection systems using water, steam, gas, or chemicals. Included is any required excavation, trenching, backfilling and grading, piping from structure, and connections to off-premise water supply adjacent to property involving a fire protection system. Systems may include the following areas of work and related equipment: restaurant hood protection systems; fire pumps and drivers; pressure and storage tanks; all piping and valves; sprinkler heads and nozzles; and application of materials for the prevention of corrosion or freezing.

Also included are air compressors, air receivers, bottled inert gases, pressurized chemicals, manifolds, pneumatic, hydraulic, or electrical controls, low voltage signaling systems, control piping, and the flushing and testing of systems.

C-21 HARDSCAPING AND IRRIGATION SYSTEMS

This classification allows the licensee to install, alter, and repair:

1. Non-loadbearing concrete

2. Uncovered patios, walkways, driveways made of brick, stone, pavers or gravel

3. Wooden decks no higher than 29 inches above finish grade

4. Decorative garden walls up to six feet from finish grade

5. Fences and screens up to six feet from finish grade

6. Retaining walls up to three feet from the finish grade of the lower elevation

7. Free standing fire pits, fireplaces, or barbeques - electric, plumbing, and gas must be subcontracted to a properly licensed contractor

8. Low voltage landscape lighting

9. Water features that are not attached to swimming pools; including any necessary: electrical wiring of 120 volts or less, connection to potable water lines, backflow prevention devices, hose bibs, excavating, trenching, boring, backfilling, or grading

Irrigation systems, including any necessary: electrical wiring of 120 volts or less, connection to potable water lines, backflow prevention devices, hose bibs, excavating, trenching, boring, backfilling, or grading With the exception of free standing fire pits, fireplaces, or barbeques, this classification does not allow the licensee to install, contract for, or subcontract new electrical service panels, gas or plumbing lines, blasting, outdoor kitchens, gazebos, room additions, swimming pools, pool deck coatings, barbeques, concrete driveways, load bearing walls, or perimeter fencing.

C-24 ORNAMENTAL METALS

This classification allows the licensee to install, alter, or repair non-structural ornamental metal, such as:

1. Metal folding gates

2. Guard and hand rails

3. Wrought iron fencing and gates

4. Window shutters and grilles

5. Room dividers and shields

6. Metal accessories common to the industry

This classification does not allow the licensee to install fire escapes or stairs.

C-27 LIGHTWEIGHT PARTITIONS

This classification allows the licensee to install lightweight (not to exceed 14 gauge) metal wall partitions, including suspended metal ceiling grid systems, as supporting members for the application of building materials such as: application and repair of gypsum plaster, cement, acoustical plaster, or a combination of materials and aggregates, that create a permanent coating; the application of such materials over any surface which offers either a mechanical or suction type bond, sprayed, dashed, or troweled to the surface; surface sandblasting preparatory to plastering or stucco; installation of plastering accessories and lath products manufactured to provide a key or suction type bond for the support of various type plaster coatings; and installation and repair of gypsum wall board, pointing, accessories, taping, and texturing on structures both interior and exterior.

Upon the effective date of these rules, no new applications for the C-27 classification will be accepted and no new C-27 licenses will be issued.

C-31 MASONRY

This classification allows the licensee to grout, caulk, sand blast, tuckpoint, mortar wash, parge, clean and weld reinforcing steel as required for the licensee to install and repair:

1. Masonry

2. Brick

3. Concrete block

4. Insulating concrete forms

5. Adobe units

6. Stone

7. Marble

8. Slate

9. Mortar-free masonry products

C-34 PAINTING AND WALL COVERING

This classification allows the licensee to perform surface preparation to install, apply or repair:

1. Wallpaper

2. Wall covering cloth

3. Wall covering vinyl

4. Decorative texture

5. Paint

6. Liquid floor and wall coatings

C-36 PLASTERING

This classification allows the licensee to install laths, metal studs, metal grid systems, or other bases as required for the licensee to coat surfaces by trowel or spray with combinations of:

1. Sand mixtures (e.g. stucco)

2. Gypsum plaster

3. Cement

4. Acoustical plaster

5. Swimming pool interiors (excluding tile)

C-37 PLUMBING

This classification allows the licensee to install, alter, and repair all plumbing when performed solely within property lines and not on public easements or right-of-ways, except as hereinafter provided.

This classification also allows the licensee to perform installation, alteration, and repair of all piping, fixtures, and appliances related to water supply, including pressure vessels and tanks (excluding municipal or related water supply systems); venting and sanitary drainage systems for all fluid, semifluid, and organic wastes; septic tanks and leaching lines; roof leaders; lawn sprinklers; water conditioning equipment; piping; and equipment for swimming pools.

Also included are piping, fixtures, appliances, and pressure vessels for manufactured and natural gases, compressed air and vacuum systems, petroleum, fuel oil, nonpotable liquids, hot water heating, and hot water supply systems operating at pressures not exceeding 30 PSIG, or temperatures not exceeding 220° F; steam heating and steam supply systems not exceeding 15 PSIG operating pressure; gas or oil fired space heaters and furnaces, excluding duct work. Piping for water cooling systems, excluding the refrigerant piping and equipment. Testing and balancing of hydronics systems.

Sewer, gas, water lines, and connections from structure to the nearest point of public supply or disposal may cross public or private easements or be installed within private easements or right-of-ways. Pipe installed across public property may not be increased in size, or make any other connection between the point of exit from private property to the point of connection at public supply or disposal. These lines shall not be installed parallel to main lines in public easements or right-of-ways.

C-38 SIGNS

This classification allows the licensee to install and repair posts, poles, supports, paint, and electrical wiring as required for the licensee to install and repair:

Signs

2. Displays

3. Flagpoles

C-39 AIR CONDITIONING AND REFRIGERATION

This classification allows the licensee to install, alter, and repair refrigeration and evaporative cooling systems.

This classification also allows the licensee to perform installation, alteration, and repair of heating systems of "wet", "dry" or radiant type. "Wet" systems include steam or hot water boilers and coils, or baseboard convectors, and are limited to 30 PSIG operating pressure of 220° F for hot water and 15 PSIG operating pressure for steam. Dry systems include gas fired furnaces and space heaters.

This classification also allows the licensee to perform installation, alteration, and repair of ventilation systems includes duct work, air filtering devices, water treatment devices, pneumatic or electrical controls, and control piping. Thermal and acoustical insulation of refrigerant pipes and ductwork, vibration isolation materials and devices, liquid fuel piping and tanks, water and gas piping from service connection to the equipment it serves. Testing and balancing of refrigerant, cooling, heating circuits, and air handling systems.

If necessary, a new circuit may be added to the existing service panel or sub-panel. Excluded is the installation of a new service panel or sub-panel.

C-40 INSULATION

This classification allows the licensee to install and repair:

1. Insulation materials, including radiant barriers

Preformed architectural acoustical materials

3. Insulation protecting materials

C-41 SEPTIC TANKS AND SYSTEMS

This classification allows the licensee to excavate, install and repair pipe, backfill, and compact soil as required for the licensee to install and repair:

1. Septic tanks

2. Aerobic digesters

3. Leaching fields

C-42 ROOFING

This classification allows the licensee to apply, repair, or install weatherproofing (i.e. asphaltum, pitch, tar, felt, glass fabric, flax, or other commonly used materials or systems) or roof accessories (i.e. flashing, valleys, gravel stops, or sheet metal) as required for the licensee to install and repair:

1. Roof tile

2. Shingles

3. Shakes

4. Slate

5. Metal roofing systems

6. Urethane foam

7. Roof insulation or coatings on or above the roof deck

This classification allows the licensee to replace up to 10 percent of the total roof substrate square footage as it relates to issues with substrate discovered after execution of the initial contract. Replacing more than 10 percent of the roof substrate square footage as it relates to issues with substrate discovered after execution of the initial contract requires licensee to subcontract work to a properly licensed contractor.

This classification also allows the licensee to install new or replace existing skylights where it does not require changes to the roof framing or roof structure and replace fascia not to exceed 24 linear feet.

Licensee may lift HVAC equipment to allow for proper installation of roofing material. However, the licensee must subcontract work to a properly licensed contractor if HVAC equipment ducting requires any modification to allow for proper installation of roofing material.

C-45 SHEET METAL

This classification allows the licensee to install and repair:

1. Sheet metal

2. Cornices

3. Flashings

4. Gutters

5. Leaders

6. Pans

7. Kitchen equipment

8. Duct work

9. Skylights

10. Patented chimneys

11. Metal flues

12. Metal roofing systems

C-48 CERAMIC, PLASTIC AND METAL TILE

This classification allows the licensee to prepare a surface as required for the licensee to install and repair the following tile products on horizontal and vertical surfaces:

1. Ceramic

2. Clay

3. Faience

4. Metal

5. Mosaic

6. Glass mosaic

7. Paver

8. Plastic

9. Quarry and stone tiles such as marble or slate

10. Terrazzo

Installation of shower doors and tub enclosures are included when a part of the original contract.

C-49 REFRIGERATION

This classification allows the licensee to install, alter, and repair refrigeration equipment and systems used for processing, storage, and display of food products and other perishable commodities.

This classification includes commercial, industrial, and manufacturing processes requiring refrigeration excluding comfort air conditioning.

Systems may also include the following areas of work and related equipment: temperature, safety and capacity controls, thermal insulation, vibration isolation materials and devices; water treatment devices; construction and installation of walk-in refrigeration boxes, liquid fuel piping and tanks, water and gas piping from equipment to service connection; and testing and balancing of refrigeration equipment and systems.

If necessary, a new circuit may be added to the existing service panel or sub-panel. Excluded is the installation of a new service panel or sub-panel.

C-53 WATER WELL DRILLING

This classification allows the licensee to drill new water wells or deepen existing water wells by use of standard practices including the use of cable tools, compressed air percussion, rotary, air rotary, or reverse circulation rotary methods. Includes installing casing, gravel pack, perforating and sanitary seals. Repair existing wells by sand pumping, jetting, acidizing, swabbing, clean out, reperforating, swaging, installation of annealed lines, and the removal of debris.

Includes photographing interior of wells with appropriate equipment. Installation of jet and submersible pumps; electrical pump controls and wiring from pump equipment to first readily accessible disconnect; and water line to storage or pressure tank, not to exceed 50 linear feet. Use of a test pump to develop a new well, or repair an existing well, when provided in contract, is limited to 5 horsepower.

Installation of concrete pump bases not to exceed 50 square feet.

Installation of protective fencing when included in original contract.

C-54 WATER CONDITIONING EQUIPMENT

This classification allows the licensee to perform trenching, backfilling, and grading; and install and repair piping, fittings, valves, concrete supports, and electrical control panels of less than 25 volts and required grounding devices; as required for the licensee to install and repair:

1. Water conditioning equipment

2. Misting systems

3. Exchange tanks

4. Indirect waste pipe carrying brine, backwash and rinse water to the point of disposal

C-56 WELDING

This classification allows the licensee to weld metals.

C-57 WRECKING

This classification allows the licensee to install and repair temporary ramps, barricades, and pedestrian walkways as required for the licensee to demolish, dismantle, or remove structures not intended for reuse. This classification does not allow the licensee to use explosives.

C-58 COMFORT HEATING, VENTILATING, EVAPORATIVE COOLING

This classification allows the licensee to install, alter, and repair warm air heating systems, gas fired furnaces and space heaters, ventilation and evaporative cooling units, or any combination of these.

Systems may include the following areas of work and related equipment; duct work, air filtering devices, pneumatic or electrical controls, control piping, thermal and acoustical insulation, vibration isolation materials and devices, liquid fuel piping and tanks, water and gas piping from service connection to equipment it serves. Testing and balancing of air handling systems.

If necessary, a new circuit may be added to the existing service panel or sub-panel. Excluded is the installation of a new service panel or sub-panel.

C-60 FINISH CARPENTRY

This classification allows the licensee to install and repair millwork such as:

1. Cabinets

2. Counter tops

3. Case sash

4. Door trim

5. Metal doors

6. Automatic door closers

7. Wood flooring

C-61 CARPENTRY, REMODELING AND REPAIRS

For projects of $50,000 or less including labor and materials, this classification allows the licensee to perform all general remodeling, additions, replacements, and repairs to existing structures.

Work related to electrical, plumbing, air conditioning systems, and boilers must be subcontracted to an appropriately licensed contractor.

C-63 APPLIANCES

This classification allows the licensee to install and repair appliances.

This classification does not allow the licensee to install or repair gas, electrical, or plumbing lines.

C-65 GLAZING

This classification allows the licensee to install and repair weatherproofing, caulking, sealants, and adhesives as required for the licensee to install and repair:

1. Glass products

2. Window film

3. Window treatments, such as blinds or shutters

4. Steel and aluminum glass holding members

C-67 LOW VOLTAGE COMMUNICATION SYSTEMS

This classification allows the licensee to build antenna towers on existing structures as required for the licensee to install, service, and repair:

1. Alarm systems

2. Telephone systems

3. Sound systems

4. Intercommunication systems

5. Public addressing systems

6. Television or video systems

7. Low voltage signaling devices

8. Low voltage landscape lighting that does not exceed 91 volts

9. Master and program clocks (only low voltage wiring and needed equipment)

C-70 REINFORCING BAR AND WIRE MESH

This classification allows the licensee to install and repair:

1. Reinforcing bar

2. Post-tension

3. Wire mesh

C-74 BOILERS, STEAM FITTING AND PROCESS PIPING, INCLUDING SOLAR

This classification allows the licensee to install, alter, and repair steam and hot water systems and boilers including solar. Also included are chimney connections, flues, refractories, burners, piping, fittings, valves, thermal insulation and accessories; fuel and water lines from source of supply to boilers; process and specialty piping and related equipment; pneumatic and electrical controls.

If necessary, a new circuit may be added to the existing service panel or sub-panel. Excluded is the installation of a new service panel or sub-panel.

C-77 PLUMBING INCLUDING SOLAR

This classification allows the licensee to install, alter, and repair all plumbing including solar, when performed solely within property lines and not on public easements or right-of-ways except as hereinafter provided.

This classification also allows for installation alteration, and repair of all piping, fixtures and appliances related to water supply, including pressure vessels and tanks (excluding municipal or related water supply systems); venting and sanitary drainage systems for all fluid, semifluid, and organic wastes; septic tanks and leaching lines; roof leaders; lawn sprinkler systems; water conditioning equipment; piping and equipment for swimming pools.

Also included are piping, fixtures, appliances, and pressure vessels for manufactured and natural gases, compressed air and vacuum systems, petroleum, fuel oil, nonpotable liquids, hot water heating and hot water supply systems operating at pressures not exceeding 30 PSIG or temperatures not exceeding 220° F; steam heating and steam supply systems not exceeding 15 PSIG operating pressure; gas or oil fired space heaters and furnaces excluding duct work. Piping for water cooling systems, excluding the refrigerant piping and equipment. Testing and balancing of hydronics systems.

Sewer, gas, water lines, and connections from structure to the nearest point of public supply or disposal may cross public or private easements or be installed within private easements. Pipe installed across public property may not be increased in size or make any other connection between the point of exit from private property to point of connection at public supply or disposal. These lines shall not be installed parallel to main lines in public easements or right-of-ways.

C-78 SOLAR PLUMBING LIQUID SYSTEMS ONLY

This classification allows the licensee to install, alter, and repair solar water heating systems operating at temperatures not exceeding 220° F, including thermosyphon, direct (open loop), and indirect (closed loop), but excludes air as a transfer medium.

Includes installation of collectors, storage and expansion tanks, heat exchangers, piping valves, pumps, sensors and low voltage controls which connect to existing plumbing and electrical stubouts at the water tank location.

Installation of solar water heating systems for swimming pools which tie into and operate from the conventional pool systems, but excludes all non-solar plumbing, electrical and mechanical systems and components.

Installation of backup and auxiliary heating systems only when such systems are included in the original contract and when such systems are an integral part of the solar collector or storage equipment.

C-79 AIR CONDITIONING AND REFRIGERATION, INCLUDING SOLAR

This classification allows the licensee to install, alter, and repair refrigeration and evaporative cooling systems, including solar.

This classification also allows for installation alteration, and repair of heating systems of "wet", "dry" or radiant type. "Wet" systems include steam, or hot water boilers and coils, or baseboard convectors and are limited to 30 PSIG operating pressure of 220° F for hot water and 15 PSIG operating pressure for steam. Dry systems include gas fired furnaces and space heaters.

This classification also allows for installation alteration, and repair of ventilation systems.

Installation of these systems include duct work, air filtering devices, water treatment devices, pneumatic or electrical controls, and control piping. Thermal and acoustical insulation, vibration isolation materials and devices, liquid fuel piping and tanks, and water and gas piping from service connection to equipment it serves. Testing and balancing of refrigerant, cooling and heating circuits, and air handling systems.

If necessary, a new circuit may be added to the existing service panel or sub-panel. Excluded is the installation of a new service panel or sub-panel.

History

• Former Rule 2. Amended effective May 20, 1975, Amended effective June 13, 1975, Amended effective August 8, 1975, Amended effective August 25, 1975 (Supp. 75-1). Amended effective January 9, 1976, subsection (B) of this Section R4-9-02 renumbered as Section R4-9-03 effective February 23, 1976 (Supp. 76-1). Amended effective October 14, 1977 (Supp. 77-5). Amended effective September 13, 1978 (Supp. 78-5). Amended by adding A-20 effective July 10, 1980; adding A-21 effective July 11, 1980; adding C-77 and C-78 effective July 28, 1980; adding C-74 and C-79 effective August 15, 1980; adding C-75 and C-80 effective August 19, 1980 (Supp. 80-4). Amended by adding A-19 effective September 5, 1980 (Supp. 80-5). Repealed effective April 18, 1984 (Supp. 84-2). New Section R4-9-02 adopted effective July 9, 1987, and renumbered as Section R4-9-102 (Supp. 87-3). Amended effective January 20, 1998 (Supp. 98-1). Amended by final rulemaking at 20 A.A.R. 568, effective 7/1/2014. Amended by final rulemaking at 23 A.A.R. 1029, effective 6/11/2017. Amended by final rulemaking at 23 A.A.R. 2525, effective 11/5/2017.

Ariz. Admin. Code § R4-9-103 Residential Contractor License Classifications and Scopes of Work

A.Residential contracting license classifications. License classifications for residential contractors are as follows:

GENERAL RESIDENTIAL CONTRACTING

B- General Residential Contractor

B-3 General Remodeling and Repair Contractor

B-4 General Residential Engineering Contractor

B-4R Sport Court Accessories

B-5 General Swimming Pool Contractor

B-5R Swimming Pool Covers

B-5R Factory Fabricated Pools & Accessories

B-6 General Swimming Pool Contractor, Including Solar

B-10 Pre-Manufactured Spas and Hot Tubs

SPECIALTY RESIDENTIAL CONTRACTING

R-1 Acoustical Systems

R-2 Excavating, Grading and Oil Surfacing

R-3 Awnings, Canopies, Carports and Patio Covers

R-4 Boilers, Steamfitting and Process Piping

R-4 Boilers, Including Solar

R-4R Boilers

R-6 Swimming Pool Service and Repair

R-7 Carpentry

R-8 Floor Covering

R-9 Concrete

R-10 Drywall

R-11 Electrical

R-12 Elevators

R-13 Asphalt Paving

R-14 Fencing

R-15 Blasting

R-16 Fire Protection

R-17 Structural Steel and Aluminum

R-21 Hardscaping and Irrigation Systems

R-22 House Moving

R-24 Ornamental Metals

R-31 Masonry

R-34 Painting and Wall Covering

R-36 Plastering

R-37 Plumbing, Including Solar

R-37R Plumbing

R-37R Built-In Central Vacuum Systems

R-37R Kitchen and Bathroom Fixture Refinishing

R-37R Swimming Pool Plumbing and Equipment

R-37R Gas Piping

R-37R Sewers, Drains and Pipe Laying

R-37R Solar Plumbing Liquid Systems Only

R-38 Signs

R-39 Air Conditioning and Refrigeration, Including Solar

R-39R Air Conditioning and Refrigeration

R-39R Temperature Control Systems

R-39R Warm Air Heating, Evaporative Cooling and Ventilating

R-39R Evaporative Cooling and Ventilators

R-40 Insulation

R-41 Septic Tanks and Systems

R-42 Roofing

R-45 Sheet Metal

R-48 Ceramic, Plastic and Metal Tile

R-53 Drilling

R-54 Water Conditioning Equipment

R-56 Welding

R-57 Wrecking

R-60 Finish Carpentry

R-61 Carpentry, Remodeling and Repairs

R-62 Minor Home Improvements

R-63 Appliances

R-65 Glazing

R-67 Low Voltage Communication Systems

R-70 Reinforcing Bar and Wire Mesh

B. RESIDENTIAL CONTRACTING SCOPES. The "R" designation after the license classification means that the licensee's scope of work is restricted to the description stated in the license title. The scope of work which may be done under the residential contracting license classifications is as follows:

B- GENERAL RESIDENTIAL CONTRACTOR

This classification allows the licensee to construct and repair all or any part of a residential structure or appurtenance. Work related to electrical, plumbing, air conditioning systems, boilers, swimming pools, spas and water wells must be subcontracted to an appropriately licensed contractor. This classification does not include work authorized by the A-, B-1, or B-2 scopes.

B-3 GENERAL REMODELING AND REPAIR CONTRACTOR

This classification allows the licensee to remodel and repair an existing residential structure or appurtenance except for electrical, plumbing, mechanical, boilers, swimming pools, spas and water wells, which must be subcontracted to an appropriately licensed contractor. The scope of work allowed under the R-7 carpentry classification is included within this scope.

This classification does not include work authorized by the A-, B-1, or B-2 scopes.

B-4 GENERAL RESIDENTIAL ENGINEERING CONTRACTOR

This classification allows the licensee to construct and repair appurtenances to residential structures. Work related to electrical, plumbing, air conditioning systems, boilers, and water wells must be subcontracted to an appropriately licensed contractor. This scope includes the CR-21, B-5, and all B-4R subclassifications.

B-4R Sport Court Accessories

Upon the effective date of these rules, no new applications for the B-4R license classifications will be accepted and no new B-4R licenses will be issued.

B-5 GENERAL SWIMMING POOL CONTRACTOR

This classification allows the licensee to construct and repair swimming pools and spas. Installation of code-required pool barriers around the swimming pool or spa and installation of utilities from the point of service to the pool equipment. Construction of other structures or appurtenances is excluded. This scope includes all B-5R subclassifica-tions.

B-5R Swimming Pool Covers

B-5R Factory Fabricated Pools & Accessories

Upon the effective date of these rules, no new applications for the B-5R classifications will be accepted and no new B-5R licenses will be issued.

B-6 GENERAL SWIMMING POOL CONTRACTOR, INCLUDING SOLAR

This classification allows the licensee to perform the same scope of work permitted by the B-5 (including all B-5R subclassifications) but also includes installation and repair of solar heating devices.

B-10 PRE-MANUFACTURED SPAS AND HOT TUBS

This classification allows the licensee to construct and repair spas and hot tubs. Installation of code-required pool barriers around the spa or hot tub and installation of utilities from the point of service to the spa equipment are included.

R-1 ACOUSTICAL SYSTEMS

This classification allows the licensee to install and repair pre-manufactured acoustical ceiling and wall systems. This classification does not allow the licensee to install or repair electrical or mechanical systems.

R-2 EXCAVATING, GRADING AND OIL SURFACING

No change

R-3 AWNINGS, CANOPIES, CARPORTS AND PATIO COVERS

This classification allows the licensee to place concrete footings and concrete slabs as required for the licensee to install and repair:

1. Window awnings

2. Door hoods

3. Freestanding or attached canopies

4. Carport and patio covers constructed of metal, fabric, fiberglass, or plastic

5. Screened and paneled enclosures, which are not intended for use as habitable spaces, using metal panels, plastic inserts, and screen doors. A minimum of 60% of the wall area of an enclosure shall be constructed of screening material.

6. Fascia panels

7. Flashing and skirting

8. Exterior, detached metal storage units, not to exceed 200 square feet

This classification does not allow the licensee to install or repair electrical, plumbing, or air conditioning systems.

R-4 BOILERS, STEAMFITTING AND PROCESS PIPING

This classification allows the licensee to install, alter, and repair steam and hot water systems and boilers, including chimney connections, flues, refractories, burners, piping, fittings, valves, thermal insulation, and accessories; fuel and water lines from source of supply to boilers; process and specialty piping and related equipment; pneumatic and electrical controls.

If necessary, a new circuit may be added to the existing service panel or sub-panel. Excluded is the installation of a new service panel or sub-panel.

R-6 SWIMMING POOL SERVICE AND REPAIR

This classification allows the licensee to service and perform minor repair of residential pools and accessories, excluding plumbing connections to a potable water system, gas lines, gas chlorine systems, and electrical work beyond the first disconnect.

This classification does not allow the licensee to perform a complete replacement of plaster or pebble pool interiors and decks.

R-7 CARPENTRY

This classification allows the licensee to install and repair:

1. Rough carpentry

2. Finish carpentry

3. Hardware

4. Millwork

5. Metal studs

6. Metal doors or door frames

7. Windows

R-8 FLOOR COVERING

This classification allows the licensee to prepare a surface as required for the licensee to install and repair the following floor covering materials:

Carpet

2. Floor tile

3. Wood

4. Linoleum

5. Vinyl

6. Asphalt

7. Rubber

8. Concrete coatings

R-9 CONCRETE

This classification allows the licensee to install and repair concrete, concrete products, and accessories common to the industry.

R-10 DRYWALL

This classification allows the licensee to install and repair:

1. Gypsum wall board

2. Ceiling grid systems as supporting members for gypsum drywall

3. Movable partitions

4. Wall board tape and texture

5. Non-load bearing, lightweight, steel wall partitions

R-11 ELECTRICAL

This classification allows the licensee to install and repair residential electrical systems.

R-12 ELEVATORS

This classification allows the licensee to install and repair:

Elevators

2. Dumbwaiters

3. Escalators

4. Moving walks and ramps

5. Stage and orchestra lifts

R-13 ASPHALT PAVING

This classification allows the licensee to install and repair paved areas using materials and methods common to the industry, including asphalt curbs, concrete bumper curbs, headers, and striping.

R-14 FENCING

This classification allows the licensee to install and repair:

1. Metal, wood, and cement block fencing

2. Automatic gates

3. Fire access strobes

4. Cattle guards

5. Low voltage U.L. approved electrical fence protective devices of less than 25 volts and 100 watts This classification does not allow the licensee to install or repair retaining walls.

R-15 BLASTING

This classification allows the licensee to drill, bore, move earth, and build temporary shelters or barricades, as required for the licensee's use of explosives and explosive devices for:

1. Excavation

2. Demolition

3. Construction related blasting

R-16 FIRE PROTECTION SYSTEMS

This classification allows the licensee to install and repair fire prevention and fire protection systems including all mechanical apparatus, devices, piping, and equipment common to the fire protection industry. Installation and repair of low voltage signaling systems are also permitted by the R-16 but installation and repair of all other electrical devices, apparatus, and wiring must be subcontracted to a properly licensed contractor.

R-17 STRUCTURAL STEEL AND ALUMINUM

This classification allows the licensee to install and repair architectural and structural steel and aluminum materials common to the industry.

This classification also includes reinforcing steel and field layout, cutting, assembly, and erection by welding, bolting, wire tying or riveting.

R-21 HARDSCAPING AND IRRIGATION SYSTEMS

This classification allows the licensee to install, alter, and repair:

Non-loadbearing concrete

Uncovered patios, walkways, driveways made of brick, stone, pavers or gravel

3. Wooden decks no higher than 29 inches above finish grade

4. Decorative garden walls up to six feet from finish grade

5. Fences and screens up to six feet from finish grade

6. Retaining walls up to three feet from the finish grade of the lower elevation

7. Free standing fire pits, fireplaces, or barbeques - electric, plumbing, and gas must be subcontracted to a properly licensed contractor

8. Low voltage landscape lighting

9. Water features that are not attached to swimming pools; including any necessary: electrical wiring of 120 volts or less, connection to potable water lines, backflow prevention devices, hose bibs, excavating, trenching, boring, backfilling, or grading

Irrigation systems, including any necessary: electrical wiring of 120 volts or less, connection to potable water lines, backflow prevention devices, hose bibs, excavating, trenching, boring, backfilling, or grading

11. Residential outdoor misting systems. Freestanding or attached to existing appurtenance, not more than 1000 PSI.

12. Free standing and uncovered outdoor kitchens - electric, plumbing, and gas must be subcontracted to a properly licensed contractor

With the exception of free standing fire pits, fireplaces, or barbeques, this classification does not allow the licensee to install, contract for, or subcontract new electrical service panels, gas or plumbing lines, blasting, covered outdoor kitchens, gazebos, room additions, swimming pools, pool deck coatings, barbeques, concrete driveways, load bearing walls, or perimeter fencing.

R-22 HOUSE MOVING

This classification allows the licensee to disconnect utilities, but connection of utilities and construction of foundations are not permitted.

R-24 ORNAMENTAL METALS

This classification allows the licensee to install, alter, or repair non-structural ornamental metal, such as:

1. Metal folding gates

2. Guard and hand rails

3. Wrought iron fencing and gates

4. Window shutters and grilles

5. Room dividers and shields

6. Metal accessories common to the industry

This classification does not allow the licensee to install fire escapes or stairs.

R-31 MASONRY

This classification allows the licensee to grout, caulk, sand blast, tuckpoint, mortar wash, parge, clean and weld reinforcing steel as required for the licensee to install and repair:

1. Masonry

2. Brick

3. Concrete block

4. Insulating concrete forms

5. Adobe units

6. Stone

7. Marble

8. Slate

9. Mortar-free masonry products

R-34 PAINTING AND WALL COVERING

This classification allows the licensee to perform surface preparation to install, apply, and repair:

1. Wallpaper

2. Wall covering cloth

3. Wall covering vinyl

4. Decorative texture

5. Paint

6. Liquid floor and wall coatings

R-36 PLASTERING

This classification allows the licensee to install laths, metal studs, metal grid systems, or other bases as required for the licensee to coat surfaces by trowel or spray with combinations of:

1. Sand mixtures (e.g. stucco)

2. Gypsum plaster

3. Cement

4. Acoustical plaster

5. Swimming pool interiors (excluding tile)

R-37 PLUMBING, INCLUDING SOLAR

This classification allows the licensee to install and repair water and gas piping systems, fire protection as it relates to water sprinkler systems, and sewage treatment systems. Included are all fixtures, vents, and devices common to the industry, as well as solar applications. This scope includes all R-37R subclassifications.

R-37R Plumbing

R-37R Built-in Central Vacuum Systems

R-37R Kitchen and Bathroom Fixture Refinishing

R-37R Swimming Pool Plumbing and Equipment

R-37R Gas Piping

R-37R Sewers, Drains and Pipe Laying

R-37R Solar Plumbing Liquid Systems Only

Upon the effective date of these rules, no new applications for the R-37R Built-in Central Vacuum Systems, Kitchen and Bathroom Fixture Refinishing, Swimming Pool Plumbing and Equipment, Gas Piping, Sewers, Drains and Pipe Laying, and Solar Plumbing Liquid Systems Only license classifications will be accepted and no new R-37R licenses in these classifications will be issued.

R-38 SIGNS

This classification allows the licensee to install and repair posts, poles, supports, paint, and electrical wiring as required for the licensee to install and repair:

1. Signs

2. Displays

3. Flagpoles

R-39 AIR CONDITIONING AND REFRIGERATION, INCLUDING SOLAR

This classification allows the licensee to install and repair comfort air conditioning systems, including refrigeration, evaporative cooling, ventilating, and heating with or without solar equipment. Installation and repair of machinery, units, accessories, refrigerator rooms, and insulated refrigerator spaces, and controls in refrigerators.

If necessary, a new circuit may be added to the existing service panel or sub-panel. Excluded is the installation of a new service panel or sub-panel. This scope includes all R-39R subclassifications.

R-39R Air Conditioning and Refrigeration

R-39R Temperature Control Systems

R-39R Warm Air Heating, Evaporative Cooling and Ventilating

R-39R Evaporative Cooling and Ventilators

Upon the effective date of these rules, no new applications for the R-39R Gas Refrigeration, Temperature Control Systems, Warm Air Heating, Evaporative Cooling and Ventilating, Evaporative Cooling and Ventilators, and Pre-Coolers license classifications will be accepted and no new R-39R licenses in these classifications will be issued.

R-40 INSULATION

This classification allows the licensee to install and repair:

1. Insulation materials, including radiant barriers

2. Preformed architectural acoustical materials

3. Insulation protecting materials

R-41 SEPTIC TANKS AND SYSTEMS

This classification allows the licensee to excavate, install and repair pipe, backfill, and compact soil as required for the licensee to install and repair:

Septic tanks

2. Aerobic digesters

3. Leaching fields

R-42 ROOFING

This classification allows the licensee to apply, repair, or install weatherproofing (i.e. asphaltum, pitch, tar, felt, glass fabric, flax, or other commonly used materials or systems) or roof accessories (i.e. flashing, valleys, gravel stops, or sheet metal) as required for the licensee to install and repair:

Roof tile

2. Shingles

3. Shakes

4. Slate

5. Metal roofing systems

6. Urethane foam

7. Roof insulation or coatings on or above the roof deck

This classification allows the licensee to replace up to 10 percent of the total roof substrate square footage as it relates to issues with substrate discovered after execution of the initial contract. Replacing more than 10 percent of the roof substrate square footage as it relates to issues with substrate discovered after execution of the initial contract requires licensee to subcontract work to a properly licensed contractor.

This classification also allows the licensee to install new or replace existing skylights where it does not require changes to the roof framing or roof structure and replace fascia not to exceed 24 linear feet. Licensee may lift HVAC equipment to allow for proper installation of roofing material. However, the licensee must subcontract work to a properly licensed contractor if HVAC equipment ducting requires any modification to allow for proper installation of roofing material.

R-45 SHEET METAL

This classification allows the licensee to install and repair:

1. Sheet metal

2. Cornices

3. Flashings

4. Gutters

5. Leaders

6. Pans

7. Kitchen equipment

8. Duct work

9. Skylights

10. Patented chimneys

11. Metal flues

12. Metal roofing systems

R-48 CERAMIC, PLASTIC AND METAL TILE

This classification allows the licensee to prepare a surface as required for the licensee to install and repair the following tile products on horizontal and vertical surfaces:

1. Ceramic

2. Clay

3. Faience

4. Metal

5. Mosaic

6. Glass mosaic

7. Paver

8. Plastic

9. Quarry and stone tiles such as marble or slate

10. Terrazzo

Installation of shower doors and tub enclosures are included when a part of the original contract.

R-53 DRILLING

This classification allows the licensee to install and repair wells, including test boring, exploratory drilling and all materials and devices common to the industry.

R-54 WATER CONDITIONING EQUIPMENT

This classification allows the licensee to perform trenching, backfilling, and grading; and install and repair piping, fittings, valves, concrete supports, and electrical control panels of less than 25 volts and required grounding devices; as required for the licensee to install and repair:

1. Water conditioning equipment

2. Misting systems

3. Exchange tanks

4. Indirect waste pipe carrying brine, backwash and rinse water to the point of disposal

R-56 WELDING

This classification allows the licensee to weld metals.

R-57 WRECKING

This classification allows the licensee to install and repair temporary ramps, barricades, and pedestrian walkways as required for the licensee to demolish, dismantle, or remove structures not intended for reuse.

This classification does not allow the licensee to use explosives.

R-60 FINISH CARPENTRY

This classification allows the licensee to install and repair millwork such as:

Cabinets

2. Counter tops

3. Case sash

4. Door trim

5. Metal doors

6. Automatic door closers

7. Wood flooring

R-61 CARPENTRY, REMODELING AND REPAIRS

For projects of $50,000 or less including labor and materials, this classification allows the licensee to perform all general remodeling, additions, replacements, and repairs to existing structures.

Work related to electrical, plumbing, air conditioning systems, and boilers must be subcontracted to an appropriately licensed contractor.

R-62 MINOR HOME IMPROVEMENTS

For projects of $5,000 or less including labor and materials, this classification allows the licensee to perform remodeling, repairs, and improvements to existing structures or appurtenances. The minor home improvement contractor shall not perform structural work to any existing structures or appurtenances, including load bearing masonry or concrete work (with the exception of on-grade flat work), and load bearing carpentry work (with the exception of patio or porch covers).

Any work related to electrical, plumbing, air conditioning systems, and boilers must be subcontracted to an appropriately licensed contractor.

R-63 APPLIANCES

This classification allows the licensee to install and repair appliances.

This classification does not allow the licensee to install or repair gas, electrical, or plumbing lines.

R-65 GLAZING

This classification allows the licensee to install and repair weatherproofing, caulking, sealants, and adhesives as required for the licensee to assemble, install and repair:

1. Glass products

2. Window film

3. Window treatments, such as blinds or shutters

4. Steel and aluminum glass holding members

R-67 LOW VOLTAGE COMMUNICATION SYSTEMS

This classification allows the licensee to build antenna towers on existing structures as required for the licensee to install, service and repair:

1. Alarm systems

2. Telephone systems

3. Sound systems

4. Intercommunication systems

5. Public addressing systems

6. Television or video systems

7. Low voltage signaling devices

8. Low voltage landscape lighting that does not exceed 91 volts

9. Master and program clocks (only low voltage wiring and needed equipment)

R-70 REINFORCING BAR AND WIRE MESH

This classification allows the licensee to install and repair:

1. Reinforcing bar

2. Post-tension

3. Wire mesh

History

• Former Rule 3. Amended effective May 20, 1975, Amended effective June 13, 1975, Amended effective August 8, 1975, Amended effective August 25, 1975 (Supp. 75-1). Amended effective January 9, 1976, subsection (B) of former Section R4-9-02 renumbered as Section R4-9-03 effective February 23, 1976 (Supp. 76-1). Amended effective March 11, 1976 (Supp. 76-2). Correction, Historical Note for Supp. 76-1 should read former Section R4-9-03 repealed, new Section R4-9-03 adopted effective February 23, 1975 (Supp. 76-4). Amended effective November 23, 1976 (Supp. 76-5). Amended effective October 14, 1977 (Supp. 77-5). C-4 and C-37 amended effective December 9, 1977 (Supp. 77-6). Correction, Historical Note for Supp. 76-4 should read former Section R4-9-03 repealed, new Section R4-9-03 adopted effective February 23, 1976 (Supp. 78-1). Amended effective September 13, 1978 (Supp. 78-5). Amended effective April 2, 1979 (Supp. 79-2). Amended effective November 21, 1979 (Supp. 79-6). Amended effective July 10, 1980 (Supp. 80-4). Amended effective July 11, 1980 (Supp. 80-4). Amended effective July 28, 1980 (Supp. 80-4). Amending effective August 15, 1980 (Supp. 80-4). Amended effective August 19, 1980 (Supp. 80-4). Amended effective September 5, 1980 (Supp. 80-5). Amended effective April 18, 1984 (Supp. 84-2). Former Section R4-9-03 renumbered without change as Section R4-9-103 (Supp. 87-3). Amended effective September 13, 1989 (Supp. 89-3). Amended effective January 20, 1998 (Supp. 98-1). Amended to correct typographical errors (Supp. 99-4). Amended by final rulemaking at 20 A.A.R. 568, effective 7/1/2014. Amended by final rulemaking at 23 A.A.R. 2525, effective 11/5/2017.

Ariz. Admin. Code § R4-9-104 Dual Contractor License Classifications and Scopes of Work

A. Dual license contracting classifications. License classifications for dual contractors are as follows:

GENERAL DUAL ENGINEERING CONTRACTING

KA-Dual Engineering

KA-5 Dual Swimming Pool Contractor

KA-6 Dual Swimming Pool Contractor Including Solar

KE- (As restricted by Registrar)

GENERAL DUAL LICENSE CONTRACTING

KB-1 Dual Building Contractor

KB-2 Dual Residential and Small Commercial

KO- (As restricted by Registrar)

SPECIALTY DUAL LICENSE CONTRACTING

CR-1 Acoustical Systems

CR-2 Excavating, Grading and Oil Surfacing

CR-3 Awnings, Canopies, Carports and Patio Covers

CR-4 Boilers, Steamfitting and Process Piping

CR-5 (As restricted by Registrar)

CR-6 Swimming Pool Service and Repair

CR-7 Carpentry

CR-8 Floor Covering

CR-9 Concrete

CR-10 Drywall

CR-11 Electrical

CR-12 Elevators

CR-14 Fencing

CR-15 Blasting

CR-16 Fire Protection Systems

CR-17 Steel and Aluminum Erection

CR-21 Hardscaping and Irrigation Systems

CR-24 Ornamental Metals

CR-29 Machinery (As restricted by Registrar)

CR-31 Masonry

CR-34 Painting and Wall Covering

CR-36 Plastering

CR-37 Plumbing

CR-38 Signs

CR-39 Air Conditioning, Refrigeration and Heating

CR-40 Insulation

CR-41 Septic Tanks and Systems

CR-42 Roofing

CR-45 Sheet Metal

CR-48 Ceramic, Plastic and Metal Tile

CR-53 Water Well Drilling

CR-54 Water Conditioning Equipment

CR-56 Welding

CR-57 Wrecking

CR-58 Comfort Heating, Ventilating, Evaporative Cooling

CR-60 Finish Carpentry

CR-61 Carpentry, Remodeling and Repairs

CR-62 Reinforcing Bar and Wire Mesh

CR-63 Appliances

CR-65 Glazing

CR-66 Seal Coating

CR-67 Low Voltage Communication Systems

CR-69 Asphalt Paving

CR-70 Reinforcing Bar and Wire Mesh

CR-74 Boilers, Steamfitting and Process Piping, including Solar

CR-77 Plumbing including Solar

CR-78 Solar Plumbing Liquid Systems Only

CR-79 Air Conditioning and Refrigeration including Solar

CR-80 Sewers, Drains and Pipe Laying

B. Dual license contracting scopes. The scope of work which may be done under the dual license contracting classifications allow a contractor to combine commercial and residential contracting licenses in one license. These classifications are as follows:

KA- DUAL ENGINEERING

This classification allows the scopes of work permitted by the commercial A- General Engineering and the B-4 General Residential Engineering licenses.

KA-5 DUAL SWIMMING POOL CONTRACTOR

This classification allows the scopes of work permitted by the commercial A-9 Swimming Pools and the residential B-5 General Swimming Pool licenses.

KA-6 DUAL SWIMMING POOL CONTRACTOR, INCLUDING SOLAR

This classification allows the scopes of work permitted by the commercial A-19 Swimming Pools, Including Solar and the residential B-6 General Swimming Pools, Including Solar licenses.

KE- (AS RESTRICTED BY REGISTRAR)

KB-1 DUAL BUILDING CONTRACTOR

This classification allows the scopes of work permitted by the B-1 General Commercial Contractor and the B- General Residential Contractor licenses.

KB-2 DUAL RESIDENTIAL AND SMALL COMMERCIAL

This classification allows the scopes of work permitted by the B-2 General Small Commercial and the B- General Residential Contractor licenses.

KO- (AS RESTRICTED BY REGISTRAR)

CR-1 ACOUSTICAL SYSTEMS

This classification allows the scopes of work permitted by the commercial C-1 Acoustical Systems and the residential R-1 Acoustical Systems licenses.

CR-2 EXCAVATING, GRADING AND OIL SURFACING

This classification allows the scopes of work permitted by the commercial A-5 Excavating, Grading, and Oil Surfacing and the residential R-2 Excavating, Grading, and Oil Surfacing licenses.

CR-3 AWNINGS, CANOPIES, CARPORTS AND PATIO COVERS

This classification allows the scopes of work permitted by the commercial C-3 Awnings, Canopies, Carports and Patio Covers and the residential R-3 Awnings, Canopies, Carports and Patio Covers licenses.

CR-4 BOILERS, STEAMFITTING AND PROCESS PIPING

This classification allows the scopes of work permitted by the commercial C-4 Boilers, Steamfitting and Process Piping and the residential R-4 Boilers, Steamfitting and Process Piping licenses.

CR-5 (AS RESTRICTED BY REGISTRAR)

CR-6 SWIMMING POOL SERVICE AND REPAIR

This classification allows the scopes of work permitted by the commercial C-6 Swimming Pool Service and Repair and the residential R-6 Swimming Pool Service and Repair licenses.

CR-7 CARPENTRY

This classification allows the scopes of work permitted by the commercial C-7 Carpentry and the residential R-7 Carpentry licenses.

CR-8 FLOOR COVERING

This classification allows the scopes of work permitted by the commercial C-8 Floor Covering and the residential R-8 Floor Covering licenses.

CR-9 CONCRETE

This classification allows the scopes of work permitted by the commercial C-9 Concrete and the residential R-9 Concrete licenses.

CR-10 DRYWALL

This classification allows the scopes of work permitted by the commercial C-10 Drywall and the residential R-10 Drywall licenses.

CR-11 ELECTRICAL

This classification allows the scopes of work permitted by the commercial C-11 Electrical and residential R-11 Electrical licenses.

CR-12 ELEVATORS

This classification allows the scopes of work permitted by the commercial C-12 Elevators and the residential R-12 Elevators licenses.

CR-14 FENCING

This classification allows the scopes of work permitted by the commercial C-14 Fencing and the residential R-14 Fencing licenses.

CR-15 BLASTING

This classification allows the scopes of work permitted by the commercial C-15 Blasting and the residential R-15 Blasting licenses.

CR-16 FIRE PROTECTION SYSTEMS

This classification allows the scopes of work permitted by the commercial C-16 Fire Protection Systems and the residential R-16 Fire Protection licenses.

CR-17 STEEL AND ALUMINUM ERECTION

This classification allows the scopes of work permitted by the commercial A-11 Steel and Aluminum Erection and the residential R-17 Structural Steel and Aluminum licenses.

CR-21 HARDSCAPING AND IRRIGATION SYSTEMS

This classification allows the scopes of work permitted by the commercial C-21 Hardscaping and Irrigation Systems and the residential R-21 Hardscaping and Irrigation Systems licenses.

Upon the effective date of these rules, existing CR-21 Landscaping and Irrigation Systems licenses will be reclassified as CR-21 Hardscaping and Irrigation Systems.

CR-24 ORNAMENTAL METALS

This classification allows the scopes of work pemitted Ornamental Metals and the residential R-24 Ornamental Metals licenses.

CR-29 MACHINERY (AS RESTRICTED BY THE REGISTRAR)

CR-31 MASONRY

This classification allows the scopes of work permitted by the commercial C-31 Masonry and the residential R-31 Masonry

CR-34 PAINTING AND WALL COVERING

This classification allows the scopes of work permitted by the commercial C-34 Painting and Wall Covering and the residential R-34 Painting and Wall Covering licenses.

CR-36 PLASTERING

This classification allows the scopes of work permitted by the commercial C-36 Plastering and the residential R-36 Plastering licenses.

CR-37 PLUMBING

This classification allows the scopes of work permitted by the commercial C-37 Plumbing and the residential R-37R Plumbing licenses.

CR-38 SIGNS

This classification allows the scopes of work permitted by the commercial C-38 Signs and the residential R-38 Signs licenses.

CR-39 AIR CONDITIONING AND REFRIGERATION

This classification allows the scopes of work permitted by the commercial C-39 Air Conditioning and Refrigeration and the residential R-39R Air Conditioning and Refrigeration licenses.

CR-40 INSULATION

This classification allows the scopes of work permitted by the commercial C-40 Insulation and the residential R-40 Insulation licenses.

CR-41 SEPTIC TANKS AND SYSTEMS

This classification allows the scopes of work permitted by the commercial C-56 Welding and the residential R-56 Welding licenses.

CR-42 ROOFING

This classification allows the scopes of work permitted by the commercial C-42 Roofing and the residential R-42 Roofing licenses.

CR-45 SHEET METAL

This classification allows the scopes of work permitted by the commercial C-45 Sheet Metal and the residential R-45 Sheet Metal licenses.

CR-48 CERAMIC, PLASTIC AND METAL TILE

This classification allows the scopes of work permitted by the commercial C-48 Ceramic, Plastic and Metal Tile and the residential R-48 Ceramic, Plastic and Metal Tile licenses.

CR-53 WATER WELL DRILLING

This classification allows the scopes of work permitted by the commercial C-53 Water Well Drilling and the residential R-53 Drilling licenses.

CR-54 WATER CONDITIONING EQUIPMENT

This classification allows the scopes of work permitted by the commercial C-54 Water Conditioning Equipment and the residential R-54 Water Conditioning Equipment licenses.

CR-56 WELDING

This classification allows the scopes of work permitted by the commercial C-56 Welding and the residential R-56 Welding licenses.

CR-57 WRECKING

This classification allows the scopes of work permitted by the commercial C-57 Wrecking and the residential R-57 Wrecking licenses.

CR-58 COMFORT HEATING, VENTILATING, EVAPORATIVE COOLING

This classification allows the scopes of work permitted by the commercial C-58 Comfort Heating, Ventilating, Evaporative Cooling and the residential R-39R Warm Air Heating, Evaporative Cooling, and Ventilating licenses.

CR-60 FINISH CARPENTRY

This classification allows the scopes of work permitted by the commercial C-60 Finish Carpentry and the residential R-60 Finish Carpentry licenses.

CR-61 CARPENTRY, REMODELING AND REPAIRS

This classification allows the scopes of work permitted by the commercial C-61 Carpentry, remodeling and Repairs and the residential R-61 Carpentry, remodeling and Repairs licenses.

CR-62 REINFORCING BAR AND WIRE MESH

Upon the effective date of these rules, no new applications for the CR-62 Reinforcing Bar and Wire Mesh license classifications will be accepted, no new CR-62 licenses will be issued, and existing CR-62 licenses will be reclassified as CR-70 Reinforcing Bar and Wire Mesh.

CR-63 APPLIANCES

This classification allows the scopes of work permitted by the commercial C-63 Appliances and the residential R-63 Appliances licenses.

CR-65 GLAZING

This classification allows the scopes of work permitted by the commercial C-65 Glazing and the residential R-65 Glazing licenses.

CR-66 SEAL COATING

This classification allows the scopes of work permitted by the commercial A-15 Seal Coating and the residential R-13 Asphalt Paving licenses.

CR-67 LOW VOLTAGE COMMUNICATION SYSTEMS

This classification allows the scopes of work permitted by the commercial C-67 Low Voltage Communication Systems and the residential R-67 Low Voltage Communication Systems licenses.

CR-69 ASPHALT PAVING

This classification allows the scopes of work permitted by the commercial A-14 Asphalt Paving and the residential R-13 Asphalt Paving licenses.

CR-70 REINFORCING BAR AND WIRE MESH

This classification allows the scope of work permitted by the commercial C-70 Reinforcing Bar and Wire Mesh and the residential R-70 Reinforcing Bar and Wire Mesh licenses.

CR-74 BOILERS, STEAMFITTING AND PROCESS PIPING, INCLUDING SOLAR

This classification allows the scopes of work permitted by the commercial C-74 Boilers, Steamfitting and Process Piping, Including Solar and the residential R-4 Boilers Including Solar licenses.

CR-77 PLUMBING INCLUDING SOLAR

This classification allows the scopes of work permitted by the commercial C-77 Plumbing Including Solar and the residential R-37 Plumbing, Including Solar licenses.

CR-78 SOLAR PLUMBING LIQUID SYSTEMS ONLY

This classification allows the scopes of work permitted by the commercial C-78 Solar Plumbing Liquid Systems Only and the residential R-37R Solar Plumbing Liquid Systems Only licenses.

CR-79 AIR CONDITIONING AND REFRIGERATION INCLUDING SOLAR

This classification allows the scopes of work permitted by the commercial C-79 Air Conditioning and Refrigeration Including Solar and the residential R-39 Air Conditioning and Refrigeration Including Solar licenses.

CR-80 SEWERS, DRAINS AND PIPE LAYING

This classification allows the scopes of work permitted by the commercial A-12 Sewers, Drains, and Pipe Laying and the residential R-37R Sewers, Drains and Pipe Laying licenses.

History

• Former Section R4-9-04 repealed, new Section R4-9-04 adopted effective February 23, 1976 (Supp. 76-1). Amended effective April 18, 1984 (Supp. 84-2). Amended subsection (A) effective July 9, 1987 (Supp. 87-3). Former Section R4-9-04 renumbered as Section R4-9-104 (Supp. 87-3). Former Section R4-9-104 renumbered to R4-9-105 and amended; new Section R4-9-104 adopted effective January 20, 1998 (Supp. 98-1). Amended to correct typographical errors (Supp. 99-4). Amended by final rulemaking at 20 A.A.R. 568, effective 7/1/2014. Amended by final rulemaking at 23 A.A.R. 2525, effective 11/5/2017.

Ariz. Admin. Code § R4-9-105 Restricted License Classifications

A.A restricted license is a specialty or general license that confines the scope of allowable contracting work to a specialized area of construction which the Registrar of Contractors grants on a case-by-case basis. The restricted licenses classifications are KE, KO, CR-5 or CR-29. The Registrar assigns a restricted license classification based upon the nature and complexity of the work, the degree of unusual expertise involved and the applicability of existing classifications to the specialized area of construction.

B. When applying for a restricted license classification an applicant, if requested, shall submit to the Registrar the following:

1. A detailed statement of the type and scope of contracting work that the applicant proposes to perform.

2. Any brochures, catalogs, photographs, diagrams, or other material, which the applicant has, that will further clarify the scope of the work that the applicant proposes to perform.

C. The Registrar shall determine the classification of the restricted license and notify the applicant of the classification. The applicant must then apply for the restricted license according to the Registrar of Contractor's application process in accordance with A.R.S. § 32-1122.

D. A contractor issued a restricted license shall confine the contractor's activities to the field and scope of operations as described in the license classification.

History

• Former Section R4-9-05 repealed, new Section R4-9-05 adopted effective February 23, 1976 (Supp. 76-1). Amended effective July 9, 1987 (Supp. 87-3). Former Section R4-9-05 renumbered without change as Section R4-9-105 (Supp 87-3). Former Section R4-9-105 renumbered to R4-9-106 and amended; new Section R4-9-105 renumbered from R4-9-104 and amended effective January 20, 1998 (Supp. 98-1). Amended by final rulemaking at 20 A.A.R. 568, effective 7/1/2014.

Ariz. Admin. Code § R4-9-106 Examinations

A. Definitions.

Statutes and Rules Examination. The term statutes and rules examination" means the examination required in A.R.S. § 32-1122(E)(2) addressing the qualifying party's general knowledge of the contracting business in Arizona. The Registrar of Contractors statutory and regulatory examination addresses the qualifying party's general knowledge of:

a. The building, safety, health, and lien laws of the state;

b. Administrative principles of the contracting business;

c. The rules adopted by the Registrar; and

d. Any matters deemed appropriate by the Registrar to determine that the qualifying party meets the requirements of Chapter 10, Title 32.

Trade Examination . The term "trade examination" means the examination required in A.R.S. § 32-1122(E)(2) addressing the qualifying party's knowledge of the particular kind of work performed in the license classification. The trade examination addresses the qualifying party's:

a. Qualification in the kind of work for which the applicant proposes to contract;

b. Knowledge and understanding of construction plans and specifications applicable to the particular industry or craft;

c. Knowledge and understanding of the standards of construction work and techniques and practices in the particular industry or craft;

d. General understanding of other related construction trades; and

e. Any matters deemed appropriate by the Registrar to determine that the qualifying party meets the requirements of Chapter 10, Title 32.

B. Frequency of Examinations. The Registrar, or a contracted testing service, must administer Registrar of Contractors statutory and regulatory examinations and trade examinations at least once a week.

C. Passing Grade. On each required examination, the qualifying party must receive a grade of at least 70%.

D. Retaking Examinations after Failure. If the qualifying party fails to receive a grade of at least 70% on an examination, the qualifying party may retake the examination only after waiting:

1. 30 calendar days from the first failure;

2. 30 calendar days from the second failure; and

3. 90 days from any other failure.

E. Waiver of the Trade Examination Requirement in A.R.S. § 32-1122.

1. Waiver of Trade Examination Requirement for a Qualifying Party from Another State.

a. Authority for Waiver. In addition to the Registrar's authority in A.R.S. § 32-1122(E) to waive the examination requirement for a qualifying party in this state, the Registrar may waive the trade examination requirement for the qualifying party for a licensee in another state.

b. Conditions for Waiver. The Registrar may waive the trade examination requirement if records reflect that the qualifying party is currently or has previously been a qualifying party for a licensee in the other state in the same classification, or in a comparable classification, within the preceding five years.

Extent of Waiver of Trade Examination Requirement for Any Qualifying Party . Waiver of Trade Examination Permitted. The Registrar may waive the trade examination requirement with respect to the trade examination if:

a. A qualifying party for a license in this state meets the conditions for waiver in A.R.S. § 32-1122(E); or

b. A qualifying party for a license in another state meets the conditions for waiver in subsection (E)(1) of this rule.

F. Waiver of Experience Requirement in A.R.S. § 32-1122 based on Examination.

Examination and Certification Cause for Waiver of Experience Requirement for a Qualifying Party. By classification, the Registrar may administratively waive experience requirements, all or in part, based on:

a. The applicant's passing of an appropriate trade examination; or

b. Proof of successful completion of an acceptable and nationally recognized certification.

Timeliness of Examination and Certification.

a. An examination must have been passed not more than two years prior to application for consideration of waiver of experience.

b. A certification must be valid at the time of application to be considered for waiver of experience.

History

• New Section R4-9-106 renumbered from R4-9-105 and amended effective January 20, 1998 (Supp. 98-1). Amended by final rulemaking at 20 A.A.R. 568, effective 7/1/2014. Amended by final rulemaking at 23 A.A.R. 2525, effective 11/5/2017. Amended by final rulemaking at 24 A.A.R. 2419, effective 1/1/2019.

Ariz. Admin. Code § R4-9-107 Classifying and Reclassifying Contractor Licenses

A.In accordance with A.R.S § 32-1105 and 32-1122, the Registrar may establish, add to, take away from, or eliminate license classifications.

B.Where a license classification is eliminated, but the Registrar determines a comparable license classification remains, the Registrar shall reclassify the eliminated licenses with the remaining license classification.

C.The following license reclassifications are effective July 1, 2014.

| Prior License | New License | | --- | --- | | A-3 Blasting | CR-15 Blasting | | C-15 Blasting | | | A-21 Landscaping and Irrigation Systems | CR-21 Landscaping and Irrigation Systems | | L-26 Landscaping | | | L-44 Irrigation Systems | | | C-21 Landscaping and Irrigation Systems | | | C-21R Landscaping | | | C-21R Irrigation Systems | | | K-26 Landscaping | | | K-44 Irrigation Systems | | | AE (As Restricted by the Registrar) | KE (As Restricted by the Registrar) | | BE (As Restricted by the Registrar) | KO (As Restricted by the Registrar) | | L-1 Acoustical Systems | CR-1 Acoustical Systems | | C-1 Acoustical Systems | | | L-3 Awnings, Canopies, Carports and Patio Covers | CR-3 Awnings, Canopies, Carports and Patio Covers | | C-3 Awnings and Canopies | | | L-5 (As Restricted by the Registrar) | CR-5 (As Restricted by the Registrar) | | C-5 (As Restricted by the Registrar) | | | L-7 Carpentry | CR-7 Carpentry | | C-7 Carpentry | | | C-7R Doors, Gates, Windows and Accessories | | | C-7R Removable Formwork and Shoring | | | C-7R Nailing and Stapling | | | L-8 Floor Covering | CR-8 Floor Covering | | L-13 Carpets | | | L-64 Wood Floor Laying and Finishing | | | C-8 Floor Covering | | | C-8R Wood Flooring | | | C-8R Carpet | | | C-8R Composition Flooring | | | C-8R Nonconventional Floor Covering | | | C-8R Ceramic and Clay Floor Covering | | | K-13 Carpet | | | K-64 Wood Floor Laying and Finishing | | | C-9R Gunite and Shotcrete | R-9 Concrete | | C-9R Lightweight Concrete | | | C-9R Fence Footings | | | C-9R PreCast Concrete | | | C-9R Sawing, Coring, Epoxy Panels and Bonding | | | C-9R Terrazzo | | | L-10 Drywall | CR-10 Drywall | | C-10 Drywall | | | L-12 Elevators | CR-12 Elevators | | C-18 Elevators | | | C-13R Asphalt Coating and Parking Appurtenances | R-13 Asphalt Paving | | L-14 Fencing | CR-14 Fencing | | C-14 Fencing | | | C-14R Fencing Other Than Masonry | | | C-16R CO2, Dry and Wet Chemical Systems | R-16 Fire Protection Systems | | L-24 Ornamental Metals | CR-24 Ornamental Metals | | C-17R Ornamental Metals | | | C-17R Steel Floor, Sub Floor and Form Systems | R-17 Structural Steel and Aluminum | | C-17R Tanks | | | C-17R Recreational Equipment | | | L-29 Machinery (As Restricted by the Registrar) | CR-29 Machinery (As Restricted by the Registrar) | | C-29 Machinery (As Restricted by the Registrar) | | | L-31 Masonry | CR-31 Masonry | | C-31 Masonry | | | C-31R Flagstone | | | C-31R Stone Masonry | | | L-34 Painting and Wall Covering | CR-34 Painting and Wall Covering | | C-34 Painting and Wall Covering | | | C-34R Surface Preparation and Waterproofing | | | C-34R Wallpaper | | | L-36 Plastering | CR-36 Plastering | | C-36 Plastering | | | C-36R Swimming Pool Plastering | | | C-36R Lathing | | | L-38 Sign | CR-38 Signs | | C-38 Signs | | | L-40 Insulation | CR-40 Insulation | | C-40 Insulation | | | C-40R Foam Insulation | | | L-41 Septic Tanks and Systems | CR-41 Septic Tanks and Systems | | C-41 Sewage Treatment Systems | | | C-41R Precast Waste Treatment Systems | | | L-42 Roofing | CR-42 Roofing | | C-42 Roofing | | | C-42R Foam and Foam Panel Roofing | | | C-42R Liquid Applied Roofing | | | C-42R Roofing Shingles and Shakes | | | L-45 Sheet Metal | CR-45 Sheet Metal | | C-45 Sheet Metal | | | C-45R Premanufactured Fire Places | | | L-48 Ceramic, Plastic and Metal Tile | CR-48 Ceramic, Plastic and Metal Tile | | C-48 Ceramic, Plastic and Metal Tile | | | C-48R Swimming Pool Tile | | | L-54 Water Conditioning Equipment | CR-54 Water Conditioning Equipment | | C-37R Water Conditioning Equipment | | | L-56 Welding | CR-56 Welding | | C-17R Welding | | | L-57 Wrecking | CR-57 Wrecking | | C-22R Wrecking | | | L-60 Finish Carpentry | CR-60 Finish Carpentry | | C-30 Finish Carpentry | | | C-30R Kitchen and Bathroom Components | | | C-30R Doors, Windows, Gates, Tub and Shower Enclosures | | | C-30R Cultured Marble | | | C-30R Weatherstripping | | | L-61 Carpentry, Remodeling and Repairs | CR-61 Carpentry, Remodeling and Repairs | | C-61 Limited Remodeling and Repair Contractor | | | C-68 Mobile Home Remodeling and Repair | | | L-62 Reinforcing Bar and Wire Mesh | CR-62 Reinforcing Bar and Wire Mesh | | C-17R Rebar and Wire Mesh | | | L-63 Appliances | CR-63 Appliances | | C-63 Appliances | | | L-65 Glazing | CR-65 Glazing | | C-65 Glazing | | | C-65R Skylights | | | C-65R Storm Windows and Doors | | | C-65R Mirrors | | | C-65R Window Treatment | | | L-67 Low Voltage Communications Systems | CR-67 Low Voltage Communication Systems | | C-12 Low Voltage Communication Systems | |

History

• Former Rule 7. Former Section R4-9-07 repealed, new Section R4-9-07 adopted effective February 23, 1976 (Supp. 76-1). Former Section R4-9-07 repealed, new Section R4-9-07 adopted effective April 18, 1984 (Supp. 84-2). Former Section R4-9-07 renumbered without change as Section R4-9-107 (Supp 87-3). Repealed effective October 22, 1992 (Supp. 92-4). New Section made by final rulemaking at 20 A.A.R. 568, effective 7/1/2014.

Ariz. Admin. Code § R4-9-108 Workmanship Standards

A. A contractor shall perform all work in a professional and workmanlike manner.

B. A contractor shall perform all work in accordance with any applicable building codes and professional industry standards. For work to be performed in accordance with professional industry standards, a contractor shall use such skills, prudence, and diligence in performing and completing tasks undertaken that the completed work meets the standards of a similarly licensed contractor possessing ordinary skill and capacity.

C. All work performed by a contractor in a county, city, or town that has not adopted building codes or where any adopted building codes do not contain specific provisions applicable to that aspect of construction work shall be performed in accordance with professional industry standards.

History

• Former Rule 8. Former Section R4-9-08 repealed, new Section R4-9-08 adopted effective February 23, 1976 (Supp. 76-1). Amended effective October 18, 1979 (Supp. 79-5). Amended subsection (C) effective April 23, 1981 (Supp. 81-2). Amended subsection (C) effective April 18, 1984 (Supp. 84-2). Former Section R4-9-08 renumbered without change as Section R4-9-108 (Supp. 87-3). Amended effective April 20, 1993 (Supp. 93-2). Amended effective January 20, 1998 (Supp. 98-1). Amended by final rulemaking at 9 A.A.R. 5028, effective January 3, 2004 (Supp. 03-4). Amended by final rulemaking at 20 A.A.R. 568, effective 7/1/2014. Amended by final rulemaking at 23 A.A.R. 2525, effective 11/5/2017.

Ariz. Admin. Code § R4-9-109 Name of Licensee or Applicant

A. A licensee shall do business under the name on the license issued and ensure that the same name is used on the license bond.

B. If a corporation is doing business in the name of a division or using a trade name, the corporation shall ensure that all names are shown on any application.

C. If applying for a license or a name change, a corporation shall submit written evidence that it is in good standing or that the new name has been filed with the Arizona Corporation Commission.

D. The Registrar shall grant a request for name change if there is No change in the legal entity, the name is available, and the request is submitted in writing, together with the required license fee and a cash deposit or bond rider that reflects the name change.

E. The Registrar may elect to reject an application, refuse to issue a license, or deny the name change of an existing license, based on a review of whether the proposed name is identical or so similar to that of an existing licensee or license applicant that it may cause confusion.

F. The Registrar shall not accept an application or issue a license if it contains the name of a building trade or craft for which the contractor is not qualified.

A. Definitions.

Official Name of Record . The term "official name of record" means either:

a. The name of the licensee on file at the Arizona Corporation Commission, if the licensee is a corporation or a limited liability company;

b. The name of the licensee on file at the Secretary of State's Office, if the licensee is a partnership; or

c. The name of the licensee on a government-issued identification card, if the licensee is an individual operating as a sole pro-prietorship.

Trade Name and DBA. The terms "trade name" and "DBA" each mean the name in which the licensee actually does business as a contractor

B. General Rules about the Licensee's Name.

Names on a License. On any license issued by the Registrar, the Registrar must include:

a. The licensee's official name of record, and

b. Any trade name used with that license.

Name on the Bond. Every name on the licensee's license must be on the license bond exactly as it appears on the license.

Licensee's Name and the License Scope. Neither a licensee's official name of record nor its trade name may include, reference, or suggest a scope of work that is not included in the scope of the license issued by the Registrar This prohibition does not apply

a. The licensee holds a separate license with a scope that is included, referenced, or suggested by the licensee's name; or

b. The licensee:

i. Does not use the official name of record to do business as a contractor, and

ii. Uses instead a trade name that does not include, reference, or suggest a scope of work that is not included in the scope of the license.

Conducting Business Using a Name on the License. Any time a licensee conducts business in Arizona as a contractor, the licensee must conduct that business using either the official name of record or the trade name on the license issued by the Registrar.

C. Rules about the Licensee's Name at the Time of a License Application.

Evidence of Official Name of Record. When applying for a license, the applicant must provide the Registrar with satisfactory evidence of the applicant's official name of record.

Applicant's Name as Basis for Denial. The Registrar may deny an application for a license if

a. The issued license would violate this Rule; or

b. Conducting business as a contractor using any name on the license would, under A.R.S. § 32-1154(A)(15), constitute any false, misleading, or deceptive advertising whereby any member of the public may be misled and injured

D. Rules about the Licensee's Request to Change Its Name on a License. If a licensee requests in writing that the Registrar change one or more names on a license, the Registrar must grant the request if

1. There has been No change in the legal form of the licensee;

There has been No change in the ownership of the licensee;

3. The licensee provides a bond rider;

4. Every requested name is printed on the bond rider exactly;

5. The licensee provides the fee for the name change; and

6. The requested name does not violate this Rule or any provision in Chapter 10, Title 32.

History

• Former Rule 9. Former Section R4-9-09 repealed, new Section R4-9-09 adopted effective February 23, 1976 (Supp. 76-1). Amended effective September 27, 1976 (Supp. 76-4). Amended subsections (B), (C), and (D) effective April 18, 1984 (Supp. 84-2). Former Section R4-9-09 renumbered without change as Section R4-9-109 (Supp. 87-3). Amended by final rulemaking at 10 A.A.R. 5185, effective February 5, 2005 (04-4). Amended by final rulemaking at 23 A.A.R. 2525, effective 11/5/2017.

Ariz. Admin. Code § R4-9-110 Change of Legal Entity and Cancellation of License

A. Pursuant to A.R.S. § 32-1124, licenses are nontransferable. A new license is required whenever the licensee's legal entity changes. A change in legal entity includes, but is not limited to:

1. Changes in ownership of a sole proprietorship;

2. Change of a controlling partner in a partnership;

3. Changing from one corporate entity to a different corporate entity;

Changing business entities, regardless of whether ownership changes, (e.g. from a corporation or a sole proprietor to a limited liability company); or

5. Merging with another business, where the business holding the license becomes the inactive business after the merger.

B.A license may be cancelled upon the written request of the owner of a sole proprietorship, a controlling partner of a partnership, or in the case of a corporation or a limited liability company any person with written evidence of authority to cancel the license.

History

• Former Rule 10. Former Section R4-9-10 repealed, new Section R4-9-10 adopted effective February 23, 1976 (Supp. 76-1). Former Section R4-9-10 renumbered without change as Section R4-9-110 (Supp. 87-3). Amended by final rulemaking at 10 A.A.R. 5185, effective February 5, 2005 (04-4). Amended by final rulemaking at 20 A.A.R. 568, effective 7/1/2014.

Ariz. Admin. Code § R4-9-111 Opting Out of Dual License Classifications

A. Unless prohibited by another rule, if a contractor holds a dual license, then that contractor may, at the time of the license's renewal,

1. To retain the dual license;

2. To designate the license as commercial; or

3. To designate the license as residential.

B. If a license is designated as either commercial or residential under this Rule, that designation is permanent.

History

• Former Rule 11. Former Section R4-9-11 repealed effective February 23, 1976 (Supp. 76-1). Adopted effective July 26, 1976 (Supp. 76-4). Amended effective April 18, 1979 (Supp. 84-2). Correction: Previous Historical Note should read: "Amended effective April 18, 1984"; Former Section R4-9-11 renumbered without change as Section R4-9-111 (Supp. 87-3). Repealed effective January 20, 1998 (Supp. 98-1). Adopted by final rulemaking at 23 A.A.R. 2525, effective 11/5/2017.

Ariz. Admin. Code § R4-9-112 Bond Limits; Applications; Renewals; Increases and Decreases of Bond Amounts; Effective Date of Bond and Deposits

A. Bond limits. In accordance with the provisions of A.R.S. § 32-1152, license bonds are established in the following amounts, based upon the estimated annual volume of work anticipated by the contractor within the State of Arizona for the ensuing fiscal year:

| License Category | Estimated Annual Volume (Per License Category) | Bond Amount | | --- | --- | --- | | 1. General Commercial Contracting and Engineering Contracting | Less than $150,000 | $5,000 | | $150,000 or more, but less than $500,000 | $15,000 | | | $500,000 or more, but less than $1,000,000 | $25,000 | | | $1,000,000 or more, but less than $5,000,000 | $50,000 | | | $5,000,000 or more, but less than $10,000,000 | $75,000 | | | $10,000,000 or more | $100,000 | | | 2. Specialty Commercial Contracting | Less than $150,000 | $2,500 | | $150,000 or more, but less than $500,000 | $7,000 | | | $500,000 or more, but less than $1,000,000 | $17,500 | | | $1,000,000 or more, but less than $5,000,000 | $25,000 | | | $5,000,000 or more, but less than $10,000,000 | $37,500 | | | $10,000,000 or more | $50,000 | | | 3. General Residential Contracting | | | | Less than $750,000 | $9,000 | | | $750,000 or more | $15,000 | | | 4. Specialty Residential Contracting | | | | Less than $375,000 | $4,250 | | | $375,000 or more | $7,500 | |

5. General Dual License Contracting. The amount of a General Dual License Contracting bond is determined under subsection (A)(3), based on the contractor's estimated volume of general residential contracting, and subsection (A)(1), based on the contractor's estimated volume of general commercial contracting. The contractor shall ensure that the bond issuer separately specifies on the bond the bond amounts applicable to general residential contracting and general commercial contracting.

6. Specialty Dual License Contracting. The amount of a Specialty Dual license Contracting bond is determined under subsection (A)(4), based on the contractor's estimated volume of specialty residential contracting, and subsection (A)(2), based on the contractor's estimated volume of specialty commercial contracting. The contractor shall ensure that the bond issuer separately specifies on the bond the bond amounts applicable to specialty residential contracting and specialty commercial contracting.

B. New licenses. On an application for a new license for any license category listed above, an applicant shall estimate the applicant's annual volume of work within the state of Arizona and comply with the bond requirements of this Section for the relevant category of license. The Registrar considers the filing of a bond or deposit in a specified amount to be the equivalent of submitting a volume estimate within the dollar limitations applicable for the bond amount.

C. Renewal. To renew a license an applicant shall complete a form provided by the Registrar of Contractors. If the contractor files a new bond or continues a bond or deposit in a specified amount, the Registrar considers these actions to be the equivalent of submitting a volume estimate within the dollar limitations applicable for the bond amount. The Registrar of Contractors is not responsible for over or under estimates of volume of work made by the licensee or for the sufficiency of any bond or deposit. The Registrar considers a gross underestimate knowingly made by a licensee to be a material misrepresentation, which can subject the licensee to suspension or revocation of license.

D. Increases and decreases of bond amounts. Based on the actual amount of the contractor's gross volume of work, a contractor may increase the bond amount at any time. A surety bond or cash deposit in lieu of a bond cannot be decreased except at the time of license renewal.

E. Effective date of bonds and deposits. A license bond or cash deposit is not effective until the licensee files it at a Registrar of Contractors office. If a license bond is filed before the effective date indicated on the bond, the bond becomes effective on the indicated date.

F.The changes to bond amounts made in this Section become enforceable on the next license renewal after June 30, 2014.

History

• Former Rule 12. Former Section R4-9-12 repealed, new Section R4-9-12 adopted effective February 23, 1976 (Supp. 76-1). Amended effective October 17, 1978 (Supp. 78-5). Amended subsection (C) effective August 15, 1980 (Supp. 80-4). Amended subsections (A), (B), and (C) effective July 9, 1987; former Section R4-9-12 renumbered as Section R4-9-112 (Supp. 87-3). Amended effective January 20, 1998 (Supp. 98-1). Amended by final rulemaking at 10 A.A.R. 5185, effective February 5, 2005 (04-4). Amended by final rulemaking at 20 A.A.R. 568, effective 7/1/2014.

Ariz. Admin. Code § R4-9-113 Application Process

A. In accordance with the provisions of A.R.S. § 32 1122 an applicant for licensure shall submit a verified application on form pre

B. For the purposes of A.R.S. § 41-1073, the Registrar establishes the following time-frames for the issuance of a contractor license.

1. Administrative completeness review time-frame: 40 calendar days

2. Substantive review time-frame: 20 calendar days

3. Overall agency time-frame: 60 calendar days

C. During the administrative completeness review time-frame the Registrar shall review an application for administrative completeness and either issue the license or mail a written notice of completeness or deficiencies within 40 days from the date of receipt. If deficiencies are found in the application, the Registrar shall mail the applicant a written notice containing a comprehensive list of the specific deficiencies. The 40-day time-frame for the Registrar to finish the review for completeness shall be suspended from the d ate the notice of deficiencies is mailed until the Registrar receives all requested information.

D. During the substantive review ti me-frame the Registrar shall complete a substantive review of the applicant's qualifications an d grant, deny, or mail a final comprehensive notice of deficiencies within 20 days after expiration of the administrative completeness review time-frame. If the Registrar finds deficiencies during the substantive review of the application, the Registrar shall mail one final comprehensive request for additional information to the applicant. The 20 day time-frame for the Registrar to finish the substantive review shall be suspended from the date the request for additional information is mailed until the Registrar receives all requested information .

E. Compliance with the administrative completeness review, substantive review and overall time-frames:

1. By mutual agreement, an applicant and the Registrar may agree to extend the substantive review and overall time-frames by 15 calendar days.

2. The Registrar may return an application if it does not receive the information it requests during the administrative completeness review or substantive review periods within 30 calendar days from the date the registrar mailed the request for additional information. The return of a license application shall result in the forfeiture of the application fee, but all other license fees shall be returned to the applicant. An applicant shall pay an application fee each time it submits a returned license application.

F. For the purpose of this Section, 1st-class mail sent to the address on the application shall serve as legal notice.

G. In computing any period of time prescribed or allowed by this Section, the day of the act, event or default from which the designated period of time begins to run shall not be included. The last day of the period so computed shall be included, unless it is a Saturday, a Sunday, or a legal holiday, in which event the period runs until the end of the next day which is not a Saturday, a Sunday, or a legal holiday.

H.Notwithstanding any provisions of this Section the applicant may apply to the Registrar in writing to withdraw a license application. The withdrawal of a license application shall result in the forfeiture of the application processing fee, but all other license fees shall be returned to the applicant.

A. Time Frames for New Licenses.

1. Overall Time Frame for Issuing New Licenses. When deciding whether to grant or deny a new contractor's license, the Registrar must operate within an overall time frame of 60 calendar days.

2. Administrative Completeness Review Time Frame. During the overall time frame of 60 calendar days, the Registrar must perform the administrative completeness review within 20 days.

3. Substantive Review Time Frame. During the overall time frame of 60 calendar days, the Registrar must perform the substantive review within 40 days.

B. Return of License Application.

1. Registrar's Right to Return Application. The Registrar may return an application if the Registrar:

a. Issues either:

i. A written notice of deficiencies under A.R.S. § 41-1074; or

ii. A comprehensive written request for additional information under A.R.S. § 41-1075; and

b. Does not receive within 30 calendar days information sufficiently responsive to either the notice or the request.

2. Consequences for Fees. If the Registrar returns an application, then:

a. The applicant forfeits the application fee; but

b. The Registrar must return all other license fees.

Resubmission Requires New Fee. If the applicant resubmits a license application that has been returned, then the applicant must pay a new application fee.

C. Withdrawal of the License Application.

1. Applicant's Right to Withdraw. An applicant may withdraw its license application at any time.

2. Written Request. The applicant's request for withdrawal must be in writing.

3. Consequences for Fees. If the applicant withdraws its application, then:

a. The applicant forfeits the application fee; but

b. The Registrar must return all other license fees.

History

• Adopted effective January 20, 1998 (Supp. 98-1). Amended by final rulemaking at 20 A.A.R. 568, effective 7/1/2014. Amended by final rulemaking at 23 A.A.R. 2525, effective 11/5/2017.

Ariz. Admin. Code § R4-9-115 Expired

History

• Former Rule 15. Former Section R4-9-15 repealed, new Section R4-9-15 adopted effective February 23, 1976 (Supp. 76-1). Former Section R4-9-15 renumbered without change as Section R4-9-115 (Supp. 87-3). Amended by final rulemaking at 10 A.A.R. 5185, effective February 5, 2005 (04-4). Amended by final rulemaking at 20 A.A.R. 568, effective 7/1/2014. Amended by final rulemaking at 23 A.A.R. 2525, effective 11/5/2017. Section expired under A.R.S. § 41-1056(J), at 28 A.A.R. 624 (March 18, 2022), effective March 1, 2022 (Supp. 22-1).

Ariz. Admin. Code § R4-9-116 Expired

History

• Former Rule 16. Former Section R4-9-16 repealed, new Section R4-9-16 adopted effective February 23, 1976 (Supp. 76-1). Amended effective October 14, 1977 (Supp. 77-5). Amended effective October 26, 1978 (Supp. 78-5). Amended effective April 18, 1984 (Supp. 84-2). Former Section R4-9-16 renumbered without change as Section R4-9-116 (Supp. 87-3). Amended by final rulemaking at 10 A.A.R. 5185, effective February 5, 2005 (04-4). Amended by final rulemaking at 20 A.A.R. 568, effective 7/1/2014. Section expired under A.R.S. § 41-1056(J) at 25 A.A.R. 373, effective December 29, 2016, filed in the Office February 1, 2019 (Supp. 19-1).

Ariz. Admin. Code § R4-9-117 Prior Record

In determining the appropriate discipline for a licensed contractor, the Administrative Law Judge and the Registrar may consider not only facts in the current case, but also facts in prior cases and any documents regarding the contractor on file with the Registrar.

History

• Former Rule 17. Former Section R4-9-17 repealed, new Section R4-9-17 adopted effective February 23, 1976 (Supp. 76-1). Former Section R4-9-17 renumbered without change as Section R4-9-117 (Supp. 87-3). Amended by final rulemaking at 9 A.A.R. 3182, effective August 30, 2003 (Supp. 03-3). Amended by final rulemaking at 20 A.A.R. 568, effective 7/1/2014. Amended by final rulemaking at 23 A.A.R. 2525, effective 11/5/2017.

Ariz. Admin. Code § R4-9-118 Prehearing Disclosure Requirement

A. Disclosure Statement. Before the hearing, a party must prepare a disclosure statement. The disclosure statement must contain:

1. A list of all the witnesses the party will call to testify, including the witnesses' contact information and a brief description of the subject matter of the witnesses' expected testimony; and,

2. A list of all the exhibits that the party will use at the hearing.

B. Exchanging Disclosure Statements and Exhibits.

1. Contents. A party to the hearing must serve on every other party and file with the Office of Administrative Hearings a copy of:

a. The disclosure statement; and,

b. Any exhibit that the party will use at the hearing.

2. Manner of Service and Filing. The service and filing requirement in (B)(1) of this section must be performed in accordance with Arizona Administrative Code R2-19-108 Filing Documents.

3. Timing of Service and Filing. The disclosure statement and the exhibits must be served and filed not less than seven calendar days before the date of the hearing.

C. Consequences for Failing to Disclose.

1. Administrative Law Judge's Discretion. If a witness or an exhibit was not timely disclosed as required under subsection (B) of this Rule, and good cause for the failure to disclose is not shown then the administrative law judge may:

a. Order that certain witnesses or exhibits not be used at the hearing;

b. Order that a particular fact is or is not established for the record; or,

c. Order that a charge, a defense, a claim, or some portion thereof, be dismissed.

2. Administrative Record. Nothing in this Rule prohibits the administrative law judge from considering anything contained in the administrative record.

History

• Adopted by final rulemaking at 23 A.A.R. 2525, effective 11/5/2017.

Ariz. Admin. Code § R4-9-119 Minimum Trade Experience Required for Licensing

A. Type of Trade Experience Prior To Licensure. For purposes of examining an applicant's trade experience dealing specifically with the type of construction, or its equivalent, for which the applicant is applying for a license, as required under A.R.S. § 32-1122(E):

1. The Registrar must accept the following as evidence of an applicant's trade experience:

a. Military service or training;

b. Diplomas or transcripts from accredited training programs; and

c. Completion certificates from an apprenticeship approved by the United States Department of Labor or a state apprenticeship agency.

2. The Registrar must accept evidence of trade experience regardless of whether:

a. The applicant was licensed or working for a properly licensed entity at the time the experience was obtained; or

b. The applicant was a minor at the time the experience was obtained.

3. The Registrar may also accept any evidence of an applicant's trade experience it deems appropriate to determine compliance with A.R.S. § 32-1122(E).

B. Nothing in this rule prohibits the Registrar from enforcing the provisions of A.R.S. § 32-1122(D), or any other provision of Arizona law.

History

• Amended by final rulemaking at 24 A.A.R. 2419, effective 1/1/2019.

Ariz. Admin. Code § R4-9-120 Rehearing or Review of Decision

A.The Registrar of Contractors shall provide an opportunity for a rehearing or review of its decisions on a hearing under A.R.S. Title 41, Chapter 6, Article 10 and the rules established by the Office of Administrative Hearings.

B.Except as provided in subsection (F), any party who is aggrieved by the decision on a hearing in a contested case or appealable agency action before the Registrar of Contractors may file with the Registrar of Contractors a written motion for rehearing or review of the decision specifying the particular grounds for the rehearing or review.

C. The Registrar of Contractors may grant a rehearing or review of a decision for any of the following causes materially affecting the moving party's rights:

1. Irregularity in the proceedings of the Registrar of Contractors or the Administrative Law Judge, or any order or abuse of discretion that deprived the moving party of a fair hearing;

2. Misconduct of the Registrar of Contractors, Office of Administrative Hearings, Administrative Law Judge, or prevailing party;

3. Accident or surprise that could not have been prevented by ordinary prudence;

4. Newly discovered material evidence that could not, with reasonable diligence, have been discovered and produced at the hearing;

5. Excessive or insufficient penalties;

6. Error in the admission or rejection of evidence or other errors of law occurring at the administrative hearing or during the progress of the proceeding; or

7. The decision is not justified by the evidence or is contrary to law.

D.The Registrar of Contractors may affirm or modify a decision on a hearing or grant a rehearing or review to all or any of the parties on all or part of the issues for any of the reasons in subsection (C). After giving the parties notice and an opportunity to be heard, the Registrar of Contractors may grant a motion for rehearing for a reason not stated in the motion. An order modifying a decision or granting a rehearing shall specify the particular ground for the order. A rehearing shall cover only the matter specified in the order.

E.Not later than 35 days after the date of a decision, and after giving the parties notice and an opportunity to be heard, the Registrar of Contractors may, on its own initiative, order a rehearing or review of its decision on a hearing for any reason for which it might have granted relief on motion of a party.

F.If the Registrar of Contractors makes a specific finding that the immediate effectiveness of a decision on a hearing is necessary for the preservation of the public health, safety, or welfare and that a rehearing or review of the decision on a hearing is impracticable, unnecessary, or contrary to the public interest, the decision may be issued as a final decision without an opportunity for a rehearing or review. If a decision on a hearing is issued as a final decision without an opportunity for review or rehearing, an application for judicial review of the decision may be made within the time limits permitted for applications for judicial review of the Registrar of Contractors' final decisions.

G.For purposes of this Section the terms "contested case" and "party" have the same meanings as in A.R.S. § 41-1001.

H. To the extent that the provisions of this Section are in conflict with the provisions of any statute providing for review or rehearing of a decision of the Registrar of Contractors, the statutory provisions govern.

History

• Former Rule 20. Repealed effective February 23, 1976 (Supp. 76-1). New Section R4-9-20 adopted effective June 18, 1982 (Supp. 82-3). Former Section R4-9-20 renumbered without change as Section R4-9-120 (Supp. 87-3). Amended by final rulemaking at 9 A.A.R. 1350, effective June 6, 2003 (Supp. 03-2). Amended by final rulemaking at 20 A.A.R. 568, effective 7/1/2014.

Ariz. Admin. Code § R4-9-121 Expired

History

• Repealed effective February 23, 1976 (Supp. 76-1). New Section R4-9-21 adopted effective April 18, 1984 (Supp. 84-2). Amended effective July 9, 1987; former Section R4-9-21 renumbered as Section R4-9-121 (Supp. 87-3). Amended effective February 4, 1993 (Supp. 93-1). Repealed by final rulemaking at 9 A.A.R. 3182, effective August 30, 2003 (Supp. 03-3). New Section made by final rulemaking at 20 A.A.R. 568, effective 7/1/2014. Section expired under A.R.S. § 41-1056(J) at 25 A.A.R. 373, effective December 29, 2016, filed in the Office February 1, 2019 (Supp. 19-1).

Ariz. Admin. Code § R4-9-122 Repealed

History

• Adopted effective November 4, 1992 (Supp. 92-4). Repealed effective December 17, 1993 (Supp. 93-4).

Ariz. Admin. Code § R4-9-123 Repealed

History

• Adopted effective November 4, 1992 (Supp. 92-4). Repealed effective December 17, 1993 (Supp. 93-4).

Ariz. Admin. Code § R4-9-124 Repealed

History

• Adopted effective November 4, 1992 (Supp. 92-4). Repealed effective December 17, 1993 (Supp. 93-4).

Ariz. Admin. Code § R4-9-125 Repealed

History

• Adopted effective November 4, 1992 (Supp. 92-4). Repealed effective December 17, 1993 (Supp. 93-4).

Ariz. Admin. Code § R4-9-126 Repealed

History

• Adopted effective November 4, 1992 (Supp. 92-4). Repealed effective December 17, 1993 (Supp. 93-4).

Ariz. Admin. Code § R4-9-127 Repealed

History

• Adopted effective November 4, 1992 (Supp. 92-4). Repealed effective December 17, 1993 (Supp. 93-4).

Ariz. Admin. Code § R4-9-128 Repealed

History

• Adopted effective November 4, 1992 (Supp. 92-4). Repealed effective December 17, 1993 (Supp. 93-4).

Ariz. Admin. Code § R4-9-129 Repealed

History

• Adopted effective November 4, 1992 (Supp. 92-4). Repealed effective December 17, 1993 (Supp. 93-4).

Ariz. Admin. Code § R4-9-130 Schedule of Fees

An applicant shall submit a separate application for each classification of license. The following application fees, biennial license fees, biennial license renewal fees and fees for other services shall be applicable in accordance with the provisions of A.R.S. §§ 32-1123.01, 32-1126 and 32-1132. The fee for an annual license granted pursuant to A.R.S. § 32-1123.01, as an exception to the biennial license renewal requirement, shall be one-half of the fee for the biennial license renewal.

| Classification of License | Application Processing Fee | Fee for Each Biennial License | Fee for Each Biennial License Renewal | | --- | --- | --- | --- | | 1. COMMERCIAL CONTRACTING | | | | | a. General Commercial Contracting (Includes all A and B Commercial classifications) | | | | | $200 | $580 | $580 | | | b. Specialty Commercial Contracting (Includes all C classifications) | | | | | $100 | $480 | $480 | | | 2. RESIDENTIAL CONTRACTING | | | | | a. General Residential Contracting (Includes all B Residential classifications) | | | | | $180 | $320 | $320 | | | b. Specialty Residential Contracting (Includes all R classifications) | | | | | $80 | $270 | $270 | | | 3. GENERAL DUAL LICENSED CONTRACTING | | | | | a. General Dual Licensed Contracting (Includes all KA, KB, KE and KO classifications) | | | | | $200 | $480 | $480 | | | 4. SPECIALTY DUAL LICENSE CONTRACTING | | | | | a. Class CR | $100 | $380 | $380 | | 5. PARTICIPATION IN RECOVERY FUND | | | | | Recovery Fund Assessment | $370 | $270 | | | 5. 6. FEES FOR OTHER SERVICES | | | | | a. Application to change qualifying party | $100 | | | | b. Application to change name of licensee | $30 | | |

History

• Adopted effective February 4, 1993 (Supp. 93-1). Amended effective January 20, 1998 (Supp. 98-1). Amended by final rulemaking at 7 A.A.R. 3160, effective July 2, 2001 (Supp. 01-3). Amended by final rulemaking at 20 A.A.R. 568, effective 7/1/2014.

Ariz. Admin. Code § R4-9-131 Assessment of Civil Penalties

In assessing a civil penalty as provided for under A.R.S. § 32-1166(A), the Registrar shall give due consideration to whether the person cited or any individual acting on that person's behalf has committed one or more of the following acts in determining the gravity of the cited violation:

1. Falsely represented to be a licensed contractor.

2. Failed to perform any work for which money was received.

3. Executed or used any false or misleading documents for the purpose of inducing a person to enter into a contract or to pay money for work to be performed.

4. Made false or misleading statements for the purpose of inducing a person to enter into a contract or to pay money for work to be performed.

5. Failed or neglected to apply funds which were received for the purpose of obtaining or paying for services, labor, materials, or equipment.

6. Performed work that was or had the potential to become hazardous to the health, safety, or general welfare of the public.

7. Performed work that deliberately was in violation of building codes, safety laws, labor laws, workers' compensation laws, or unemployment insurance laws.

8. Performed work that failed to meet minimum acceptable trade or industry standards or practices or was not performed in a good and workmanlike manner.

9. Has committed any other act which would otherwise be cause for disciplinary action if the person cited had been properly licensed pursuant to A.R.S. Title 32, Chapter 10.

10. Has committed two or more prior violations.

Performed work that has caused loss or damage to the structure, its appurtenances, or property being worked upon or has caused loss or injury to any person.

History

• Adopted effective May 26, 1994 (Supp. 94-2).

Chapter 10 BARBERING AND COSMETOLOGY BOARD

Article 1 GENERAL PROVISIONS

Ariz. Admin. Code § R4-10-101 Definitions

The definitions in A.R.S. §§ 32-301, 32-501, 32-516, and 32-572 apply to this Chapter. Additionally, in this Chapter unless otherwise specified:

1. "Accredited" means approved by any regional or national accreditation organization.

2. "Administrative completeness review" means the Board's process for determining that an applicant has provided all information and documents required by Board statute or rule for an application.

3. "Applicant" means an individual or any of the following seeking licensure or registration by the Board:

a. If a corporation, one officer as the applicant and a list of all officers of the corporation; or

b. If a partnership, one partner as the applicant and a list of all other partners; or

c. If a limited liability company, the designated corporate contact person, or if no contact person is designated, one member as the applicant and a list of all other members.

4. "Application packet" means the forms and documents the Board requires an applicant to submit.

5. "Approved by the Board," as used in A.R.S. §§ 32-302 and 32-501, means a cosmetologist, aesthetician, barber, hair stylist, or nail technician has a current license issued by the Board and no record of disciplinary action.

5.6. "Bracing" means to use a support that helps to steady or strengthen while performing a procedure.

7. "Barber pole" means a stationary or revolving sign composed of a vertical cylinder or pole with alternating, diagonal, stripes of any combination including red, white, and blue or a likeness of the sign.

6.8. "Certificate of hours" means a document issued by a licensed school to a student that states the total number of hours or credits completed at the school by the student who is transferring or withdrawing.

a. A written statement of the hours or credits a student received in the licensed school, signed by the administrator of the agency authorized to record hours in the jurisdiction in which the applicant received certified or accredited vocational or academic training, affixed with the agency's official seal; or

b. If a student is transferring from one Arizona school to another under A.R.S. § 32-560, a transfer application that reflects the hours or credits a student received, signed by the administrator of the school where the applicant received certified or accredited training.

7.9. "Certification of licensure" means the status of the license, signed by the authorized individual of the agency authorized to issue cosmetology, hairstyling, nail technician, aesthetics, barbering, or instructor licenses in the jurisdiction in which the applicant received a license.

"Change of ownership," as used in A.R.S. §§ 32-328, 32-545, and 32-552, means a change of 10 percent or more of the owners holding a license to operate an establishment or school.

8.11. "Classroom" means an area in which instruction or demonstration is provided.

9.12. "Clinic" means the area where a student practices cosmetology, hairstyling, nail technology, aesthetics, or barbering on the general public for a fee.

10.13. "Course" means an organized subject matter in which instruction is offered within a given period of time and for which credit toward graduation is given.

11.14. "Credit" means one earned academic unit of study based on

a. completing the required number of class sessions per calendar week in a course

b. at a community college, an accredited college or university, or a high school.

12.15. "Crossover hours" means hours of training obtained by a licensed aesthetician, cosmetologist, hair stylist, nail technician, or barber that a school licensee accepts as hours of training required to complete a course of training in a different discipline.

13.16. "Days" means business days.

17. "Direct supervision" means a licensee is physically present and observing the work of a supervisee.

18. "Discipline" means the fields of study or service regulated by the Board including cosmetology, hairstyling, aesthetics, nail technology, eyelash technology, and barbering.

19. "Disinfect" means the use of chemicals to kill most microbial life that can lead to infection in humans.

20. "EPA" means the U.S. Environmental Protection Agency.

21. "Establishment" means a business for which the Board has issued a license to a person under A.R.S. §§ 32-326 or 32-541, as applicable.

22. "Establishment suite" means multiple individually operated and licensed establishments that share a physical address except for suite number.

14.23. "Graduation" or "graduated from a school" means completion of the criteria established by a licensed cosmetology, hairstyling, aesthetics, nail technology, or barbering school for the course in which the applicant was enrolled including completion of the required curriculum hours.

15.24. "High school diploma or equivalency" means:

a. A high school diploma from a school recognized by the basic education authority or the Department of Education in the jurisdiction in which the school is located,

b. A passing score on a high school equivalency general educational development test or its equivalent as required by the Department of Education,

c. An associate degree or 15 academic credits from a junior college recognized by the basic education authority in the jurisdiction in which the college is located, or

d. Any degree from a college or university recognized by the basic education authority in the jurisdiction in which the college or university is located.

16. "Hour" means one clock hour.

17. "Instructor training" means the courses specified in R4-10-302 .

18.25. "Licensed in another state of the United States or foreign country" means:

a. A governmental regulatory agency in the state or country is authorized to examine the competency of individuals who graduate from a licensed cosmetology, hairstyling, nail technology, aesthetics, or barbering school, or instructors for these disciplines; and

b. The governmental regulatory agency issues licenses over which the state or country has regulatory and disciplinary jurisdiction.

19. "Licensed salon or licensed school" means an establishment for which the Board has issued a license to a person under A.R.S. § 32-541 or 32-551, as applicable.

20.26. "Manager" means an individual who is responsible for ensuring an establishment for which the Board has issued a license to operate complies with A.R.S. Title 32, Chapters 3 and 5, as applicable, and this Chapter.

27. "Mentor," as defined at A.R.S. §§ 32-301 and 32-501, means an aesthetician, barber, cosmetologist, hair stylist, or nail technician who is approved by the Board to train an individual in an apprenticeship program that is approved by the Department of Economic Security and occurs at a licensed establishment.

21.28. "Model" means an individual or mannequin on which an applicant performs demonstrations for the practical section of a licensing examination.

22. "Personal knowledge" means actual observation of an individual who practiced aesthetics, cosmetology, hairstyling, or nail technology in any state or country.

23.29. "Practice" means engaging in one of the disciplines regulated by the Board or engaging as an instructor of one of the disciplines in accordance with the license or registration issued by the Board and Title 32, Chapters 3 and 5, as applicable, and this Chapter.

30. "Owner" means a person that has controlling interest in an establishment or school or the owner's designee.

24.31. "Reciprocity" means the procedure for granting an Arizona license to an applicant who is currently licensed in another state of the United States or a foreign country.

25. "Salon suite" means multiple individually operated and licensed salons that share a physical address except for suite number.

32. "School" means an educational facility for which the Board has issued a license to a person under A.R.S. §§ 32-325 or 32-551, as applicable.

33. "Student instructor" means an individual who is licensed by the Board in a discipline and training to be an instructor in that discipline.

26.34. "Substantive review" means the Board's process for determining whether an applicant for licensure, registration, or other approval meets the requirements for the license, registration, or other approval for which application is made including, if applicable, taking and passing an examination required by the Board.

27.35. "Two years of high school or its equivalent" means one of the following:

a. Ten high school credits attained by an individual;

b. If the individual is homeschooled, a copy of the Affidavit of Intent filed with the county school superintendent and proof the individual is at least 16 years old;

b.c. Proof of being at least 18 years old; or

c.d. Obtaining a passing score on a high school equivalency general educational development (GED) test or its equivalent as required by the Department of Education.

28. "Transfer application," as used in A.R.S. § 32-560, means an application that documents the transfer of a student from one Arizona cosmetology, hairstyling, nail technology, or aesthetics school to another and contains the student's name, address, identification number, telephone number, and number of hours of instruction received.

36. "Transfer hours" means hours of study a student completed at one school that a school licensee accepts to meet the requirements at a second school.

29.37. "Virtual learning" means the use of technology to teach students who may or may not be physically present in a classroom.

"Workstation" means a specific location within an establishment, mobile unit, offsite training facility, or school where services are performed not including hair-cleaning activity.

History

• Adopted effective 4/9/1996 (Supp. 96-2). Amended by final rulemaking at 5 A.A.R. 1791, effective 5/18/1999 (Supp. 99-2). Amended by final rulemaking at 12 A.A.R. 807, effective 4/8/2006 (Supp. 06-1). Amended by final rulemaking at 23 A.A.R. 3028, effective 12/31/2017 (Supp. 17-4). Amended by final rulemaking at 26 A.A.R. 3123, effective 1/31/2021(Supp. 20-4). Amended by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-102 Fees and Charges

A. Cosmetology, aesthetics, hairstyling, and nail technology. Under the specific authority provided by A.R.S. § 32-507 and subject to R4-10-103, the Board establishes and shall collect the following fees:

Initial personal license: $60.00

Personal licensing renewal: $60.00

3. Delinquent personal license renewal: $60 for personal license renewal as specified under subsection (A)(2) plus $30 for delinquent renewal for every two years or a portion of two years that the license is inactive to a maximum of five years

4. Personal reciprocity or universal recognition license: $60.00

Establishment initial license: $110.00

6. Establishment renewal: $50.00

7. Establishment delinquent renewal: $80.00

8. School license: $600.00

9. School renewal: $250.00

10. Delinquent school renewal: $350.00

B. Barbering. Under the specific authority provided by A.R.S. § 32-328, and subject to R4-10-103, the Board establishes and shall collect the following fees:

Barber:

a. License by reciprocity or universal recognition $175

b. Initial license $40

c. Renewal valid for two years $80

2. Instructor:

a. Initial license $50

b. License by reciprocity or universal recognition $175

c. Renewal valid for two years $60

Establishment:

a. Application and initial inspection $150

b. Change of location or ownership $85

c. Renewal $50 annually

Late-renewal fee for any license issued under subsections (B)(1) through (3):

a. First time in a five-year period $25 plus the renewal fee

b. Second time in a five-year period $50 plus the renewal fee

c. Third time in a five-year period $75 plus the renewal fee

School:

a. Application and initial inspection $1,000

b. Change of location or ownership $500

c. Renewal $400 annually

d. Late-renewal fee:

i. First time in five-year period $50 plus the renewal fee

ii. Second time in five-year period $100 plus the renewal fee

iii. Third time in five-year period $150 plus the renewal fee

C. Eyelash technology. Under the specific authority provided by A.R.S. § 32-507, and subject to R4-10-103, the Board establishes and shall collect the following fees:

Initial personal registration $45

2. Personal registration renewal $45

3. Delinquent personal registration renewal: $45 for personal registration renewal as specified under subsection (C)(2) plus $30 for delinquent renewal for every two years or a portion of two years that the registration is inactive to a maximum of five years

4. Approval of an eyelash technician training program $250

D. An applicant for licensure by examination shall pay directly to the national professional organization with which the Board contracts the amount charged to administer and grade the written and practical examinations.

C. E. the Board shall collect the following charges for the services provided:

1. Board administered educational classes: $25.00

2. Certification of licensure or hours: $30.00

Service charge for use of a credit or debit card: $3.00 per transaction

4. For copying public documents: 50¢ per page

5. For audiotapes, videotapes, computer discs, or other media used for recording sounds, images, or information: $15 per tape, disc, or other medium

6. For a list of licensees' names and mailing addresses: a maximum of 25¢ per name

7. Board-issued duplicate license: $10.00

8.7. Issuing an updated license following receipt of a notice of establishment-suite change: $20

D. F. As authorized by A.R.S. § 44-6852, the Board shall charge a service fee of $20.00 for the return of a dishonored check or the failure of any other means of payment to be honored plus the actual charges assessed by the financial institution dishonoring the check or other means of payment.

G. The Board shall consider a fee payment timely only if the fee is received in the correct amount, in the form specified in R4-10-103(B), and:

1. The Board receives the fee on or before the date due, or

2. The fee is postmarked or electronically submitted on or before the date due.

History

• Adopted effective 4/9/1996 (Supp. 96-2). Amended by final rulemaking at 9 A.A.R. 1050, effective 5/6/2003 (Supp. 03-1). Amended by final rulemaking at 21 A.A.R. 3441, effective 1/30/2016 (Supp. 15-4). Amended by final rulemaking at 26 A.A.R. 3123, effective 1/31/2021(Supp. 20-4). Amended by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-103 Payment of Fees

A. A fee is not considered paid until the Board receives the amount required in the form specified in subsection (B). The Board shall not provide services, administer examinations, or issue licenses or registrations until it receives the required fee.

B. Form of payment. The Board shall accept:

1. A credit card, money order, or cashier's check as payment of licensing fees for an establishment or school;

2. A credit card, cashier's check, business check, or money order as payment of a civil penalty; and

3. A credit or debit card as payment of all other fees and service charges.

C. If payment for a renewal is returned because it is dishonored, the renewal application is incomplete and any license or registration renewal issued is void effective the date the Board provides written notice to the licensee or registrant that the license or registration is void.

D. An applicant, licensee, or registrant whose fee payment to the Board is dishonored is not entitled to a further service, license, or registration until the Board receives the following:

1. The amount of the fee for which the payment was dishonored;

2. The service charge provided in R4-10-102 (F); and

3. If applicable, the delinquent fee for each year or part of a year the license or registration was inactive or expired.

E. Fees are nonrefundable except if A.R.S. § 41-1077 applies.

F. The Board shall not refund fees tendered for fewer than $5.00 over the amount specified in R4-10-102, except the Board shall refund fees paid over the amount specified as the maximum fee in A.R.S. § § 32-328 or 32-507, as applicable.

History

• Adopted effective 4/9/1996 (Supp. 96-2). Amended by final rulemaking at 9 A.A.R. 1050, effective 5/6/2003 (Supp. 03-1). Amended by final rulemaking at 26 A.A.R. 3123, effective 1/31/2021(Supp. 20-4). Amended by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-104 Renumbered

History

• Adopted effective 4/9/1996 (Supp. 96-2). Former Section R4-10-104 renumbered to R4-10-108; new Section adopted by final rulemaking at 5 A.A.R. 1791, effective 5/18/1999 (Supp. 99-2). Amended by final rulemaking 11 A.A.R. 4239, effective 12/5/2005 (Supp. 05-4). Amended by final rulemaking at 23 A.A.R. 3028, effective 12/31/2017 (Supp. 17-4). Amended by final rulemaking at 26 A.A.R. 3123, effective 1/31/2021(Supp. 20-4). Renumbered to R4-10-202 by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-105 Renumbered

History

• Section R4-10-105 renumbered from former Section R4-10-27 and amended effective 4/9/1996 (Supp. 96-2). Former Section R4-10-105 renumbered to R4-10-109; new Section adopted by final rulemaking at 5 A.A.R. 1791, effective 5/18/1999 (Supp. 99-2). Amended by final rulemaking at 12 A.A.R. 807, effective 4/8/2006 (Supp. 06-1). Amended by final rulemaking at 23 A.A.R. 3028, effective 12/31/2017 (Supp. 17-4). Amended by final rulemaking at 26 A.A.R. 3123, effective 1/31/2021(Supp. 20-4). Renumbered to R4-10-201 by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-106 Time Frames

A. The overall, administrative completeness, and substantive review time frames described in A.R.S. § 41-1072 for each type of license, registration, or approval granted by the Board are listed in Tables A1 and B1, as applicable. The applicant and Executive Director of the Board may agree in writing to extend the overall time frame. The substantive review time frame may not be extended by more than 25 percent of the overall time frame.

B. The administrative completeness review time frame begins when the Board receives an application packet.

1. If an application packet is incomplete, the Board shall send the applicant a written notice specifying the missing document or incomplete information. The administrative completeness review time frame and the overall time frame are suspended from the date of the notice until the date the Board receives a complete application packet from the applicant.

2. If an application packet is complete, the Board shall send a written notice of administrative completeness to the applicant.

If the Board grants a license, registration, or approval during the administrative completeness time frame, the Board shall not issue a separate written notice of administrative completeness.

C. The substantive review time frame begins on the date of notice of administrative completeness.

1. As part of the substantive review for a license to operate a school, the Board shall conduct an inspection that may require more than one visit to the school.

2. During the substantive review time frame, the Board may make one comprehensive written request for additional information or documentation. If the applicant has applied for licensure by examination, the Board may request evidence of passing the required examination. The time frame for the Board to complete the substantive review is suspended from the date of the comprehensive written request for additional information or documentation until the Board receives the additional information or documentation.

3. If an applicant meets the requirements of A.R.S. Title 32, Chapter 5 and this Chapter, the Board shall send written notice granting a license to the applicant.

4.3. If an applicant does not meet the requirements of A.R.S. Title 32, Chapter 3 or 5, as applicable, and this Chapter, the Board shall send a written notice denying a license, registration, or approval to the applicant. The Board shall include in the notice of denial the basis for the denial and an explanation of the applicant's right to appeal under A.R.S. Title 41, Chapter 6, Article 10.

D. The Board shall consider an application withdrawn if within 90 days from the application submission date the applicant fails to supply the missing information under subsection (B)(1) or (C)(2).

E. An individual shall not practice as an aesthetician, cosmetologist, hairstylist, instructor, nail technician, barber, or eyelash technician until the individual receives and posts the license or registration issued by the Board at the individual's place of employment.

F. If the last day of a time frame falls on a Saturday, Sunday, or a legal holiday, the Board shall consider the next business day the last day of the time frame.

History

• Adopted effective 4/9/1996 (Supp. 96-2). Section repealed; new Section adopted by final rulemaking at 5 A.A.R. 1791, effective 5/18/1999 (Supp. 99-2). Amended by final rulemaking at 26 A.A.R. 3123, effective 1/31/2021(Supp. 20-4). Amended by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-107 Renumbered

History

• Adopted effective 4/9/1996 (Supp. 96-2). Former Section R4-10-107 renumbered to R4-10-110; new Section adopted by final rulemaking at 5 A.A.R. 1791, effective 5/18/1999 (Supp. 99-2). Amended by final rulemaking at 11 A.A.R. 4239, effective 12/5/2005 (Supp. 05-4). Amended by final rulemaking at 21 A.A.R. 3441, effective 1/30/2016 (Supp. 15-4). Amended by final rulemaking at 23 A.A.R. 3028, effective 12/31/2017 (Supp. 17-4). Amended by final rulemaking at 26 A.A.R. 3123, effective 1/31/2021(Supp. 20-4). Renumbered to R4-10-203 by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-108 [Repealed]

History

• Adopted effective 4/9/1996 (Supp. 96-2). Former Section R4-10-108 renumbered to R4-10-111; new Section R4-10-108 renumbered from Section R4-10-104 by final rulemaking at 5 A.A.R. 1791, effective 5/18/1999 (Supp. 99-2). Amended by final rulemaking at 12 A.A.R. 807, effective 4/8/2006 (Supp. 06-1). mended by final rulemaking at 22 A.A.R. 3329, effective 11/4/2016 (Supp. 16-4). Amended by final rulemaking at 23 A.A.R. 3028, effective 12/31/2017 (Supp. 17-4). Amended by final rulemaking at 26 A.A.R. 3123, effective 1/31/2021(Supp. 20-4). Repealed by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-109 Repealed

History

• Adopted effective 4/9/1996 (Supp. 96-2). Former Section R4-10-109 renumbered to R4-10-112; new Section R4-10-109 renumbered from Section R4-10-105 by final rulemaking at 5 A.A.R. 1791, effective 5/18/1999 (Supp. 99-2). Section repealed by final rulemaking at 12 A.A.R. 807, effective 4/8/2006 (Supp. 06-1).

Ariz. Admin. Code § R4-10-110 Renumbered

History

• Adopted effective 4/9/1996 (Supp. 96-2). Former Section R4-10-110 renumbered to Section R4-10-113; new Section R4-10-110 renumbered from Section R4-10-107 by final rulemaking at 5 A.A.R. 1791, effective 5/18/1999 (Supp. 99-2). Amended by final rulemaking at 12 A.A.R. 807, effective 4/8/2006 (Supp. 06-1). Amended by final rulemaking at 21 A.A.R. 3441, effective 1/30/2016 (Supp. 15-4). Amended by final rulemaking at 23 A.A.R. 3028, effective 12/31/2017 (Supp. 17-4). Amended by final rulemaking at 26 A.A.R. 3123, effective 1/31/2021(Supp. 20-4). Renumbered to R4-10-204 by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-111 Display of Licenses, Registrations, and Signs

A. An establishment or school licensee shall ensure the name on the establishment's or school's sign, advertising, and publications is the same as the name on the license to operate the establishment or school issued by the Board. The establishment's or school's sign shall be prominently posted in view of the public.

B. A school licensee shall:

1. Prominently post a course schedule that lists the names of instructors and courses; and

2.1. Display the licenses of the school licensee and all instructors near the school entrance, visible to the public; and

2. Ensure that if "accredited," "approved," or a similar term appears in the school catalog, publication, or advertisement, the name of the accrediting or approving organization is provided.

C. An establishment licensee shall:

1. Prominently post the license of the Establishment licensee in view of the public, and

2. Ensure that the personal license or registration of each licensee or registrant performing services in the Establishment is posted at the licensee's or registrant's workstation.

D. A licensee or registrant performing mobile services shall prominently display, in view of the public and in the area where mobile services are provided:

1. A duplicate of the licensee's or registrant's personal license or registration, and

2. A duplicate of the Board-issued license to operate An establishment.

E. A copy of R4-10-112 shall be prominently posted in each establishment and school.

F. If applicable, An establishment licensee shall prominently post a sign, in view of the public, that reads: "These services are not regulated by the Arizona Barbering and Cosmetology Board" and include a list of services provided but not regulated.

G. Display of barber pole.

1. Under A.R.S. § 32-355(A)(4), it is unlawful to display a sign or advertise as being engaged in the practice or business of barber-ing without being licensed under A.R.S. Title 32, Chapter 3, and this Chapter.

2. The Board has trademarked through the Office of the Secretary of State the barber pole as a sign of the barbering business.

A business shall not display a barber pole unless a barber licensed under A.R.S. Title 32, Chapter 3, and this Chapter is available to provide barbering services during the business hours the barber pole is displayed.

History

• Adopted effective 4/9/1996 (Supp. 96-2). Former Section R4-10-111 renumbered to Section R4-10-114; new Section R4-10-111 renumbered from R4-10-108 by final rulemaking at 5 A.A.R. 1791, effective 5/18/1999 (Supp. 99-2). Amended by final rulemaking at 12 A.A.R. 807, effective 4/8/2006 (Supp. 06-1). Amended by final rulemaking at 26 A.A.R. 3123, effective 1/31/2021(Supp. 20-4). Amended by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-112 Infection Control and Safety Standards

A. The holder of an establishment or school license issued under A.R.S. Title 32, Chapter 3 or 5, and this Chapter, shall ensure the establishment or school has and maintains the following minimum equipment and supplies:

1. Non-leaking, solid-side waste receptacles with liners, which are emptied, cleaned, and disinfected daily;

2. Ventilated, covered, containers for soiled linens including towels and capes;

3. Covered, clean containers or cabinets to hold clean linens including towels and capes;

4. Covered, wet disinfectant container that:

a. Is set up with disinfectant solution at all times the establishment or school is open, and

b. Is changed as determined by the manufacturer's instructions or when visibly cloudy or contaminated; and

5. An EPA-registered bactericidal, virucidal, or fungicidal, disinfectant effective against HIV and human hepatitis B virus, which shall be mixed and used according to manufacturer's directions on all tools, instruments, and equipment.

B. Procedure for disinfecting non-electrical equipment. A licensee, registrant, or student shall disinfect non-electrical equipment by:

1. Cleaning with soap or detergent and warm water, rinsing with clean water, and patting dry; and

2. Totally immersing in the wet disinfectant required under subsection (A)(5) following manufacturer's recommended directions.

C. Procedure for storing tools and instruments. A licensee, registrant, or student shall:

1. Place a tool or instrument that has been used on a client or soiled in any manner in a covered receptacle that is labeled "dirty"; and

2. Place a disinfected instrument in a disinfected, dry, covered container that is labeled "ready to use" and isolate the disinfected instrument from contaminants.

D. Procedure for disinfecting electrical equipment, which shall be in good repair, before each use. A licensee, registrant, or student shall disinfect electrical equipment by:

1. Removing all foreign matter from the equipment;

2. Cleaning and spraying or wiping with an EPA-registered bactericidal, virucidal, or fungicidal disinfectant, compatible with electrical equipment, as required in subsection (A)(5), ensuring the electrical equipment is in contact with the disinfectant for the time specified on the disinfectant label;

3. Storing the disinfected electrical equipment in a clean place separated from cords for the electrical equipment; and

4. If the electrical equipment has removable parts, disinfecting the removed parts as described in subsection (B).

E. Tools, instruments, and supplies. A licensee, registrant, or student shall:

1. Dispose of all tools, instruments, or supplies that come into direct contact with a client and cannot be disinfected (for example, cotton pads, sponges, porous emery boards, and neck strips) by placing them in a waste receptacle immediately after use;

2. Not store or carry disinfected tools and instruments in a leather or cloth pouch or pocket;

3. Dispose of a sharp tool or instrument by sealing the tool or instrument in a rigid, puncture-proof container and disposing in a manner that keeps licensees, registrants, students, clients, and sanitation workers safe;

4. Not place clips or other tools and instruments in the mouth, pocket, or other holder that cannot be cleaned and disinfected;

5. Sharpen pencil cosmetics before each use and clean and disinfect the sharpener after each use; and

6. A client's personal tools and instruments that are brought into and used in the establishment shall comply with these rules.

F. If there is exposure to blood or other body fluids during a service, a licensee, registrant, or student shall stop the service and:

1. If the wound is on the licensee's, registrant's or student's hand, the licensee, registrant, or student shall:

a. Clean the wound with an antiseptic solution;

b. Cover the wound with a sterile bandage; and

c. Cover the wounded area with a glove or finger cover;

2. Discard all blood-stained tissue or cotton or other blood-contaminated material;

3. Disinfect all equipment, tools, and instruments that came in contact with blood or other body fluids as discussed in subsections (A)(5) and (B); and

4. Disinfect electrical equipment as discussed in subsection (D).

G. An establishment or school licensee shall ensure all circulating and non-circulating tubs or spas are cleaned as follows:

1. After each client or service, complete the following:

a. Drain the tub; and

b. Remove and discard a used tub liner and replace the used tub liner with a new, unused tub liner; or

b.c. Clean the tub according to manufacturer's instructions, taking special care to remove all film, especially at the water line, rinse the tub and fill with disinfectant listed in subsection (A)(5), and allow the disinfectant to stand or circulate for the time specified in the manufacturer's instructions

c. Rinse the tub;

d. Fill the tub with water and disinfectant as in subsection (A)(5); and

e. Allow the disinfectant to stand for non-circulating tubs or to circulate for circulating tubs for the time specified in manufacturer's instructions.

2. At the end of the day, complete all of the following:

a. Drain the tub;

b. Remove all filters, screens, drains, jets, and other removable parts;

c. Scrub all removed parts with a brush and soap or detergent until free from debris;

d. Rinse the removed parts;

e. Completely immerse the removed parts in the disinfectant listed under subsection (A)(5);

f. Rinse the tub;

g. Replace the disinfected parts;

h. Fill the tub with clean water and the amount of disinfectant proper for the volume of water;

i. Circulate the water and disinfectant for the full contact time listed on the manufacturer's label. If the tub does not have jets, allow the water and disinfectant to stand for the full contact time listed on the manufacturer's label; and

j. Drain the tub.

H. Personal cleanliness. A licensee, registrant, or student shall:

Thoroughly wash his or her hands with soap and warm water or any equally effective hand sanitizer immediately before providing services to each client, before checking a student's work on a client, or after smoking, eating, or using the restroom;

2. Wash a client's skin on which services will be performed with soap and warm water or wipe the skin with waterless hand sanitizer approved for use on skin before a nail technology service, including a pedicure service, is provided; and

3. Wear clean, fluid-proof, single-use, protective gloves while performing any service if any bodily discharge is present from the licensee, registrant, student, or client or if any discharge is likely to occur from the client because of services being performed. Discard gloves immediately after use.

I. Disease and infestation. A licensee, registrant, or student shall not perform a service on an individual:

1. Who has a contagious disease that may be transmitted by the performing of the service on the individual; or

2. Who is exhibiting a sign of infection such as reddened, erupted, or open skin.

J. Client protection. A licensee, registrant, or student shall:

1. Protect a client's clothing from direct contact with shampoo bowls or headrests by using clean linens, capes, robes, or protective neck strips;

2. Maintain infection control and perform services safely;

3. Use bracing when performing a service around a client's eyes, ears, lips, fingers, and toes; and

4. When applicable, provide a client a pre- and post-analysis that includes appropriate instructions for follow-up.

K. Care and storage of linens including towels, robes, and capes. An establishment licensee shall ensure:

1. Clean linens are provided for each client and laundered after each use;

Soiled linens are stored in a ventilated receptacle;

3. Laundering includes washing linens using detergent and bleach; and

4. Clean linens are stored in covered containers or closets.

L. Care and storage of products including liquids, creams, oils, gels, antiseptics, clay, ointments, waxes, powders, cosmetics, chemicals, and disinfectants. An establishment licensee shall ensure:

1. All products are stored in a container that is clean and free of corrosion, labeled to identify contents, and in compliance with state and local laws and manufacturer's instruction;

2. All products containing poisonous substances are distinctly marked;

3. When only a portion of a product is to be used, the portion is removed from the container in a way that does not contaminate the remaining product; and

4. Once dispensed, a product is not returned to the original container.

M. Prohibited hazardous substances and use of products. An establishment licensee shall ensure:

1. No products containing hazardous substances banned by the U.S. Food and Drug Administration (FDA) for use in products on clients, including liquid methyl methacrylate monomer and methylene chloride, are on the establishment premises;

2. All products are used only in a manner approved by the FDA, EPA, or other regulatory agency; and

3. Instructions on the manufacturer's label are followed at all times.

N. Care of headrests, shampoo bowls, and treatment tables. An establishment licensee shall ensure:

1. Headrests of chairs and treatment tables are disinfected at least daily;

Treatment tables are covered with a clean linen or paper sheet for each client;

3. Shampoo bowls and neck rests are cleaned with soap and warm water or other detergent and disinfected after each use and kept in good repair; and

4. Shampoo neck rests are disinfected with a solution listed under subsection (A)(5) before each use.

O. Prohibited devices, tools, or chemicals; invasive procedures. An establishment licensee shall ensure:

1. Except as provided in this subsection and subsection (O)(2), all of the following devices, tools, or chemicals are not present in or used in An establishment:

a. A device, tool, or chemical designed or used to pierce the dermis; and

b. A low-frequency, or low-power ultrasonic, or sonic device except one intended for skin cleansing, exfoliating, or product application.

2. A licensee or registrant that provides an invasive procedure, using a device, tool, or chemical described in subsection (O)(1), that is otherwise allowed under Arizona law, complies with statutes and rules governing the procedure, training, or supervision as required by the relevant, regulatory authorities.

P. Skin peeling. A licensee shall:

1. Except as provided in subsection (O)(2), remove only the non-living, uppermost layer of skin, known as the epidermis, by any method or means and only for the purpose of beautification;

2. Not use a skin removal technique or practice that affects the dermal layer of the skin;

3. Not mix or combine skin removal products except as required by manufacturer instructions and approved by the FDA; and

4. Use only commercially available products for the removal of epidermis for the purpose of beautification.

Q. Restricted use tools and instruments. A licensee shall use:

1. Nippers only to remove loose cuticles; and

2. Pre-sterilized, disposal lancets only to dilate follicles and release sebaceous debris from the follicle.

R. Lash use and storage. A cosmetology or aesthetics licensee or registrant shall:

1. Have at the lashing workstation a covered, wet disinfectant container large enough to submerge tools completely;

2. Clean hands between clients;

3. Perform all lash services using clean or clean-gloved hands;

4. Store lashes in the original tray or jar in a covered container that is free from debris or contaminants;

5. Dispense lashes from the original tray or jar using only a disinfected tool;

6. Not return a lash to the original tray or jar after the lash is dispensed from the original tray or jar;

7. Spray and wipe the lash workstation with an EPA-registered disinfectant after each client;

8. Disinfect all cutting implements after use and store the disinfected cutting implements in a covered container that is free from debris or contaminants;

9. Keep tape dispensers inside a labeled, clean, closed drawer; and

Disinfect lash tweezers, adhesive stones, lash tiles, lash pallets, lash cases, and other items between clients.

R. S. An establishment licensee shall maintain cleanliness and repair of the establishment according to the following guidelines:

1. Discard hair and nail clippings immediately after each client;

Clean and disinfect shampoo bowls using a disinfectant listed under subsection (A)(5) and ensure drains are free running;

3. Disinfect counters and all work areas after each client by using a disinfectant discussed in subsection (A)(5).

S. T. An establishment licensee, including the licensee of An establishment in a residence, shall ensure compliance with the following building standards:

1. There is an entrance into the establishment from the outside. If the establishment is in a residence, the entrance may be through living quarters;

2. Except for An establishment in a residence, an establishment shall not be used for residential or other living purposes;

3. The establishment has a restroom open and available for employees' and clients' use during business hours. The restroom has a wash basin, running water, liquid soap, and disposable towels; is kept clean and sanitary at all times; and is in close enough proximity to the establishment to ensure safety for procedures during use;

4. Extra material stored in the establishment restroom is locked in a cabinet;

5. The establishment, including a mobile unit, has sufficient hot and cold running water; and

6. The establishment has natural or mechanical ventilation and an air filtration system that provides free flow of air to each room, prevents the build-up of emissions and particulates, keeps odors and diffusions from chemicals and solutions at a safe level, and provides sufficient air circulation and oxygen.

T. U. An establishment licensee shall ensure compliance with the following general requirements.

1. A first-aid kit that contains, at a minimum, bandages, gauze, antiseptic, and antibiotic cream is present in the establishment and easily accessible;

2. No animals except fish in aquariums and service animals are allowed in the establishment; and

3. The establishment complies with federal and state requirements.

History

• Section R4-10-112 renumbered from former Section R4-10-33 and amended effective 4/9/1996 (Supp. 96-2). Former Section R4-10-112 renumbered to Section R4-10-115; new Section R4-10-112 renumbered from Section R4-10-109 by final rulemaking at 5 A.A.R. 1791, effective 5/18/1999 (Supp. 99-2). Amended by final rulemaking at 11 A.A.R. 4239, effective 12/5/2005 (Supp. 05-4). Amended by final rulemaking at 14 A.A.R. 2083, effective 7/5/2008 (Supp. 08-2). Amended by final rulemaking at 26 A.A.R. 3123, effective 1/31/2021(Supp. 20-4). Amended by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-113 Establishment and School Management

A. an establishment or school licensee shall ensure:

1. Licenses, notices, and the Board's most recent inspection sheet are prominently displayed in view of the public;

2. All licensees or registrants in the establishment, school, or a mobile service area have current licenses or registrations;

Infection control and safety standards are maintained; and

4. If the establishment or school closes, the licensee or authorized representative notifies the Board within 10 days by completing a form that is available on the Board's website.

B. The Board shall hold the establishment or school licensee responsible for all violations of requirements in subsection (A) that occur within the establishment or school.

C. If An establishment licensee rents or leases space within the Establishment to a person who obtains a separate license to operate An establishment, the Board shall hold the second licensee responsible for all violations of requirements in subsection (A) that occur within the portion of the Establishment the second licensee is licensed to operate.

History

• New Section R4-10-113 renumbered from Section R4-10-110 by final rulemaking at 5 A.A.R. 1791, effective 5/18/1999 (Supp. 99-2). Amended by final rulemaking at 26 A.A.R. 3123, effective 1/31/2021(Supp. 20-4). Amended by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-114 Board Inspection

A. A licensee or manager of an establishment or school shall permit a Board inspector or representative to inspect the premises of the establishment or school regardless of whether the establishment or school has been identified in a complaint.

B. A Board inspector or representative may inspect:

1. the premises of a location alleged to be operating as An establishment or school without a license from the Board;

2. The premises of each establishment at least once during every two years; and

3. An establishment or school at any time allowed under A.R.S. §§ 32-304(B), 32-325, 32-542, and 32-562.

C. Inspection procedure. According to the requirements of A.R.S. Title 32, Chapters 3 and 5, and this Chapter, the Board inspector or representative shall document that:

1. The establishment or school complies with R4-10-111(C) through (G);

2. All required equipment and implements necessary to provide services are present, clean, in good working order, and in appropriate quantity to the number of establishment employees;

3. All procedures, including those in R4-10-112, are followed by establishment and school employees; and

4. All applicable statutes and rules are followed.

D. Inspection findings. The Board inspector or representative shall provide a copy of a completed inspection report to the licensee or manager of the establishment or school and the Board.

E. Disciplinary action. The Board shall follow disciplinary procedures established under A.R.S. §§ 32-352 through 32-356 or 32-571 through 32-576 for any inspection finding indicating a violation of any provision of A.R.S. Title 32, Chapters 3 or 5, or this Chapter.

History

• New Section R4-10-114 renumbered from Section R4-10-111 by final rulemaking at 5 A.A.R. 1791, effective 5/18/1999 (Supp. 99-2). Amended by final rulemaking at 26 A.A.R. 3123, effective 1/31/2021(Supp. 20-4). Amended by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-115 Rehearing or Review of a Board Decision

A. The Board shall provide for a rehearing or review of its decisions under A.R.S. Title 41, Chapter 6, Article 10 and the rules established by the Office of Administrative Hearings.

B. Except as provided in subsection (H), a party is required to file a motion for rehearing or review of a Board decision, within 30 calendar days after service of the decision, to exhaust the party's administrative remedies.

C. A motion for rehearing or review may be amended at any time before it is ruled on by the Board. A response may be filed within 15 calendar days after service of a motion or amended motion by any party. The Board may require the filing of written briefs regarding the issues raised in the motion and may provide for oral argument.

D. The Board may grant a rehearing or review for any of the following causes materially affecting the moving party's rights:

1. Irregularity in the administrative proceedings or any order or abuse of discretion that deprived the moving party of a fair hearing;

2. Misconduct of the Board or its staff, an administrative hearing officer, or the prevailing party;

3. Accident or surprise that could not have been prevented by ordinary prudence;

4. Newly discovered material evidence that could not with reasonable diligence have been discovered and produced at the original hearing;

5. Excessive penalties;

6. Error in the admission or rejection of evidence or other errors of law occurring at the administrative hearing or during the progress of the proceedings; or

7. A decision that is not justified by the evidence or is contrary to law.

E. The Board may affirm or modify the decision or grant a rehearing or review to any of the parties on all or part of the issues for any of the reasons in subsection (D). The Board shall specify the particular grounds for any order modifying a decision or granting a rehearing or review. If a rehearing or review is granted, the rehearing or review shall cover only the matters specified in the order. If a rehearing is granted, the Board shall hold the rehearing within 60 days after the date on the order granting the rehearing.

F. No later than 30 calendar days after the date of a decision and after giving the parties notice and an opportunity to be heard, the Board may, on its own initiative, order a rehearing or review of its decision for any reason for which it might have granted a rehearing or review on motion of a party. The Board may grant a motion for rehearing or review, timely served, for a reason not stated in the motion. An order granting a rehearing or review shall specify the grounds on which the rehearing or review is granted.

G. When a motion for rehearing or review is based on affidavits, they shall be served with the motion. An opposing party may, within 20 calendar days after service, serve opposing affidavits. This time may be extended for an additional period not exceeding 20 calendar days by the Board when there is a showing of good cause or written stipulation of the parties. Reply affidavits may be permitted.

H. If the Board makes a specific finding that a particular decision needs to be effective immediately to preserve public peace, health, or safety and that a rehearing or review of the decision is impractical, unnecessary, or contrary to the public interest, the Board may issue the decision as a final decision without an opportunity for rehearing or review.

I. A Board order is final on expiration of the time for filing a motion for review or rehearing or on denial of a motion for review or rehearing, whichever is later. A party that has exhausted the party's administrative remedies may appeal a final order of the Board under A.R.S. Title 12, Chapter 7, Article 6.

J. A person that files a complaint with the Board against a licensee or registrant:

1. Is not a party to:

a. A Board administrative action, decision, or proceeding; or

b. A court proceeding for judicial review under A.R.S. Title 12, Chapter 7, Article 6; and

2. Is not entitled to seek rehearing or review of a Board action or decision under this Section.

History

• New Section R4-10-115 renumbered from Section R4-10-112 by final rulemaking at 5 A.A.R. 1791, effective 5/18/1999 (Supp. 99-2). Amended by final rulemaking at 26 A.A.R. 3123, effective 1/31/2021(Supp. 20-4). Amended by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Article 2 PERSONAL LICENSURE OR REGISTRATION

Ariz. Admin. Code § R4-10-201 Application for License by Reciprocity; Application for License by Universal Recognition

A. An applicant for an aesthetics, cosmetology, hairstyling, nail technology, barber, or instructor license by reciprocity shall submit the applicable fee required in R4-10-102 and all of the following to the Board:

1. An application form available on the Board's website that contains:

a. The applicant's name, full mailing, physical, and e-mail addresses, telephone number, Social Security number, and birth date;

b. A passport quality photo of the applicant;

c.b. If previously licensed by the Board, the type of license, license number, license expiration date, and name used on the license;

d.c. A statement of whether the applicant has ever had an aesthetics, cosmetology, hairstyling, nail technology, barber, or instructor license suspended or revoked in any state of the United States or foreign country; and

e.d. The applicant's signature and verification the information provided is true and correct;

2. A passport-style photo of the applicant;

2.3. A list of states in the United States or foreign countries in which the applicant is or was previously licensed or authorized to practice barbering, hairstyling, nail technology, aesthetics, or cosmetology and satisfactory evidence of an active license or authorization in good standing; and

3.4. Documentation specified under A.R.S. § 41-1080 indicating the applicant's presence in the United States is authorized under federal law.

B. In addition to the requirements in subsection (A), under A.R.S. § 32-322, an applicant for a barber or barber instructor license by reciprocity shall:

1. If licensed in another state of the United States, submit evidence of compliance with A.R.S. § 32-322(C); or

2. If licensed or otherwise authorized to practice barbering by a foreign country, submit evidence of compliance with A.R.S. § 32-322(D).

C. In addition to the requirements in subsection (A), under A.R.S. § 32-532, an applicant for a cosmetology, aesthetics, nail technology, or hairstyling instructor license by reciprocity shall submit evidence of the experience required under A.R.S. § 32-532(2).

B. D. An applicant for an aesthetics, cosmetology, hairstyling, nail technology, barber, or instructor license who meets the requirements specified at A.R.S. § 32-4302 is eligible for licensure by universal recognition. To apply for licensure by universal recognition, an applicant shall submit the applicable fee required in R4-10-102 and all of the following to the Board:

1. An application form available on the Board's website that contains:

a. The applicant's name, full mailing, physical, and e-mail addresses, telephone number, Social Security number, and birth date;

b. A passport quality photo of the applicant; and

c.b. The applicant's signature and verification the information provided is true and correct;

2. A passport-style photo of the applicant;

2.3. A list of all states in which the applicant is currently and has been licensed for at least one year and certification from the licensing states that the applicant's license is in good standing; and

3.4. Proof of Arizona residency

4. Documentation specified under A.R.S. § 41-1080 indicating the applicant's presence in the United States is authorized under federal law.

History

• Adopted effective 4/9/1996 (Supp. 96-2). Section repealed; new Section adopted by final rulemaking at 5 A.A.R. 1791, effective 5/18/1999 (Supp. 99-2). Amended by final rulemaking at 12 A.A.R. 807, effective 4/8/2006 (Supp. 06-1). Amended by final rulemaking at 26 A.A.R. 3123, effective 1/31/2021(Supp. 204). Renumbered and amended from R4-10-105 by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-202 Application for a Cosmetology, Aesthetics, Hairstyling, Nail Technology, or Barber License by Examination

A. An applicant for an aesthetics, cosmetology, hairstyling, nail technology, or barber license by examination shall submit to the Board:

The fee required for an initial personal license in R4-10-102;

2. A passport-style photo of the applicant; and

2.3. An application form available on the Board's website that contains:

a. A passport quality photo of the applicant;

b.a. The applicant's name, full mailing and physical addresses, e-mail address, telephone number, Social Security number, and birth date;

c.b. The name and address of each licensed school attended by the applicant;

d.c. The name of course completed, the name of the school where completed, and the starting date and date of graduation;

e.d. If previously licensed by the Board, type of license, license number, license expiration date, and the name used on the license;

f.e. A statement of whether the applicant has ever had an aesthetics, cosmetology, hairstyling, nail technology, or barber license suspended or revoked in any state of the United States or foreign country; and

g. A statement by the applicant verifying the truthfulness of the information provided by the applicant; and

h.f. The applicant's signature verifying the information provided is true and correct; and

3.4. Documentation specified under A.R.S. § 41-1080 indicating the applicant's presence in the United States is authorized under federal law.

B. In addition to complying with the requirements in subsection (A), an applicant for an aesthetics, cosmetology, hairstyling, nail technology, or barber license by examination shall:

1. Comply with A.R.S. § 32-322, 32-510, 32-511, 32-512, or 32-512.01 by submitting documentation of Two years of high school or its equivalent;

2. Comply with A.R.S. § 32-322, 32-510, 32-511, 32-512, or 32-512.01 by submitting a copy of one of the following:

a. If the applicant graduated from a course presented by a school licensed by the Board, a copy of the certificate of graduation required under R4-10-305(E);

b. If the applicant attended more than one school in Arizona, a copy of a Certificate of hours from each school attended, as required under R4-10-305(E);

c. If the applicant completed an apprenticeship program described under A.R.S. § 32-322, 32-510(A)(2)(c), 32-511 (A)(3)(c), 32-512(A)(3)(c), or 32-512.01(A)(3)(c), a notice of completion from the Department of Economic Security;

d. If the applicant graduated from a course presented by a school in another state or country, evidence the school's requirements at the time the applicant graduated were substantially the same as those required by the Board; and

d.e. Comply with R4-10-102 regarding examination fees.

C. In addition to complying with the requirements in subsection (A), an applicant for an instructor license by examination shall:

1. Comply with A.R.S. § 32-531 by submitting the following:

a. Documentation, as specified in subsection (C)(3), of required work experience;

b. Proof of current licensure in the profession in which work experience was gained;

c. Proof of licensure during the period work experience was gained; and

d. Proof of attainment of 18 years of age; or

e. Proof of high school equivalency.

2. If qualifying under A.R.S. § 32-531(3)(a), submit a copy of the following:

a. Certification of graduation from a licensed school, on a form supplied by the Board, including the starting and ending dates, total number of hours completed, and signature of the administrator of the school; and

b. If the applicant attended more than one licensed school in Arizona, a copy of a transfer application or certification of hours from each school attended, including the starting and ending dates, total number of hours completed, and signature of the administrator of the school; and

3. Documentation of the work experience required by A.R.S. § 32-531, which shall be signed by an owner or manager of a licensed salon, an individual, or a supplier of cosmetology products with personal knowledge of the applicant's licensed experience in the profession for which the applicant seeks an instructor license. The person providing the documentation verifying the applicant's experience shall also indicate the following:

a. Profession in which applicant gained the experience;

b. Starting and ending dates of applicant's experience in the profession;

c. Name of licensed salon and address where applicant gained experience in the profession; and

d. License number and name of the licensed individual completing the form; or

e. Name, address, and telephone number of the individual providing the information.

History

• Adopted effective 4/9/1996 (Supp. 96-2). Amended by final rulemaking at 26 A.A.R. 3123, effective 1/31/2021(Supp. 20-4). Renumbered and amended from R4-10-106 by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-203 Personal License or Registration Renewal

A. An aesthetician, cosmetologist, hairstylist, nail technician, barber, or instructor licensee or an eyelash technician registrant shall electronically submit an application for renewal to the Board on or before the licensee's or registrant's birthday every two years.

1. If a licensee's birthday falls on a Saturday, Sunday, or legal holiday, the licensee may file the renewal application on the next business day following the licensee's birthday.

2. A renewal application consists of:

a.1. A form provided by the Board that contains the licensee's or registrant's name, address, e-mail address, Social Security number, and signature;

b. A copy of a government-issued identification containing a photograph of the licensee;

c.2. If the documentation submitted at the time of initial licensure or registration did not establish citizenship in the United States or was not a non-expiring work authorization, documentation specified under A.R.S. § 41-1080 that the licensee's or registrant's presence in the United States continues to be authorized under federal law;

d.3. A statement of whether the licensee or registrant has changed the licensee's or registrant's name since the previous application and, if the name has changed, a copy of a legal document, such as a marriage license, divorce decree, or driver license showing the name change; and

e.4. The fee required in R4-10-102.

B. An establishment licensee shall annually postmark or electronically submit to the Board an application for renewal on or before the license renewal date.

1. If the license renewal date falls on a Saturday, Sunday, or legal holiday, the licensee may file the application on the next business day following the license renewal date.

2. A renewal application consists of:

a. A form provided by the Board that contains:

i. The establishment's name;

ii. The licensee's license number; and

iii. If the licensee is an individual or partnership, the signature and tax identification number of the licensee or if the licensee is a corporation or limited liability company, the signature of the authorized signer and the tax identification number of the corporation or limited liability company; and

b. The fee required in R4-10-102 .

History

• Adopted effective 4/9/1996 (Supp. 96-2). Amended by final rulemaking at 12 A.A.R. 807, effective 4/8/2006 (Supp. 06-1). Amended by final rulemaking at 23 A.A.R. 3028, effective 12/31/2017 (Supp. 17-4). Amended by final rulemaking at 26 A.A.R. 3123, effective 1/31/2021(Supp. 20-4). Renumbered and amended from R4-10-107 by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-204 Reactivating an Inactive or Expired License or Registration

A. A cosmetology, hairstyling, nail technology, aesthetics, barbering, or instructor license or eyelash technician registration that has been inactive or expired for fewer than two years may be reactivated by paying the delinquent renewal fee.

B. A cosmetology, hairstyling, nail technology, aesthetics, barbering, or instructor license or eyelash technician registration that has been inactive or expired for more than two years, but fewer than five years, may be reactivated by the inactive or expired licensee or registrant paying the delinquent renewal fee, as described in R4-10-102, and paying for and completing the infection protection class and law review class, offered by the Board.

C. If a cosmetology, hairstyling, nail technology, aesthetics, barbering, or instructor license or eyelash technician registration has been inactive or expired for more than five years, the inactive or expired licensee or registrant shall pay five years of delinquent renewal fees and comply with all application requirements in R4-10-202, R4-10-A202, R4-10-B201, or R4-10-B202 as applicable, before practicing or teaching barbering, cosmetology, aesthetics, hairstyling, nail technology, or eyelash technology in Arizona.

History

• Adopted effective 4/9/1996 (Supp. 96-2). Amended by final rulemaking at 12 A.A.R. 807, effective 4/8/2006 (Supp. 06-1). Amended by final rulemaking at 23 A.A.R. 3028, effective 12/31/2017 (Supp. 17-4). Amended by final rulemaking at 26 A.A.R. 3123, effective 1/31/2021(Supp. 20-4). Renumbered and amended from R4-10-110 by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-205 Renumbered

History

• Adopted effective 4/9/1996 (Supp. 96-2). Amended by final rulemaking at 12 A.A.R. 807, effective 4/8/2006 (Supp. 06-1). Amended by final rulemaking at 23 A.A.R. 3028, effective 12/31/2017 (Supp. 17-4). Amended by final rulemaking at 26 A.A.R. 3123, effective 1/31/2021(Supp. 20-4). Renumbered to R4-10-B301 by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-206 Renumbered

History

• Adopted effective 4/9/1996 (Supp. 96-2). Amended by final rulemaking at 12 A.A.R. 807, effective 4/8/2006 (Supp. 06-1). Amended by final rulemaking at 23 A.A.R. 3028, effective 12/31/2017 (Supp. 17-4). Amended by final rulemaking at 26 A.A.R. 3123, effective 1/31/2021(Supp. 20-4). Renumbered to R4-10-B302 by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-206.1 Renumbered

History

• New Section made by final rulemaking at 23 A.A.R. 3028, effective 12/31/2017 (Supp. 17-4). Amended by final rulemaking at 26 A.A.R. 3123, effective 1/31/2021(Supp. 20-4). Renumbered to R4-10-B303 by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-207 Renumbered

History

• Adopted effective 4/9/1996 (Supp. 96-2). Amended by final rulemaking at 11 A.A.R. 4239, effective 12/5/2005 (Supp. 05-4). Amended by final rulemaking at 26 A.A.R. 3123, effective (Supp. 204). Renumbered to R4-10-B304 by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-208 Renumbered

History

• Adopted effective 4/9/1996 (Supp. 96-2). Amended by final rulemaking at 11 A.A.R. 4239, effective 12/5/2005 (Supp. 05-4). Amended by final rulemaking at 23 A.A.R. 3028, effective 12/31/2017 (Supp. 17-4). Amended by final rulemaking at 26 A.A.R. 3123, effective 1/31/2021(Supp. 20-4). Renumbered to R4-10-308 by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-209 Renumbered

History

• Adopted effective 4/9/1996 (Supp. 96-2). Amended by final rulemaking at 26 A.A.R. 3123, effective 1/31/2021(Supp. 20-4). Renumbered to R4-10-310 by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-210 Renumbered

History

• New Section made by final rulemaking at 26 A.A.R. 3123, effective 1/31/2021(Supp. 20-4). Renumbered to R4-10-301 by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Article 3 SCHOOLS; EYELASH TECHNOLOGY TRAINING PROGRAM

Ariz. Admin. Code § R4-10-301 License to Operate a School

A. A license to operate a school is not transferrable.

A. B. To continue to operate a school, a school licensee shall apply for a new license and pay the fee specified under R4-10-102 when:

1. The physical address of the school changes;

2. The name of the school changes; or

3. There is a change of ownership of the school.

4. If the school licensee is a corporation, limited liability company, or partnership, a corporate officer, partner, or statutory agent changes.

C. The school licensee shall submit the application and fee required under subsection (B) within 10 days after a change specified under subsection (B) occurs.

B. D. the school licensee shall ensure a Board-issued license to operate the school, indicating the correct name, physical location, and ownership of the school, is posted in the school before the school is opened for business.

History

• Adopted effective 4/9/1996 (Supp. 96-2). Amended by final rulemaking at 14 A.A.R. 2083, effective 7/5/2008 (Supp. 08-2). Amended by final rulemaking at 26 A.A.R. 3123, effective 1/31/2021(Supp. 20-4). Renumbered and amended from R4-10-210 by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-302 Application for a License to Operate a Barber, Cosmetology, Aesthetician, Hairstyling, or Nail Technology School

A. An applicant for a license to operate a barber, cosmetology, aesthetician, hairstyling, or nail technology school shall submit:

1. An application, on a form available on the Board's website, which is signed by the applicant and provides the following information:

a. The applicant's name, full mailing, physical, and e-mail addresses, federal tax identification number, and telephone number;

b. If the applicant is a partnership, each partner's name, address, and an identification of whether each is a limited or general partner;

c. If the applicant is a corporation, the state of incorporation and name, title, and address of at least two officers of the corporation and the statutory agent;

d. If the applicant is a limited liability company, name and address of each member, manager, and statutory agent;

e. If the applicant is an Arizona school district or community college:

i. Office address of the school district or community college, and

ii. Number of the school district and name of the superintendent, or

iii. Name of the community college dean;

f. Documentation specified under A.R.S. § 41-1080(A) that the presence in the U.S. of all individuals owning at least 10 percent of the applicant is authorized under federal law;

g. The name and Board-issued license number of the instructor in charge of the school;

h. If a change of ownership, the date the applicant will be assuming ownership;

i. If a change of location, both the old and new physical addresses of the school;

i.j. If a new school, the scheduled date for opening the school; and

j.k. A statement by the applicant verifying the information provided is true and correct;

a. Copy of the partnership agreement for a partnership,

b. Copy of the articles of incorporation and a a Certificate of Good Standing from the Arizona Corporation Commission, if applicable.

c. Copy of the articles of organization for a limited liability company.

3. A signed statement that the school has the equipment required by statute and rule;

4. An unexecuted student-school contract form, as required under R4-10-305;

5. An operating schedule that includes the hours of each day and each day of a calendar week during which the school will be open for instruction;

6. A proposed schedule of courses to be taught at the school;

7. The name, address, e-mail address, and telephone number of a bonding company, as required under A.R.S. § 32-325(C) or 32551, as applicable, and a copy of the bond;

8. A copy of all school policies and procedures;

9. A school catalog that contains the information required under A.R.S. § 32-559 and:

a. The number of days during course enrollment necessary to complete the course hours;

b. The days and hours of operation, vacation periods, and holidays;

c. Policies regarding leaves of absence, refunds, and vacation approval for students;

10. Demonstrate evidence of compliance with A.R.S. §§ 32-551 through 32-575 and these rules through a school inspection conducted by the Board; and

11.10. The fee required in R4-10-102.

B. Demonstrate compliance with A.R.S. Title 32, Chapter 3 or 5, as applicable, and this Chapter through a school inspection conducted by the Board. The Board shall schedule the inspection only after the applicant has submitted a complete application. The applicant shall not open a school until the inspection is completed and the Board determines the school complies with all requirements.

1. A statement that indicates:

a. Any modifications, additions, or deletions to the previously submitted catalog;

b. Any changes that have occurred regarding the school's accrediting or approving organization; and

c. The school continues to maintain all equipment required by statute and rule;

2. A subject description for each new course, if applicable;

3. The name, address, and e-mail address of a new statutory agent if the statutory agent will change beginning with the new license year;

4. The name and license number of the instructor in charge of the school; and

5. The name, address, e-mail address, and telephone number of the bonding company, the bond number, expiration date of the bond, and a copy of the bond.

C. The school licensee shall submit to the Board the terms and conditions of any management contract entered into for the school after the contract is executed;

D. Within five days after a change occurs during the license year, the school licensee shall submit to the Board a subject description of any new course; the name of any new statutory agent; a description of a change to the catalog or school policies, procedures, or hours of operation, a copy of the student-school contract, or a copy of the bond.

History

• Adopted effective 4/9/1996 (Supp. 96-2). Amended by final rulemaking at 11 A.A.R. 4239, effective 12/5/2005 (Supp. 05-4). Amended by final rulemaking at 23 A.A.R. 3028, effective 12/31/2017 (Supp. 17-4). Amended by final rulemaking at 26 A.A.R. 3123, effective 1/31/2021(Supp. 20-4). Renumbered and amended from R4-10-201 by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-303 Application to Renew a License to Operate a School

A school licensee shall annually submit to the Board an electronic application for renewal on or before the license renewal date.

1. A renewal application consists of:

a. A form provided by the Board that contains:

i. The school's name;

ii. The licensee's license number; and

iii. If the licensee is an individual or partnership, the signature and tax identification number of the licensee or if the licensee is a corporation or limited liability company, the signature of the authorized signer and the tax identification number of the corporation or limited liability company;

2. A statement that indicates:

a. Any modifications, additions, or deletions to the previously submitted catalog;

b. Any changes that have occurred regarding the school's accrediting or approving organization; and

c. The school continues to maintain all equipment required by statute and rule;

3. A subject description for each new course, if applicable;

4. The name, full mailing and physical addresses, and e-mail address of a new statutory agent if the statutory agent will change beginning with the new license year;

5. The name and license number of the instructor in charge of the school;

6. The name, full mailing address, e-mail address, and telephone number of the bonding company, the bond number, expiration date of the bond, and a copy of the bond required under A.R.S. § 32-325 or 32-551;

7. If the documentation submitted at the time of initial licensure was not a non-expiring work authorization, documentation specified under A.R.S. § 41-1080 that the school licensee's presence in the United States continues to be authorized under federal law; and

8. The fee required in R4-10-102.

History

• Adopted effective 4/9/1996 (Supp. 96-2). Amended by final rulemaking at 11 A.A.R. 4239, effective 12/5/2005 (Supp. 05-4). Amended by final rulemaking at 14 A.A.R. 2083, effective 7/5/2008 (Supp. 08-2). Amended by final rulemaking at 26 A.A.R. 3123, effective 1/31/2021(Supp. 20-4). Amended by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-304 Notification of Changes

A. a school licensee shall send written notice and updated information to the Board within 10 days if the school licensee:

1. Amends the school catalog or school policies,

2. Stops offering a course or offers a new course,

3. Appoints a new statutory agent,

4. Changes the number of instructional hours devoted to a course,

5. Changes the hours during which instruction is provided,

Changes the school name,

7. Changes the school supervisor,

7. Enters a new contract regarding management of the school, or

8. Establishes an offsite training facility in An establishment.

B. A change listed under R4-10-301 requires the school licensee to apply for a new license.

History

• Adopted effective 4/9/1996 (Supp. 96-2). Amended by final rulemaking at 11 A.A.R. 4239, effective Decem ber 5, 2005 (Supp. 05-4). Amended by final rulemaking at 14 A.A.R. 2083, effective 7/5/2008 (Supp. 08-2). Amended by final rulemaking at 26 A.A.R. 3123, effective 1/31/2021(Supp. 20-4). Renumbered and amended from R4-10-802 by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-304.1 School Closure

A. the Board shall consider a school to be closed if the school licensee fails for five consecutive school days to ensure instruction is provided in accordance with the schedule of operations on file with the Board.

1. The school licensee shall notify all enrolled students and employees in writing of a pending closure at least five calendar days before closure of the school, unless the time of closure could not have been anticipated. A copy of the notice shall be sent to the Board at the time the notice is delivered to students and employees.

2. The licensee of a closed school shall release students' and employees' personal belongings, including equipment, tools, and instruments at the time of closure.

3. The licensee of a closed school shall provide students with written information regarding how to make a claim against the bond required under A.R.S. § 32-325(C)(6) or 32-551(A)(2), as applicable.

3. 4. the licensee of a closed school shall electronically deliver or otherwise send the following student records to the Board within 10 business days after the school closes:

a. Copies of hour sheets documenting all student hours and the current time cards or time records received by the student after the last monthly report before the school closed;

b. a copy of the file of each student who was enrolled the last school day before closure. If a teach-out was arranged with another school, the licensee of the closed school shall transfer the student's file to that school; and

c. A written statement signed by each enrolled student verifying the school licensee's compliance with all provisions of this Section that apply to students.

B. The Board shall consider failure to comply with subsection (A) as possible grounds for refusal to issue a school license to an owner, or the licensee of the school at the time of closure.

History

• New Section made by final rulemaking at 23 A.A.R. 3028, effective 12/31/2017 (Supp. 17-4). Amended by final rulemaking at 26 A.A.R. 3123, effective 1/31/2021(Supp. 20-4). Renumbered and amended from R4-10-202 by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-305 School Records; Student Certificates

A. A school licensee shall maintain a student's records at the school where the student is enrolled. The Board may inspect the records at any time the school is open.

B. A school licensee shall ensure that when a student withdraws or transfers from one school to another, the school from which the student is transferring or withdrawing:

1. Keeps a copy of the student's transcript,

2. Forwards one copy of the student's certificate of hours, required under subsection (E), to the student and another copy to the Board within three days of the date of transfer or withdrawal, and

3. Removes the student from the school records and monthly report submitted to the Board in the month following the transfer or withdrawal.

C. A school licensee shall ensure the following are maintained:

1. A complete and accurate record of the time devoted by each student to the enrolled course of study, including hours devoted to alternative learning and field trips;

2. A complete and accurate record that shows the basis for certification of the student hours. A school licensee shall certify only hours of training the student receives at the licensee's school or transfer hours the school licensee accepts from another licensed school in Arizona or another state or country;

3. A complete and accurate individual student file for each student enrolled containing:

a. Executed student-school contract;

b. Financial aid transcript;

c. Proof of being at least 16 years old and two years of high school or its equivalent for a student enrolled in an aesthetics, cosmetology, hairstyling, nail technology, or barbering course or proof of high school diploma or its equivalent or 18 years of age for a student enrolled in an aesthetics, cosmetology, hairstyling, or nail technology instructor course or 19 years of age for a student enrolled in a barbering instructor course;

d. Proof of licensed work experience for a student instructor:

i. Under A.R.S. § 32-531, one year for aesthetics, cosmetology, hairstyling, or nail technology; and

ii. Under A.R.S. § 32-323, two years for barbering;

e. A statement signed by a school administrator and the student that provides a list of the supplies contained in the training kit provided to the student

i. When the training kit will be distributed to the student;

ii. The retail value of the training kit; and

iii. A statement that substitutions made after the statement is signed, will be of comparable value; and

f. A record of transfer and crossover hours, if applicable; and

4. Complete and accurate academic transcripts and attendance and hour records or time cards.

D. A school licensee shall keep a complete and accurate monthly report, containing the following information:

1. Only for each student enrolled since the prior monthly report:

a. Name;

b. Enrollment date;

c. Mailing, physical, and e-mail addresses;

d. Telephone number;

e. Type of educational documentation that meets the requirements of R4-10-104;

f.e. transfer hours accepted, if applicable;

g.f. Crossover hours accepted, if applicable; and

h.g. Birth date.

2. The discipline in which each student is enrolled;

3. The name and license number of the instructor in charge of the school and name of the custodian of records;

4. The name and license number of each instructor employed by the school licensee;

5. The signature of the instructor who prepares and certifies the report is correct;

6. The name, scheduled attendance, and Board-issued license number for each student instructor;

7. For each demonstration given, the name of the demonstrator, name of the observing instructor, name of the process or product demonstrated, number of students in attendance, and name of the course in which the demonstration was given;

8. Hours received by each student for the prior month, the current month, and total cumulative hours. The school licensee shall not amend total hours without satisfactory proof of error;

9. Signature of each student verifying approval of the certified hours;

10.9. The school licensee's certification of the students who meet graduation requirements, including the day, month, and year of graduation; and

11.10. The notation "transferred," "withdrawn," or "leave of absence" for students who discontinue training, and the day, month, and year training was discontinued.

E. A school licensee shall provide the following certificates to each student:

1. Certificate of graduation. When a student successfully completes the course of study offered by the school licensee, the school licensee shall provide the student with a certificate of graduation that includes the following information:

a. Name of the school;

b. License number of the school licensee;

c. Name of the graduating student;

d. Discipline in which the student completed the course of study;

e. Hours of study completed at the school;

f. Transfer hours accepted by the school licensee;

g. Crossover hours accepted by the school licensee;

h. Grand total of the hours under subsections (E)(1)(e) through (g);

i. The dates on which the student started and ended the course of study at the school; and

j. Dated signature of the school licensee or authorized representative.

2. Certificate of hours. When a student withdraws or transfers from one school to another, the school licensee shall provide the student with a certificate of hours that includes the following information:

a. Name of the school;

b. License number of the school licensee;

c. Name of the withdrawing or transferring student;

d. Discipline in which the student was enrolled;

e. Hours of study completed at the school;

f. The date on which the student started the course of study at the school and the date on which the student withdrew or transferred; and

g. Dated signature of the school licensee or authorized representative.

E. F. A school licensee shall credit a student with additional hours earned after graduation if the student completes the required hours for graduation, registers for the required examination, and stays in school until the date of the examination.

F. G. A school licensee is not required to maintain a student file for licensed individuals.

History

• Adopted effective 4/9/1996 (Supp. 96-2). Amended by final rulemaking at 11 A.A.R. 4239, effective 12/5/2005 (Supp. 05-4). Amended by final rulemaking at 26 A.A.R. 3123, effective 1/31/2021(Supp. 204). Renumbered and amended from R4-10-204 by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-306 General Barber, Cosmetology, Aesthetics, Hairstyling, or Nail Technology School Requirements

A. The licensee of a barber, aesthetics, cosmetology, hairstyling, or nail technology school shall ensure the school complies with R4-10-112 and has the following minimum facilities, equipment, supplies, and materials:

1. an area of instruction for students;

2. A licensed instructor as manager or director;

3.2. Sufficient instructional fixtures and facilities for instructor and student use;

4.3. A board on which to write or post materials during instruction;

5.4. A secured area for personal items of students and instructors;

6.5. A sink area for every 50 students in attendance for preparing, mixing, and dispensing supplies and chemicals, and for disinfecting small tools or instruments;

7.6. At least one restroom that meets the requirements of R4-10-112; and

8.7. Separate receptacles for garbage and soiled linens.

B. The school licensee shall furnish equipment, tools, instruments, materials, and supplies needed to perform assignments and for instructional purposes, except each student may be required to furnish small tools or instruments. The school licensee shall ensure all equipment, tools, and materials are Establishment quality and maintained in good repair at all times.

C. The school licensee shall ensure students have access to the following materials whether in a school library or electronically:

1. Standard dictionary;

2. Medical dictionary;

3. Anatomy chart on bones, muscles, nerves, hands, arms, nails, veins, arteries, circulatory system, hair, and skin;

4. Three current periodicals on the art and science of cosmetology;

5.4. Current aesthetics, barbering, cosmetology, hairstyling, or nail technology instruction manuals or textbooks, as applicable to the disciplines taught at the school; and

6.5. Current Board statutes and rules

7. A cosmetology dictionary.

D. The school licensee may allow a student to satisfy theory curriculum requirements by participating in virtual learning.

D. E. The school licensee shall maintain at the school a complete file on all current curriculum requirements.

E. F. The school licensee shall not pay an enrolled student for time while the student is taking courses or receiving credit. Under A.R.S. § 32-557(C), an employee who is enrolled in a school for the purpose of becoming an instructor may be paid for work done as an employee.

F. G. The school licensee may offer a postgraduate or advanced continuing education barber, aesthetics, cosmetology, hairstyling, or nail technology course to currently licensed individuals without a licensed instructor present and to students currently enrolled in the school with a licensed instructor present. The school licensee shall not report postgraduate credit hours to the Board or apply the hours toward graduation.

G. H. The school licensee shall not allow enrolled students to perform services on a person without a licensed instructor present.

H. I. A school licensee may enroll an individual licensed by the Board in the school for a refresher course as a current student.

I. J. A school licensee shall establish a periodic grading schedule and ensure student transcripts are kept current.

K. A school licensee shall ensure each student is evaluated for progress and suggestions are provided to the student for remediating deficiencies.

J. L. A school licensee shall schedule a minimum of four hours of theory courses each week for each full-time student and a minimum of two hours of theory courses each week for each part-time student.

K. M. A school licensee shall ensure safety and infection control measures relating to each subject are taught in conjunction with that subject.

L. N. A school licensee shall not solicit students for enrollment at other school sites.

M. O. A school licensee shall ensure that while teaching, instructors wear a tag indicating the instructor's name and disciplines taught.

N. P. A school licensee shall ensure compliance with the following:

1. A student does not attend school more than 56 hours in any one week;

2. A student operates only safe equipment in good repair;

3. A student of barbering, aesthetics, cosmetology, hairstyling, or nail technology performs services within the enrolled course, on the public or fellow students, only in the presence of a licensed instructor and, except for shampooing, only after completing the specified hours applicable to the student:

a. 120 hours of aesthetics training;

b. 300 hours of barbering, cosmetology, or hairstyling training; or

c. 80 hours of nail technology training;

4. The school licensee does not receive remuneration for clinical services a student performs for the public until the student has completed the applicable hours specified in subsection (P)(3);

4.5. A student is not prevented or discouraged from making a complaint to the Board;

5.6. A student is not dismissed from a scheduled theory instruction or written or practical examination to perform clinical services for the public;

6.7. While in school, each student wears a tag indicating the student's name and the course in which the student is enrolled; and

7. If the school has a distant classroom, the equipment in the distant classroom is the same as that required under this Section; and:

a. Private postsecondary and public educational facilities do not extend beyond Arizona boundaries;

b. A photocopy of the Board-issued license to operate a school or Board-issued, wallet-size license card to operate a school shall be posted in each distant facility;

c. Duplicate instructor licenses are not required in a distant classroom; and

d. No clinic or public services are allowed in a distant classroom.

Q. The school licensee shall ensure a nonreturnable student training kit, containing at least the following, is provided to each enrolled student:

1. One disinfected, covered container to store disinfected tools and instruments as specified under R4-10-112; and

2. One container for contaminated tools and instruments as specified under R4-10-112.

History

• Adopted effective 4/9/1996 (Supp. 96-2). Amended by final rulemaking at 11 A.A.R. 4239, effective 12/5/2005 (Supp. 05-4). Amended by final rulemaking at 14 A.A.R. 2083, effective 7/5/2008 (Supp. 08-2). Amended by final rulemaking at 23 A.A.R. 3028, effective 12/31/2017 (Supp. 17-4). Amended by final rulemaking at 26 A.A.R. 3123, effective 1/31/2021(Supp. 20-4). Renumbered and amended from R4-10-203 by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-307 Instructor 350-hour Curriculum Requirements

A. A school licensee shall ensure each student in a barber, aesthetics, cosmetology, hairstyling, or nail technology instructor course completes 350 curriculum hours that include the following:

Orientation and review of Board statutes and rules;

2. Theory, preparation, and practice curriculum development. This includes:

a. Developing and using educational aids;

b. Practical and written presentation principles;

c. Classroom management evaluation, assessment, and remediation methods;

d. Diversity in learning including cultural differences;

e. Methods of teaching;

f. Professional development including ethics; and

g. Alternative learning;

3. Classroom and clinic oversight.

B. A school licensee may allow a student in an instructor course to satisfy, in part, curriculum hours required under subsection (A)(2) by completing a course at an accredited college or university or an educational institution described under R4-10-101(24)(c) and (d). Hours obtained under this subsection are subject to the following limits:

1. No more than nine credit hours for barbering, cosmetology, hairstyling, nail technology, or aesthetics;

2. No more than six credit hours for nail technology; and

3.2. Each credit hour equals no more than 30 of the curriculum hours required under subsection (A).

C. A school licensee may allow a student in an instructor course to satisfy the curriculum hours required under subsection (A)(2) by participating in virtual learning.

D. A school licensee shall ensure all instruction given by a student instructor is under the direct supervision and observation of a licensed instructor.

E. A school licensee shall not allow a student instructor to instruct students or check student services performed on the public until the student instructor has received at least 80 hours of instructor training.

E. Under A.R.S. § 32-557, a student enrolled in a school for the purpose of becoming an instructor may be a paid employee of the school.

History

• Renumbered and amended from R4-10-302 by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-308 Combined School Requirements

A. A school licensee shall ensure the following hours are taught to a student enrolled in the specific curriculum before allowing the student to graduate:

1. Aesthetics course - 600 hours,

2. Aesthetics instructor course - 350 hours,

3. Cosmetology course - 1500 hours,

4. Cosmetology instructor course - 350 hours,

5. Hairstyling course - 1000 hours,

6. Hairstyling instructor course - 350 hours,

Nail technology course - 600 hours,

8. Nail technology instructor course - 350 hours,

9. Barbering course - 1200 hours, and

10. Barbering instructor course - 350 hours.

B. A school licensee that provides training in all of the above courses shall have the minimum records, facilities, equipment, supplies, and materials required under:

R4-10-305,

R4-10-306,

R4-10-B301 except subsection (A)(1) is one workstation for each two aesthetics students in attendance,

R4-10-B302,

R4-10-B303, and

R4-10-B304 except subsection (A)(1) is one workstation for each two nail technology students in attendance.

C. A school licensee that provides the curriculum specified in subsections (A)(3) through (A)(8) only shall have the minimum records, facilities, equipment, supplies, and materials required under:

R4-10-305,

R4-10-306,

R4-10-B302,

R4-10-B303, and

R4-10-B304 except subsection (A)(1) is one workstation for each two nail technology students in attendance.

D. A school licensee that provides the curriculum specified in subsections (A)(1) through (A)(6) only shall have the minimum records, facilities, equipment, supplies, and materials required under:

R4-10-305,

R4-10-306,

R4-10-B301 except subsection (A)(1) is one workstation for each two aesthetics students in attendance,

R4-10-B302, and

R4-10-B303.

E. A school licensee that provides the curriculum specified in subsections (A)(1), (A)(2), (A)(7) and (A)(8) only shall have the minimum records, facilities, equipment, supplies, and material required under:

R4-10-305,

R4-10-306,

R4-10-B301, and

R4-10-B304.

F. A school licensee that provides the curriculum specified in subsections (A)(9) and (A)(10) only shall have the minimum records, facilities, equipment, supplies, and material required under:

R4-10-305,

R4-10-306,

History

• Renumbered and amended from R4-10-208 by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-309 Curricula Hours

A. A school licensee shall ensure hours of training received in a barbering, aesthetics, cosmetology, hairstyling, or nail technology course are not applied toward hours required to obtain an instructor's license.

B. A school licensee shall ensure hours of training received in an instructor course are not applied toward hours required to obtain a barber, aesthetician, cosmetologist, hairstylist, or nail technician license. Hours received in an instructor course may apply toward hours required to reactivate a barber, aesthetics, cosmetology, hairstyling, or nail technology license if the instructor hours are received after inactive status occurs.

C. When evaluating an application for licensure, the Board shall accept crossover hours. The Board shall accept an hour of training as a crossover hour only once.

D. C. A school licensee shall ensure that when a student completes a course of instruction, the cumulative hours for the student equal, at a minimum, those specified in this Article, as applicable.

E. D. A school licensee shall ensure that infection control, disinfection procedures, and safety issues are taught with every subject and every procedure.

F. E. Alternative learning hours are hours a school licensee may authorize to enable a student to pursue knowledge of barbering, cosmetology, aesthetics, hairstyling, or nail technology in an alternative format or at a location other than An establishment. A school licensee shall ensure a student is not credited with more than 20 percent of the total hours required for graduation as alternative learning hours. The school licensee shall ensure the record of alternative learning hours required under R4-10-305(C) is maintained.

G. F. A school licensee that authorizes alternative learning hours under subsection (E) shall include details of the alternative learning format or location in the school policies and procedures in the school catalog.

H. G. A school licensee may grant a maximum of 16 hours obtained during field trips toward the hours required for graduation if the field trips are provided by or in the presence of a licensed instructor. The school licensee shall ensure the record of field trip hours required under R4-10-305(C) is maintained.

I. H. If a school is physically closed while alternative learning hours or a field trip is provided, the school licensee shall ensure

1. a notice visible to the public and students is posted

2. A notice is sent to the Board indicating the time and location of the alternative learning hours or field trip.

J. I. A student instructor may obtain classroom hours in a licensed school other than the licensed school in which the student instructor is enrolled if the student:

1. Has available proof of enrollment in a licensed school to show to a Board inspector, and

2. Earns no more than the classroom hours required under R4-10-307.

History

• Renumbered and amended from R4-10-306 by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-310 Demonstrators; Exclusions

A. A school licensee shall ensure only an individual who holds an instructor license or a student instructor is allowed to teach in a school.

B. A school licensee shall ensure an unlicensed individual who demonstrates a process, product, or appliance to enrolled students:

1. Presents the demonstration only when a licensed instructor is present and observing the demonstration; and

2. Confines the demonstration to an explanation of the products, procedures, and appliances being promoted.

C. A school licensee shall ensure an unlicensed individual who conducts a demonstration on a model, confines the demonstration to an explanation of the products, procedures, and appliances being promoted.

History

• Renumbered and amended from R4-10-209 by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Article 4 ESTABLISHMENTS

Ariz. Admin. Code § R4-10-401 Changes Affecting a License to Operate an Establishment

A. A license to operate an establishment is not transferrable.

B. Except as provided in subsection (E), an establishment licensee shall apply for a new license and pay the fee specified under R4-10-102 when:

1. The physical address of the establishment changes;

2. The name of the Establishment changes;

3. Ten percent or more of the ownership of the establishment changes; or

4. If the Establishment licensee is a corporation, limited liability company, or partnership, a corporate officer, partner, or statutory agent changes.

B. C. The establishment licensee shall submit the application and fee required under subsection (B) within 10 days after a change specified under subsection (B) occurs.

C. D. the establishment licensee shall ensure a Board-issued license to operate the establishment, indicating the correct name, physical location, and ownership of the Establishment, is posted in the Establishment before the Establishment is opened for business.

E. If the only change to the physical address of an establishment is the suite number, the establishment licensee shall apply for an updated license rather than a new license and pay the fee specified at R4-10-102.

History

• Adopted effective 4/9/1996 (Supp. 96-2). Section repealed; new Section adopted by final rulemaking at 5 A.A.R. 1791, effective 5/18/1999 (Supp. 99-2). Amended by final rulemaking at 12 A.A.R. 807, effective 4/8/2006 (Supp. 06-1). Amended by final rulemaking at 26 A.A.R. 3123, effective 1/31/2021(Supp. 204). Renumbered and amended from R4-10-402 by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-402 Application for a License to Operate a Barber, Cosmetology, Aesthetics, Hairstyling, Nail, or Eyelash Establishment

An applicant for a license to operate a barber, cosmetology, aesthetics, hairstyling, nail, or eyelash establishment shall submit:

1. An application on a form available on the Board's website, and provide the following information:

a. The applicant's name, full mailing, physical, and e-mail addresses, telephone number, and federal tax identification number;

b. If the applicant is a partnership, each partner's name, full mailing and physical addresses, and an indication of whether each is a limited or general partner;

c. If the owner is an individual or sole proprietor, the person's Social Security or federal tax identification number;

c.d. If the applicant is a corporation, the state of incorporation and name, title, and mailing address of each officer of the corporation and the statutory agent;

d.e. If the applicant is a limited liability company, name and mailing address of each member, manager, and statutory agent;

e.f. Documentation specified under A.R.S. § 41-1080(A) that the presence in the U.S. of the applicant and anyone owning at least 10 percent of the applicant is authorized under federal law;

f. g. If the location of the barber, cosmetology, aesthetics, hairstyling, nail, or eyelash establishment is changing, both the old and new physical addresses;

h. If a change of ownership is occurring, the date the applicant will assume ownership;

g.i. A history of the barber, cosmetology, aesthetics, hairstyling, nail, or eyelash establishment including:

i. If the location was previously licensed by the Board, the name of the previous barber, cosmetology, aesthetics, hairstyling, nail, or eyelash establishment;

ii. The name of each business operating at the barber, cosmetology, aesthetics, hairstyling, nail, or eyelash establishment address; and

iii. A statement of whether a barber, cosmetology, aesthetics, hairstyling, or nail license or eyelash technician registration of the applicant or any partner, corporate officer, or member or manager of the applicant has ever been suspended or revoked by any state or foreign country; and

h.i. A statement of the kind of Establishment to be operated: barber, cosmetology, aesthetics, hairstyling, nail technology, or eyelash technology

i. A statement by the applicant verifying the truthfulness of the information provided by the applicant.

The following evidence of business organization, as applicable:

a. Copy of the partnership agreement for a partnership,

b. Copy of the articles of incorporation and a a Certificate of Good Standing from the Arizona Corporation Commission, if applicable.

c. Copy of the articles of organization for a limited liability company.

3. The applicant's signature and verification that the information provided is true and correct and the barber, cosmetology, aesthetics, hairstyling, nail, or eyelash establishment is in compliance with A.R.S. Title 32, Chapters 3 and 5, and this Chapter and has all basic equipment required to be in a barber, cosmetology, aesthetics, hairstyling, nail, or eyelash establishment.

a. Wet disinfectant;

b. A dry, closed, disinfected container to store disinfected tools and instruments;

c. A sink or shampoo bowl with hot and cold running water that is not also used as a dispensary or restroom sink as required

under R4-10-403 ;

d. A work station;

e. A restroom that meets the standards specified under R4-10-112(S) ; and

f. The notice required under R4-10-111(F) ; and

4. The fee required in R4-10-102.

History

• Former Section R4-10-402 renumbered to R4-10-403; new Section adopted by final rulemaking at 5 A.A.R. 1791, effective 5/18/1999 (Supp. 99-2). Amended by final rulemaking at 12 A.A.R. 807, effective 4/8/2006 (Supp. 06-1). Amended by final rulemaking at 26 A.A.R. 3123, effective 1/31/2021(Supp. 20-4). Renumbered and amended from R4-10-401 by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-403 Barber, Cosmetology, Aesthetics, Hairstyling, Nail, or Eyelash Establishment Requirements and Minimum Equipment

A. A barber, cosmetology, aesthetics, hairstyling, nail, or eyelash establishment licensee shall ensure all services performed at the Establishment for the public are consistent with the type of license issued to the licensee. A barber, cosmetology, aesthetics, hairstyling, nail, or eyelash establishment licensee shall ensure that, except as provided in R4-10-B402, all services are performed for the public by an individual who holds a Board-issued license or registration.

B. A barber, cosmetology, aesthetics, hairstyling, nail, or eyelash establishment licensee shall ensure the Establishment has enough equipment, materials, supplies, tools, and instruments to control infection and protect the safety of the public and employees.

C. A barber, cosmetology, aesthetics, hairstyling, nail, or eyelash establishment licensee shall ensure the Establishment has:

1. A workstation for each licensee or registrant using space within the barber, cosmetology, aesthetics, hairstyling, nail, or eyelash establishment;

2. If licensees using space in the Establishment are performing barbering, cosmetology, or hairstyling services, at least one shampoo bowl and one hair dryer, which may be a blow dryer; and

3. If licensees or registrants using space in the Establishment are performing aesthetics, nail technology, or eyelash technology services, at least one sink in addition to the restroom.

D. A barber, cosmetology, aesthetics, hairstyling, nail, or eyelash establishment licensee shall ensure licensed barbers, aestheti-cians, cosmetologists, hairstylists, nail technicians, and eyelash technicians have enough equipment, materials, supplies, tools, and instruments to provide services, control infection, and disinfect between clients.

History

• Adopted April 9, 1996 (Supp. 96-2). Former Section R4-10-403 renumbered to R4-10-404; new Section R4-10-403 renumbered from Section R4-10-402 by final rulemaking at 5 A.A.R. 1791, effective 5/18/1999 (Supp. 99-2). Amended by final rulemaking at 12 A.A.R. 807, effective 4/8/2006 (Supp. 06-1). Amended by final rulemaking at 23 A.A.R. 3028, effective 12/31/2017 (Supp. 17-4). Amended by final rulemaking at 26 A.A.R. 3123, effective 1/31/2021(Supp. 20-4). Amended by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-404 Renewal of an Establishment License

An establishment licensee shall annually submit to the Board an electronic application for renewal on or before the license renewal date.

1. If the license renewal date falls on a Saturday, Sunday, or legal holiday, the licensee may file the application on the next business day following the license renewal date.

2. A renewal application consists of:

a. A form available on the Board's website that contains:

i. The establishment's name;

ii. The licensee's license number; and

iii. If the licensee is an individual or partnership, the signature and tax identification number of the licensee or if the licensee is a corporation or limited liability company, the signature of the authorized signer and the tax identification number of the corporation or limited liability company;

b. If the documentation submitted at the time of initial licensure was not a non-expiring work authorization, documentation specified under A.R.S. § 41-1080 that the establishment licensee's presence in the United States continues to be authorized under federal law; and

c. The fee required in R4-10-102.

History

• Adopted April 9, 1996 (Supp. 96-2). Former Section R4-10-404 renumbered to R4-10-405; new Section R4-10-404 renumbered from Section R4-10-403 by final rulemaking at 5 A.A.R. 1791, effective 5/18/1999 (Supp. 99-2). Amended by final rulemaking at 12 A.A.R. 807, effective 4/8/2006 (Supp. 06-1). Amended by final rulemaking at 23 A.A.R. 3028, effective 12/31/2017 (Supp. 17-4). Amended by final rulemaking at 26 A.A.R. 3123, effective 1/31/2021(Supp. 20-4). Amended by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-405 Establishment Supervision

A. An establishment licensee shall designate an individual licensed under this Chapter as manager to directly supervise the Establishment during all hours of operation. If the establishment licensee has a personal license issued under Article 2 of this Chapter, the establishment licensee may directly supervise the establishment.

B. The establishment licensee or manager shall ensure:

1. Every individual, whether an employee or independent contractor, who practices barbering, cosmetology, aesthetics, hairstyling, nail technology, or eyelash technology in the Establishment has a current license or registration issued by the Board;

2. Each required license, registration, and the most recent Board inspector's record are printed and displayed in a manner visible to establishment clients; and

3. Each licensee and registrant complies with all applicable provisions of A.R.S. Title 32, Chapter 3 or 5, and this Chapter.

C. The Board shall hold The establishment licensee responsible for any violation of an applicable provision of A.R.S. Title 32, Chapter 3 or 5, or this Chapter.

D. The holder of a license to operate a shop who is an Arizona-licensed barber may directly supervise the shop.

History

• New Section R4-10-405 renumbered from Section R4-10-404 by final rulemaking at 5 A.A.R. 1791, effective 5/18/1999 (Supp. 99-2). Amended by final rulemaking at 26 A.A.R. 3123, effective 1/31/2021(Supp. 20-4). Renumbered and amended from R4-10-703 by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Article 5 [Repealed effective 5/6/2024]

Ariz. Admin. Code § R4-10-501 Renumbered

History

• New Section R4-10-501 recodified from A.A.C. R4-5-101 at 28 A.A.R. 1058 (May 20, 2022), with an immediate effective date of 4/27/2022(Supp. 22-2). Renumbered to R4-10-A101 by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-502 [Repealed]

History

• New Section R4-10-502 recodified from A.A.C. R4-5-102 at 28 A.A.R. 1058 (May 20, 2022), with an immediate effective date of 4/27/2022(Supp. 22-2). Repealed by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-503 [Repealed]

History

• New Section R4-10-503 recodified from A.A.C. R4-5-103 at 28 A.A.R. 1058 (May 20, 2022), with an immediate effective date of 4/27/2022(Supp. 22-2). Repealed by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-504 [Repealed]

History

• New Section R4-10-504 recodified from A.A.C. R4-5-104 at 28 A.A.R. 1058 (May 20, 2022), with an immediate effective date of 4/27/2022(Supp. 22-2). Repealed by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-505 Reserved

History

• Section reserved when Article 8 was recodified from 4 A.A.C. 8, on April 27, 2022 (Supp. 22-2).

Ariz. Admin. Code § R4-10-506 [Repealed]

History

• New Section R4-10-506 recodified from A.A.C. R4-5-106, with Section citations amended at 28 A.A.R. 1058 (May 20, 2022), with an immediate effective date of 4/27/2022(Supp. 22-2). Repealed by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-507 [Repealed]

History

• New Section R4-10-507 recodified from A.A.C. R4-5-107 at 28 A.A.R. 1058 (May 20, 2022), with an immediate effective date of 4/27/2022(Supp. 22-2). Repealed by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-508 [Repealed]

History

• New Section R4-10-508 recodified from A.A.C. R4-5-108, with a Section citation amended at 28 A.A.R. 1058 (May 20, 2022), with an immediate effective date of 4/27/2022(Supp. 22-2). Repealed by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-509 [Repealed]

History

• New Section R4-10-509 recodified from A.A.C. R4-5-109, with Section citations amended at 28 A.A.R. 1058 (May 20, 2022), with an immediate effective date of 4/27/2022(Supp. 22-2). Repealed by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Article 6 [Repealed effective 5/6/2024]

Ariz. Admin. Code § R4-10-601 Renumbered

History

• New Section R4-10-601 recodified from A.A.C. R4-5-201, at 28 A.A.R. 1058 (May 20, 2022), with an immediate effective date of 4/27/2022(Supp. 22-2). Renumbered to R4-10-A201 by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-602 Repealed

History

• New Section R4-10-602 recodified from A.A.C. R4-5-202, with a Section citation amended at 28 A.A.R. 1058 (May 20, 2022), with an immediate effective date of 4/27/2022(Supp. 22-2). Repealed by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-603 Renumbered

History

• New Section R4-10-603 recodified from A.A.C. R4-5-203, with a Section citation amended at 28 A.A.R. 1058 (May 20, 2022), with an immediate effective date of 4/27/2022(Supp. 22-2). Renumbered to R4-10-A202 by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Article 7 [Repealed effective 5/6/2024]

Ariz. Admin. Code § R4-10-701 [Repealed]

History

• New Section R4-10-701 recodified from A.A.C. R4-5-301, with a Section and Article citation amended at 28 A.A.R. 1058 (May 20, 2022), with an immediate effective date of April 27, 2022 (Supp. 22-2). Repealed by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-702 [Repealed]

History

• New Section R4-10-702 recodified from A.A.C. R4-5-302, with a Section citation amended at 28 A.A.R. 1058 (May 20, 2022), with an immediate effective date of 4/27/2022(Supp. 22-2). Repealed by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-703 Renumbered

History

• New Section R4-10-703 recodified from A.A.C. R4-5-303, with a Section citation amended at 28 A.A.R. 1058 (May 20, 2022), with an immediate effective date of 4/27/2022(Supp. 22-2). Renumbered to R4-10-405 by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-704 Renumbered

History

• New Section R4-10-704 recodified from A.A.C. R4-5-304, with a Section citation amended at 28 A.A.R. 1058 (May 20, 2022), with an immediate effective date of 4/27/2022(Supp. 22-2). Renumbered to R4-10-A401 by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-705 [Repealed]

History

• New Section R4-10-705 recodified from A.A.C. R4-5-305, at 28 A.A.R. 1058 (May 20, 2022), with an immediate effective date of 4/27/2022(Supp. 22-2). Repealed by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Article 8 [Repealed effective 5/6/2024]

Ariz. Admin. Code § R4-10-801 [Repealed]

History

• New Section R4-10-801 recodified from A.A.C. R4-5-401, with a Section citation amended at 28 A.A.R. 1058 (May 20, 2022), with an immediate effective date of 4/27/2022(Supp. 22-2). Repealed by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-802 Renumbered

History

• New Section R4-10-802 recodified from A.A.C. R4-5-402, with Section citations amended at 28 A.A.R. 1058 (May 20, 2022), with an immediate effective date of 4/27/2022(Supp. 22-2). Renumbered to R4-10-304 by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-803 [Repealed]

History

• New Section R4-10-803 recodified from A.A.C. R4-5-403, at 28 A.A.R. 1058 (May 20, 2022), with an immediate effective date of 4/27/2022(Supp. 22-2). Repealed by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-804 [Repealed]

History

• New Section R4-10-804 recodified from A.A.C. R4-5-404, with Section citations amended at 28 A.A.R. 1058 (May 20, 2022), with an immediate effective date of 4/27/2022(Supp. 22-2). Repealed by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-805 Renumbered

History

• New Section R4-10-805 recodified from A.A.C. R4-5-405, with Section citations amended at 28 A.A.R. 1058 (May 20, 2022), with an immediate effective date of 4/27/2022(Supp. 22-2). Renumbered to R4-10-A301 by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-806 [Repealed]

History

• New Section R4-10-806 recodified from A.A.C. R4-5-406, with a Section citation amended at 28 A.A.R. 1058 (May 20, 2022), with an immediate effective date of 4/27/2022(Supp. 22-2). Repealed by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-807 Renumbered

History

• New Section R4-10-807 recodified from A.A.C. R4-5-407, at 28 A.A.R. 1058 (May 20, 2022), with an immediate effective date of 4/27/2022(Supp. 22-2). Renumbered to R4-10-A302 by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-808 [Repealed]

History

• New Section R4-10-808 recodified from A.A.C. R4-5-408, with a Section citation amended at 28 A.A.R. 1058 (May 20, 2022), with an immediate effective date of 4/27/2022(Supp. 22-2). Repealed by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-809 [Repealed]

History

• New Section R4-10-809 recodified from A.A.C. R4-5- 409, with Section citations amended at 28 A.A.R. 1058 (May 20, 2022), with an immediate effective date of 4/27/2022(Supp. 22-2). Repealed by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-810 Reserved

History

• Section reserved when Article 8 was recodified from 4 A.A.C. 8, on April 27, 2022 (Supp. 22-2).

Ariz. Admin. Code § R4-10-811 Renumbered

History

• New Section R4-10-811 recodified from A.A.C. R4-5-411, with Section citations amended at 28 A.A.R. 1058 (May 20, 2022), with an immediate effective date of 4/27/2022(Supp. 22-2). Renumbered to R4-10-A303 by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Article 9 [Repealed effective 5/6/2024]

Ariz. Admin. Code § R4-10-901 [Repealed]

History

• New Section R4-10-901 recodified from A.A.C. R4-5-501, at 28 A.A.R. 1058 (May 20, 2022), with an immediate effective date of 4/27/2022(Supp. 22-2). Repealed by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-902 [Repealed]

History

• New Section R4-10-902 recodified from A.A.C. R4-5- 502, at 28 A.A.R. 1058 (May 20, 2022), with an immediate effective date of 4/27/2022(Supp. 22-2). Repealed by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Article 1 GENERAL PROVISIONS

Part A [Effective 5/6/2024] BARBERING

Ariz. Admin. Code § R4-10-A101 Definitions

The following definitions apply to this Chapter unless the context otherwise requires:

"Barbering implement" means any tool or device used for barbering.

"Domestic administration," as used in A.R.S. § 32-321, means a licensee performs barbering on the licensee or another person to whom the licensee is related by blood, marriage, or state action.

"One year's experience as a licensed barber," as used in A.R.S. § 32-322(C), means that during 12 consecutive months, an individual maintained a valid license issued under A.R.S. § 32-322, and engaged in barbering at least 1,500 hours.

"Practiced barbering for at least two years," as used in A.R.S. § 32-323(B), means that during 24 consecutive months, an individual engaged in barbering at least 1,500 hours during each 12-month consecutive period.

"Tool drawer" means an ultraviolet electrical sanitizer or a clean, dust-proof cabinet, drawer, or other container that is disinfected with an EPA-registered disinfecting agent and used exclusively to store disinfected barbering implements.

History

• New Section made by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Article 2 PERSONAL LICENSURE OR REGISTRATION

Part A [Effective 5/6/2024] BARBERING

Ariz. Admin. Code § R4-10-A201 Examinations

A. Required examinations.

1. Except for an applicant for licensure by reciprocity or universal recognition, an applicant for

a. a barber or instructor license shall pass an examination covering the topics listed in A.R.S. § 32-324(A); and

b. An instructor license shall pass the examination described in A.R.S. § 32-324(D) ;

2. As authorized under A.R.S. § 32-322(A)(2) and A.R.S. § 32-323(A)(2), the Board shall ensure that applicants for licensure by reciprocity and universal recognition possess necessary qualifications by requiring:

a. All applicants for licensure by reciprocity or universal recognition to pass an examination regarding A.R.S. Title 32, Chapter 3 and this Chapter; and

b. Applicants for licensure by reciprocity or universal recognition as an instructor to pass an examination regarding procedures the Board uses to measure the practical skills of barbering students.

B. In addition to requirements prescribed under A.R.S. § 32-324, the Board shall make the following provisions for any examination administered by the Board:

1. The Board shall send an applicant written notification of an assigned examination time and location at least seven days before a scheduled examination.

2. Examination language provision. The Board shall:

a. Administer an examination under this Section in English; and

b. Allow an applicant for a barber license to provide a reader or personal foreign language interpreter who shall not be:

i. A currently or previously licensed barber or cosmetologist,

ii. A barber or cosmetology instructor, or

iii. A barber or cosmetology student in any state or foreign country.

3. Examination integrity provision. The Board shall not:

a. Disclose examination questions; or

b. Return a completed examination or other examination records kept by the Board to a school or applicant.

4. The Board shall dismiss an applicant from an examination under penalty of examination fee forfeiture if the applicant:

a. Cheats, or

b. Solicits any information from another person except the examiner.

5. The Board shall require re-examination if an applicant fails to apply for a license within one year after passing an examination.

6. For purposes of an examination's practical portion, an applicant for a barber license shall supply:

a. All necessary barbering implements and supplies; and

b. A live model who shall not be:

i. A currently or previously licensed barber or cosmetologist,

ii. A barber or cosmetology instructor, or

iii. A barber or cosmetology student in any state or foreign country.

7. If an applicant fails a portion of an examination, the Board shall allow the applicant to meet with Board staff and participate in a general discussion of the failed portion of the examination if the applicant submits a written request to the Board within 30 days after the examination.

History

• Renumbered and amended from R4-10-601 by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-A202 Application for a Barber Instructor License by Examination

A. An applicant for licensure by examination as an instructor shall attach the following to the application form required under subsection (B):

1. Proof the applicant is at least 19 years old;

2. Proof the applicant has a high school diploma or its equivalent;

3. Proof the applicant has practiced barbering for at least one year. The proof shall contain the notarized signature of the barber or barbers where the work was performed;

4. Documentation specified under A.R.S. § 41-1080(A) that the applicant's presence in the U.S. is authorized under federal law;

5. A photograph of the applicant that is passport style and suitable for use on an identification card

a. Of the applicant only;

b. U.S. passport sized; and

c. Signed by the applicant across the front without blocking the face;

6. If currently licensed as a barber instructor in another state with which Arizona does not have a reciprocity agreement, a copy of the license; and

7.6. The applicable fee specified in R4-10-102. Unless exempt under A.R.S. § 32-323(C), the applicant shall also pay the examination fee as directed under R4-10-102.

B. an applicant for licensure as an instructor by examination shall submit an application form, which is available on the Board's website, and provide the following information:

1. Full name;

2. Other names, if any, by which the applicant has been known;

3. Full mailing and physical addresses and e-mail address;

4. Telephone number;

5. Social Security number;

6. Birth date;

7. Current Arizona barber license number;

8. If the applicant attended an Arizona school for training as a barber instructor, a copy of the certificate of graduation required under R4-10-305(E).

a. Name and address of barbering school attended for instructor training;

b. Total hours of instructor training; and

c. Dates during which instructor training was obtained;

9. A statement regarding whether the applicant:

a. Has ever been licensed as a barber instructor in Arizona and if so, when;

b. Has ever been a licensed barber instructor in any other country or state and if so, the country or state and dates of licensure as a barber instructor; and

c. Has had a former instructor license suspended or revoked in the five years before the date of application and if so, a complete explanation of the circumstances;

10. Any other information required by the Board; and

11. The applicant's signature and verification that the information provided is true and correct.

C. License by reciprocity. In addition to the requirements under subsections (A) and (B)(1) through (6) and (9) through (11), an applicant for an instructor license by reciprocity shall submit the following:

1. A copy of the current license to instruct barber students issued by a state that has a reciprocity agreement with Arizona; and

2. Documentation of at least one year's experience as a licensed instructor of barber students. The documentation shall contain the notarized signature of the owner of the barber school at which instruction was provided.

History

• Renumbered and amended from R4-10-603 by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Article 3 SCHOOLS; EYELASH TECHNOLOGY TRAINING PROGRAM

Part A [Effective 5/6/2024] BARBERING

Ariz. Admin. Code § R4-10-A301 Barbering School Operations

A. A barbering school licensee shall file the school's operating schedule with the Board at the time of the initial inspection.

B. The barbering school licensee shall ensure all equipment provided under this Chapter is Establishment quality and maintained in good repair.

C. Unless a student who is studying barbering possesses the equipment listed under this subsection at the time of enrollment, the barbering school licensee shall provide the student with a non-returnable training kit that includes the following equipment, all of which are new:

Course textbooks,

2. One mannequin for barbering practice,

3. Twelve combs and four brushes,

4. One hair dryer,

5. One straight razor with interchangeable blades,

6. One pair of haircutting shears with at least six-inch blades,

7. One pair of thinning shears,

8. One clipper with interchangeable blades sizes 1 and.000 or an adjustable clipper,

9. One neck duster, and

10. One copy of the current statutes and rules governing the Board.

D. Trainee notices. At the time the holder of a license to operate a school enrolls a student, the license holder shall give Exhibit 1 or 2 to the student, as appropriate, and maintain the completed document for the time specified in R4-10-808(H) .

E. D. As provided under R4-10-307(D), a student instructor shall not teach students until the student instructor has received 80 hours of training in methods of teaching.

F. An individual who is not an Arizona-licensed instructor shall not teach in a school but may demonstrate any process, product, or appliance to students when the individual is under the supervision of an Arizona-licensed instructor.

G. Within five days after enrolling a student, the holder of a license to operate a school shall send the following to the Board:

1. A copy of the student's written application to attend the school containing the following:

a. The student's name and address,

b. The student's enrollment date,

c. An indication regarding whether the student is enrolled in a barber or instructor course, and

d. The student's signature, and

2. Two photographs of the student that meet the standards specified in R4-10-602(A)(4) .

H. Within 90 days after enrolling a student, the holder of a license to operate a school shall send the following to the Board:

1. Proof that the student is at least 16 years old if enrolled in a barber course or at least 19 years old if enrolled in an instructor course;

2. Proof that the student has at least a tenth-grade education if enrolled in a barber course or graduated from high school or its equivalent if enrolled in an instructor course; and

3. Documentation specified under A.R.S. § 41-1080(A) that the student's presence in the U.S. is authorized under federal law.

I. E. The barbering school licensee shall ensure a student wears a name tag that includes the student's name and status as a student whenever the student is at the barbering school.

1. Displays the card at the student workstation, and

2. Returns the card to the Board upon completion of, or withdrawal from, the course.

History

• Renumbered and amended from R4-10-805 by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-A302 Barbering School 1200-hour Curriculum Requirements

A. The holder of a license to operate a school shall ensure that the barbering curriculum offered complies with A.R.S. § 32-325(B) .

B. In addition to complying with the minimum requirements under A.R.S. § 32-325, the barbering school licensee shall include instruction in the following:

1. Professional ethics,

2. Establishment management, and

3. Regulatory provisions prescribed under A.R.S. Title 32, Chapter 3, and this Chapter.

History

• Renumbered and amended from R4-10-807 by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-A303 Offsite Training Facility

A. A barbering school licensee may operate an offsite training facility in An establishment that complies with the provisions of Article 4, Part A of this Chapter, and portions of R4-10-306 applicable to the instruction provided at the offsite training facility, R4-10-A302(D), and R4-10-A303(B).

B. In addition to subsection (A), a license holder operating an offsite training facility shall comply with the following:

1. R4-10-804 (A)(1), (3), (6), (7), (8), and (9) if only practical instruction is provided at the facility; or

2. Requirements of subsection (B)(1) and R4-10-804 (A)(2) and (A)(5) if classroom instruction is provided at the facility.

C. B. In addition to the requirements of subsection (A), a barbering school licensee operating an offsite training facility shall:

1. Clearly indicate to the public the specific portion of the Establishment designated as an offsite training facility,

Post a sign indicating that barbering services at the offsite training facility are provided by students,

Require a student to give oral notice of status as a student to each client,

4. Restrict student barbering to the portion of the Establishment designated as an offsite training facility ,

5. Ensure a student receives no more than 50 percent of the student's training at the offsite training facility.

History

• Renumbered and amended from R4-10-811 by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Article 4 ESTABLISHMENTS

Part A [Effective 5/6/2024] BARBERING

Ariz. Admin. Code § R4-10-A401 Barbering Establishment Mobile Units

A. To operate a mobile unit as a barbering establishment, the owner of the mobile unit shall apply for a license under R4-10-A401.

B. The Board shall issue a license to operate a mobile unit as a barbering establishment only if:

1. The mobile unit is self-contained;

2. The mobile unit meets all requirements for a barbering establishment specified under A.R.S. Title 32, Chapter 3, and this Chapter; and

3. The owner of the mobile unit agrees to provide the Board with written or oral notice at least 15 days before the mobile unit is placed in a location or moved to a new location.

History

• Renumbered and amended from R4-10-704 by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Article 2 PERSONAL LICENSURE OR REGISTRATION

Part B [Effective 5/6/2024] COSMETOLOGY

Ariz. Admin. Code § R4-10-B201 Application for an Instructor License by Examination

A. An applicant for instructor license by examination shall submit to the Board:

1. The fee required for an initial personal license in R4-10-102;

2. A passport-style photo of the applicant; and

3. An application form available on the Board's website that contains:

a. The applicant's name, full mailing and physical addresses, e-mail address, telephone number, Social Security number, and birth date;

b. The name and address of each licensed school attended by the applicant;

c. The name of course completed, the name of the school where completed, and the starting date and date of graduation;

d. If previously licensed by the Board, type of license, license number, license expiration date, and the name used on the license;

e. A statement of whether the applicant has ever had an instructor license suspended or revoked in any state of the United States or foreign country; and

f. The applicant's signature verifying the information provided is true and correct; and

Documentation specified under A.R.S. § 41-1080 indicating the applicant's presence in the United States is authorized under federal law.

B. In addition to complying with the requirements in subsection (A), an applicant for an instructor license by examination shall:

1. Comply with A.R.S. § 32-531 by submitting the following:

a. Documentation, as specified in subsection (B)(3), of required work experience;

b. Proof of current licensure in the discipline in which work experience was gained;

c. Proof of licensure during the period work experience was gained; and

d. Proof of being at least 18 years old; or

e. Proof of graduation from high school or its equivalent.

2. Comply with A.R.S. § 32-531(3) by submitting a copy of one of the following documents:

a. If the applicant graduated from a course presented by a school licensed by the Board, a copy of the certificate of graduation required under R4-10-305(E);

b. If the applicant attended more than one school in Arizona, a copy of a certificate of hours from each school attended, as required under R4-10-305(E);

c. If the applicant completed an apprenticeship program as described under A.R.S. §§ 32-510(A)(2)(c), 32-511(A)(3)(c), 32-512(A)(3)(c), or 32-512.01(A)(3)(c), a notice of completion from the Department of Economic Security;

d. If the applicant graduated from a course presented by a school in another state or country, evidence the school's requirements at the time the applicant graduated were substantially the same as those required by the Board; and

3. Submit documentation of the work experience required by A.R.S. § 32-531, which shall be signed by an owner or manager of an establishment, an individual, or a supplier of cosmetology products with knowledge based on actual observation of the applicant's licensed experience in the discipline for which the applicant seeks an instructor license. The person providing the documentation verifying the applicant's experience shall also indicate the following:

a. Discipline in which applicant gained the experience;

b. Starting and ending dates of applicant's experience in the discipline;

c. Name of licensed establishment and address where applicant gained experience in the discipline; and

d. License number and name of the licensed individual completing the form; or

e. Name, address, and telephone number of the individual providing the information.

History

• New Section made by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-B202 Application for an Eyelash Technician Registration

An applicant for an eyelash technician registration shall submit to the Board:

1. The fee for an initial personal registration required in R4-10-102;

2. A passport-style photo of the applicant;

3. An application, on a form available on the Board's website, that provides:

a. The applicant's name, full mailing and physical addresses, e-mail address, telephone number, Social Security number, and birth date;

b. For a licensed cosmetologist or aesthetician, one of the following:

i. If the applicant was licensed by the Board as a cosmetologist or aesthetician before October 30, 2023, the license number; or

ii. A copy of the provisional registration required under A.R.S. § 32-519(A)(3) verifying successful completion of a Board-approved eyelash technician training program;

c. For an individual not previously licensed by the Board, one of the following:

i. A copy of any eyelash extension training certificate of completion received before October 30, 2023; or

ii. A copy of the provisional registration required under A.R.S. § 32-519(A)(3) verifying successful completion of a Board-approved eyelash technician training program;

d. A statement of whether the applicant has ever had an aesthetics, cosmetology, hairstyling, nail technology, or instructor license suspended or revoked in any state of the United States or foreign country; and

e. The applicant's signature verifying the information provided is true and correct;

4. Documentation of two years of high school or its equivalent as defined at R4-10-101; and

5. Documentation specified under A.R.S. § 41-1080 indicating the applicant's presence in the United States is authorized under federal law.

History

• New Section made by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Article 3 SCHOOLS; EYELASH TECHNOLOGY TRAINING PROGRAM

Part B [Effective 5/6/2024] COSMETOLOGY

Ariz. Admin. Code § R4-10-B301 Aesthetic School and 600-hour Curriculum Requirements

A. School requirements. The licensee of a school that provides aesthetics 600-hour training for students, 350-hour training for instructors, or both, shall ensure the following minimum facilities, equipment, supplies, and materials are provided in addition to those required under R4-10-305 and R4-10-306 :

1. A workstation for each student in attendance to perform aesthetics services for the public for a fee, each having;

a. A facial chair or table;

b. A supported table top;

c. A dry, disinfected, covered container to store disinfected tools and instruments as specified under R4-10-112, and

d. A labeled receptacle for contaminated tools and instruments as specified under R4-10-112.

2. One steamer machine for each group of four students in attendance during classroom instruction and two students in attendance during clinic instruction;

3. One microdermabrasion machine to be used at a non-invasive level;

4. One magnifying lamp of at least 5 diopters for each group of two students in attendance during classroom instruction and each group of four students in attendance during clinic instruction;

5. Cleansers;

6. Massage medium;

7. Toner; and

8. Exfoliants and masks.

B. A school licensee shall ensure a nonreturnable student training kit, containing at least the following, is provided to each enrolled aesthetics student:

1. Access to an electronic or standard textbook for professional aestheticians;

2. Access to an electronic or hard copy of the Arizona Board of Cosmetology statutes and rules;

3. One disinfected, covered container to store disinfected tools and instruments as specified under R4-10-112 ; and

4. One container for contaminated tools and instruments as specified under R4-10-112 .

B. Curriculum requirements. The licensee shall ensure students in an aesthetics course are provided the following 600-hour curriculum:

1. Theory of aesthetics, infection control, anatomy, physiology and histology of the body, diseases and disorders, and Board statutes and rules; and

2. Clinical and classroom aesthetics including theory involving all skin types:

a. Principles and practices of infection control and safety;

b. Recognition of diseases and the treatment of disorders of the skin;

c. Interpersonal skills and professional ethics;

d. Clinical and classroom practice that includes face and body;

e. Morphology and treatment of skin, including face and body, by hand and machine;

f. Product pharmacology and chemistry interaction, formulation, composition, and hazards;

g. Aesthetics machines, tools, and instruments and their uses;

h. Alternative skin technology;

i. Client pre- and post- service consultation, documentation, and analysis;

j. Spa body modalities;

k. Exfoliation modalities;

l. Body and face massage and manipulations;

m. Body and facial hair removal except by electrolysis;

n. Introduction to electricity and light therapy for cosmetic purposes including laser/Intense Pulsed Light (IPL) procedures and devices;

o. Cosmetic enhancement applications; and

p. Required industry standards and ecology, including monitor duties.

History

• Renumbered and amended from R4-10-205 by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-B302 Cosmetology School and 1500-hour Curriculum Requirements

A. School requirements. The licensee of a school that provides cosmetology 1500-hour training for students, 350-hour training for instructors, or both, shall ensure the following minimum facilities, equipment, supplies, and materials are provided in addition to those specified under R4-10-305 and R4-10-306 :

1. A workstation for each student in attendance to perform cosmetology services for the public for a fee, each having:

a. A mirror for client services;

b. A table top or counter;

c. An industry standard chair for the service being provided;

d. A dry, disinfected, covered receptacle to store disinfected tools and instruments as specified under R4-10-112; and

e. A container for contaminated tools and instruments as specified under R4-10-112;

2. One shampoo basin for each group of 10 students in attendance during classroom or clinic instruction;

3. One hand-held hair dryer for each student in attendance during classroom or clinic instruction;

4. Two electric clippers in the school;

5. Chemical hair straighteners;

6. One nail technology table for each group of 10 students in attendance during practical instruction;

7. A facial workstation for each group of 10 students in attendance and receiving classroom or clinic aesthetics instruction;

8. A receptacle large enough to completely immerse two feet for each group of 10 students in attendance during classroom or clinic nail technology instruction;

9. One electronic nail file for filing and buffing; and

10. Nail products for acrylics, gels, tips, wraps, and polishing.

B. A school licensee shall ensure a nonreturnable student training kit, containing at least the following, is provided to each enrolled cosmetology student:

1. Access to an electronic or standard textbook for professional cosmetologists;

2. Access to an electronic or hard copy of the Arizona Board of Cosmetology statutes and rules;

3. One disinfected, covered container to store disinfected tools and instruments as specified under R4-10-112 ; and

4. A container for contaminated tools and instruments as specified under R4-10-112 .

B. Curriculum requirements. The licensee shall ensure students in a cosmetology course are provided the following 1500-hour curriculum:

1. Theory of cosmetology, infection control, anatomy, physiology and histology of the body, diseases and disorders, and Board statutes and rules; and

2. Clinical and classroom cosmetology including theory that involves nails, hair, and skin:

a. Principles and practices of infection control and safety;

b. Recognition of diseases and the treatment of disorders of the hair, skin, and nails;

c. Morphology and treatment of hair, skin, and nails;

d. Interpersonal skills and professional ethics;

e. Product pharmacology and chemistry interaction, formulation, composition, and hazards;

f. Cosmetology machines, tools, and instruments and their uses;

g. Chemical texturizing;

h. Changing existing hair color;

i. Hair and scalp care;

j. Fundamentals of hairstyling including braiding and extensions;

k. Body, scalp, and facial massage and manipulations;

l. Hair cutting fundamentals;

m. Fundamental aesthetics of the body and face;

n. Fundamentals of nail technology;

o. Clinical and classroom practice that includes hair, skin, and nails;

p. Alternative hair, skin, and nail technology;

q. Client pre- and post- service consultation, documentation, and analysis;

r. Body and facial hair removal except by electrolysis;

s. Cosmetology technology; and

t. Required industry standards and ecology, including monitor duties.

History

• Renumbered and amended from R4-10-206 by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-B303 Hairstyling School and 1000-hour Curriculum Requirements

A. School requirements. The licensee of a school that provides hairstyling 1000-hour training for students, 350-hour training for instructors, or both, shall ensure the minimum facilities, equipment, supplies, and materials listed under R4-10-B302(A)(1) through (A)(5) are provided in addition to those specified under R4-10-305 and R4-10-306.

B. A school licensee shall ensure a nonreturnable student training kit, containing at least the following, is provided to each enrolled hairstyling student:

1. Access to an electronic or standard textbook for professional hairstylists;

2. Access to an electronic or hard copy of the Arizona Board of Cosmetology statutes and rules;

3. One disinfected, covered container to store disinfected tools and instruments as specified under R4-10-112 ; and

4. A container for contaminated tools and instruments as specified under R4-10-112 .

B. Curriculum requirements. The licensee shall ensure students in a hairstyling course are provided the following 1000-hour curriculum:

1. Theory of hairstyling, infection control, anatomy, diseases and disorders, and Board statutes and rules; and

2. Clinical and classroom instruction in hairstyling including theory that involves hair:

a. Principles and practices of infection control and safety;

b. Recognition of diseases and the treatment of disorders of the hair and scalp;

c. Morphology and treatment of hair;

d. Interpersonal skills and professional ethics;

e. Product pharmacology and chemistry interaction, formulation, composition, and hazards;

f. Hairstyling machines, tools, and instruments and their uses;

g. Chemical texturizing;

h. Changing existing hair color;

i. Hair and scalp care;

j. Fundamentals of hairstyling including braiding and extensions;

k. Neck and scalp massage and manipulations;

l. Hair cutting fundamentals;

m. Clinical and classroom practice that includes hair;

n. Alternative hair technology;

o. Client pre- and post-service consultation, documentation, and analysis;

p. Hairstyling technology;

q. Facial hair removal except by electrolysis; and

r. Required industry standards and ecology, including monitor duties.

History

• Renumbered and amended from R4-10-206.1 by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-B304 Nail Technology School and 600-hour Curriculum Requirements

A. School requirements. The licensee of a school that provides nail technology 600-hour training for students, 350-hour training for instructors, or both, shall ensure the following minimum facilities, tools, instruments, equipment, supplies, and materials are provided, in addition to those specified under R4-10-305 and R4-10-306 :

1. A workstation to perform nail technology services for the public for a fee for each student in attendance containing:

a. A nail technology table;

b. Industry standard chairs appropriate for the skills being taught;

c. A nail technology chair or stool;

d.c. A disinfected, covered container to store disinfected tools and instruments as specified under R4-10-112;

e.d. A container with wet disinfectant as specified under R4-10-112;

f.e. A container for soiled tools and instruments as specified under R4-10-112;

g.f. A waste receptacle as specified under R4-10-112; and

h.g. A disinfectant for blood or body-fluid exposure as specified under R4-10-112.

2. One container large enough to immerse two feet completely, for every five students in attendance during clinic instruction;

3. Nail products for acrylics, gels, tips, wraps, and polishing; and

4. One ultraviolet light.

B. In addition to the nonreturnable student training kit required under R4-10-306(Q), a school licensee shall ensure the following nonreturnable items are provided to each enrolled nail technology student:

1. One simulated hand;

2. Disinfected tools and instruments including pusher, nipper, file or porous emery boards, tweezer, nail brush, and finger bowl;

3. One covered container to store disinfected tools and instruments as specified under R4-10-112 ;

4. A container for soiled tools and instruments as specified under R4-10-112 ;

5. Access to an electronic or standard textbook for professional nail technology and access to an electronic or hard copy of the Arizona Board of Cosmetology statutes and rules;

6.3. Artificial nail enhancement kit with remover, wrap kit, two dappen dishes, polish kit, nail forms, finishing tools and instruments, and one brush product applicator; and

7.4. One electric nail file.

C. Curriculum requirements. The licensee shall ensure students in a nail technology course are provided the following 600-hour curriculum:

1. Theory of nail technology; infection control; diseases and disorders of the nails and skin; anatomy; physiology and histology of the limbs, nails, and skin structures; and Board statutes and rules; and

2. Clinical and classroom instruction in nail technology including theory that involves nails, skin, and limbs:

a. Principles and practices of infection control and safety;

b. Recognition of diseases and the treatment of disorders of the nail and skin;

c. Massage and manipulation of the limbs;

d. Interpersonal skills and professional ethics;

e. Product pharmacology and chemistry interaction, formulation, composition, and hazards;

f. Nail technology machines, tools, and instruments and their uses;

g. Clinical and classroom practice that includes nails, skin, and limbs;

h. Client pre- and post- treatment consultation, documentation, and analysis;

i. Manicuring, including use of nippers;

j. Pedicuring, including use of nippers;

k. Artificial nail enhancements (application and removal);

l. Alternative nail technology;

m. Electric file use;

n. Pedicure spa modalities;

o. Exfoliation modalities on limbs or the body; and

p. Required industry standards and ecology, including monitor duties.

History

• Renumbered and amended from R4-10-207 by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-B305 Distant Classrooms

If an aesthetics, cosmetology, hairstyling, or nail technology school has a distant classroom, the school licensee shall ensure the equipment in the distant classroom is the same as that required under R4-10-305 and R4-10-306; and:

1. Private postsecondary and public educational facilities do not extend beyond Arizona boundaries;

2. A copy of the Board-issued license to operate the school or Board-issued, wallet-size license card to operate the school is posted in each distant classroom;

3. Duplicate instructor licenses are not required in a distant classroom; and

4. No clinic or public services are provided in the distant classroom.

History

• New Section made by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-B306 Approval of an Eyelash Technician Training Program

A. Board approval of an eyelash technician training program is non-transferable.

B. To obtain Board approval of an eyelash technician training program, an applicant shall submit the following to the Board:

1. An application form available on the Board's website that contains:

a. The applicant's name, full mailing and physical addresses, e-mail address, federal tax identification number, and telephone number;

b. Name of person responsible for the eyelash technician training program if different from the applicant;

c. Name of the instructor who will be in charge of the approved training program and evidence the instructor meets the qualifications specified in R4-10-B307(B);

d. An outline of the training program including the topics to be addressed, hours devoted to each topic, and evidence the training program will comply with the standards specified in R4-10-B307(C), (D), and (E); and

e. A verification signed by the applicant indicating the training program has the equipment and supplies listed in R4-10-B307(A); and

2. A copy of the provisional registration, required under A.R.S. § 32-519, which will be completed and provided to each student to verify the student successfully completed the training program. A completed provisional registration shall include:

a. Name of the trainee,

b. Name of the approved training program,

c. Name of the person responsible for the approved training program,

d. Address of the approved training program,

e. Name of the instructor in charge of the approved training program,

f. Total number of hours of training completed, and

g. Dates of training completed.

History

• New Section made by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-B307 Requirements of an Eyelash Technician Training Program

A. The person responsible for an eyelash technician training program shall ensure the training program:

1. Complies with R4-10-112;

2. Has the following minimum equipment and supplies:

a. Sufficient instructional fixtures and facilities for instructor and student use;

b. Covered, wet disinfectant container;

c. EPA-registered disinfectant;

d. Sufficient sinks with hot and cold running water;

e. Separate receptacles for garbage and soiled linens;

f. One chalkboard or whiteboard;

g. Functioning time display;

h. A wall mirror; and

i. Sufficient mannequins;

3. Furnish establishment-quality equipment, tools, instruments, materials, and supplies for instructional purposes and for students to perform assignments except a student may be required to furnish small tools and instruments; and

4. Maintain all equipment, tools, instruments, materials, and supplies in good repair.

B. The person responsible for an eyelash technician training program shall ensure the instructor in charge of the training program is qualified. An instructor in charge is qualified if the instructor in charge:

1. Is a cosmetologist or aesthetician licensed by the Board before the effective date of this Section or an eyelash technician registered by the Board;

2. Provides a notarized letter from an individual licensed or registered by the Board who has personal knowledge of the instructor's work and can verify that the instructor has practiced as an eyelash technician for at least 30 hours a week for two years; and

3. Provides a statement indicating whether the instructor has ever had an aesthetics, cosmetology, hairstyling, nail technology, or instructor license or eyelash technology registration suspended or revoke in any state of the United States or a foreign country.

C. The person responsible for an eyelash technician training program shall ensure the training program includes the following minimum curriculum:

1. Ten hours of preclinical theoretical instruction in:

a. Eye structure,

b. Function and disorders of the eye and orbital areas,

c. Eyelash growth cycles,

d. Contraindications and allergic reactions,

e. Infection control,

f. Eye shapes and eyelash evaluation,

g. Product ingredients,

h. Health and safety, and

i. Board statutes and rules; and

2. Twenty hours of clinical instruction in the practical application of eyelash extensions including:

a. Client consultation,

b. Design,

c. Cleansing the eye area,

d. Applying eyelash extensions, and

e. Removing eyelash extensions.

D. As part of the clinical instruction specified under subsection (C)(2), the person responsible for an eyelash technician training program shall ensure each student is required to complete clinical service exercises in:

1. Applying eyelash extensions,

2. Removing eyelash extensions, and

3. Conducting a patch test before eyelash extension service.

E. The person responsible for an eyelash technician training program shall ensure:

1. All training is provided by the qualified instructor in charge, and

2. No training is provided by a guest presenter or on a field trip.

History

• New Section made by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Article 4 ESTABLISHMENTS

Part B [Effective 5/6/2024] COSMETOLOGY

Ariz. Admin. Code § R4-10-B401 Mobile Services

A. If a cosmetology, aesthetics, hairstyling, nail, or eyelash establishment licensee provides mobile services as an extension of the Establishment, the cosmetology, aesthetics, hairstyling, nail, or eyelash establishment licensee shall advertise the mobile service using the name of the Establishment on the Board-issued license. The cosmetology, aesthetics, hairstyling, nail, or eyelash establishment licensee and manager shall ensure mobile services comply with Board statutes and rules.

1. A cosmetology, aesthetics, hairstyling, nail, or eyelash establishment licensee providing mobile cosmetology, aesthetics, hairstyling, nail technology, or, eyelash technology services shall ensure licenses are posted as required under R4-10-111.

2. A cosmetology, aesthetics, hairstyling, nail, or eyelash establishment licensee providing mobile services shall ensure client appointments are made through the cosmetology, aesthetics, hairstyling, nail, or eyelash establishment using an appointment book that lists the appointments and locations where services are performed.

3. Mobile services are subject to inspection by the Board at any time.

4. If a retrofitted motor vehicle is used to provide mobile services, the cosmetology, aesthetics, hairstyling, nail, or eyelash establishment licensee and manager shall ensure the vehicle has the same equipment as specified under R4-10-B402 and complies with safety and infection control requirements specified under R4-10-112.

5. If mobile services are provided in a location other than a retrofitted motor vehicle, the cosmetology, aesthetics, hairstyling, nail, or eyelash establishment licensee and manager shall ensure equipment is disinfected before use and stored as specified under R4-10-112.

B. If a retrofitted motor vehicle is used exclusively as a mobile facility dispatched from a cosmetology, aesthetics, hairstyling, nail, or eyelash establishment address, the Establishment licensee and manager of the mobile facility shall:

Comply with all cosmetology, aesthetics, hairstyling, nail, or eyelash establishment requirements, including infection control and equipment requirements, specified in this Chapter;

2. Maintain a complete and current list of appointment locations at the cosmetology, aesthetics, hairstyling, nail, or eyelash establishment address and ensure the list is displayed as specified in the application for a license to operate a cosmetology, aesthetics, hairstyling, nail, or eyelash establishment and available to an inspector at all times when the retrofitted motor vehicle is open for business; and

3. Comply with Board statutes and rules.

History

• Renumbered and amended from R4-10-404 by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Ariz. Admin. Code § R4-10-B402 Shampoo Assistants

A. A cosmetology or hairstyling establishment licensee may hire an individual who is not licensed by the Board as a shampoo assistant to shampoo and apply conditioner to an individual's hair, comb the hair to remove tangles, and remove rollers.

B. A cosmetology or hairstyling establishment licensee shall ensure a shampoo assistant does not:

1. Apply hair color or permanent wave solution or neutralizer; or

Remove rods, tint, relaxers, or chemical solutions from the hair.

History

• Renumbered and amended from R4-10-405 by final rulemaking at 30 A.A.R. 527, effective 5/6/2024.

Chapter 11 STATE BOARD OF DENTAL EXAMINERS

Article 1 DEFINITIONS

Ariz. Admin. Code § R4-11-101 Definitions

The following definitions, and definitions in A.R.S. § 32-1201, apply to this Chapter:

"Analgesia" means a state of decreased sensibility to pain produced by using nitrous oxide and oxygen with or without Local Anesthesia.

"Business Entity" means a business organization that offers to the public professional services regulated by the Board and is established under the laws of any state or foreign country, including a sole practitioner, partnership, limited liability partnership, corporation, and limited liability company, unless specifically exempted by A.R.S. § 32-1213(J).

"Calculus" means a hard, mineralized deposit attached to the teeth.

"Charitable Dental Clinic or Organization" means a non-profit organization meeting the requirements of 26 U.S.C. 501(c)(3) and providing dental, dental therapy, or dental hygiene services.

"Clinical evaluation" means a dental examination of a patient named in a complaint regarding the patient's dental condition as it exists at the time the examination is performed.

"Controlled substance" has the meaning prescribed in A.R.S. § 36-2501(A)(3).

"Credit hour" means one clock hour of participation in a Recognized Continuing Dental Education program.

"Deep sedation" is a Drug-induced depression of consciousness during which a patient cannot be easily aroused but responds purposefully following repeated or painful stimulation. The ability to independently maintain ventilatory function may be impaired. The patient may require assistance in maintaining a patent airway, and spontaneous ventilation may be inadequate. Cardiovascular function is maintained.

"Dentist of record" means a dentist who examines, diagnoses, and formulates treatment plans for a patient and may provide treatment to the patient.

"Direct supervision" means, for purposes of Article 7 only, that a licensed dentist is present in the office and available to provide immediate treatment or care to a patient and observe a dental assistant's work.

"Disabled" means a dentist, dental therapist, dental hygienist, or denturist has totally withdrawn from the active practice of dentistry, dental therapy, dental hygiene, or denturism due to a permanent medical disability and based on a physician's order.

"Documentation of attendance" means documents that contain the following information:

Name of sponsoring entity;

Course title;

Number of Credit Hours;

Name of speaker; and

Date, time, and location of the course.

"Drug" means:

Articles recognized, or for which standards or specifications are prescribed, in the official compendium;

Articles intended for use in the diagnosis, cure, mitigation, treatment, or prevention of disease in the human body;

Articles other than food intended to affect the structure of any function of the human body; or

Articles intended for use as a component of any articles specified in this definition but does not include devices or components, parts, or accessories of devices.

"Emerging scientific technology" means any technology used in the treatment of oral disease that is not currently generally accepted or taught in a recognized dental, dental therapy, or dental hygiene school and use of the technology poses material risks.

"Epithelial attachment" means the layer of cells that extends apically from the depth of the gingival sulcus along the tooth, forming an organic attachment.

"Ex-parte communication" means a written or oral communication between a decision maker, fact finder, or Board member and one party to the proceeding, in the absence of other parties.

"General anesthesia" is a Drug-induced loss of consciousness during which the patient is not arousable, even by painful stimulation. The ability to independently maintain ventilatory function is often impaired. The patient often requires assistance in maintaining a patent airway, and positive-pressure ventilation may be required because of depressed spontaneous ventilation or Drug-induced depression of neuromuscular function. Cardiovascular function may be impaired.

"General supervision" means, for purposes of Article 7 only, a licensed dentist is available for consultation, whether or not the dentist is in the office, regarding procedures or treatment that the dentist authorizes and for which the dentist remains responsible.

"Homebound patient" means a person who is unable to receive dental care in a dental office as a result of a medically diagnosed disabling physical or mental condition.

"Irreversible procedure" means a single treatment, or a step in a series of treatments, that causes change in the affected hard or soft tissues and is permanent or may require reconstructive or corrective procedures to correct the changes.

"Licensee" means a dentist, dental therapist, dental hygienist, dental consultant, retired licensee, or person who holds a restricted permit under A.R.S. §§ 32-1237 or 32-1292.

"Local anesthesia" is the elimination of sensations, such as pain, in one part of the body by the injection of an anesthetic Drug.

"Minimal sedation" is a minimally depressed level of consciousness that retains a patient's ability to independently and continuously maintain an airway and respond appropriately to light tactile stimulation, not limited to reflex withdrawal from a painful stimulus, or verbal command and that is produced by a pharmacological or non-pharmacological method or a combination thereof. Although cognitive function and coordination may be modestly impaired, ventilatory and cardiovascular functions are unaffected. In accord with this particular definition, the Drugs or techniques used should carry a margin of safety wide enough to render unintended loss of consciousness unlikely.

"Mobile dental permit holder" means a Licensee or denturist who holds a mobile permit under R4-11-1301, R4-11-1302, or R4-11-1303.

"Moderate sedation" is a Drug-induced depression of consciousness during which a patient responds purposefully to verbal commands either alone or accompanied by light tactile stimulation, not limited to reflex withdrawal from a painful stimulus. No interventions are required to maintain a patent airway, and spontaneous ventilation is adequate. Cardiovascular function is maintained. The Drugs or techniques used should carry a margin of safety wide enough to render unintended loss of consciousness unlikely. Repeated dosing of a Drug before the effects of previous dosing can be fully recognized may result in a greater alteration of the state of consciousness than intended by the permit holder.

"Nitrous oxide analgesia" means nitrous oxide used as an inhalation analgesic.

"Official compendium" means the latest revision of the United States Pharmacopeia and the National Formulary and any current supplement.

"Oral sedation" is the enteral administration of a Drug or non-Drug substance or combination inhalation and enterally administered Drug or non-Drug substance in a dental office or dental clinic to achieve Minimal Sedation or Moderate Sedation.

"Parenteral sedation" is a minimally depressed level of consciousness that allows the patient to retain the ability to independently and continuously maintain an airway and respond appropriately to physical stimulation or verbal command and is induced by a pharmacological or non-pharmacological method or a combination of both methods of administration in which the Drug bypasses the gastrointestinal tract.

"Periodontal pocket" means a pathologic fissure bordered on one side by the tooth and on the opposite side by crevicular epithelium and limited in its depth by the Epithelial Attachment.

"Plaque" means a film-like sticky substance composed of mucoidal secretions containing bacteria and toxic products, dead tissue cells, and debris.

"Polishing" means a procedure limited to the removal of Plaque and extrinsic stain from exposed natural and restored tooth surfaces that utilizes an appropriate rotary instrument with rubber cup or brush and Polishing agent. A Licensee or dental assistant shall not represent that this procedure alone constitutes an oral Prophylaxis.

"Prescription-only device" means:

Any device that is restricted by the federal act, as defined in A.R.S. § 32-1901, to use only under the supervision of a medical practitioner; or

Any device required by the federal act, as defined in A.R.S. § 32-1901, to bear on its label the legend "Rx Only." "Prescription-only Drug" does not include a Controlled Substance but does include:

Any Drug that, because of its toxicity or other potentiality for harmful effect, the method of its use, or the collateral measures necessary to its use, is not generally recognized among experts, qualified by scientific training and experience to evaluate its safety and efficacy, as safe for use except by or under the supervision of a medical practitioner;

Any Drug that is limited by an approved new Drug application under the federal act or A.R.S. § 32-1962 to use under the supervision of a medical practitioner;

Every potentially harmful Drug, the labeling of which does not bear or contain full and adequate directions for use by the consumer; or

Any Drug required by the federal act to bear on its label the legend "RX Only."?

"President's designee" means the Board's executive director, an investigator, or a Board member acting on behalf of the Board president.

"Preventative and therapeutic agents" means substances that affect the hard or soft oral tissues to aid in preventing or treating oral disease.

"Prophylaxis" means a Scaling and Polishing procedure performed on patients with healthy tissues to remove coronal Plaque, Calculus, and stains.

"Recognized continuing dental education" means a program whose content directly relates to the art and science of oral health and treatment, provided by a recognized dental school, recognized dental therapy school, recognized dental hygiene school, or recognized denturist school, or sponsored by a national or state dental, dental therapy, dental hygiene, or denturist association, American Dental Association Continuing Education Recognition Program or Academy of General Dentistry, Program Approval for Continuing Education approved provider, dental, dental therapy, dental hygiene, or denturist Study Club, governmental agency, commercial dental supplier, non-profit organization, accredited hospital, or programs or courses approved by other state, district, or territorial dental licensing boards.

"Restricted permit holder" means a dentist who meets the requirements of A.R.S. § 32-1237, or a dental hygienist who meets the requirements of A.R.S. § 32-1292 and is issued a restricted permit by the Board.

"Retired" means a dentist, dental therapist, dental hygienist, or denturist is at least 65 years old and has totally withdrawn from the active practice of dentistry, dental therapy, dental hygiene, or denturism.

"Root planing" means a definitive treatment procedure designed to remove cementum or surface dentin that is rough, impregnated with Calculus, or contaminated with toxins or microorganisms.

"Scaling" means use of instruments on the crown and root surfaces of the teeth to remove Plaque, Calculus, and stains from these surfaces.

"Section 1301 permit" means a permit to administer General Anesthesia and Deep Sedation, employ or work with a physician anesthesiologist, or employ or work with a Certified Registered Nurse Anesthetist under Article 13.

"Section 1302 permit" means a permit to administer Parenteral Sedation, employ or work with a physician anesthesiologist, or employ or work with a Certified Registered Nurse Anesthetist under Article 13.

"Section 1303 permit" means a permit to administer Oral Sedation, employ or work with a physician anesthesiologist, or employ or work with a Certified Registered Nurse Anesthetist under Article 13.

"Section 1304 permit" means a permit to employ or work with a physician anesthesiologist, or employ or work with a Certified Registered Nurse Anesthetist under Article 13.

"Study club" means a group of at least five Arizona licensed dentists, dental therapists, dental hygienists, or denturists who provide written course materials or a written outline for a continuing education presentation that meets the requirements of Article 12.

"Treatment records" means all documentation related directly or indirectly to the dental treatment of a patient.

History

• Adopted effective May 12, 1977 (Supp. 77-3). Former Section R4-11-02 renumbered as Section R4-11-102 without change effective July 29, 1981 (Supp. 81-4). Former Section R4-11-101 renumbered to R4-11-201, new Section R4-11-101 adopted by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). Amended by final rulemaking at 9 A.A.R. 1054, effective May 6, 2003 (Supp. 03-1). Section amended by final rulemaking at 11 A.A.R. 793, effective April 2, 2005 (Supp. 05-1). Amended by final rulemaking at 13 A.A.R. 962, effective May 5, 2007 (Supp. 07-1). Amended by final rulemaking at 19 A.A.R. 334 and at 19 A.A.R. 341, effective April 6, 2013 (Supp. 13-1). Amended by final rulemaking at 29 A.A.R. 1330, effective 7/10/2023.

Ariz. Admin. Code § R4-11-102 Renumbered

History

• Adopted effective May 12, 1977 (Supp. 77-3). Former Section R4-11-02 renumbered as Section R4-11-102 without change effective July 29, 1981 (Supp. 81-4). Former Section R4-11-102 renumbered to R4-11-202 by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-11-103 Renumbered

History

• Adopted effective May 12, 1977 (Supp. 77-3). Former Section R4-11-03 renumbered as Section R4-11-103 without change effective July 29, 1981 (Supp. 81-4). Former Section R4-11-103 renumbered to R4-11-203 by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-11-104 Repealed

History

• Adopted effective May 12, 1977 (Supp. 77-3). Former Section R4-11-04 renumbered as Section R4-11-104 without change effective July 29, 1981 (Supp. 81-4). Former Section R4-11-104 repealed by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-11-105 Repealed

History

• Adopted effective May 12, 1977 (Supp. 77-3). Former Section R4-11-05 renumbered as Section R4-11-105 without change effective July 29, 1981 (Supp. 81-4). Former Section R4-11-105 repealed by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1).

Article 2 LICENSURE BY CREDENTIAL

Ariz. Admin. Code § R4-11-201 Clinical Examination; Requirements

A. If an applicant is applying under A.R.S. §§ 32-1240, 32-1276.07, or 32-1292.01, the Board shall ensure that the applicant has passed the clinical examination of A.R.S. §§ 32-1233(2) for dentists, or 32-1276.01(B)(3)(a) for dental therapists, or 32-1285(2) for dental hygienists, notwithstanding each respective statute's timing stipulation. Satisfactory completion of the clinical examination may be demonstrated by certified documentation, sent directly from another state, United States territory, District of Columbia or a testing agency that meets the requirements of A.R.S. §§ 32-1233(2) for dentists, or 32-1276.01(B)(3)(a) for dental therapists, or 321285(2) for dental hygienists, notwithstanding each respective statute's timing stipulation, that confirms successful completion of the clinical examination or multiple examinations administered by the state, United States territory, District of Columbia or testing agency. The certified documentation shall contain the name of the applicant, date of examination or examinations and proof of a passing score.

B. An applicant shall meet the licensure requirements in R4-11-301 and R4-11-303.

History

• Former Rule 2a; Amended effective November 20, 1979 (Supp. 79-6). Amended effective November 28, 1980 (Supp. 80-6). Former Section R4-11-11 renumbered as Section R4-11-201 and amended effective July 29, 1981 (Supp. 81-4). Former Section R4-11-201 renumbered to R4-11-301, new Section R4-11-201 renumbered from R4-11-101 and amended by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). Section expired under A.R.S. § 41-1056(E), effective April 30, 2001 (Supp. 01-2). New Section made by final rulemaking at 9 A.A.R. 4126, effective November 8, 2003 (Supp. 03-3). Amended by final rulemaking at 22 A.A.R. 371, effective 4/3/2016. Amended by final rulemaking at 29 A.A.R. 1330, effective 7/10/2023.

Ariz. Admin. Code § R4-11-202 Dental Licensure by Credential; Application

A. A dentist applying under A.R.S. § 32-1240 shall comply with all other applicable requirements in A.R.S. Title 32, Chapter 11 and this Article.

B. A dentist applying under A.R.S. § 32-1240 shall:

1. Have a current dental license in another state, territory or district of the United States;

2. Submit a written affidavit affirming that the dentist has practiced dentistry for a minimum of 5000 hours during the five years immediately before applying for licensure by credential. For purposes of this subsection, dental practice includes experience as a dental educator at a dental program accredited by the Commission on Dental Accreditation or another post-secondary dental education program accrediting agency recognized by the U.S. Department of Education, or employment as a dentist in a public health setting;

3. Submit a written affidavit affirming that the applicant has complied with the continuing dental education requirement of the state in which the applicant is currently licensed;

4. Provide evidence regarding the clinical examination by complying with R4-11-201(A); and

5. Pass the Arizona jurisprudence examination with a minimum score of 75%.

C. A dentist applying under A.R.S. § 32-1240(A)(2) shall submit certified documentation sent directly from the applicable state, United States territory, District of Columbia or regional testing agency to the Board that contains the name of applicant, date of examination or examinations and proof of a passing score.

D.C. For any application submitted under A.R.S. § 32-1240, the Board may request additional clarifying evidence required under R4-11-201(A).

E.D. An applicant for dental licensure by credential shall pay the fee prescribed in A.R.S. § 32-1240, except the fee is reduced by 50% for applicants who will be employed or working under contract in:

Underserved areas, such as declared or eligible Health Professional Shortage Areas; or

2. Other facilities caring for underserved populations as recognized by the Arizona Department of Health Services and approved by the Board.

F.E. An applicant for dental licensure by credential who works in areas or facilities described in subsection (D) shall:

1. Commit to a three-year, exclusive service period,

2. File a copy of a contract or employment verification statement with the Board, and

3. As a Licensee, submit an annual contract or employment verification statement to the Board by December 31 of each year.

G.F. A Licensee's failure to comply with the requirements in subsection (E) is considered unprofessional conduct and may result in disciplinary action based on the circumstances of the case.

History

• Former Rule 2b; Former Section R4-11-12 renumbered as Section R4-11-202 and amended effective July 29, 1981 (Supp. 81-4). Former Section R4-11-202 repealed, new Section R4-11-202 renumbered from R4-11-102 and the heading amended by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). Labeling changes made to reflect current style requirements (Supp. 99-1). Section expired under A.R.S. § 41-1056(E), effective April 30, 2001 (Supp. 01-2). New Section made by final rulemaking at 9 A.A.R. 4126, effective November 8, 2003 (Supp. 03-3). Amended by final rulemaking at 22 A.A.R. 371, effective 4/3/2016. Amended by final rulemaking at 29 A.A.R. 1330, effective 7/10/2023.

Ariz. Admin. Code § R4-11-203 Dental Hygienist Licensure by Credential; Application

A. A dental hygienist applying under A.R.S. § 32-1292.01 shall comply with all other applicable requirements in A.R.S. Title 32, Chapter 11 and this Article.

B. A dental hygienist applying under A.R.S. § 32-1292.01 shall:

1. Have a current dental hygienist license in another state, territory, or district of the United States;

2. Submit a written affidavit affirming that the applicant has practiced as a dental hygienist for a minimum of 1000 hours during the two years immediately before applying for licensure by credential. For purposes of this subsection, dental hygienist practice includes experience as a dental hygienist educator at a dental program accredited by the Commission on Dental Accreditation or another post-secondary dental education program accrediting agency recognized by the U.S. Department of Education, or employment as a dental hygienist in a public health setting;

3. Submit a written affidavit affirming that the applicant has complied with the continuing dental hygienist education requirement of the state in which the applicant is currently licensed;

4. Provide evidence regarding the clinical examination by complying with R4-11-201(A); and

5. Pass the Arizona jurisprudence examination with a minimum score of 75%.

C. A dental hygienist applying under A.R.S. § 32-1292.01(A)(2) shall submit certified documentation sent directly from the applicable state, United States territory, District of Columbia or regional testing agency to the Board that contains the name of applicant, date of examination or examinations and proof of a passing score.

D.C. For any application submitted under A.R.S. § 32-1292.01, the Board may request additional clarifying evidence as required under R4-11-201(A).

E.D. An applicant for dental hygienist licensure by credential shall pay the fee prescribed in A.R.S. § 32-1292.01, except the fee is reduced by 50% for applicants who will be employed or working under contract in:

1. Underserved areas such as declared or eligible Health Professional Shortage Areas; or

2. Other facilities caring for underserved populations, as recognized by the Arizona Department of Health Services and approved by the Board.

F.E. An applicant for dental hygienist licensure by credential who works in areas or facilities described in subsection (D) shall:

1. Commit to a three-year exclusive service period,

2. File a copy of a contract or employment verification statement with the Board, and

3. As a Licensee, submit an annual contract or employment verification statement to the Board by December 31 of each year.

G.F. A Licensee's failure to comply with the requirements in R4-11-203(E) is considered unprofessional conduct and may result in disciplinary action based on the circumstances of the case.

History

• Former Rule 2c; Former Section R4-11-13 repealed, new Section R4-11-13 adopted effective November 20, 1979 (Supp. 79-6). Amended effective October 30, 1980 (Supp. 80-5). Former Section R4-11-13 renumbered as Section R4-11-203 without change effective July 29, 1981 (Supp. 81-4). Former Section R4-11-203 renumbered to R4-11-302, new Section R4-11-203 renumbered from R4-11-103 and amended by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). Section expired under A.R.S. § 41-1056(E), effective April 30, 2001 (Supp. 01-2). New Section made by final rulemaking at 9 A.A.R. 4126, effective November 8, 2003 (Supp. 03-3). Amended by final rulemaking at 22 A.A.R. 371, effective 4/3/2016. Amended by final rulemaking at 29 A.A.R. 1330, effective 7/10/2023.

Ariz. Admin. Code § R4-11-204 Dental Assistant Radiography Certification by Credential

Eligibility. To be eligible for dental assistant radiography certification by credential, an applicant shall have a current certificate or other form of approval for taking dental radiographs, issued by a professional licensing agency in another state, United States territory or the District of Columbia that required successful completion of a written dental radiography examination.

History

• Former Rule 2d; Former Section R4-11-14 repealed, new Section R4-11-14 adopted effective April 27, 1977 (Supp. 77-2). Former Section R4-11-14 renumbered as Section R4-11-204, repealed, and new Section R4-11-204 adopted effective July 29, 1981 (Supp. 81-4). Former Section R4-11-204 repealed by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). New Section made by final rulemaking at 9 A.A.R. 4126, effective November 8, 2003 (Supp. 03-3). Amended by final rulemaking at 22 A.A.R. 371, effective 4/3/2016.

Ariz. Admin. Code § R4-11-205 Application for Dental Assistant Radiography Certification by Credential

A. An applicant for dental assistant radiography certification by credential shall provide to the Board a completed application, on a form furnished by the Board that contains the following information:

1. A sworn statement of the applicant's eligibility, and

2. A letter from the issuing institution that verifies compliance with R4-11-204.

B. Based upon review of information provided under subsection (A), the Board or its designee shall request that an applicant for dental assistant radiography certification by credential provide a copy of a certified document that indicates the reason for a name change if the applicant's documentation contains different names.

History

• Former Rule 2e; Former Section R4-11-15 renumbered as Section R4-11-205 without change effective July 29, 1981 (Supp. 81-4). Former Section R4-11-205 repealed by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). New Section made by final rulemaking at 9 A.A.R. 4126, effective November 8, 2003 (Supp. 03-3). Amended by final rulemaking at 28 A.A.R. 1885, effective 9/12/2022.

Ariz. Admin. Code § R4-11-206 Dental Therapist Licensure by Credential; Application

A. A dental therapist applying under A.R.S. § 32-1276.07 shall comply with all other applicable requirements in A.R.S. Title 32, Chapter 11 and this Article.

B. A dental therapist applying under A.R.S. § 32-1276.07 shall:

1. Have a current dental therapy license in another state, territory or district of the United States with substantially the same scope of practice as defined in A.R.S. § 32-1276.03;

2. Submit a written affidavit affirming that the applicant has practiced as a dental therapist for a minimum of 3000 hours during the five years immediately before applying for licensure by credential. For purposes of this subsection, dental therapy practice includes experience as a dental therapy educator at a dental program accredited by the Commission on Dental Accreditation or another post-secondary dental education program accrediting agency recognized by the U.S. Department of Education, or employment as a dental therapist in a public health setting;

3. Submit a written affidavit affirming that the applicant has complied with the continuing dental therapy education requirement of the state in which the applicant is currently licensed; and

4. Provide evidence showing that five years or more before applying for licensure under this section, the applicant completed the clinical examination by complying with R4-11-201(A);

5. Submit official transcripts to the Board directly from a recognized dental therapy school as defined by A.R.S. § 32-1201(21) or an approved third party showing a degree was conferred to the applicant; and

6. Not be required to obtain an Arizona dental hygienist license, if the dental therapist submits one of the following:

a. Certified documentation of a current or past dental hygiene license sent directly from the applicable state, United States territory, District of Columbia to the Board; or

b. Official transcripts sent to the Board directly from a recognized dental hygiene school as defined by A.R.S. § 32-1201(19) or an approved third party showing a degree was conferred to the applicant; or

c. A written affidavit from a recognized dental therapy school as defined in A.R.S. § 32-1201(21) affirming that all dental hygiene procedures defined in A.R.S. § 32-1281 were part of the education the applicant received.

C. For any application submitted under A.R.S. § 32-1276.07, the Board may request additional clarifying evidence required under R4-11-201(A).

D. If an applicant meets all the requirements set forth in this rule except that their current dental therapy license is from a state, territory, or district of the United States that does not include one or more of the following procedures in its legally defined scope, then the applicant must provide evidence of competency before being granted a dental therapy license by credential:

1. Fabricating soft occlusal guards;

Administering Nitrous Oxide Analgesia;

3. Performing nonsurgical extractions of periodontally diseased permanent teeth that exhibit plus or grade three mobility and that are not impacted, fractured, unerupted or in need of sectioning for removal;

Suturing; or

5. Placing space maintainers.

E. The board will accept the any of following as evidence of competency in the aforementioned procedures:

1. A certificate or credential in the procedure(s) issued by a state licensing jurisdiction; or

2. A signed affidavit from a recognized dental therapy school, recognized dental hygiene school, or recognized dental school, affirming that the applicant successfully completed academic coursework that included both theory and supervised clinical practice in the procedure(s).

F. Subject to A.R.S. § 32-1276.04, an applicant for licensure under this section shall pay the fee prescribed in A.R.S. § 32-1276.07, except the fee is reduced by 50% for applicants who will be employed or working under contract in:

1. Underserved areas, such as declared or eligible Health Professional Shortage Areas; or

2. Other facilities caring for underserved populations as recognized by the Arizona Department of Health Services and approved by the Board.

G. An applicant for dental therapist licensure by credential who works in areas or facilities described in subsection (F) shall:

1. Commit to a three-year, exclusive service period,

2. File a copy of a contract or employment verification statement with the Board, and

3. As a Licensee, submit an annual contract or employment verification statement to the Board by December 31 of each year.

H. A Licensee's failure to comply with the requirements in subsection (G) is considered unprofessional conduct and may result in disciplinary action based on the circumstances of the case.

History

• Former Rule 2f; Amended as an emergency effective July 7, 1978, pursuant to A.R.S. § 41-1003, valid for only 90 days (Supp. 78-4). Former emergency adoption now adopted and amended effective September 7, 1979 (Supp. 79-5). Former Section R4-11-16 renumbered as Section R4-11-206 and amended effective July 29, 1981 (Supp. 81-4). Former Section R4-11-206 repealed by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). New Section made by final rulemaking at 29 A.A.R. 1330, effective 7/10/2023.

Ariz. Admin. Code § R4-11-207 Repealed

History

• Former Rule 2g; Former Section R4-11-17 renumbered as Section R4-11-207, repealed, and new Section R4-11-207 adopted effective July 29, 1981 (Supp. 81-4). Former Section R4-11-207 repealed by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-11-208 Repealed

History

• Former Section R4-11-20 repealed, new Section R4-11-20 adopted effective May 12, 1977 (Supp. 77-3). Amended effective October 30, 1980 (Supp. 80-5). Former Section R4-11-20 renumbered as Section R4-11-208 without change effective July 29, 1981 (Supp. 81-4). Former Section R4-11-208 repealed by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-11-209 Repealed

History

• Adopted effective March 23, 1976 (Supp. 76-2). Former Section R4-11-19 renumbered as R4-11-209 and repealed. Former Section R4-11-21 renumbered as Section R4-11-209 and amended effective July 29, 1981 (Supp. 81-4). Former Section R4-11-209 repealed by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-11-210 Repealed

History

• Adopted effective March 23, 1976 (Supp. 76-2). Amended effective June 7, 1978 (Supp. 78-3). Former Section R4-11-22 renumbered as Section R4-11-210 and amended effective July 29, 1981 (Supp. 81-4). Former Section R4-11-210 repealed by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-11-211 Repealed

History

• Adopted effective August 26, 1977 (Supp. 77-4). Former Section R4-11-23 renumbered as Section R4-11-211 without change effective July 29, 1981 (Supp. 81-4). Former Section R4-11-211 repealed by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-11-212 Repealed

History

• Adopted effective March 28, 1978 (Supp. 78-2). Former Section R4-11-24 renumbered as Section R4-11-212 without change effective July 29, 1981 (Supp. 81-4). Former Section R4-11-212 repealed by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-11-213 Repealed

History

• Adopted as an emergency effective July 7, 1978, pursuant to A.R.S. § 41-1003, valid for only 90 days (Supp. 78-4). Former emergency adoption now adopted effective September 7, 1979 (Supp. 79-5). Former Section R4-11-25 renumbered as Section R4-11-213, repealed, and new Section R4-11-213 adopted effective July 29, 1981 (Supp. 81-4). Former Section R4-11-213 repealed by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-11-214 Repealed

History

• Former Rule 2h; Amended effective March 23, 1976 (Supp. 76-2). Former Section R4-11-18 renumbered as Section R4-11-214 without change effective July 29, 1981 (Supp. 81-4). Former Section R4-11-214 repealed by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-11-215 Repealed

History

• Adopted effective June 16, 1982 (Supp. 82-3). Former Section R4-11-215 repealed by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-11-216 Repealed

History

• Adopted effective June 16, 1982 (Supp. 82-3). Former Section R4-11-216 repealed by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1).

Article 3 EXAMINATIONS, LICENSING QUALIFICATIONS, APPLICATION AND RENEWAL, TIME-FRAMES

Ariz. Admin. Code § R4-11-301 Application

A. An applicant for licensure or certification shall provide the following information and documentation:

1. A sworn statement of the applicant's qualifications for the license or certificate on a form provided by the Board;

2. A photograph of the applicant that is no more than 6 months old;

3. An official, sealed transcript sent directly to the Board from either:

a. The applicant's dental, dental therapy, dental hygiene, or denturist school, or

b. A verified third-party transcript provider.

Except for a dental consultant license applicant, a dental, dental therapy, and dental hygiene license applicant shall provide proof of successfully completing a clinical examination by submitting:

a. If applying for dental licensure by examination, a copy of the certificate or scorecard sent to the Board directly from a clinical examination administered by a state or testing agency that meets the requirements of A.R.S. § 32-1233(2), indicating that the applicant passed a state or regional testing agency examination that meets the requirements of A.R.S. § 32-1233(2) within the five years immediately before the date the application is filed with the Board;

b. If applying for dental therapy licensure by examination, a copy of the certificate or scorecard sent to the Board directly from a clinical examination administered by a state, United States territory, District of Columbia or testing agency that meets the requirements of A.R.S. § 32-1276.01(B)(3)(a). The certificate or scorecard must indicate that the applicant passed the examination within the five years immediately before the date the application is filed with the Board. The application must also include the applicant's Arizona dental hygiene license number;

b.c. If applying for dental hygiene licensure by examination, a copy of the certificate or scorecard sent to the Board directly from a clinical examination administered by a state, United States territory, District of Columbia or testing agency that meets the requirements of A.R.S. § 32-1285(2). The certificate or scorecard must indicate that the applicant passed the examination within the five years immediately before the date the application is filed with the Board;

c. If applying for licensure by credential, certified documentation sent directly from the applicable state, United States territory, District of Columbia or regional testing agency to the Board containing the name of the applicant, date of examination or examinations and proof of a passing score;

5. Except for a dental consultant license applicant as provided in A.R.S. § 32-1234(A)(7), dental and dental hygiene license applicants must have an official scorecard sent directly from the National Board examination to the Board;

6. A copy showing the expiration date of the applicant's current cardiopulmonary resuscitation healthcare provider level certificate from the American Red Cross, the American Heart Association, or another certifying agency that follows the same procedures, standards, and techniques for cardiopulmonary resuscitation training and certification as the American Red Cross or American Heart Association;

7. A license or certification verification from any other jurisdiction in which an applicant is licensed or certified, sent directly from that jurisdiction to the Board. If the license verification cannot be sent directly to the Board from the other jurisdiction, the applicant must submit a written affidavit affirming that the license verification submitted was issued by the other jurisdiction;

8. If an applicant has been licensed or certified in another jurisdiction, a copy of the self-inquiry from the National Practitioner Data Bank that is no more than 30 calendar days old;

9. If a denturist applicant has been certified in another jurisdiction for more than six months, a copy of the self-inquiry from the Health Integrity and Protection Data Bank that is no more than 30 days old;

10.9. If the applicant is in the military or employed by the United States government, a letter sent to the Board directly from the applicant's commanding officer or supervisor verifying the applicant is licensed or certified by the military or United States government; and

11.10. The jurisprudence examination fee paid by a method authorized by law.

B. The Board may request that an applicant provide:

1. An official copy of the applicant's dental, dental therapy, dental hygiene, or denturist school diploma from the issuing institution;

2. A copy of a certified document that indicates the reason for a name change if the applicant's application contains different names;

3. Written verification of the applicant's work history; and

4. A copy of a high school diploma or equivalent certificate.

C. An applicant shall pass the Arizona jurisprudence examination with a minimum score of 75%.

History

• Former Rule 3A; Former Section R4-11-29 repealed, new Section R4-11-29 adopted effective April 27, 1977 (Supp. 77-2). Former Section R4-11-29 renumbered as Section R4-11-301 without change effective July 29, 1981 (Supp. 81-4). Former Section R4-11-301 repealed, new Section R4-11-301 renumbered from R4-11-201 and amended by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). Section amended by final rulemaking at 11 A.A.R. 793, effective April 2, 2005 (Supp. 05-1). Amended by final rulemaking at 22 A.A.R. 371, effective 4/3/2016. Amended by final rulemaking at 29 A.A.R. 1330, effective 7/10/2023.

Ariz. Admin. Code § R4-11-302 [Repealed]

History

• Former Rule 3B; Former Section R4-11-30 repealed, new Section R4-11-30 adopted effective April 27, 1977 (Supp. 77-2). Former Section R4-11-30 renumbered as Section R4-11-302 without change effective July 29, 1981 (Supp. 81-4). Former Section R4-11-302 repealed, new Section R4-11-302 renumbered from R4-11-203 and amended by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). Repealed by final rulemaking at 22 A.A.R. 371, effective 4/3/2016.

Ariz. Admin. Code § R4-11-303 Application Processing Procedures: Issuance, Denial, and Renewal of Dental Licenses, Dental Therapy Licenses, Restricted Permits, Dental Hygiene Licenses, Dental Consultant Licenses, Denturist Certificates, Drug or Device Dispensing Registrations, Business Entity Registration and Mobile Dental Facility and Portable Dental Unit Permits

A. The Board office shall complete an administrative completeness review within 30 calendar days of the date of receipt of an application for a license, certificate, permit, or registration.

1. Within 30 calendar days of receiving an initial or renewal application for a dental license, restricted permit, dental therapy license, dental hygiene license, dental consultant license, denturist certificate, Business Entity registration, mobile dental facility or portable dental unit permit, the Board office shall notify the applicant, in writing, whether the application package is complete or incomplete.

2. If the application package is incomplete, the Board office shall provide the applicant with a written notice that includes a comprehensive list of the missing information. The 30 calendar day time-frame for the Board office to finish the administrative completeness review is suspended from the date the notice of incompleteness is served until the applicant provides the Board office with all missing information.

3. If the Board office does not provide the applicant with notice regarding administrative completeness, the application package shall be deemed complete 30 calendar days after receipt by the Board office.

B. An applicant with an incomplete application package shall submit all missing information within 60 calendar days of service of the notice of incompleteness.

C. Upon receipt of all missing information, the Board office shall notify the applicant, in writing, within 30 calendar days, that the application package is complete. If an applicant fails to submit a complete application package within the time allowed in subsection (B), the Board office shall close the applicant's file. An applicant whose file is closed and who later wishes to obtain a license, certificate, permit, or registration shall apply again as required in R4-11-301.

D. The Board shall not approve or deny an application until the applicant has fully complied with the requirements of A.A.C. Title 4, Chapter 11, Article 3.

E. The Board shall complete a substantive review of the applicant's qualifications in no more than 90 calendar days from the date on which the administrative completeness review of an application package is complete.

1. If the Board finds an applicant to be eligible for a license, certificate, permit, or registration and grants the license, certificate, permit, or registration, the Board office shall notify the applicant in writing.

2. If the Board finds an applicant to be ineligible for a license, certificate, permit, or registration, the Board office shall issue a written notice of denial to the applicant that includes:

a. Each reason for the denial, with citations to the statutes or rules on which the denial is based;

b. The applicant's right to request a hearing on the denial, including the number of days the applicant has to file the request;

c. The applicant's right to request an informal settlement conference under A.R.S. § 41-1092.06; and

d. The name and telephone number of an agency contact person who can answer questions regarding the application process.

If the Board finds deficiencies during the substantive review of an application package, the Board office may issue a comprehensive written request to the applicant for additional documentation. An additional supplemental written request for information may be issued upon mutual agreement between the Board or Board office and the applicant.

4. The 90-day time-frame for a substantive review of an applicant's qualifications is suspended from the date of a written request for additional documentation until the date that all documentation is received. The applicant shall submit the additional documentation before the next regularly scheduled Board meeting.

5. If the applicant and the Board office mutually agree in writing, the 90-day substantive review time-frame may be extended once for no more than 28 days.

F. The following time-frames apply for an initial or renewal application governed by this Section:

1. Administrative completeness review time-frame: 30 calendar days.

Substantive review time-frame: 90 calendar days.

3. Overall time-frame: 120 calendar days.

G. An applicant whose license is denied has a right to a hearing, an opportunity for rehearing, and, if the denial is upheld, may seek judicial review pursuant to A.R.S. Title 41, Chapter 6, Article 10, and A.R.S. Title 12, Chapter 7, Article 6.

History

• Former Rule 3C; Former Section R4-11-31 renumbered as Section R4-11-303 without change effective July 29, 1981 (Supp. 81-4). Former Section R4-11-303 repealed, new Section R4-11-303 adopted by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). Section amended by final rulemaking at 11 A.A.R. 793, effective April 2, 2005 (Supp. 05-1). Amended by final rulemaking at 22 A.A.R. 371, effective 4/3/2016. Amended by final rulemaking at 28 A.A.R. 1885, effective 9/12/2022. Amended by final rulemaking at 29 A.A.R. 1330, effective 7/10/2023.

Ariz. Admin. Code § R4-11-304 Application Processing Procedures: Issuance and Denial of Dental Assistant Certificates Radiography Certification by Credential

A. Within 30 calendar days of receiving an application from an applicant for a dental assistant radiography certification by credential, the Board or its designee shall notify the applicant, in writing, that the application package is complete or incomplete. If the package is incomplete, the notice shall specify what information is missing.

B. An applicant with an incomplete application package shall supply the missing information within 60 calendar days from the date of the notice. If the applicant fails to do so, an applicant shall begin the application process anew.

C. Upon receipt of all missing information, within 10 calendar days, the Board or its designee shall notify the applicant, in writing, that the application is complete.

D. The Board or its designee shall not process an application until the applicant has fully complied with the requirements of this Article.

E. The Board or its designee shall notify an applicant, in writing, whether the certificate is granted or denied, no later than 90 calendar days after the date of the notice advising the applicant that the package is complete.

F. The notice of denial shall inform the applicant of the following:

1. The reason for the denial, with a citation to the statute or rule which requires the applicant to pass the examination;

2. The applicant's right to request a hearing on the denial, including the number of days the applicant has to file the request;

3. The applicant's right to request an informal settlement conference under A.R.S. § 41-1092.06; and

4. The name and telephone number of an agency contact person or a designee who can answer questions regarding the application process.

G. The following time-frames apply for certificate applications governed by this Section:

1. Administrative completeness review time-frame: 24 calendar days.

Substantive review time-frame: 90 calendar days.

3. Overall time-frame: 114 calendar days.

H. An applicant whose certificate is denied has a right to a hearing, an opportunity for rehearing, and, if the denial is upheld, may seek judicial review pursuant to A.R.S. Title 41, Chapter 6, Article 10, and A.R.S. Title 12, Chapter 7, Article 6.

History

• Former Rule 3D; Former Section R4-11-32 renumbered as Section R4-11-304 without change effective July 29, 1981 (Supp. 81-4). Former Section R4-11-304 repealed, new Section R4-11-304 adopted by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). Amended by final rulemaking at 22 A.A.R. 371, effective 4/3/2016. Amended by final rulemaking at 28 A.A.R. 1885, effective 9/12/2022.

Ariz. Admin. Code § R4-11-305 Application Processing Procedures: Issuance, Denial, and Renewal of General Anesthesia and Deep Sedation Permits, Parenteral Sedation Permits, Oral Sedation Permits, and Permit to Employ a Physician Anesthesiologist or Certified Registered Nurse Anesthetist

A. The Board office shall complete an administrative completeness review within 24 days from the date of the receipt of an application for a permit.

1. Within 30 calendar days of receiving an initial or renewal application for a General Anesthesia and Deep Sedation permit, parenteral sedation permit, Oral Sedation permit or permit to employ a physician anesthesiologist or Certified Registered Nurse Anesthetist the Board office shall notify the applicant, in writing, whether the application package is complete or incomplete.

2. If the application package is incomplete, the Board office shall provide the applicant with a written notice that includes a comprehensive list of the missing information. The 24-day time-frame for the Board office to finish the administrative completeness review is suspended from the date the notice of incompleteness is served until the applicant provides the Board office with all missing information.

3. If the Board office does not provide the applicant with notice regarding administrative completeness, the application package shall be deemed complete 24 days after receipt by the Board office.

B. An applicant with an incomplete application package shall submit all missing information within 60 calendar days of service of the notice of incompleteness.

C. Upon receipt of all missing information, the Board office shall notify the applicant, in writing, within 10 calendar days, that the application package is complete. If an applicant fails to submit a complete application package within the time allowed in subsection (B), the Board office shall close the applicant's file. An applicant whose file is closed and who later wishes to obtain a permit shall apply again as required in A.A.C. Title 4, Chapter 11, Article 13.

D. The Board shall not approve or deny an application until the applicant has fully complied with the requirements of this Section and A.A.C. Title 4, Chapter 11, Article 13.

E. The Board shall complete a substantive review of the applicant's qualifications in no more than 120 calendar days from the date on which the administrative completeness review of an application package is complete.

1. If the Board finds an applicant to be eligible for a permit and grants the permit, the Board office shall notify the applicant in writing.

2. If the Board finds an applicant to be ineligible for a permit, the Board office shall issue a written notice of denial to the applicant that includes:

a. Each reason for the denial, with citations to the statutes or rules on which the denial is based;

b. The applicant's right to request a hearing on the denial, including the number of days the applicant has to file the request;

c. The applicant's right to request an informal settlement conference under A.R.S. § 41-1092.06; and

d. The name and telephone number of an agency contact person who can answer questions regarding the application process.

If the Board finds deficiencies during the substantive review of an application package, the Board office shall issue a comprehensive written request to the applicant for additional documentation.

4. The 120-day time-frame for a substantive review of an applicant's qualifications is suspended from the date of a written request for additional documentation until the date that all documentation is received.

5. If the applicant and the Board office mutually agree in writing, the 120-day substantive review time-frame may be extended once for no more than 36 days.

F. The following time-frames apply for an initial or renewal application governed by this Section:

1. Administrative completeness review time-frame: 24 calendar days.

Substantive review time-frame: 120 calendar days.

3. Overall time-frame: 144 calendar days.

History

• New Section R4-11-305 adopted by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). Section amended by final rulemaking at 11 A.A.R. 793, effective April 2, 2005 (Supp. 05-1). Amended by final rulemaking at 22 A.A.R. 371, effective 4/3/2016. Amended by final rulemaking at 28 A.A.R. 1885, effective 9/12/2022.

Article 4 FEES

Ariz. Admin. Code § R4-11-401 Retired or Disabled Licensure Renewal Fee

As expressly authorized under A.R.S. § 32-1207(B)(3)(c), the licensure renewal fee for a Retired Licensee or Disabled Licensee is $15 and shall be paid by a method authorized by law.

History

• Adopted effective December 6, 1974 (Supp. 75-1). Amended effective March 23, 1976 (Supp. 76-2). Former Section R4-11-42 renumbered as Section R4-11-401 and repealed effective July 29, 1981 (Supp. 81-4). Adopted effective February 16, 1995 (Supp. 95-1). Former Section R4-11-401 repealed, new Section R4-11-401 renumbered from R4-11-901 and amended by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). Section repealed; new Section adopted by final rulemaking at 6 A.A.R. 748, effective February 2, 2000 (Supp. 00-1). Section amended by final rulemaking at 11 A.A.R. 793, effective April 2, 2005 (Supp. 05-1). Amended by final rulemaking at 22 A.A.R. 3697, effective 2/6/2017. Amended by final rulemaking at 29 A.A.R. 1330, effective 7/10/2023.

Ariz. Admin. Code § R4-11-402 Business Entity Fees

As expressly authorized under A.R.S. § 32-1213, the Board establishes and shall collect the following fees from a Business Entity offering dental services paid by credit card on the Board's website or by money order or cashier's check:

Initial triennial registration, $300 per location;

2. Renewal of triennial registration, $300 per location; and

3. Late triennial registration renewal, $100 per location in addition to the fee under subsection (2).

History

• Adopted effective December 6, 1974 (Supp. 75-1). amended effective March 23, 1976 (Supp. 76-2). Former Section R4-11-43 renumbered as Section R4-11-402, repealed, and new Section R4-11-402 adopted effective July 29, 1981 (Supp. 81-4). Amended effective February 16, 1995 (Supp. 95-1). Former Section R4-11-402 renumbered to R4-11-601, new Section R4-11-402 renumbered from R4-11-902 and amended by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). Section repealed; new Section adopted by final rulemaking at 6 A.A.R. 748, effective February 2, 2000 (Supp. 00-1). Section repealed; new Section made by final rulemaking at 11 A.A.R. 793, effective April 2, 2005 (05-1). Amended by final rulemaking at 22 A.A.R. 3697, effective 2/6/2017. Amended by final rulemaking at 28 A.A.R. 1885, effective 9/12/2022.

Ariz. Admin. Code § R4-11-403 Licensing Fees

A. As expressly authorized under A.R.S. §§ 32-1236, 32-1276.02, 32-1287, 32-1297.06, and 32-1299.23, the Board establishes and shall collect up to the following licensing fees paid by a method authorized by law:

1. Dentist triennial renewal fee: $650;

2. Dentist prorated initial license fee: $110;

3. Dental therapist triennial renewal fee: $375;

4. Dental therapist prorated initial license fee: $80;

5. Dental hygienist triennial renewal fee: $325;

6. Dental hygienist prorated initial license fee: $55;

7. Denturist triennial renewal fee: $300;

8. Denturist prorated initial license fee: $46; and

9. Mobile dental facility permit initial license or annual renewal fee: $200.

B. The following license-related fees are established in or expressly authorized by statute. The Board shall collect the following fees paid by a method authorized by law:

1. Jurisprudence examination fee:

a. Dentists: $300;

b. Dental therapists: $200;

c. Dental hygienists: $100; and

d. Denturists: $250.

2. Licensure by credential fee:

a. Dentists: $2,000; and

b. Dental therapists: $1,500;

c. Dental hygienists: $1,000.

3. Penalty to reinstate an expired license or certificate: $100 for a dentist, mobile dental facility permit, dental therapist, dental hygienist, or denturist in addition to renewal fee specified under subsection (A).

Penalty for a dentist, mobile dental facility permit, dental therapist, dental hygienist, or denturist who fails to notify Board of a change of mailing address:

a. Failure after 10 days: $50; and

b. Failure after 30 days: $100.

History

• Adopted effective December 6, 1974 (Supp. 75-1). Former Section R4-11-44 renumbered as Section R4-11-403 and repealed effective July 29, 1981 (Supp. 81-4). Adopted effective February 16, 1995 (Supp. 95-1). Former Section R4-11-403 renumbered to R4-11-602, new Section R4-11-403 renumbered from R4-11-903 and amended by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). Section repealed; new Section adopted by final rulemaking at 6 A.A.R. 748, effective February 2, 2000 (Supp. 00-1). Section repealed by final rulemaking at 11 A.A.R. 793, effective April 2, 2005 (05-1). Amended by final rulemaking at 22 A.A.R. 3697, effective 2/6/2017. Amended by final rulemaking at 29 A.A.R. 1330, effective 7/10/2023. Amended by final rulemaking at 29 A.A.R. 3791, effective 1/29/2024.

Ariz. Admin. Code § R4-11-404 Repealed

History

• Adopted effective December 6, 1974 (Supp. 75-1_. Former Section R4-11-45 renumbered as Section R4-11-404 without change effective July 29, 1981 (Supp. 81-4). Repealed effective February 16, 1995 (Supp. 95-1). New Section R4-11-404 renumbered from R4-11-904 and amended by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). Amended by final rulemaking at 6 A.A.R. 748, effective February 2, 2000 (Supp. 00-1). Section repealed by final rulemaking at 11 A.A.R. 793, effective April 2, 2005 (05-1).

Ariz. Admin. Code § R4-11-405 Charges for Board Services

The Board shall charge the following fees for the services provided paid by credit card on the Board's website or by money order or cashier's check:

1. Duplicate license: $25;

2. Duplicate certificate: $25;

3. License verification: $25;

b. For non-licensee: $5;

4. Copy of audio recording: $10;

Photocopies (per page): $.25;

Mailing lists of Licensees in digital format: $100

a. Dentists:

i. In-state licensees - paper or labels: $150;

ii. All licensees - paper or labels: $175; and

iii. Mailing list in digital format: $100;

b. Dental hygienists:

i. In-state licensees - paper or labels: $150;

ii. All licensees - paper or labels: $175; and

iii. Mailing list in digital format: $100; and

c. Denturists: All certificate holders - paper, labels, or digital format: $5; and

7. Board meeting agendas and minutes (mailed directly to consumer):

a. Agendas and minutes: $75 for 12 months;

b. Agendas only: $25 for 12 months; and

c. Minutes only: $50 for 12 months.

History

• Adopted effective December 6, 1974 (Supp. 75-1). Former Section R4-11-46 repealed, new Section R4-11-46 adopted effective March 23, 1976 (Supp. 76-2). Former Section R4-11-46 renumbered as Section R4-11-405 without change effective July 29, 1981 (Supp. 81-4). Repealed effective February 16, 1995 (Supp. 95-1). New Section R4-11-405 renumbered from R4-11-905 and amended by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). Amended by final rulemaking at 6 A.A.R. 748, effective February 2, 2000 (Supp. 00-1). Amended by final rulemaking at 22 A.A.R. 3697, effective 2/6/2017. Amended by final rulemaking at 28 A.A.R. 1885, effective 9/12/2022.

Ariz. Admin. Code § R4-11-406 Anesthesia and Sedation Permit Fees

A. As expressly authorized under A.R.S. § 32-1207, the Board establishes and shall collect the following fees:

1. Section 1301 permit fee: $300 plus $25 for each additional location;

Section 1302 permit fee: $300 plus $25 for each additional location;

3. Section 1303 permit fee: $300 plus $25 for each additional location; and

Section 1304 permit fee: $300 plus $25 for each additional location.

B. Upon successful completion of an initial onsite evaluation and upon receipt of the required permit fee, the Board shall issue a separate Section 1301, 1302, 1303, or 1304 permit to a dentist for each location requested by the dentist. A permit expires on December 31 of every fifth year.

C. Permit renewal fees:

1. Section 1301 permit renewal fee: $300 plus $25 for each additional location;

2. Section 1302 permit renewal fee: $300 plus $25 for each additional location;

3. Section 1303 permit renewal fee: $300 plus $25 for each additional location; and

4. Section 1304 permit renewal fee: $300 plus $25 for each additional location.

History

• Adopted effective March 23, 1976 (Supp. 76-2). Former Section R4-11-47 renumbered as Section R4-11-406 without change effective July 29, 1981 (Supp. 81-4). Repealed effective February 16, 1995 (Supp. 95-1). New Section R4-11-406 renumbered from R4-11-906 and amended by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). Section repealed; new Section R4-11-406 renumbered from R4-11-407 and amended by final rulemaking at 6 A.A.R. 748, effective February 2, 2000 (Supp. 00-1). Amended by final rulemaking at 9 A.A.R. 4130, effective November 8, 2003 (Supp. 03-3). Amended by final rulemaking at 22 A.A.R. 3697, effective 2/6/2017.

Ariz. Admin. Code § R4-11-407 Renumbered

History

• Adopted effective March 23, 1976 (Supp. 76-2). Former Section R4-11-48 renumbered as Section R4-11-407 without change effective July 29, 1981 (Supp. 81-4). Repealed effective February 16, 1995 (Supp. 95-1). New Section R4-11-407 renumbered from R4-11-909 and amended by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). Section R4-11-407 renumbered to R4-11-406 by final rulemaking at 6 A.A.R. 748, effective February 2, 2000 (Supp. 00-1).

Ariz. Admin. Code § R4-11-408 Repealed

History

• Adopted effective March 23, 1976 (Supp. 76-2). Former Section R4-11-49 renumbered as Section R4-11-408 without change effective July 29, 1981 (Supp. 81-4). Repealed effective February 16, 1995 (Supp. 95-1).

Ariz. Admin. Code § R4-11-409 Repealed

History

• Adopted effective September 12, 1985 (Supp. 85-5). Repealed effective July 21, 1995 (Supp. 95-3).

Article 5 DENTISTS

Ariz. Admin. Code § R4-11-501 Dentist of Record

A. A dentist of record shall ensure that each patient record has the treatment records for a patient treated in any dental office, clinic, hospital dental clinic, or charitable organization that offers dental services, and the full name of a dentist who is responsible for all of the patient's treatment.

B. A dentist of record shall obtain a patient's consent to change the treatment plan before changing the treatment plan that the patient originally agreed to, including any additional costs the patient may incur because of the change.

C. When a dentist who is a dentist of record decides to leave the practice of dentistry or a particular place of practice in which the dentist is the dentist of record, the dentist shall ensure before leaving the practice that a new dentist of record is entered on each patient record.

D. A dentist of record is responsible for the care given to a patient while the dentist was the dentist of record even after being replaced as the dentist of record by another dentist.

E. A dentist of record shall:

1. Remain responsible for the care of a patient during the course of treatment; and

2. Be available to the patient through the dentist's office, an emergency number, an answering service, or a substituting dentist.

F. A dentist's failure to comply with subsection (E) constitutes patient abandonment, and the Board may impose discipline under A.R.S. Title 32, Chapter 11, Article 3.

History

• Adopted effective December 6, 1974 (Supp. 75-1). Former Section R4-11-62 renumbered as Section R4-11-501 without change effective July 29, 1981 (Supp. 81-4). Former Section R4-11-501 repealed, new Section R4-11-501 renumbered from R4-11-1102 and amended by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). Section amended by final rulemaking at 11 A.A.R. 793, effective April 2, 2005 (Supp. 05-1).

Ariz. Admin. Code § R4-11-502 Affiliated Practice

A. A dentist in a private for profit setting shall not enter into more than 15 affiliated practice relationships under A.R.S. § 32-1289 at one time.

B. There is no limit to the number of affiliated practice relationships a dentist may enter into when working in a government, public health, or non-profit organization under Section 501(C)(3) of the Internal Revenue Code.

C. Each affiliated practice dentist shall be available telephonically or electronically during the business hours of the affiliated practice dental hygienist to provide an appropriate level of contact, communication, and consultation.

D. The affiliated practice agreement shall include a provision for a substitute dentist in addition to the requirements of A.R.S. § 32-1289(E), to cover an extenuating circumstance that renders the affiliated practice dentist unavailable for contact, communication, or consultation with the affiliated practice dental hygienist.

History

• Adopted effective December 6, 1974 (Supp. 75-1). Amended effective March 23, 1976 (Supp. 76-2). Former Section R4-11-63 renumbered as Section R4-11-502 without change effective July 29, 1981 (Supp. 81-4). Former Section R4-11-502 renumbered to R4-11-701 by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). New Section made by final rulemaking at 13 A.A.R. 962, effective May 5, 2007 (Supp. 07-1). Amended by final rulemaking at 29 A.A.R. 3793, effective 1/29/2024.

Ariz. Admin. Code § R4-11-503 Repealed

History

• Adopted effective December 6, 1974 (Supp. 75-1). Former Section R4-11-64 repealed, new Section R4-11-64 adopted effective March 23, 1976 (Supp. 76-2). Former Section R4-11-64 renumbered as Section R4-11-503 without change effective July 29, 1981 (Supp. 81-4). Former Section R4-11-503 repealed by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-11-504 Renumbered

History

• Adopted effective December 6, 1974 (Supp. 75-1). Former Section R4-11-65 repealed, new Section R4-11-65 adopted effective May 23, 1976 (Supp. 76-2). Former Section R4-11-65 renumbered as Section R4-11-504, repealed, and new Section R4-11-504 adopted effective July 29, 1981 (Supp. 81-4). Former Section R4-11-504 renumbered to R4-11-702 by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-11-505 Repealed

History

• Adopted effective March 23, 1976 (Supp. 76-2). Former Section R4-11-66 renumbered as Section R4-11-505 and repealed effective July 29, 1981 (Supp. 81-4).

Ariz. Admin. Code § R4-11-506 Repealed

History

• Adopted effective March 23, 1976 (Supp. 76-2). Former Section R4-11-67 renumbered as Section R4-11-506 and repealed effective July 29, 1981 (Supp. 81-4).

Article 6 DENTAL HYGIENISTS

Ariz. Admin. Code § R4-11-601 Duties and Qualifications

A. A dental hygienist may apply Preventative and Therapeutic Agents under the general supervision of a licensed dentist.

B. A dental hygienist may perform a procedure not specifically authorized by A.R.S. § 32-1281 when all of the following conditions are satisfied:

1. The procedure is recommended or prescribed by the supervising dentist;

2. The dental hygienist has received instruction, training, or education to perform the procedure in a safe manner; and

3. The procedure is performed under the general supervision of a licensed dentist.

C. The Board shall ensure that a dental hygienist is qualified to administer local anesthesia and nitrous oxide analgesia as authorized by A.R.S. § 32-1281(F)(1) and (2), by requiring evidence that the hygienist has completed courses in techniques taught at a recognized dental hygiene school or recognized dental school, as defined in A.R.S. § 32-1201(16) and (17), that consist of a minimum of 36 clock hours of instruction, and has passed examinations in theoretical knowledge and clinical competency in the following subject areas:

1. Review of head and neck anatomy;

2. Pharmacology of anesthetic and analgesic agents;

3. Medical - dental history considerations;

4. Emergency procedures;

5. Selection of appropriate armamentarium and agents;

6. Nitrous oxide administration;

7. Clinical practice, under direct supervision, as defined in A.R.S. § 32-1281(H)(1), including at least three experiences administering each of the following:

a. Posterior superior alveolar injection,

b. Middle superior alveolar injection,

c. Anterior superior alveolar injection,

d. Nasopalatine injection,

e. Greater - palatine injection,

f. Inferior alveolar nerve injection,

g. Lingual injection,

h. Mental injection,

i. Long buccal injections, and

j. Nitrous oxide analgesia.

D. In addition to the recognized course of study described in subsection (C), the hygienist shall successfully complete the examination in local anesthesia given by the Western Regional Examining Board. The hygienist shall submit proof of the successful completion of the local anesthesia examination to the Board. The Board shall then issue a Local Anesthesia Certificate.

E. For purposes of qualification of a dental hygienist to place interrupted sutures as authorized by A.R.S. § 32-1281(F)(3), the Board recognizes courses in advanced periodontal therapy offered by a recognized dental hygiene school or a recognized dental school, as defined in A.R.S. § 32-1201(16) and (17), that consist of a minimum of 200 clock hours of instruction and require a dental hygienist's successful completion of those examinations of a theoretical knowledge and clinical competency in the following subject areas:

1. A review of oral histology,

2. Inflammation and pathogenesis of a periodontal pocket,

3. Patient assessment,

4. Dental hygiene treatment planning,

5. Advanced root planning and debridement,

6. Subgingival curettage,

7. Suturing,

8. Wound repair and new attachment, and

9. Clinical experience in each of the following:

a. Root planning,

b. Subgingival curettage, and

c. Suturing.

F. The hygienist shall submit proof of the successful completion of a recognized course in advanced periodontal therapy, as described in subsection (E), to the Board. The Board shall then issue a certification sticker for Suture Placement, which shall be affixed to the hygienist's license.

G.C. A dental hygienist shall not perform an Irreversible Procedure.

H.D. To qualify to use Emerging Scientific Technology as authorized by A.R.S. § 32-1281(C)(2), a dental hygienist shall successfully complete a course of study that meets the following criteria:

1. Is a course offered by a recognized dental school as defined in A.R.S. § 32-1201, a recognized dental hygiene school as defined in A.R.S. § 32-1201, or sponsored by a national or state dental or dental hygiene association or government agency;

2. Includes didactic instruction with a written examination;

3. Includes hands-on clinical instruction; and

4. Is technology that is scientifically based and supported by studies published in peer reviewed dental journals.

History

• Adopted effective December 6, 1974 (Supp. 75-1). Former Section R4-11-82 renumbered as Section R4-11-601 without change effective July 29, 1981 (Supp. 81-4). Former Section R4-11-601 repealed, new Section R4-11-601 renumbered from R4-11-402 and amended by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). Amended by final rulemaking at 13 A.A.R. 962, effective May 5, 2007 (Supp. 07-1). Amended by final rulemaking at 28 A.A.R. 1885, effective 9/12/2022.

Ariz. Admin. Code § R4-11-602 Care of Homebound Patients

Dental hygienists treating homebound patients shall provide only treatment prescribed by the dentist of record in the diagnosis and treatment plan. The diagnosis and treatment plan shall be based on examination data obtained not more than 12 months before the treatment is administered.

History

• Adopted effective December 6, 1974 (Supp. 75-1). Former Section R4-11-83 renumbered as Section R4-11-602 without change effective July 29, 1981 (Supp. 81-4). Former Section R4-11-602 renumbered to R4-11-1001, new Section R4-11-602 renumbered from R4-11-403 and amended by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-11-603 Limitation on Number Supervised

A dentist shall not supervise more than three dental hygienists at a time.

History

• Adopted effective December 6, 1974 (Supp. 75-1). Former Section R4-11-84 renumbered as Section R4-11-603 without change effective July 29, 1981 (Supp. 81-4). Former Section R4-11-603 renumbered to R4-11-1002, new Section R4-11-603 renumbered from R4-11-408 and amended by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-11-604 Selection Committee and Process

A. The Board shall appoint a selection committee to screen candidates for the dental hygiene committee. The selection committee consists of three members. The Board shall appoint at least two members who are dental hygienists and one member who is a current Board member. The Board shall fill any vacancy for the unexpired portion of the term.

B. Each selection committee member's term is one year.

C. By majority vote, the selection committee shall nominate each candidate for the dental hygiene committee and transmit a list of names to the Board for approval, including at least one alternate.

History

• New Section R4-11-604 adopted by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-11-605 Dental Hygiene Committee

A. The Board shall appoint seven members to the dental hygiene committee as follows:

One dentist appointed at the annual December Board meeting, currently serving as a Board member, for a one year term;

2. One dental hygienist appointed at the annual December Board meeting, currently serving as a Board member and possessing the qualifications required in Article 6, for a one-year term;

3. Four dental hygienists that possess the qualifications required in Article 6; and

4. One lay person.

B. Except for members appointed as prescribed in subsections (A)(1) and (2), the Board shall appoint dental hygiene committee members for staggered terms of three years, beginning January 1, 1999, and limit each member to two consecutive terms. The Board shall fill any vacancy for the unexpired portion of the term.

C. The dental hygiene committee shall annually elect a chairperson at the first meeting convened during the calendar year.

History

• New Section R4-11-605 adopted by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-11-606 Candidate Qualifications and Submissions

A. A dental hygienist who seeks membership on the dental hygiene committee shall possess a license in good standing, issued by the Board.

B. A dental hygienist who is not a Board member and qualifies under subsection (A) shall submit a letter of intent and resume to the Board.

C. The selection committee shall consider all of the following criteria when nominating a candidate for the dental hygiene committee:

1. Geographic representation,

2. Experience in postsecondary curriculum analysis and course development,

3. Public health experience, and

4. Dental hygiene clinical experience.

History

• New Section R4-11-606 adopted by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-11-607 Duties of the Dental Hygiene Committee

A. The committee shall advise the Board on all matters relating to the regulation of dental hygienists.

B. In performing the duty in subsection (A), the committee may:

Act as a liaison for the Board, promoting communication and providing a forum for discussion of dental hygiene regulatory issues;

2. Review applications, syllabi, and related materials and make recommendations to the Board regarding certification of courses in Local Anesthesia, Nitrous Oxide Analgesia, and suture placement under Article 6 and other procedures which may require certification under Article 6;

3. Review documentation submitted by dental hygienists to determine compliance with the continuing education requirement for license renewal under Article 12 and make recommendations to the Board regarding compliance;

4. Make recommendations to the Board concerning statute and rule development which affect dental hygienists' education, licensure, regulation, or practice;

5. Provide advice to the Board on standards and scope of practice which affect dental hygiene practice;

6. Provide ad hoc committees to the Board upon request;

7. Request that the Board consider recommendations of the committee at the next regularly scheduled Board meeting; and

8. Make recommendations to the Board for approval of dental hygiene consultants.

C. Committee members who are licensed dentists or dental hygienists may serve as dental hygiene examiners or Board consultants.

D. The committee shall meet at least two times per calendar year. The chairperson or the president of the Board, or their respective designees, may call a meeting of the committee.

E. The Board may assign additional duties to the committee.

History

• New Section R4-11-607 adopted by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). Amended by final rulemaking at 28 A.A.R. 1885, effective 9/12/2022.

Ariz. Admin. Code § R4-11-608 Dental Hygiene Consultants

After submission of a current curriculum vitae or resume and approval by the Board, dental hygiene consultants may:

1. Act as dental hygiene examiners for the clinical portion of the dental hygiene examination;

2. Act as dental hygiene examiners for the Local Anesthesia portion of the dental hygiene examination;

3. Participate in Board-related procedures, including Clinical Evaluations, investigation of complaints concerning infection control, insurance fraud, or the practice of supervised personnel, and any other procedures not directly related to evaluating a dentist's quality of care; and

4. Participate in onsite office evaluations for infection control, as part of a team.

History

• New Section R4-11-608 adopted by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). Amended by final rulemaking at 28 A.A.R. 1885, effective 9/12/2022.

Ariz. Admin. Code § R4-11-609 Affiliated Practice

A. To perform dental hygiene services under an affiliated practice relationship pursuant to A.R.S. § 32-1289.01, a dental hygienist shall:

1. Provide evidence to the Board of successfully completing a total of 12 hours of Recognized Continuing Dental Education that consists of the following subject areas:

a. A minimum of four hours in medical emergencies; and

b. A minimum of eight hours in at least two of the following areas:

i. Pediatric or other special health care needs,

ii. Preventative dentistry, or

iii. Public health community-based dentistry, and

2. Hold a current certificate in basic cardiopulmonary resuscitation.

B. A dental hygienist shall complete the required continuing dental education before entering an affiliated practice relationship. The dental hygienist shall complete the continuing dental education in subsection (A) before renewing the dental hygienist's license. The dental hygienist may take the continuing dental education online but shall not exceed the allowable hours indicated in R4-11-1209(B)(1).

C. To comply with A.R.S. § 32-1287(B) and this Section, a dental hygienist shall submit a completed affidavit on a form supplied by the Board office. Board staff shall review the affidavit to determine compliance with all requirements.

D. A dental hygienist who practices or applies to practice under an affiliated practice relationship shall ensure that all signatures in an affiliated practice agreement, amendment, notification, and affidavit are notarized.

E.D. Each affiliated practice dentist shall be available telephonically or electronically during the business hours of the affiliated practice dental hygienist to provide an appropriate level of contact, communication, and consultation.

F.E. The affiliated practice agreement shall include a provision for a substitute dentist, to cover an extenuating circumstance that renders the affiliated practice dentist unavailable for contact, communication, and consultation with the affiliated practice dental hygienist.

History

• New Section made by final rulemaking at 13 A.A.R. 962, effective May 5, 2007 (Supp. 07-1). Amended by final rulemaking at 28 A.A.R. 1885, effective 9/12/2022.

Article 7 DENTAL ASSISTANTS

Ariz. Admin. Code § R4-11-701 Procedures and Functions Performed by a Dental Assistant under Supervision

A. A dental assistant may perform the following procedures and functions under the Direct Supervision of a licensed dentist or a licensed dental therapist:

1. Place dental material into a patient's mouth in response to a licensed dentist's or licensed dental therapist's instruction;

2. Cleanse the supragingival surface of the tooth in preparation for:

a. The placement of bands, crowns, and restorations;

b. Dental dam application;

c. Acid etch procedures; and

d. Removal of dressings and packs;

Remove excess cement from inlays, crowns, bridges, and orthodontic appliances with hand instruments;

4. Remove temporary cement, interim restorations, and periodontal dressings with hand instruments;

5. Remove sutures;

6. Place and remove dental dams and matrix bands;

7. Fabricate and place interim restorations with temporary cement;

8. Apply sealants;

9. Apply topical fluorides;

10. Take final digital impressions for any activating orthodontic appliance, fixed, or removable prosthesis;

10.11. Prepare a patient for Nitrous Oxide Analgesia administration upon the direct instruction and presence of a dentist or licensed dental therapist; or

11.12. Observe a patient during Nitrous Oxide Analgesia as instructed by the dentist or licensed dental therapist.

B. A dental assistant may perform the following procedures and functions under the general supervision of a licensed dentist or a licensed dental therapist:

1. Train or instruct patients in oral hygiene techniques, preventive procedures, dietary counseling for caries and Plaque control, and provide pre-and post-operative instructions relative to specific office treatment;

2. Collect and record information pertaining to extraoral conditions; and

3. Collect and record information pertaining to existing intraoral conditions.

History

• Adopted effective April 27, 1977 (Supp. 77-2). Former Section R4-11-100 renumbered as Section R4-11-701 and amended effective July 29, 1981 (Supp. 81-4). Former Section R4-11-701 renumbered to R4-11-1701, new Section R4-11-701 renumbered from R4-11-502 and amended by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). Amended by final rulemaking at 29 A.A.R. 1330, effective 7/10/2023.

Ariz. Admin. Code § R4-11-702 Limitations on Procedures or Functions Performed by a Dental Assistant under Supervision

A dental assistant shall not perform the following procedures or functions:

1. A procedure which by law only licensed dentists, licensed dental therapists, licensed dental hygienists, or certified denturists can perform;

2. Intraoral carvings of dental restorations or prostheses;

3. Final jaw registrations;

4. Taking final impressions, other than digital impressions, for any activating orthodontic appliance, fixed or removable prosthesis;

5. Activating orthodontic appliances; or

6. An Irreversible Procedure.

History

• Adopted effective April 27, 1977 (Supp. 77-2). Former Section R4-11-101 renumbered as Section R4-11-702 without change effective July 29, 1981 (Supp. 81-4). Former Section R4-11-702 repealed, new Section R4-11-702 renumbered from R4-11-504 and amended by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). Amended by final rulemaking at 29 A.A.R. 1330, effective 7/10/2023.

Ariz. Admin. Code § R4-11-703 Repealed

History

• Adopted effective April 27, 1977 (Supp. 77-2). Former Section R4-11-102 renumbered as Section R4-11-703 without change effective July 29, 1981 (Supp. 81-4). Former Section R4-11-703 repealed by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-11-704 Repealed

History

• Adopted effective April 27, 1977 (Supp. 77-2). Former Section R4-11-103 renumbered as Section R4-11-704 without change effective July 29, 1981 (Supp. 81-4). Former Section R4-11-704 repealed by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-11-705 Repealed

History

• Adopted effective April 27, 1977 (Supp. 77-2). Former Section R4-11-104 renumbered as Section R4-11-705 without change effective July 29, 1981 (Supp. 81-4). Former Section R4-11-705 repealed by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-11-706 Repealed

History

• Adopted effective April 27, 1977 (Supp. 77-2). Former Section R4-11-105 renumbered as Section R4-11-706 without change effective July 29, 1981 (Supp. 81-4). Former Section R4-11-706 repealed by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-11-707 Repealed

History

• Adopted effective April 27, 1977 (Supp. 77-2). Former Section R4-11-106 renumbered as Section R4-11-707 without change effective July 29, 1981 (Supp. 81-4). Former Section R4-11-707 repealed by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-11-708 Repealed

History

• Adopted effective April 27, 1977 (Supp. 77-2). Former Section R4-11-107 renumbered as Section R4-11-708 without change effective July 29, 1981 (Supp. 81-4). Former Section R4-11-708 repealed by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-11-709 Repealed

History

• Adopted effective April 27, 1977 (Supp. 77-2). Former Section R4-11-108 renumbered as Section R4-11-709 without change effective July 29, 1981 (Supp. 81-4). Former Section R4-11-709 repealed by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-11-710 Repealed

History

• Adopted effective April 27, 1977 (Supp. 77-2). Former Section R4-11-109 renumbered as Section R4-11-710 without change effective July 29, 1981 (Supp. 81-4). Former Section R4-11-710 repealed by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1).

Article 8 DENTURISTS

Ariz. Admin. Code § R4-11-801 Expired

History

• Adopted effective March 28, 1978 (Supp. 78-2). Former Section R4-11-120 renumbered as Section R4-11-801 without change effective July 29, 1981 (Supp. 81-4). Section R4-11-801 repealed, new Section filed April 4, 1986, adopted effective January 1, 1988 (Supp. 86-2). Amended effective May 17, 1995 (Supp. 95-2). Former Section R4-11-801 repealed, new Section R4-11-801 renumbered from R4-11-1201 and amended by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). Section amended by final rulemaking at 11 A.A.R. 793, effective April 2, 2005 (Supp. 05-1). Section expired under A.R.S. § 41-1056(J) at 23 A.A.R. 2575, effective August 25, 2017 (Supp. 17-3).

Ariz. Admin. Code § R4-11-802 Expired

History

• Adopted effective March 28, 1978 (Supp. 78-2). Former Section R4-11-121 renumbered as Section R4-11-802 without change effective July 29, 1981 (Supp. 81-4). Section R4-11-802 repealed, new Section filed April 4, 1986, adopted effective January 1, 1988 (Supp. 86-2). Amended effective May 17, 1995 (Supp. 95-2). Former Section R4-11-802 renumbered to R4-11-1301, new Section R4-11-802 renumbered from R4-11-1202 and amended by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). Section amended by final rulemaking at 11 A.A.R. 793, effective April 2, 2005 (Supp. 05-1). Section expired under A.R.S. § 41-1056(J) at 23 A.A.R. 2575, effective August 25, 2017 (Supp. 17-3).

Ariz. Admin. Code § R4-11-803 Renumbered

History

• Adopted effective March 28, 1978 (Supp. 78-2). Former Section R4-11-122 renumbered as Section R4-11-803 without change effective July 29, 1981 (Supp. 81-4). Section R4-11-803 repealed, new Section filed April 4, 1986, adopted effective January 1, 1988 (Supp. 86-2). Amended effective May 17, 1995 (Supp. 95-2). Former Section R4-11-803 renumbered to R4-11-1302 by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-11-804 Renumbered

History

• Adopted effective March 28, 1978 (Supp. 78-2). Former Section R4-11-123 renumbered as Section R4-11-804 without change effective July 29, 1981 (Supp. 81-4). Section R4-11-804 repealed, new Section filed April 4, 1986, adopted effective January 1, 1988 (Supp. 86-2). Former Section R4-11-804 renumbered to R4-11-1303 by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-11-805 Renumbered

History

• Adopted as filed April 4, 1986, adopted effective January 1, 1988 (Supp. 86-2). Amended effective May 17, 1995 (Supp. 95-2). Former Section R4-11-805 renumbered to R4-11-1304 by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-11-806 Renumbered

History

• Adopted effective May 17, 1995 (Supp. 95-2). Former Section R4-11-806 renumbered to R4-11-1305 by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1).

Article 9 RESTRICTED PERMITS

Ariz. Admin. Code § R4-11-901 Application for Restricted Permit

A. An applicant for a restricted permit shall provide the following information and documentation on a form provided by the Board:

1. A sworn statement of the applicant's qualifications for a restricted permit;

2. A photograph of the applicant that is no more than six months old;

3. A letter from any other jurisdiction in which an applicant is licensed or certified verifying that the applicant is licensed or certified in that jurisdiction, sent directly from that jurisdiction to the Board;

4. If the applicant is in the military or employed by the United States government, a letter from the applicant's commanding officer or supervisor verifying the applicant is licensed or certified by the military or United States government;

5. A copy of the applicant's current cardiopulmonary resuscitation certification that meets the requirements of R4-11-301(A)(6); and

6. A copy of the applicant's pending contract with a Charitable Dental Clinic or Organization offering dental or dental hygiene services.

B. The Board may request that an applicant provide a copy of a certified document that indicates the reason for a name change if the applicant's application contains different names.

History

• Adopted effective September 7, 1979 (Supp. 79-5). Former Section R4-11-130 renumbered as Section R4-11-901, repealed, and new Section R4-11-901 adopted effective July 29, 1981 (Supp. 81-4). Amended effective April 4, 1986 (Supp. 86-2). Emergency amendment adopted effective June 18, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-2). Emergency expired. Adopted effective July 13, 1992 (Supp. 92-3). Former Section R4-11-901 renumbered to R4-11-401, new Section R4-11-901 renumbered from R4-11-1001 and amended by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). Section amended by final rulemaking at 11 A.A.R. 793, effective April 2, 2005 (Supp. 05-1). Amended by final rulemaking at 28 A.A.R. 1885, effective 9/12/2022.

Ariz. Admin. Code § R4-11-902 Issuance of a Restricted Permit

Before issuing a restricted permit under A.R.S. §§ 32-1237 through 32-1239 or 32-1292, the Board shall investigate the statutory qualifications of the charitable dental clinic or organization. The Board shall not recognize a dental clinic or organization under A.R.S. §§ 32-1237 through 32-1239 or 32-1292 as a charitable dental clinic or organization permitted to employ dentists or dental hygienists not licensed in Arizona who hold restricted permits unless the Board makes the following findings of fact:

1. That the entity is a dental clinic or organization offering professional dental or dental hygiene services in a manner consistent with the public health;

2. That the dental clinic or organization offering dental or dental hygiene services is operated for charitable purposes only, offering dental or dental hygiene services either without compensation to the clinic or organization or with compensation at the minimum rate to provide only reimbursement for dental supplies and overhead costs;

3. That the persons performing dental or dental hygiene services for the dental clinic or organization do so without compensation; and

4. That the charitable dental clinic or organization operates in accordance with applicable provisions of law.

History

• Adopted effective September 7, 1979 (Supp. 79-5). Former Section R4-11-131 renumbered as Section R4-11-902, repealed, and new Section R4-11-902 adopted effective July 29, 1981 (Supp. 81-4). Amended effective April 4, 1986 (Supp. 86-2). Emergency amendment adopted effective June 18, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-2). Emergency expired. Adopted effective July 13, 1992 (Supp. 92-3). Former Section R4-11-902 renumbered to R4-11-402, new Section R4-11-902 renumbered from R4-11-1002 and amended by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). Section amended by final rulemaking at 11 A.A.R. 793, effective April 2, 2005 (Supp. 05-1).

Ariz. Admin. Code § R4-11-903 Recognition of a Charitable Dental Clinic or Organization

In order for the Board to make the findings required in R4-11-902, the charitable clinic or organization shall provide information to the Board, such as employment contracts with restricted permit holders, Articles and Bylaws, and financial records.

History

• Adopted effective September 7, 1979 (Supp. 79-5). Former Section R4-11-132 renumbered as Section R4-11-903, repealed, and new Section R4-11-903 adopted effective July 29, 1981 (Supp. 81-4). Former Section R4-11-903 renumbered to R4-11-403, new Section R4-11-903 renumbered from R4-11-1003 and amended by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). Amended by final rulemaking at 29 A.A.R. 3793, effective 1/29/2024.

Ariz. Admin. Code § R4-11-904 Determination of Minimum Rate

In determining whether professional services are provided at the minimum rate to provide reimbursement for dental supplies and overhead costs under A.R.S. §§ 32-1237(1) or 32-1292(A)(1), the Board shall obtain and review information relating to the actual cost of dental supplies to the dental clinic or organization, the actual overhead costs of the dental clinic or organization, the amount of charges for the dental or dental hygiene services offered, and any other information relevant to its inquiry.

History

• Adopted effective September 7, 1979 (Supp. 79-5). Former Section R4-11-133 renumbered as Section R4-11-904 without change effective July 29, 1981 (Supp. 81-4). Former Section R4-11-904 renumbered to R4-11-404, new Section R4-11-904 renumbered from R4-11-1004 and amended by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). Section amended by final rulemaking at 11 A.A.R. 793, effective April 2, 2005 (Supp. 05-1).

Ariz. Admin. Code § R4-11-905 Expired

History

• Adopted effective September 7, 1979 (Supp. 79-5). Former Section R4-11-134 renumbered as Section R4-11-905 without change effective July 29, 1981 (Supp. 81-4). Amended effective April 4, 1986 (Supp. 86-2). Former Section R4-11-905 renumbered to R4-11-405, new Section R4-11-905 renumbered from R4-11-1005 and amended by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). Section amended by final rulemaking at 11 A.A.R. 793, effective April 2, 2005 (Supp. 05-1). Section expired under A.R.S. § 41-1056(J) at 23 A.A.R. 2575, effective August 25, 2017 (Supp. 17-3).

Ariz. Admin. Code § R4-11-906 Expired

History

• Adopted effective July 29, 1981 (Supp. 81-4). Amended effective April 4, 1986 (Supp. 86-4). Emergency amendment adopted effective June 18, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-2). Emergency expired. Adopted effective July 13, 1992 (Supp. 92-3). Former Section R4-11-906 renumbered to R4-11-406, new Section R4-11-906 adopted by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). Section expired under A.R.S. § 41-1056(J) at 23 A.A.R. 2575, effective August 25, 2017 (Supp. 17-3).

Ariz. Admin. Code § R4-11-907 Repealed

History

• Adopted effective April 4, 1986 (Supp. 86-2). Former Section R4-11-907 repealed by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-11-908 Repealed

History

• Adopted effective April 4, 1986 (Supp. 86-2). Former Section R4-11-908 repealed by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-11-909 Renumbered

History

• Adopted effective May 17, 1995 (Supp. 95-2). Former Section R4-11-909 renumbered to R4-11-407 by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1).

Article 10 DENTAL TECHNICIANS

Ariz. Admin. Code § R4-11-1001 Expired

History

• Adopted effective November 28, 1980 (Supp. 80-6). Former Section R4-11-140 renumbered as Section R4-11-1001 without change effective July 29, 1981 (Supp. 81-4). Former Section R4-11-1001 renumbered to R4-11-901, new Section R4-11-1001 renumbered from R4-11-602 and amended by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). Section expired under A.R.S. § 41-1056(J) at 23 A.A.R. 2575, effective August 25, 2017 (Supp. 17-3).

Ariz. Admin. Code § R4-11-1002 Expired

History

• Adopted effective November 28, 1980 (Supp. 80-6). Former Section R4-11-141 renumbered as Section R4-11-1002 without change effective July 29, 1981 (Supp. 81-4). Former Section R4-11-1002 renumbered to R4-11-902, new Section R4-11-1002 renumbered from R4-11-603 and amended by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). Section expired under A.R.S. § 41-1056(J) at 23 A.A.R. 2575, effective August 25, 2017 (Supp. 17-3).

Ariz. Admin. Code § R4-11-1003 Renumbered

History

• Adopted effective November 28, 1980 (Supp. 80-6). Former Section R4-11-142 renumbered as Section R4-11-1003 without change effective July 29, 1981 (Supp. 81-4). Former Section R4-11-1003 renumbered to R4-11-903 by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-11-1004 Renumbered

History

• Adopted effective November 28, 1980 (Supp. 80-6). Former Section R4-11-143 renumbered as Section R4-11-1004 without change effective July 29, 1981 (Supp. 81-4). Former Section R4-11-1004 renumbered to R4-11-904 by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-11-1005 Renumbered

History

• Adopted effective November 28, 1980 (Supp. 80-6). Former Section R4-11-144 renumbered as Section R4-11-1005 without change effective July 29, 1981 (Supp. 81-4). Former Section R4-11-1005 renumbered to R4-11-905 by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-11-1006 Repealed

History

• Adopted effective September 12, 1985 (Supp. 85-5). Repealed effective July 21, 1995 (Supp. 95-3).

Article 11 ADVERTISING

Ariz. Admin. Code § R4-11-1101 Advertising

A dentist may advertise specific dental services or certification in a non-specialty area only if the advertisement includes the phrase "Services provided by an Arizona licensed general dentist." A dental hygienist may advertise specific dental hygiene services only if the advertisement includes the phrase "Services provided by an Arizona licensed dental hygienist." A denturist may advertise specific denture services only if the advertisement includes the phrase "Services provided by an Arizona certified denturist."

History

• Adopted effective July 29, 1981 (Supp. 81-4). Amended by repealing the former guideline on "Management of Craniomandibular Disorders" and adopting a new guideline effective June 16, 1982 (Supp. 82-3). Repealed effective November 20, 1992 (Supp. 92-4). Former Section R4-11-1101 repealed, new Section R4-11-1101 adopted by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). Section amended by final rulemaking at 11 A.A.R. 793, effective April 2, 2005 (Supp. 05-1).

Ariz. Admin. Code § R4-11-1102 Advertising As a Recognized Specialist

A. A dentist may advertise as a specialist or use the terms "specialty" or "specialist" to describe professional services only if the dentist limits the dentist's practice exclusively to one or more specialty area that are:

1. Recognized by a board that certifies specialists for the area of specialty; and

2. Accredited by the Commission on Dental Accreditation of the American Dental Association.

B. The following specialty areas meet the requirements of subsection (A):

Endodontics,

2. Oral and maxillofacial surgery,

Orthodontics and dentofacial orthopedics,

4. Pediatric dentistry,

5. Periodontics,

6. Prosthodontics,

7. Dental Public Health,

8. Oral and Maxillofacial Pathology, and

9. Oral and Maxillofacial Radiology.

C. For purposes of this Article, a dentist who wishes to advertise as a specialist or a multiple-specialist in a recognized field under subsection (B) shall meet the criteria in one or more of the following categories:

1. Grandfathered: A dentist who declared a specialty area before December 31, 1964, according to requirements established by the American Dental Association, and has a practice limited to a dentistry area approved by the American Dental Association;

2. Educationally qualified: A dentist who has successfully completed an educational program of two or more years in a specialty area accredited by the Commission on Dental Accreditation of the American Dental Association, as specified by the Council on Dental Education of the American Dental Association;

Board eligible: A dentist who has met the guidelines of a specialty board that operates in accordance with the requirements established by the American Dental Association in a specialty area recognized by the Board, if the specialty board:

a. Has established examination requirements and standards,

b. Appraised an applicant's qualifications,

c. Administered comprehensive examinations, and

d. Upon completion issues a certificate to a dentist who has achieved diplomate status; or

4. Board certified: A dentist who has met the requirements of a specialty board referenced in subsection (C)(3), and who has received a certificate from the specialty board, indicating the dentist has achieved diplomate status.

D. A dentist, dental hygienist, or denturist whose advertising implies that services rendered in a dental office are of a specialty area other than those listed in subsection (B) and recognized by a specialty board that has been accredited by the Commission on Dental Accreditation of the American Dental Association violates this Article and A.R.S. § 32-1201(18)(u), and is subject to discipline under A.R.S. Title 32, Chapter 11.

History

• Adopted effective July 29, 1981 (Supp. 81-4). Former Section R4-11-1102 renumbered to R4-11-501 by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). New Section made by final rulemaking at 11 A.A.R. 793, effective April 2, 2005 (Supp. 05-1).

Ariz. Admin. Code § R4-11-1104 Repealed

History

• Adopted effective November 25, 1985 (Supp. 85-6). Former Section R4-11-1104 repealed by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-11-1105 Repealed

History

• Adopted effective September 12, 1985 (Supp. 85-5). Repealed effective July 21, 1995 (Supp. 95-3).

Article 12 CONTINUING DENTAL EDUCATION AND RENEWAL REQUIREMENTS

Ariz. Admin. Code § R4-11-1201 Continuing Dental Education

A. A licensee or certificate holder shall:

Satisfy a continuing dental education requirement that is designed to provide an understanding of current developments, skills, procedures, or treatment related to the licensee's or certificate holder's practice; and

2. Complete the recognized continuing dental education required by this Article each renewal period.

B. A licensee or certificate holder receiving an initial license or certificate shall complete the prescribed credit hours of recognized continuing dental education by the end of the first full renewal period.

History

• Adopted effective May 21, 1982 (Supp. 82-3). Former Section R4-11-1201 renumbered to R4-11-801, new Section R4-11-1201 renumbered from R4-11-1402 and amended by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). Section amended by final rulemaking at 11 A.A.R. 793, effective April 2, 2005 (Supp. 05-1).

Ariz. Admin. Code § R4-11-1202 Continuing Dental Education Compliance and Renewal Requirements

A. When applying for a renewal license, certificate, or restricted permit, a Licensee, denturist, or Restricted Permit Holder shall complete a renewal application provided by the Board.

B. Before receiving a renewal license or certificate, each Licensee or denturist shall possess a current form of one of the following:

1. A cardiopulmonary resuscitation healthcare provider level certificate from the American Red Cross, the American Heart Association, or another certifying agency;

2. Advanced cardiac life support course completion confirmation from the American Heart Association or another agency. The confirmation must indicate that the course was completed within two years immediately before submitting a renewal application; or

3. Pediatric advanced life support course completion confirmation from the American Heart Association or another agency. The confirmation must indicate that the course was completed within two years immediately before submitting a renewal application.

C. A Licensee or denturist shall include an affidavit affirming the Licensee's or denturist's completion of the prescribed Credit Hours of Recognized Continuing Dental Education with a renewal application. A Licensee or denturist shall include on the affidavit the Licensee's or denturist's name, license or certificate number, the number of hours completed in each category, and the total number of hours completed for activities defined in R4-11-1209(A)(4).

D. A Licensee or denturist shall submit a written request for an extension before the renewal deadline prescribed in A.R.S. §§ 32-1236, 32-1276.02, 32-1287, and 32-1297.06. If a Licensee or denturist fails to meet the Credit Hours requirement because of military service, dental or religious missionary activity, residence in a foreign country, or other extenuating circumstances as determined by the Board, the Board, upon written request, may grant an extension of time to complete the Recognized Continuing Dental Education Credit Hour requirement.

E. The Board shall:

1. Only accept Recognized Continuing Dental Education credits accrued during the prescribed period immediately before license or certificate renewal, and

2. Not allow Recognized Continuing Dental Education credit accrued in a renewal period in excess of the amount required in this Article to be carried forward to the next renewal period.

F. A Licensee or denturist shall maintain Documentation of Attendance for each program for which credit is claimed that verifies the Recognized Continuing Dental Education Credit Hours the Licensee or denturist participated in during the most recently completed renewal period.

G. Each year, the Board shall audit continuing dental education requirement compliance on a random basis or when information is obtained which indicates a Licensee or denturist may not be in compliance with this Article. A Licensee or denturist selected for audit shall provide the Board with Documentation of Attendance that shows compliance with the continuing dental education requirements within 35 calendar days from the date the Board issues notice of the audit by certified mail.

H. If a Licensee or denturist is found to not be in compliance with the continuing dental education requirements, the Board may take any disciplinary or non-disciplinary action authorized by A.R.S. Title 32, Chapter 11.

History

• Adopted effective May 21, 1982 (Supp. 82-3). Former Section R4-11-1202 renumbered to R4-11-802, new Section R4-11-1202 renumbered from R4-11-1403 and amended by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). Section amended by final rulemaking at 11 A.A.R. 793, effective April 2, 2005 (Supp. 05-1). Amended by final rulemaking at 26 A.A.R. 923, effective 8/3/2015. Amended by final rulemaking at 28 A.A.R. 344, effective 3/14/2022. Amended by final rulemaking at 28 A.A.R. 1898, effective 9/12/2022.

Ariz. Admin. Code § R4-11-1203 Dentists and Dental Consultants

Dentists and dental consultants shall complete 72 63 hours of recognized continuing dental education Recognized Continuing Dental Education in each renewal period as follows:

1. At least 36 Credit Hours in any one or more of the following areas: Dental and medical health, preventive services, dental diagnosis and treatment planning, dental recordkeeping, dental clinical procedures, managing medical emergencies, pain management, dental public health, and courses in corrective and restorative oral health and basic dental sciences, which may include current research, new concepts in dentistry, chemical dependency, tobacco cessation, and behavioral and biological sciences that are oriented to dentistry. A Licensee who holds a permit to administer General Anesthesia, Deep Sedation, Parenteral Sedation, or Oral Sedation who is required to obtain continuing education pursuant to Article 13 may apply those Credit Hours to the requirements of this Section;

2. No more than 15 Credit Hours in one or more of the following areas: Dental practice organization and management, patient management skills, and methods of health care delivery;

3. At least three Credit Hours in opioid education;

4. At least three Credit Hours in infectious diseases or infectious disease control;

5. At least three Credit Hours in cardiopulmonary resuscitation healthcare provider level, Advanced cardiac life support or Pediatric advanced life support. Coursework may be completed online if the course requires a physical demonstration of skills; and

6. At least three Credit Hours in ethics or Arizona dental jurisprudence.

History

• Adopted effective September 12, 1985 (Supp. 85-5). Repealed effective July 21, 1995 (Supp. 95-3). New Section R4-11-1203 renumbered from R4-11-1404 and amended by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). Section amended by final rulemaking at 11 A.A.R. 793, effective April 2, 2005 (Supp. 05-1). Amended by final rulemaking at 28 A.A.R. 1898, effective 9/12/2022.

Ariz. Admin. Code § R4-11-1204 Dental Hygienists

A. A dental hygienist shall complete 45 Credit Hours of Recognized Continuing Dental Education in each renewal period as follows:

1. At least 25 Credit Hours in any one or more of the following areas: Dental and medical health, and dental hygiene services, periodontal disease, care of implants, maintenance of cosmetic restorations and sealants, radiology safety and techniques, managing medical emergencies, pain management, dental recordkeeping, dental public health, and new concepts in dental hygiene;

No more than 11 Credit Hours in one or more of the following areas: Dental hygiene practice organization and management, patient management skills, and methods of health care delivery;

At least three Credit Hours in one or more of the following areas: chemical dependency, tobacco cessation, ethics, risk management, or Arizona dental jurisprudence;

4. At least three Credit Hours in infectious diseases or infectious disease control; and

5. At least three Credit Hours in cardiopulmonary resuscitation healthcare provider level, Advanced cardiac life support and Pediatric advanced life support. Coursework may be completed online if the course re-quires a physical demonstration of skills.

B. A Licensee who performs dental hygiene services under an affiliated practice relationship who is required to obtain continuing education under R4-11-609 may apply those Credit Hours to the requirements of this Section.

History

• New Section R4-11-1204 renumbered from R4-11-1405 and amended by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). Section amended by final rulemaking at 11 A.A.R. 793, effective April 2, 2005 (Supp. 05-1). Amended by final rulemaking at 13 A.A.R. 962, effective May 5, 2007 (Supp. 07-1). Amended by final rulemaking at 28 A.A.R. 1898, effective 9/12/2022.

Ariz. Admin. Code § R4-11-1205 Denturists

Denturists shall complete 36 27 credit hours Credit Hours of recognized continuing dental education Recognized Continuing Dental Education in each renewal period as follows:

At least 15 Credit Hours in any one or more of the following areas: Medical and dental health, laboratory procedures, clinical procedures, dental recordkeeping, removable prosthetics, pain management, dental public health, and new technology in dentistry;

No more than three Credit Hours in one or more of the following areas: Denturist practice organization and management, patient management skills, and methods of health care delivery;

At least one Credit Hour in chemical dependency, which may include tobacco cessation;

4. At least two Credit Hours in infectious diseases or infectious disease control;

5. At least three Credit Hours in cardiopulmonary resuscitation healthcare provider level, Advanced cardiac life support and Pediatric advanced life support. Coursework may be completed online if the course re-quires a physical demonstration of skills; and

6. At least three Credit Hours in ethics or Arizona dental jurisprudence.

History

• New Section R4-11-1205 renumbered from R4-11-1406 and amended by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). Section amended by final rulemaking at 11 A.A.R. 793, effective April 2, 2005 (Supp. 05-1). Amended by final rulemaking at 28 A.A.R. 1898, effective 9/12/2022.

Ariz. Admin. Code § R4-11-1206 Restricted Permit Holders - Dental

In addition to the requirements in R4-11-1202, a dental restricted permit holder Restricted Permit Holder shall comply with the following requirements:

1. When applying for renewal under A.R.S. § 32-1238, the Restricted Permit Holder shall provide information to the Board that the Restricted Permit Holder has completed 15 Credit Hours of Recognized Continuing Dental Education yearly.

2. To determine whether to grant the renewal, the Board shall only consider Recognized Continuing Dental Education credits accrued during the 36 months immediately before the renewal deadline prescribed in A.R.S. § 32-1236.

3. A dental Restricted Permit Holder shall complete the 15 hours of Recognized Continuing Dental Education before renewal as follows:

a. At least six Credit Hours in one or more of the subjects enumerated in R4-11-1203(1);

b. No more than three Credit Hours in one or more of the subjects enumerated in R4-11-1203(2);

c. At least one Credit Hour in the subjects enumerated in R4-11-1203(3);

d. At least one Credit Hour in the subjects enumerated in R4-11-1203(4).

e. At least three Credit Hours in the subjects enumerated in R4-11-1203(5); and

f. At least one Credit Hour in the subjects enumerated in R4-11-1203(6).

History

• New Section R4-11-1206 renumbered from R4-11-1407 and amended by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). Section amended by final rulemaking at 11 A.A.R. 793, effective April 2, 2005 (Supp. 05-1). Amended by final rulemaking at 28 A.A.R. 344, effective 3/14/2022. Amended by final rulemaking at 28 A.A.R. 1898, effective 9/12/2022.

Ariz. Admin. Code § R4-11-1207 Restricted Permit Holders - Dental Hygiene

In addition to the requirements in R4-11-1202, a dental hygiene Restricted Permit Holder shall comply with the following:

1. When applying for renewal under A.R.S. § 32-1292, the Restricted Permit Holder shall provide information to the Board that the Restricted Permit Holder has completed nine Credit Hours of Recognized Continuing Dental Education yearly.

2. To determine whether to grant renewal, the Board shall only consider Recognized Continuing Dental Education credits accrued during the 36 months immediately before the renewal deadline prescribed in A.R.S. § 32-1287.

3. A dental hygiene Restricted Permit Holder shall complete the nine hours of Recognized Continuing Dental Education before renewal as follows:

a. At least three Credit Hours in one or more of the subjects enumerated in R4-11-1204(1);

b. No more than three Credit Hours in one or more of the subjects enumerated in R4-11-1204(2);

c. At least one Credit Hour in the subjects enumerated in R4-11-1204(3);

d. At least two Credit Hours in the subjects enumerated in R4-11-1204(4) and

e. At least three Credit Hours in the subjects enumerated in R4-11-1204(5).

History

• New Section R4-11-1207 renumbered from R4-11-1408 and amended by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). Section repealed; new Section made by final rulemaking at 11 A.A.R. 793, effective April 2, 2005 (Supp. 05-1). Amended by final rulemaking at 28 A.A.R. 344, effective 3/14/2022. Amended by final rulemaking at 28 A.A.R. 1899, effective 9/12/2022.

Ariz. Admin. Code § R4-11-1209 Types of Courses

A. A Licensee or denturist shall obtain Recognized Continuing Dental Education from one or more of the following activities:

1. Seminars, symposiums, lectures, or programs designed to provide an understanding of current developments, skills, procedures, or treatment related to the practice of dentistry;

2. Seminars, symposiums, lectures, or programs designed to provide an understanding of current developments, skills, procedures, or treatment related to the practice of dentistry by means of audio-video technology in which the Licensee is provided all seminar, symposium, lecture or program materials and the technology permits attendees to fully participate; or

3. Curricula designed to prepare for specialty board certification as a specialist or recertification examinations or advanced training at an accredited institution as defined in A.R.S. Title 32, Chapter 11; and

4. Subject to the limitations in subsection (B), any of the following activities that provide an understanding of current developments, skills, procedures, or treatment related to the practice of dentistry:

a. A correspondence course, video, internet or similar self-study course, if the course includes an examination and the Licensee or denturist passes the examination;

b. Participation on the Board, in Board complaint investigations including Clinical Evaluations or anesthesia and sedation permit evaluations;

c. Participation in peer review of a national or state dental, dental therapy, dental hygiene, or denturist association or participation in quality of care or utilization review in a hospital, institution, or governmental agency;

d. Providing dental-related instruction to dental, dental therapy, dental hygiene, or denturist students, or allied health professionals in a recognized dental school, recognized dental therapy school, recognized dental hygiene school, or recognized denturist school or providing dental-related instruction sponsored by a national, state, or local dental, dental therapy, dental hygiene, or denturist association;

e. Publication or presentation of a dental paper, report, or book authored by the Licensee or dentur-ist that provides information on current developments, skills, procedures, or treatment related to the practice of dentistry. A Licensee or denturist may claim Credit Hours:

i. Only once for materials presented;

ii. Only if the date of publication or original presentation was during the applicable renewal period; and

iii. One Credit Hour for each hour of preparation, writing, and presentation; or

f. Providing dental, dental therapy, dental hygiene, or denturist services in a Board-recognized Charitable Dental Clinic or Organization.

B. The following limitations apply to the total number of Credit Hours earned per renewal period in any combination of the activities listed in subsection (A)(4):

Dentists, no more than 21 hours;

Dental therapists, no more than 18 hours;

3. Dental hygienists, no more than 15 hours;

4. Denturists, no more than nine hours;

3.5. Retired or Restricted Permit Holder dentists, dental therapists, or dental hygienists, no more than two hours; and

4.6. Retired denturists, no more than two hours.

History

• New Section made by final rulemaking at 11 A.A.R. 793, effective April 2, 2005 (Supp. 05-1). Amended by final rulemaking at 28 A.A.R. 1899, effective 9/12/2022.

Ariz. Admin. Code § R4-11-1210 Dental Therapists

Dental therapists shall complete 54 hours of Recognized Continuing Dental Education in each renewal period as follows:

1. At least 31 Credit Hours in any one or more of the following areas: Dental and medical health, dental therapy services, dental therapy treatment planning, preventive services, dental diagnosis and treatment planning, dental recordkeeping, dental clinical procedures, managing medical emergencies, pain management, dental public health, periodontal disease, care of implants, maintenance of cosmetic restorations and sealants, radiology safety and techniques, and courses in corrective and restorative oral health and basic dental sciences, which may include current research, new concepts in dentistry, and behavioral and biological sciences that are oriented to dentistry;

2. No more than 14 Credit Hours in any one or more of the following areas: Dental practice organization and management, patient management skills, and methods of health care delivery;

3. At least three Credit Hours in infectious diseases or infectious disease control;

4. At least three Credit Hours in cardiopulmonary resuscitation healthcare provider level, advanced cardiac life support or pediatric advanced life support. Coursework may be completed online if the course requires a physical demonstration of skills; and

5. At least three Credit Hours in any one or more of the following areas: ethics, risk management, chemical dependency, tobacco cessation, or Arizona dental jurisprudence.

History

• New Section made by final rulemaking at 29 A.A.R. 1330, effective 7/10/2023.

Article 13 GENERAL ANESTHESIA AND SEDATION

Ariz. Admin. Code § R4-11-1301 General Anesthesia and Deep Sedation

A. Before administering General Anesthesia, or Deep Sedation by any means, in a dental office or dental clinic, a dentist shall possess a Section 1301 Permit issued by the Board. The dentist may renew a Section 1301 Permit every five years by complying with R4-11-1307.

B. To obtain or renew a Section 1301 Permit, a dentist shall:

1. Submit a completed application on a form provided by the Board office that, in addition to the requirements of subsections (B)(2) and (3), and R4-11-1307, includes:

a. General information about the applicant such as:

i. Name;

ii. Home and office addresses and telephone numbers;

iii. Limitations of practice;

iv. Hospital affiliations;

v. Denial, curtailment, revocation, or suspension of hospital privileges;

vi. Denial of membership in, denial of renewal of membership in, or disciplinary action by a dental organization; and

vii. Denial of licensure by, denial of renewal of licensure by, or disciplinary action by a dental regulatory body; and

b. The dentist's dated and signed affidavit stating that the information provided is true, and that the dentist has read and complied with the Board's statutes and rules;

2. On forms provided by the Board, provide a dated and signed affidavit attesting that any office or dental clinic where the dentist will administer General Anesthesia or Deep Sedation:

a. Contains the following properly operating equipment and supplies during the provision of General Anesthesia and Deep Sedation:

i. Emergency Drugs;

ii. Electrocardiograph monitor;

iii. Pulse oximeter;

iv. Cardiac defibrillator or automated external defibrillator;

v. Positive pressure oxygen and supplemental oxygen;

vi. Suction equipment, including endotracheal, tonsillar, or pharyngeal and emergency backup medical suction device;

vii. Laryngoscope, multiple blades, backup batteries, and backup bulbs;

viii. Endotracheal tubes and appropriate connectors;

ix. Magill forceps;

x. Oropharyngeal and nasopharyngeal airways;

xi. Auxiliary lighting;

xii. Stethoscope; and

xiii. Blood pressure monitoring device; and

b. Maintains a staff of supervised personnel capable of handling procedures, complications, and emergency incidents. All personnel involved in administering and monitoring General Anesthesia or Deep Sedation shall hold a current course completion confirmation in cardiopulmonary resuscitation healthcare provider level;

3. Hold a valid license to practice dentistry in this state;

4. Maintain a current permit to prescribe and administer Controlled Substances in this state issued by the United States Drug Enforcement Administration; and

5. Provide confirmation of completing coursework within the two years prior to submitting the permit application in one or more of the following:

a. Advanced cardiac life support from the American Heart Association or another agency that follows the same procedures, standards, and techniques for training as the American Heart Association;

b. Pediatric advanced life support in a practice treating pediatric patients; or

c. A recognized continuing education course in advanced airway management.

C. Initial applicants shall meet one or more of the following conditions by submitting to the Board verification of meeting the condition directly from the issuing institution:

1. Complete, within the three years before submitting the permit application, a full credit load, as defined by the training program, during one calendar year of training, in anesthesiology or related academic subjects, beyond the undergraduate dental school level in a training program described in R4-11-1306(A), offered by a hospital accredited by the Joint Commission on Accreditation of Hospitals Organization, or sponsored by a university accredited by the American Dental Association Commission on Dental Accreditation;

2. Be, within the three years before submitting the permit application, a Diplomate of the American Board of Oral and Maxillofacial Surgeons or eligible for examination by the American Board of Oral and Maxillofacial surgeons, a Fellow of the American Association of Oral and Maxillofacial surgeons, a Fellow of the American Dental Society of Anesthesiology, a Diplomate of the National Dental Board of Anesthesiology, or a Diplomate of the American Dental Board of Anesthesiology; or

3. For an applicant who completed the requirements of subsections (C)(1) or (C)(2) more than three years before submitting the permit application, provide the following documentation:

a. On a form provided by the Board, a written affidavit affirming that the applicant has administered General Anesthesia or Deep Sedation to a minimum of 25 patients within the year before submitting the permit application or 75 patients within the last five years before submitting the permit application;

b. A copy of the General Anesthesia or Deep Sedation permit in effect in another state or certification of military training in General Anesthesia or Deep Sedation from the applicant's commanding officer; and

c. On a form provided by the Board, a written affidavit affirming the completion of 30 clock hours of continuing education taken within the last five years as outlined in R4-11-1306(B)(1)(a) through (f).

D. After submitting the application and written evidence of compliance with requirements in subsection (B) and, if applicable, subsection (C) to the Board, the applicant shall schedule an onsite evaluation by the Board during which the applicant shall administer General Anesthesia or Deep Sedation. After the applicant completes the application requirements and successfully completes the onsite evaluation, a Section 1301 Permit shall be issued to the applicant.

The onsite evaluation team shall consist of:

a. Two dentists who are Board members, or Board designees for initial applications; or

b. One dentist who is a Board member or Board designee for renewal applications.

2. The onsite team shall evaluate the following:

a. The availability of equipment and personnel as specified in subsection (B)(2);

b. Proper administration of General Anesthesia or Deep Sedation to a patient by the applicant in the presence of the evaluation team;

c. Successful responses by the applicant to oral examination questions from the evaluation team about patient management, medical emergencies, and emergency medications;

d. Proper documentation of Controlled Substances, that includes a perpetual inventory log showing the receipt, administration, dispensing, and destruction of Controlled Substances;

e. Proper recordkeeping as specified in subsection (E) by reviewing the records generated for the patient specified in subsection (D)(2)(b); and

f. For renewal applicants, records supporting continued competency as specified in R4-11-1306.

3. The evaluation team shall recommend one of the following:

a. Pass. Successful completion of the onsite evaluation;

b. Conditional Approval for failing to have appropriate equipment, proper documentation of Controlled Substances, or proper recordkeeping. The applicant must submit proof of correcting the deficiencies before a permit is issued;

c. Category 1 Evaluation Failure. The applicant must review the appropriate subject matter and schedule a subsequent evaluation by two Board Members or Board designees not less than 30 days from the failed evaluation. An example is failure to recognize and manage one emergency;

d. Category 2 Evaluation Failure. The applicant must complete Board approved continuing education in subject matter within the scope of the onsite evaluation as identified by the evaluators and schedule a subsequent evaluation by two Board Members or Board designees not less than 60 days from the failed evaluation. An example is failure to recognize and manage more than one emergency; or

e. Category 3 Evaluation Failure. The applicant must complete Board approved remedial continuing education with the subject matter outlined in R4-11-1306 as identified by the evaluators and reapply not less than 90 days from the failed evaluation. An example is failure to recognize and manage an anesthetic urgency.

4. The onsite evaluation of an additional dental office or dental clinic in which General Anesthesia or Deep Sedation is administered by an existing Section 1301 Permit holder may be waived by the Board staff upon receipt in the Board office of an affidavit verifying compliance with subsection (D)(2)(a).

5. A Section 1301 mobile permit may be issued if a Section 1301 Permit holder travels to dental offices or dental clinics to provide anesthesia or Deep Sedation. The applicant must submit a completed affidavit verifying:

a. That the equipment and supplies for the provision of anesthesia or Deep Sedation as required in subsection (B)(2)(a) either travel with the Section 1301 Permit holder or are in place and in appropriate condition at the dental office or dental clinic where anesthesia or Deep Sedation is provided, and

b. Compliance with subsection (B)(2)(b).

E. A Section 1301 Permit holder shall keep an anesthesia or Deep Sedation record for each General Anesthesia and Deep Sedation procedure that includes the following entries:

1. Pre-operative and post-operative electrocardiograph documentation;

2. Pre-operative, intra-operative, and post-operative pulse oximeter documentation;

3. Pre-operative, intra-operative, and post-operative blood pressure and vital sign documentation;

4. A list of all medications given, with dosage and time intervals, and route and site of administration;

5. Type of catheter or portal with gauge;

6. Indicate nothing by mouth or time of last intake of food or water;

7. Consent form; and

8. Time of discharge and status, including name of escort.

F. The Section 1301 Permit holder, for intravenous access, shall use a new infusion set, including a new infusion line and new bag of fluid, for each patient.

G. The Section 1301 Permit holder shall utilize supplemental oxygen for patients receiving General Anesthesia or Deep Sedation for the duration of the procedure.

H. The Section 1301 Permit holder shall continuously supervise the patient from the initiation of anesthesia or Deep Sedation until termination of the anesthesia or Deep Sedation procedure and oxygenation, ventilation, and circulation are stable. The Section 1301 Permit holder shall not commence with the administration of a subsequent anesthetic case until the patient is in monitored recovery or meets the guidelines for discharge.

I. A Section 1301 Permit holder may employ the following health care professionals to provide anesthesia or sedation services and shall ensure that the health care professional continuously supervises the patient from the administration of anesthesia or sedation until termination of the anesthesia or sedation procedure and oxygenation, ventilation, and circulation are stable:

1. An allopathic or osteopathic physician currently licensed in Arizona by the Arizona Medical Board or the Arizona Board of Osteopathic Examiners who has successfully completed a residency program in anesthesiology approved by the American Council on Graduate Medical Education or the American Osteopathic Association or who is certified by either the American Board of Anesthesiology or the American Osteopathic Board of Anesthesiology and is credentialed with anesthesia privileges through an Arizona licensed medical facility, or

2. A Certified Registered Nurse Anesthetist currently licensed in Arizona who provides services under the Nurse Practice Act in A.R.S. Title 32, Chapter 15.

J. A Section 1301 Permit holder may also administer parenteral sedation without obtaining a Section 1302 Permit.

History

• New Section R4-11-1301 renumbered from R4-11-802 and amended by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). Amended by final rulemaking at 9 A.A.R. 1054, effective May 6, 2003 (Supp. 03-1). Amended by final rulemaking at 19 A.A.R. 341, effective April 6, 2013 (Supp. 13-1). Amended by final rulemaking at 28 A.A.R. 1885, effective 9/12/2022.

Ariz. Admin. Code § R4-11-1302 Parenteral Sedation

A. Before administering parenteral sedation in a dental office or dental clinic, a dentist shall possess a Section 1302 permit Permit issued by the Board. The dentist may renew a Section 1302 permit Permit every five years by complying with R4-11-1307.

1. A Section 1301 Permit holder may also administer parenteral sedation.

A Section 1302 Permit holder shall not administer or employ any agents which have a narrow margin for maintaining consciousness including, but not limited to, ultra-short acting barbiturates, propofol, parenteral ketamine, or similarly acting Drugs, agents, or techniques, or any combination thereof that would likely render a patient deeply sedated, generally anesthetized or otherwise not meeting the conditions of Moderate Sedation.

B. To obtain or renew a Section 1302 Permit, the dentist shall:

1. Submit a completed application on a form provided by the Board office that, in addition to the requirements of subsections (B)(2) and (3) and R4-11-1307, includes:

a. General information about the applicant such as:

i. Name;

ii. Home and office addresses and telephone numbers;

iii. Limitations of practice;

iv. Hospital affiliations;

v. Denial, curtailment, revocation, or suspension of hospital privileges;

vi. Denial of membership in, denial of renewal of membership in, or disciplinary action by a dental organization; and

vii. Denial of licensure by, denial of renewal of licensure by, or disciplinary action by a dental regulatory body; and

b. The dentist's dated and signed affidavit stating that the information provided is true, and that the dentist has read and complied with the Board's statutes and rules;

2. On forms provided by the Board, provide a dated and signed affidavit attesting that any dental office or dental clinic where the dentist will administer parenteral sedation by intravenous or intramuscular route:

a. Contains the following properly operating equipment and supplies during the provision of parenteral sedation by the permit holder or General Anesthesia or Deep Sedation by a physician anesthesiologist or Certified Registered Nurse Anesthetist:

i. Emergency Drugs;

ii. Positive pressure oxygen and supplemental oxygen;

iii. Stethoscope;

iv. Suction equipment, including tonsillar or pharyngeal and emergency backup medical suction device;

v. Oropharyngeal and nasopharyngeal airways;

vi. Pulse oximeter;

vii. Auxiliary lighting;

viii. Blood pressure monitoring device; and

ix. Cardiac defibrillator or automated external defibrillator; and

b. Maintains a staff of supervised personnel capable of handling procedures, complications, and emergency incidents, including at least one staff member who:

i. Holds a current course completion confirmation in cardiopulmonary resuscitation healthcare provider level;

ii. Is present during the parenteral sedation procedure; and

iii. After the procedure, monitors the patient until discharge;

3. Hold a valid license to practice dentistry in this state;

4. Maintain a current permit to prescribe and administer Controlled Substances in this state issued by the United States Drug Enforcement Administration;

5. Provide confirmation of completing coursework within the two years prior to submitting the permit application in one or more of the following:

a. Advanced cardiac life support from the American Heart Association or another agency that follows the same procedures, standards, and techniques for training as the American Heart Association;

b. Pediatric advanced life support in a practice treating pediatric patients; or

c. A recognized continuing education course in advanced airway management.

C. Initial applicants shall meet one of the following conditions by submitting to the Board verification of meeting the condition directly from the issuing institution:

1. Successfully complete Board-recognized undergraduate, graduate, or postgraduate education within the three years before submitting the permit application, that includes the following:

a. Sixty didactic hours of basic parenteral sedation to include:

i. Physical evaluation;

ii. Management of medical emergencies;

iii. The importance of and techniques for maintaining proper documentation; and

iv. Monitoring and the use of monitoring equipment; and

b. Hands-on administration of parenteral sedative medications to at least 20 patients in a manner consistent with this Section; or

2. An applicant who completed training in parenteral sedation more than three years before submitting the permit application shall provide the following documentation:

a. On a form provided by the Board, a written affidavit affirming that the applicant has administered parenteral sedation to a minimum of 25 patients within the year or 75 patients within the last five years before submitting the permit application;

b. A copy of the parenteral sedation permit in effect in another state or certification of military training in parenteral sedation from the applicant's commanding officer; and

c. On a form provided by the Board, a written affidavit affirming the completion of 30 clock hours of continuing education taken within the last five years as outlined in R4-11-1306(B)(1)(b) through (f).

D. After submitting the application and written evidence of compliance with requirements outlined in subsection (B) and, if applicable, subsection (C) to the Board, the applicant shall schedule an onsite evaluation by the Board during which the applicant shall administer parenteral sedation. After the applicant completes the application requirements and successfully completes the onsite evaluation, the Board shall issue a Section 1302 Permit to the applicant.

1. The onsite evaluation team shall consist of:

a. Two dentists who are Board members, or Board designees for initial applications, or

b. One dentist who is a Board member or Board designee for renewal applications.

2. The onsite team shall evaluate the following:

a. The availability of equipment and personnel as specified in subsection (B)(2);

b. Proper administration of parenteral sedation to a patient by the applicant in the presence of the evaluation team;

c. Successful responses by the applicant to oral examination questions from the evaluation team about patient management, medical emergencies, and emergency medications;

d. Proper documentation of Controlled Substances, that includes a perpetual inventory log showing the receipt, administration, dispensing, and destruction of all Controlled Substances;

e. Proper recordkeeping as specified in subsection (E) by reviewing the records generated for the patient receiving parenteral sedation as specified in subsection (D)(2)(b); and

f. For renewal applicants, records supporting continued competency as specified in R4-11-1306.

3. The evaluation team shall recommend one of the following:

a. Pass. Successful completion of the onsite evaluation;

b. Conditional Approval for failing to have appropriate equipment, proper documentation of Controlled Substances, or proper recordkeeping. The applicant must submit proof of correcting the deficiencies before a permit is issued;

c. Category 1 Evaluation Failure. The applicant must review the appropriate subject matter and schedule a subsequent evaluation by two Board Members or Board designees not less than 30 days from the failed evaluation. An example is failure to recognize and manage one emergency;

d. Category 2 Evaluation Failure. The applicant must complete Board approved continuing education in subject matter within the scope of the onsite evaluation as identified by the evaluators and schedule a subsequent evaluation by two Board Members or Board designees not less than 60 days from the failed evaluation. An example is failure to recognize and manage more than one emergency; or

e. Category 3 Evaluation Failure. The applicant must complete Board approved remedial continuing education with the subject matter outlined in R4-11-1306 as identified by the evaluators and reapply not less than 90 days from the failed evaluation. An example is failure to recognize and manage an anesthetic urgency.

4. The onsite evaluation of an additional dental office or dental clinic in which parenteral sedation is administered by an existing Section 1302 Permit holder may be waived by the Board staff upon receipt in the Board office of an affidavit verifying compliance with subsection (D)(2)(a).

5. A Section 1302 mobile permit may be issued if a Section 1302 Permit holder travels to dental offices or dental clinics to provide parenteral sedation. The applicant must submit a completed affidavit verifying:

a. That the equipment and supplies for the provision of parenteral sedation as required in R4-11-1302(B)(2)(a) either travel with the Section 1302 Permit holder or are in place and in appropriate working condition at the dental office or dental clinic where parenteral sedation is provided, and

b. Compliance with R4-11-1302(B)(2)(b).

E. A Section 1302 Permit holder shall keep a parenteral sedation record for each parenteral sedation procedure that:

1. Includes the following entries:

a. Pre-operative, intra-operative, and post-operative pulse oximeter documentation;

b. Pre-operative, intra-operative, and post-operative blood pressure and vital sign documentation;

c. A list of all medications given, with dosage and time intervals and route and site of administration;

d. Type of catheter or portal with gauge;

e. Indicate nothing by mouth or time of last intake of food or water;

f. Consent form; and

g. Time of discharge and status, including name of escort; and

May include pre-operative and post-operative electrocardiograph report.

F. The Section 1302 Permit holder shall establish intravenous access on each patient receiving parenteral sedation utilizing a new infusion set, including a new infusion line and new bag of fluid.

G. The Section 1302 Permit holder shall utilize supplemental oxygen for patients receiving parenteral sedation for the duration of the procedure.

H. The Section 1302 Permit holder shall continuously supervise the patient from the initiation of parenteral sedation until termination of the parenteral sedation procedure and oxygenation, ventilation and circulation are stable. The Section 1302 Permit holder shall not commence with the administration of a subsequent anesthetic case until the patient is in monitored recovery or meets the guidelines for discharge.

I. A Section 1302 Permit holder may employ a health care professional as specified in R4-11-1301(I).

History

• New Section R4-11-1302 renumbered from R4-11-803 and amended by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). Amended by final rulemaking at 9 A.A.R. 1054, effective May 6, 2003 (Supp. 03-1). Amended by final rulemaking at 19 A.A.R. 341, effective April 6, 2013 (Supp. 13-1). Amended by final rulemaking at 28 A.A.R. 1885, effective 9/12/2022.

Ariz. Admin. Code § R4-11-1303 Oral Sedation

A. Before administering oral sedation Oral Sedation in a dental office or dental clinic, a dentist shall possess a Section 1303 permit Permit issued by the Board. The dentist may renew a Section 1303 permit Permit every five years by complying with R4-11-1307

1. A Section 1301 Permit holder or Section 1302 Permit holder may also administer Oral Sedation without obtaining a Section 1303 Permit.

2. The administration of a single Drug for Minimal Sedation does not require a Section 1303 Permit if:

a. The administered dose is within the Food and Drug Administration's maximum recommended dose as printed in the Food and Drug Administration's approved labeling for unmonitored home use;

i. Incremental multiple doses of the Drug may be administered until the desired effect is reached, but does not exceed the maximum recommended dose; and

ii. During Minimal Sedation, a single supplemental dose may be administered. The supplemental dose may not exceed one-half of the initial dose and the total aggregate dose may not exceed one and one-half times the Food and Drug Administration's maximum recommended dose on the date of treatment; and

b. Nitrous oxide/oxygen may be administered in addition to the oral Drug as long as the combination does not exceed Minimal Sedation.

B. To obtain or renew a Section 1303 Permit, a dentist shall:

1. Submit a completed application on a form provided by the Board office that, in addition to the requirements of subsections (B)(2) and (3) and R4-11-1307, includes:

a. General information about the applicant such as:

i. Name;

ii. Home and office addresses and telephone numbers;

iii. Limitations of practice;

iv. Hospital affiliations;

v. Denial, curtailment, revocation, or suspension of hospital privileges;

vi. Denial of membership in, denial of renewal of membership in, or disciplinary action by a dental organization; and

vii. Denial of licensure by, denial of renewal of licensure by, or disciplinary action by a dental regulatory body; and

b. The dentist's dated and signed affidavit stating that the information provided is true, and that the dentist has read and complied with the Board's statutes and rules;

2. On forms provided by the Board, provide a dated and signed affidavit attesting that any dental office or dental clinic where the dentist will administer Oral Sedation:

a. Contains the following properly operating equipment and supplies during the provision of sedation:

i. Emergency Drugs;

ii. Cardiac defibrillator or automated external defibrillator;

iii. Positive pressure oxygen and supplemental oxygen;

iv. Stethoscope;

v. Suction equipment, including tonsillar or pharyngeal and emergency backup medical suction device;

vi. Pulse oximeter;

vii. Blood pressure monitoring device; and

viii. Auxiliary lighting; and

b. Maintains a staff of supervised personnel capable of handling procedures, complications, and emergency incidents, including at least one staff member who:

i. Holds a current certificate in cardiopulmonary resuscitation healthcare provider level;

ii. Is present during the Oral Sedation procedure; and

iii. After the procedure, monitors the patient until discharge;

3. Hold a valid license to practice dentistry in this state;

4. Maintain a current permit to prescribe and administer Controlled Substances in this state issued by the United States Drug Enforcement Administration;

5. Provide confirmation of completing coursework within the two years prior to submitting the permit application in one or more of the following:

a. Cardiopulmonary resuscitation healthcare provider level from the American Heart Association, American Red Cross, or another agency that follows the same procedures, standards, and techniques for training as the American Heart Association or American Red Cross;

b. Pediatric advanced life support in a practice treating pediatric patients; or

c. A recognized continuing education course in advanced airway management.

C. Initial applicants shall meet one of the following by submitting to the Board verification of meeting the condition directly from the issuing institution:

Complete a Board-recognized post-doctoral residency program that includes documented training in Oral Sedation within the last three years before submitting the permit application; or

2. Complete a Board recognized post-doctoral residency program that includes documented training in Oral Sedation more than three years before submitting the permit application shall provide the following documentation:

a. On a form provided by the Board, a written affidavit affirming that the applicant has administered Oral Sedation to a minimum of 25 patients within the year or 75 patients within the last five years before submitting the permit application;

b. A copy of the Oral Sedation permit in effect in another state or certification of military training in Oral Sedation from the applicant's commanding officer; and

c. On a form provided by the Board, a written affidavit affirming the completion of 30 hours of continuing education taken within the last five years as outlined in R4-11-1306(C)(1)(a) through (f); or

3. Provide proof of participation in 30 clock hours of Board-recognized undergraduate, graduate, or post-graduate education in Oral Sedation within the three years before submitting the permit application that includes:

a. Training in basic Oral Sedation,

b. Pharmacology,

c. Physical evaluation,

d. Management of medical emergencies,

e. The importance of and techniques for maintaining proper documentation, and

f. Monitoring and the use of monitoring equipment.

D. After submitting the application and written evidence of compliance with requirements in subsection (B) and, if applicable, subsection (C) to the Board, the applicant shall schedule an onsite evaluation by the Board. After the applicant completes the application requirements and successfully completes the onsite evaluation, the Board shall issue a Section 1303 Permit to the applicant.

1. The onsite evaluation team shall consist of:

a. For initial applications, two dentists who are Board members, or Board designees.

b. For renewal applications, one dentist who is a Board member, or Board designee.

2. The onsite team shall evaluate the following:

a. The availability of equipment and personnel as specified in subsection (B)(2);

b. Successful responses by the applicant to oral examination questions from the evaluation team about patient management, medical emergencies, and emergency medications;

c. Proper documentation of Controlled Substances, that includes a perpetual inventory log showing the receipt, administration, dispensing, and destruction of Controlled Substances;

d. Proper recordkeeping as specified in subsection (E) by reviewing the forms that document the Oral Sedation record; and

e. For renewal applicants, records supporting continued competency as specified in R4-11-1306.

3. The evaluation team shall recommend one of the following:

a. Pass. Successful completion of the onsite evaluation;

b. Conditional Approval for failing to have appropriate equipment, proper documentation of Controlled Substance, or proper recordkeeping. The applicant must submit proof of correcting the deficiencies before permit will be issued;

c. Category 1 Evaluation Failure. The applicant must review the appropriate subject matter and schedule a subsequent evaluation by two Board Members or Board designees not less than 30 days from the failed evaluation. An example is failure to recognize and manage one emergency; or

d. Category 2 Evaluation Failure. The applicant must complete Board approved continuing education in subject matter within the scope of the onsite evaluation as identified by the evaluators and schedule a subsequent evaluation by two Board Members or Board designees not less than 60 days from the failed evaluation. An example is failure to recognize and manage more than one emergency.

4. The onsite evaluation of an additional dental office or dental clinic in which Oral Sedation is administered by a Section 1303 Permit holder may be waived by the Board staff upon receipt in the Board office of an affidavit verifying compliance with subsection (D)(2)(a).

5. A Section 1303 mobile permit may be issued if the Section 1303 Permit holder travels to dental offices or dental clinics to provide Oral Sedation. The applicant must submit a completed affidavit verifying:

a. That the equipment and supplies for the provision of Oral Sedation as required in R4-11-1303(B)(2)(a) either travel with the Section 1303 Permit holder or are in place and in appropriate condition at the dental office or dental clinic where Oral Sedation is provided, and

b. Compliance with R4-11-1303(B)(2)(b).

E. A Section 1303 Permit holder shall keep an Oral Sedation record for each Oral Sedation procedure that:

1. Includes the following entries:

a. Pre-operative, intra-operative, and post-operative, pulse oximeter oxygen saturation and pulse rate documentation;

b. Pre-operative and post-operative blood pressure;

c. Documented reasons for not taking vital signs if a patient's behavior or emotional state prevents monitoring personnel from taking vital signs;

d. List of all medications given, including dosage and time intervals;

e. Patient's weight;

f. Consent form;

g. Special notes, such as, nothing by mouth or last intake of food or water; and

h. Time of discharge and status, including name of escort; and

May include the following entries:

a. Pre-operative and post-operative electrocardiograph report; and

b. Intra-operative blood pressures.

F. The Section 1303 Permit holder shall utilize supplemental oxygen for patients receiving Oral Sedation for the duration of the procedure.

G. The Section 1303 Permit holder shall ensure the continuous supervision of the patient from the administration of Oral Sedation until oxygenation, ventilation and circulation are stable and the patient is appropriately responsive for discharge from the dental office or dental clinic.

H. A Section 1303 Permit holder may employ a health care professional to provide anesthesia services, if all of the following conditions are met:

1. The physician anesthesiologist or Certified Registered Nurse Anesthetist meets the requirements as specified in R4-11-1301(I);

2. The Section 1303 Permit holder has completed coursework within the two years prior to submitting the permit application in one or more of the following:

a. Advanced cardiac life support from the American Heart Association or another agency that follows the same procedures, standards, and techniques for training as the American Heart Association;

b. Pediatric advanced life support in a practice treating pediatric patients;

c. A recognized continuing education course in advanced airway management;

3. The Section 1303 Permit holder ensures that:

a. The dental office or clinic contains the equipment and supplies listed in R4-11-1304(B)(2)(a) during the provision of anesthesia or sedation by the physician anesthesiologist or Certified Registered Nurse Anesthetist;

b. The anesthesia or sedation record contains all the entries listed in R4-11-1304(D);

c. For intravenous access, the physician anesthesiologist or Certified Registered Nurse Anesthetist uses a new infusion set, including a new infusion line and new bag of fluid for each patient; and

d. The patient is continuously supervised from the administration of anesthesia or sedation until the termination of the anesthesia or sedation procedure and oxygenation, ventilation and circulation are stable. The Section 1303 Permit holder shall not commence with a subsequent procedure or treatment until the patient is in monitored recovery or meets the guidelines for discharge.

History

• New Section R4-11-1303 renumbered from R4-11-805 and amended by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). Former Section R4-11-1303 renumbered to R4-11-1304; new Section R4-11-1303 made by final rulemaking at 9 A.A.R. 1054, effective May 6, 2003 (Supp. 03-1). Amended by final rulemaking at 19 A.A.R. 341, effective April 6, 2013 (Supp. 13-1). Amended by final rulemaking at 28 A.A.R. 1885, effective 9/12/2022.

Ariz. Admin. Code § R4-11-1304 Permit to Employ or Work with a Physician Anesthesiologist or Certified Registered Nurse Anesthetist (CRNA)

A. This Section does not apply to a Section 1301 permit holder or a Section 1302 permit holder practicing under the provisions of R4-11-1302(I) or a Section 1303 permit holder practicing under the provisions of R4-11-1303(H). A dentist may utilize a physician anesthesiologist or certified registered nurse anesthetist (CRNA) for anesthesia or sedation services while the dentist provides treatment in the dentist's office or dental clinic after obtaining a Section 1304 permit issued by the Board.

The physician anesthesiologist or CRNA meets the requirements as specified in R4-11-1301(I).

2. The dentist permit holder shall provide all dental treatment and ensure that the physician anesthesiologist or CRNA remains on the dental office or dental clinic premises until any patient receiving anesthesia or sedation services is discharged.

3. A dentist may renew a Section 1304 permit every five years by complying with R4-11-1307.

B. To obtain or renew a Section 1304 permit, a dentist shall:

1. Submit a completed application on a form provided by the Board office that, in addition to the requirements of subsections (B)(2) and (3) and R4-11-1307 includes:

a. General information about the applicant such as:

i. Name;

ii. Home and office addresses and telephone numbers;

iii. Limitations of practice;

iv. Hospital affiliations;

v. Denial, curtailment, revocation, or suspension of hospital privileges;

vi. Denial of membership in, denial of renewal of membership in, or disciplinary action by a dental organization; and

vii. Denial of licensure by, denial of renewal of licensure by, or disciplinary action by a dental regulatory body; and

b. The dentist's dated and signed affidavit stating that the information provided is true, and that the dentist has read and complied with the Board's statutes and rules;

2. On forms provided by the Board, provide a dated and signed affidavit attesting that any dental office or dental clinic where the dentist provides treatment during administration of general anesthesia or sedation by a physician anesthesiologist or CRNA:

a. Contains the following properly operating equipment and supplies during the provision of general anesthesia and sedation:

i. Emergency drugs;

ii. Electrocardiograph monitor;

iii. Pulse oximeter;

iv. Cardiac defibrillator or automated external defibrillator (AED);

v. Positive pressure oxygen and supplemental continuous flow oxygen;

vi. Suction equipment, including endotrachael, tonsillar or pharyngeal and emergency backup medical suction device;

vii. Laryngoscope, multiple blades, backup batteries and backup bulbs;

viii. Endotracheal tubes and appropriate connectors;

ix. Magill forceps;

x. Oropharyngeal and nasopharyngeal airways;

xi. Auxiliary lighting;

xii. Stethoscope; and

xiii. Blood pressure monitoring device; and

b. Maintains a staff of supervised personnel capable of handling procedures, complications, and emergency incidents. All personnel involved in administering and monitoring general anesthesia or sedation shall hold a current course completion confirmation in cardiopulmonary resuscitation (CPR) Health Care Provider level;

3. Hold a valid license to practice dentistry in this state; and

4. Provide confirmation of completing coursework within the last two years prior to submitting the permit application in one or more of the following:

a. Advanced cardiac life support (ACLS) from the American Heart Association or another agency that follows the same procedures, standards, and techniques for training as the American Heart Association;

b. Pediatric advanced life support (PALS) in a practice treating pediatric patients; or

c. A recognized continuing education course in advanced airway management.

C. After submitting the application and written evidence of compliance with requirements in subsection (B) to the Board, the applicant shall schedule an onsite evaluation by the Board. After the applicant completes the application requirements and successfully completes the onsite evaluation, the Board shall issue the applicant a Section 1304 permit.

1. The onsite evaluation team shall consist of one dentist who is a Board member, or Board designee.

2. The onsite team shall evaluate the following:

a. The availability of equipment and personnel as specified in subsection (B)(2);

b. Proper documentation of controlled substances, that includes a perpetual inventory log showing the receipt, administration, dispensing, and destruction of controlled substances; and

c. Proper recordkeeping as specified in subsection (E) by reviewing previous anesthesia or sedation records.

3. The evaluation team shall recommend one of the following:

a. Pass. Successful completion of the onsite evaluation; or

b. Conditional approval for failing to have appropriate equipment, proper documentation of controlled substances, or proper recordkeeping. The applicant must submit proof of correcting the deficiencies before a permit is issued.

4. The evaluation of an additional dental office or dental clinic in which a Section 1304 permit holder provides treatment during the administration general anesthesia or sedation by a physician anesthesiologist or CRNA may be waived by the Board staff upon receipt in the Board office of an affidavit verifying compliance with subsection (B)(2).

D. A Section 1304 permit holder shall keep an anesthesia or sedation record for each general anesthesia and sedation procedure that includes the following entries:

1. Pre-operative and post-operative electrocardiograph documentation;

2. Pre-operative, intra-operative, and post-operative, pulse oximeter documentation;

3. Pre-operative, intra-operative, and post-operative blood pressure and vital sign documentation; and

4. A list of all medications given, with dosage and time intervals and route and site of administration;

5. Type of catheter or portal with gauge;

6. Indicate nothing by mouth or time of last intake of food or water;

7. Consent form; and

8. Time of discharge and status, including name of escort.

E. For intravenous access, a Section 1304 permit holder shall ensure that the physician anesthesiologist or CRNA uses a new infusion set, including a new infusion line and new bag of fluid for each patient.

F. A Section 1304 permit holder shall ensure that the physician anesthesiologist or CRNA utilizes supplemental continuous flow oxygen for patients receiving general anesthesia or sedation for the duration of the procedure.

G. The Section 1304 permit holder shall continuously supervise the patient from the administration of anesthesia or sedation until termination of the anesthesia or sedation procedure and oxygenation, ventilation and circulation are stable. The Section 1304 permit holder shall not commence with a subsequent procedure or treatment until the patient is in monitored recovery or meets the guidelines for discharge.

History

• New Section R4-11-1304 renumbered from R4-11-805 and amended by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). Former Section R4-11-1304 renumbered to R4-11-1305; new Section R4-11-1304 renumbered from R4-11-1303 and amended by final rulemaking at 9 A.A.R. 1054, effective May 6, 2003 (Supp. 03-1). Section repealed; new Section made by final rulemaking at 19 A.A.R. 341, effective April 6, 2013 (Supp. 13-1).

Ariz. Admin. Code § R4-11-1305 Reports of Adverse Occurrences

If a death, or incident requiring emergency medical response, occurs in a dental office or dental clinic during the administration of or recovery from general anesthesia, deep sedation, moderate sedation, or minimal sedation, the permit holder and the treating dentist involved shall submit a complete report of the incident to the Board within 10 days after the occurrence.

History

• New Section R4-11-1305 renumbered from R4-11-806 and amended by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). Former Section R4-11-1305 renumbered to R4-11-1306; new Section R4-11-1305 renumbered from R4-11-1304 and amended by final rulemaking at 9 A.A.R. 1054, effective May 6, 2003 (Supp. 03-1). Section repealed; new Section made by final rulemaking at 19 A.A.R. 341, effective April 6, 2013 (Supp. 13-1).

Ariz. Admin. Code § R4-11-1306 Education; Continued Competency

A. To obtain a Section 1301, permit by satisfying the education requirement of R4-11-1301(B)(6), a dentist shall successfully complete an advanced graduate or post-graduate education program in pain control.

1. The program shall include instruction in the following subject areas:

a. Anatomy and physiology of the human body and its response to the various pharmacologic agents used in pain control;

b. Physiological and psychological risks for the use of various modalities of pain control;

c. Psychological and physiological need for various forms of pain control and the potential response to pain control procedures;

d. Techniques of local anesthesia, sedation, and general anesthesia, and psychological management and behavior modification, as they relate to pain control in dentistry; and

e. Handling emergencies and complications related to pain control procedures, including the maintenance of respiration and circulation, immediate establishment of an airway, and cardiopulmonary resuscitation.

2. The program shall consist of didactic and clinical training. The didactic component of the program shall:

a. Be the same for all dentists, whether general practitioners or specialists; and

b. Include each subject area listed in subsection (A)(1).

The program shall provide at least one calendar year of training as prescribed in R4-11-1301(B)(6)(a).

B. To maintain a Section 1301 or 1302 permit under R4-11-1301 or R4-11-1302 a permit holder shall:

1. Participate in 30 clock hours of continuing education every five years in one or more of the following areas:

a. General anesthesia,

b. Parenteral sedation,

c. Physical evaluation,

d. Medical emergencies,

e. Monitoring and use of monitoring equipment, or

f. Pharmacology of drugs and non-drug substances used in general anesthesia or parenteral sedation; and

2. Provide confirmation of completing coursework within the two years prior to submitting the renewal application from one or more of the following:

a. Advanced cardiac life support (ACLS) from the American Heart Association or another agency that follows the same procedures, standards, and techniques for training as the American Heart Association;

b. Pediatric advanced life support (PALS) in a practice treating pediatric patients; or

c. A recognized continuing education course in advanced airway management;

3. Complete at least 10 general anesthesia, deep sedation or parenteral sedation cases a calendar year; and

4. Apply a maximum of six hours from subsection (B)(2) toward the continuing education requirements for subsection (B)(1).

C. To maintain a Section 1303 permit issued under R4-11-1303, a permit holder shall:

1. Participate in 30 clock hours of continuing education every five years in one or more of the following areas:

a. Oral sedation,

b. Physical evaluation,

c. Medical emergencies,

d. Monitoring and use of monitoring equipment, or

e. Pharmacology of oral sedation drugs and non-drug substances; and

2. Provide confirmation of completing coursework within the two years prior to submitting the renewal application from one or more of the following:

a. Cardiopulmonary resuscitation (CPR) Health Care Provider level from the American Heart Association, American Red Cross or another agency that follows the same procedures, standards, and techniques for training as the American Heart Association or American Red Cross;

b. Advanced cardiac life support (ACLS) from the American Heart Association or another agency that follows the same procedures, standards, and techniques for training as the American Heart Association;

c. Pediatric advanced life support (PALS);

d. A recognized continuing education course in advanced airway management; and

3. Complete at least 10 oral sedation cases a calendar year.

History

• Section R4-11-1306 renumbered from R4-11-1305 and amended by final rulemaking at 9 A.A.R. 1054, effective May 6, 2003 (Supp. 03-1). Amended by final rulemaking at 19 A.A.R. 341, effective April 6, 2013 (Supp. 13-1).

Ariz. Admin. Code § R4-11-1307 Renewal of Permit

A. To renew a Section 1301, 1302, or 1303 permit, the permit holder shall:

1. Provide written documentation of compliance with the applicable continuing education requirements in R4-11-1306;

2. Provide written documentation of compliance with the continued competency requirements in R4-11-1306;

3. Before December 31 of the year the permit expires, submit a completed application on a form provided by the Board office as described in R4-11-1301, R4-11-1302, or R4-11-1303; and

4. Not less than 90 days before the expiration of a permit holder's current permit, arrange for an onsite evaluation as described in R4-11-1301, R4-11-1302, or R4-11-1303.

B. To renew a Section 1304 permit, the permit holder shall:

1. Before December 31 of the year the permit expires, submit a completed application on a form provided by the Board office as described in R4-11-1304; and

2. Not less than 90 days before the expiration of a permit holder's current permit, arrange for an onsite evaluation as described in R4-11-1304.

C. After the permit holder successfully completes the evaluation and submits the required affidavits, the Board shall renew a Section 1301, 1302, 1303, 1304 permit, as applicable.

D. The Board may stagger due dates for renewal applications.

History

• Made by final rulemaking at 19 A.A.R. 341, effective April 6, 2013 (Supp. 13-1).

Article 14 DISPENSING DRUGS AND DEVICES

Ariz. Admin. Code § R4-11-1401 Prescribing

A. In addition to the requirements of A.R.S. § 32-1298(C), a dentist shall ensure that a prescription order contains the following information:

1. Date of issuance;

2. Name and address of the patient to whom the prescription is issued;

Name, strength, dosage form, and quantity of the drug or name and quantity of the device prescribed;

4. Name and address of the dentist prescribing the drug; and

5. Drug Enforcement Administration registration number of the dentist, if prescribing a controlled substance.

B. Before dispensing a drug or device, a dentist shall present to the patient a written prescription for the drug or device being dispensed that includes on the prescription the following statement in bold type: "This prescription may be filled by the prescribing dentist or by a pharmacy of your choice."

History

• Adopted effective July 21, 1995 (Supp. 95-3). Former Section R4-11-1401 repealed, new Section R4-11-1401 adopted by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). Section repealed; new Section made by final rulemaking at 11 A.A.R. 793, effective April 2, 2005 (Supp. 05-1).

Ariz. Admin. Code § R4-11-1402 Labeling and Dispensing

A. A dentist shall include the following information on the label of all drugs and devices dispensed:

1. The dentist's name, address, and telephone number;

The serial number;

3. The date the drug or device is dispensed;

4. The patient's name;

5. Name, strength, and quantity of drug or name and quantity of device dispensed;

6. The name of the drug or device manufacturer or distributor;

Directions for use and cautionary statement necessary for safe and effective use of the drug or device; and

If a controlled substance is prescribed, the cautionary statement "Caution: Federal law prohibits the transfer of this drug to any person other than the patient for whom it was prescribed."

B. Before delivery to the patient, the dentist shall prepare and package the drug or device to ensure compliance with the prescription and personally inform the patient of the name of the drug or device, directions for its use, precautions, and storage requirements.

C. A dentist shall purchase all dispensed drugs and devices from a manufacturer, distributor, or pharmacy that is properly licensed in this state or one of the other 49 states, the District of Columbia, the Commonwealth of Puerto Rico, or a territory of the United States of America.

D. When dispensing a prescription drug or device from a prescription order, a dentist shall perform the following professional practices:

1. Verify the legality and pharmaceutical feasibility of dispensing a drug based upon:

a. A patient's allergies,

b. Incompatibilities with a patient's currently-taken medications,

c. A patient's use of unusual quantities of dangerous drugs or narcotics, and

d. The frequency of refills;

2. Verify that the dosage is within proper limits;

3. Interpret the prescription order;

4. Prepare, package, and label, or assume responsibility for preparing, packaging, and labeling, the drug or device dispensed under each prescription order;

5. Check the label to verify that the label precisely communicates the prescriber's directions and hand-initial each label;

6. Record, or assume responsibility for recording, the serial number and date dispensed on the front of the original prescription order; and

7. Record on the original prescription order the name or initials of the dentist who dispensed the order.

History

• Adopted effective July 21, 1995 (Supp. 95-3). Former Section R4-11-1402 renumbered to R4-11-1201, new Section R4-11-1402 adopted by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). Section repealed; new Section made by final rulemaking at 11 A.A.R. 793, effective April 2, 2005 (Supp. 05-1).

Ariz. Admin. Code § R4-11-1403 Storage and Packaging

A dentist shall:

Keep all prescription-only drugs and devices in a secured area and control access to the secured area by written procedure. The dentist shall make the written procedure available to the Board or its authorized agents on demand for inspection or copying;

2. Keep all controlled substances secured in a locked cabinet or room, control access to the cabinet or room by written procedure, and maintain an ongoing inventory of the contents. The dentist shall make the written procedure available to the Board or its authorized agents on demand for inspection or copying;

3. Maintain drug storage areas so that the temperature in the drug storage areas does not exceed 85° F;

4. Not dispense a drug or device that has expired or is improperly labeled;

5. Not redispense a drug or device that has been returned;

6. Dispense a drug or device:

a. In a prepackaged container or light-resistant container with a consumer safety cap, unless the patient or patient's representative requests a non-safety cap; and

b. With a label that is mechanically or electronically printed;

7. Destroy an outdated, deteriorated, or defective controlled substance according to Drug Enforcement Administration regulations or by using a reverse distributor. A list of reverse distributors may be obtained from the Drug Enforcement Administration; and

8. Destroy an outdated, deteriorated, or defective non-controlled substance drug or device by returning it to the supplier or by using a reverse distributor. A list of reverse distributors may be obtained from the Drug Enforcement Administration.

History

• Adopted effective July 21, 1995 (Supp. 95-3). Former Section R4-11-1403 renumbered to R4-11-1202, new Section R4-11-1403 adopted by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). Section repealed; new Section made by final rulemaking at 11 A.A.R. 793, effective April 2, 2005 (Supp. 05-1).

Ariz. Admin. Code § R4-11-1404 Recordkeeping

A. A dentist shall:

1. Chronologically date and sequentially number prescription orders in the order that the drugs or devices are originally dispensed;

Sequentially file orders separately from patient records, as follows:

a. File Schedule II drug orders separately from all other prescription orders;

b. File Schedule III, IV, and V drug orders separately from all other prescription orders; and

c. File all other prescription orders separately from orders specified in subsections (A)(2)(a) and (b);

3. Record the name of the manufacturer or distributor of the drug or device dispensed on each prescription order and label;

Record the name or initials of the dentist dispensing the drug or device on each prescription order and label; and

5. Record the date the drug or device is dispensed on each prescription order and label.

B. A dentist shall record in the patient's dental record the name, dosage form, and strength of the drug or device dispensed, the quantity or volume dispensed, the date the drug or device is dispensed, and the dental therapeutic reasons for dispensing the drug or device.

C. A dentist shall maintain:

1. Purchase records of all drugs and devices for three years from the date purchased; and

2. Dispensing records of all drugs and devices for three years from the date dispensed.

D. A dentist who dispenses controlled substances:

1. Shall inventory Schedule II, III, IV, and V controlled substances as prescribed by A.R.S. § 36-2523;

2. Shall perform a controlled substance inventory on March 1 annually, if directed by the Board, and at the opening or closing of a dental practice;

Shall maintain the inventory for three years from the inventory date;

4. May use one inventory book for all controlled substances;

5. When conducting an inventory of Schedule II controlled substances, shall take an exact count;

6. When conducting an inventory of Schedule III, IV, and V controlled substances, shall take an exact count or may take an estimated count if the stock container contains fewer than 1001 units.

E. A dentist shall maintain invoices for drugs and devices dispensed for three years from the date of the invoices, filed as follows:

File Schedule II controlled substance invoices separately from records that are not Schedule II controlled substance invoices;

2. File Schedule III, IV, and V controlled substance invoices separately from records that are not Schedule III, IV, and V controlled substance invoices; and

3. File all non-controlled substance invoices separately from the invoices referenced in subsections (E)(1) and (2).

F. A dentist shall file Drug Enforcement Administration order form (DEA Form 222) for a controlled substance sequentially and separately from every other record.

History

• Adopted effective July 21, 1995 (Supp. 95-3). Former Section R4-11-1404 renumbered to R4-11-1203, new Section R4-11-1404 adopted by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). Section repealed; new Section made by final rulemaking at 11 A.A.R. 793, effective April 2, 2005 (Supp. 05-1).

Ariz. Admin. Code § R4-11-1405 Compliance

A. A dentist who determines that there has been a theft or loss of Drugs or Controlled Substances from the dentist's office shall immediately notify a local law enforcement agency and the Board and provide written notice of the theft or loss in the following manner:

1. For non-Controlled Substance Drug theft or loss, provide the law enforcement agency and the Board with a written report explaining the theft or loss; or

2. For Controlled Substance theft or loss, complete a Drug Enforcement Administration's 106 form; and

3. Provide copies of the Drug Enforcement Administration's 106 form to the Drug Enforcement Administration and the Board within one day of the discovery.

B. A dentist who dispenses Drugs or devices in a manner inconsistent with this Article is subject to discipline under A.R.S. Title 32, Chapter 11, Article 3.

History

• Adopted effective July 21, 1995 (Supp. 95-3). Former Section R4-11-1405 renumbered to R4-11-1204, new Section R4-11-1405 adopted by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). Section repealed; new Section made by final rulemaking at 11 A.A.R. 793, effective April 2, 2005 (Supp. 05-1). Amended by final rulemaking at 28 A.A.R. 1885, effective 9/12/2022.

Ariz. Admin. Code § R4-11-1406 Dispensing for Profit Registration and Renewal

A. A dentist who is currently licensed to practice dentistry in Arizona may dispense controlled substances, prescription-only drugs, and prescription-only devices for profit only after providing the Board the following information:

1. A completed registration form that includes the following information:

a. The dentist's name and dental license number;

b. A list of the types of drugs and devices to be dispensed for profit, including controlled substances; and

c. Locations where the dentist desires to dispense the drugs and devices for profit; and

2. A copy of the dentist's current Drug Enforcement Administration Certificate of Registration for each dispensing location from which the dentist desires to dispense the drugs and devices for profit.

B. The Board shall issue a numbered certificate indicating the dentist is registered with the Board to dispense drugs and devices for profit.

C. A dentist shall renew a registration to dispense drugs and devices for profit by complying with the requirements in subsection (A) before the dentist's license renewal date. When a dentist has made timely and complete application for the renewal of a registration, the dentist may continue to dispense until the Board approves or denies the application. Failure to renew a registration shall result in immediate loss of dispensing for profit privileges.

History

• Adopted effective July 21, 1995; inadvertently not published with Supp. 95-3 (Supp. 95-4). Former Section R4-11-1406 renumbered to R4-11-1205, new Section R4-11-1406 adopted by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). Section repealed; new Section made by final rulemaking at 11 A.A.R. 793, effective April 2, 2005 (Supp. 05-1).

Ariz. Admin. Code § R4-11-1407 Renumbered

History

• Adopted effective July 21, 1995 (Supp. 95-3). Former Section R4-11-1407 renumbered to R4-11-1206 by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-11-1408 Renumbered

History

• Adopted effective July 21, 1995 (Supp. 95-3). Former Section R4-11-1408 renumbered to R4-11-1207 by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-11-1409 Repealed

History

• Adopted effective July 21, 1995 (Supp. 95-3). Former Section R4-11-1409 repealed by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1).

Article 15 COMPLAINTS, INVESTIGATIONS, DISCIPLINARY ACTION

Ariz. Admin. Code § R4-11-1501 Ex-parte Communication

A complainant, licensee, certificate holder, business entity or mobile dental permit holder against whom a complaint is filed, shall not engage in ex-parte communication by means of a written or oral communication between a decision maker, fact finder, or Board member and only one party to the proceeding.

History

• New Section R4-11-1501 adopted by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). Amended by final rulemaking at 11 A.A.R. 793, effective April 2, 2005 (Supp. 05-1). Amended by final rulemaking at 19 A.A.R. 334, effective April 6, 2013 (Supp. 13-1).

Ariz. Admin. Code § R4-11-1502 Dental Consultant Qualifications

A dentist, dental therapist, dental hygienist, or denturist approved as a Board dental consultant shall:

1. Possess a valid license or certificate to practice in Arizona;

2. Have practiced at least five years in Arizona; and

3. Not have been disciplined by the Board within the past five years.

History

• New Section R4-11-1502 adopted by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). Amended by final rulemaking at 19 A.A.R. 334, effective April 6, 2013 (Supp. 13-1). Amended by final rulemaking at 29 A.A.R. 1330, effective 7/10/2023.

Ariz. Admin. Code § R4-11-1503 Initial Complaint Review

A. The Board's procedures for complaint notification are:

The Board shall notify the Licensee, denturist, Business Entity or Mobile Dental Permit Holder by certified U.S. Mail when the following occurs:

a. A formal interview is scheduled, and

b. A subpoena, notice, or order is issued.

2. The Board shall notify the Licensee, denturist, Business Entity, or Mobile Dental Permit Holder by U.S. mail or email when the following occurs:

a. The complaint is tabled, and

b. The Board grants a postponement or continuance.

3. Board shall provide the Licensee, denturist, Business Entity, or Mobile Dental Permit Holder with a copy of the complaint.

4. If a complaint alleges a violation of the state or federal criminal code, the Board shall refer the complaint to the proper law enforcement agency.

B. The Board's procedures for complaints referred to Clinical Evaluation are:

1. Except as provided in subsection (B)(1)(a), the President's Designee shall appoint one or more dental consultants to perform a Clinical Evaluation. If there is more than one dental consultant, the dental consultants do not need to be present at the same time.

a. If the complaint involves a dental hygienist, denturist, dental therapist, or dentist who is a recognized specialist in one of the areas listed in R4-11-1102(B), the President's Designee shall appoint a dental consultant from that area of practice or specialty.

b. The Board shall disclose the identity of the Licensee, denturist, Business Entity, or Mobile Dental Permit Holder to a dental consultant performing a Clinical Evaluation before the Board receives the dental consultant's report.

2. The dental consultant shall prepare and submit a Clinical Evaluation report. The President's Designee shall provide a copy of the Clinical Evaluation report to the Licensee or denturist. The Licensee or denturist may submit a written response to the Clinical Evaluation report.

C. Notwithstanding any other provision, the Board may take immediate action consistent with A.R.S. §§ 32-1201.01 or 32-1263 in order to protect public health and safety.

History

• New Section R4-11-1503 adopted by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). Amended by final rulemaking at 11 A.A.R. 793, effective April 2, 2005 (Supp. 05-1). Amended by final rulemaking at 19 A.A.R. 334, effective April 6, 2013 (Supp. 13-1). Amended by final rulemaking at 29 A.A.R. 1330, effective 7/10/2023. Amended by final rulemaking at 29 A.A.R. 3793, effective 1/29/2024.

Ariz. Admin. Code § R4-11-1504 Postponement of Interview

A. The licensee, certificate holder, business entity, or mobile dental permit holder may request a postponement of a formal interview. The Board or its designee shall grant a postponement until the next regularly scheduled Board meeting if the licensee, certificate holder, business entity, or mobile dental permit holder makes a postponement request and the request:

1. Is made in writing,

2. States the reason for the postponement, and

3. Is received by the Board within 15 calendar days after the date the respondent received the formal interview request.

B. Within 48 hours of receipt of a request for postponement of a formal interview, the Board or its designee shall:

1. Review and either deny or approve the request for postponement; and

2. Notify in writing the complainant and licensee, certificate holder, business entity, or mobile dental permit holder of the decision to either deny or approve the request for postponement.

History

• New Section R4-11-1504 adopted by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). Section expired under A.R.S. § 41-1056(E) at 9 A.A.R. 3669, effective April 30, 2003 (Supp. 03-3). New Section made by final rulemaking at 11 A.A.R. 793, effective April 2, 2005 (Supp. 05-1). Amended by final rulemaking at 19 A.A.R. 334, effective April 6, 2013 (Supp. 13-1).

Article 16 DENTAL THERAPISTS

Ariz. Admin. Code § R4-11-1601 Duties and Qualifications

A. A dental therapist may perform a procedure not specifically authorized by A.R.S. § 32-1276.03 when all of the following conditions are satisfied:

1. The procedure is recommended or prescribed by the supervising dentist;

2. The dental therapist has received training by a recognized dental school, recognized dental therapy school, recognized dental hygiene school, or recognized denturist school, as defined under A.R.S. § 32-1201, to perform the procedure in a safe manner; and

3. The procedure is performed under the Direct Supervision of, or according to, a written collaborative practice agreement with a licensed dentist.

B. A dental therapist may administer Nitrous Oxide Analgesia as authorized by A.R.S. § 32-1276.03(B)(12) if the dental therapist submits proof directly from an issuing institution of completing courses in the administration of Nitrous Oxide Analgesia offered by a recognized dental school, recognized dental therapy school, or recognized dental hygiene school, as defined under A.R.S. § 32-1201, that include both theory and supervised clinical practice in the procedures.

C. A dental therapist may perform suturing and suture removal as authorized by A.R.S. § 32-1276.03(B)(21) if the dental therapist submits proof directly from an issuing institution of completing courses in suturing and suture removal offered by a recognized dental school, recognized dental therapy school, or recognized dental hygiene school, as defined under A.R.S. § 32-1201, that include both theory and supervised clinical practice in the procedures.

D. A dental therapist may perform an Irreversible Procedure only if it is specifically authorized by A.R.S. § 32-1276.03 or meets the conditions of R4-11-1601(A).

History

• New Section R4-11-1601 adopted by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). Section expired under A.R.S. § 41-1056(E) at 14 A.A.R. 3183, effective April 30, 2008. Amended by final rulemaking at 29 A.A.R. 1330, effective 7/10/2023.

Ariz. Admin. Code § R4-11-1602 Limitation on Number Supervised

A dentist shall not provide direct supervision for more than three dental therapists while the dental therapists are providing services or performing procedures under A.R.S. § 32-1276.03 or R4-11-1601.

History

• New Section made by final rulemaking at 29 A.A.R. 1330, effective 7/10/2023.

Ariz. Admin. Code § R4-11-1603 Dental Therapy Consultants

After submission of a current curriculum vitae or resume and approval by the Board, dental therapy consultants may:

1. Participate in Board-related procedures, including a Clinical Evaluation, investigation of complaints concerning infection control, insurance fraud, or the practice of supervised personnel, and any other procedures not directly related to evaluating a dentist's or denturist's quality of care; and

Participate in onsite office evaluations for infection control, as part of a team.

History

• New Section made by final rulemaking at 29 A.A.R. 1330, effective 7/10/2023.

Ariz. Admin. Code § R4-11-1604 Written Collaborative Practice Agreements; Collaborative Practice Relationships

A. A dental therapist shall submit a signed affidavit to the Board affirming that:

1. The Collaborative Practice Agreement complies with all the requirements listed in A.R.S. § 32-1276.04.

2. The dental therapist is and will be continuously certified in basic life support, including healthcare provider level cardiopulmonary resuscitation and training in automated external defibrillator.

3. The dental therapist is in compliance with the continuing dental education requirements of this state.

B. Each dentist who enters into a Collaborative Practice Agreement shall be available telephonically or electronically during the business hours of the dental therapist to provide an appropriate level of contact, communication, and consultation.

C. A Collaborative Practice Agreement shall include a provision for a substitute dentist, to cover an extenuating circumstance that renders the affiliated practice dentist unavailable for contact, communication, and consultation with the dental therapist.

D. A Collaborative Practice Agreement shall include a signed and dated statement from the dentist providing Direct Supervision, verifying the dental therapist's completion of 1000 hours of dental therapy clinical practice according to A.R.S. § 32-1276.04(B).

E. A Collaborative Practice Agreement shall be between one dentist and one dental therapist.

History

• New Section made by final rulemaking at 29 A.A.R. 1330, effective 7/10/2023.

Article 17 REHEARING OR REVIEW

Ariz. Admin. Code § R4-11-1701 Procedure

A. Except as provided in subsection (F), a licensee, certificate holder, or business entity who is aggrieved by an order issued by the Board may file a written motion for rehearing or review with the Board, pursuant to A.R.S. Title 41, Chapter 6, Article 10, specifying the grounds for rehearing or review.

B. A licensee, certificate holder, or business entity filing a motion for rehearing or review under this rule may amend the motion at any time before it is ruled upon by the Board. The opposing party may file a response within 15 days after the date the motion for rehearing or review is filed. The Board may require that the parties file supplemental memoranda explaining the issues raised in the motion, and may permit oral argument.

C. The Board may grant a rehearing or review of the order for any of the following causes materially affecting a licensee, certificate holder, or business entity's rights:

1. Irregularity in the proceedings of the Board or any order or abuse of discretion, which deprived a licensee, certificate holder, or business entity of a fair hearing;

2. Misconduct of the Board, its personnel, the administrative law judge, or the prevailing party;

3. Accident or surprise which could not have been prevented by ordinary prudence;

4. Excessive or insufficient penalties;

5. Error in the admission or rejection of evidence or other errors of law occurring at the hearing or during the progress of the proceeding;

That the findings of fact or decision is arbitrary, capricious, or an abuse of discretion;

7. That the findings of fact of decision is not justified by the evidence or is contrary to law; or

8. Newly discovered, material evidence which could not, with reasonable diligence, have been discovered and produced at the original hearing.

D. The Board may affirm or modify the order or grant a rehearing or review to all or part of the issues for any of the reasons in subsection (C). The Board, within the time for filing a motion for rehearing or review, may grant a rehearing or review on its own initiative for any reason for which it might have granted relief on motion of a party. An order granting a rehearing or review shall specify the grounds on which rehearing or review is granted, and any rehearing or review shall cover only those matters specified.

E. When a motion for rehearing or review is based upon affidavits, they shall be served with the motion. An opposing party may, within 15 days after such service, serve opposing affidavits.

F. If the Board makes specific findings that the immediate effectiveness of the order is necessary for the preservation of public health and safety and that a rehearing or review is impracticable, unnecessary, or contrary to the public interest, the order may be issued as a final order without an opportunity for a rehearing or review. If an order is issued as a final order without an opportunity or rehearing or review, the aggrieved party shall make an application for judicial review of the order within the time limits permitted for application for judicial review of the Board's final order.

G. The Board shall rule on the motion for rehearing or review within 15 days after the response has been filed, or at the Board's next meeting after the motion is received, whichever is later.

History

• New Section R4-11-1701 renumbered from R4-11-701 and amended by final rulemaking at 5 A.A.R. 580, effective February 4, 1999 (Supp. 99-1). Amended by final rulemaking at 21 A.A.R. 2971, effective 1/2/2016.

Article 18 BUSINESS ENTITIES

Ariz. Admin. Code § R4-11-1801 Application

Before offering dental services, a business entity required to be registered under A.R.S. § 32-1213 shall apply for registration on an application form supplied by the Board. In addition to the requirements of A.R.S. § 32-1213(B) and the fee under R4-11-402, the registration application shall include a sworn statement from the applicant that:

1. The information provided by the business entity is true and correct, and

2. No information is omitted from the application.

History

• New Section made by final rulemaking at 11 A.A.R. 793, effective April 2, 2005 (Supp. 05-1).

Ariz. Admin. Code § R4-11-1802 Display of Registration

A. A business entity shall ensure that the receipt for the current registration period is:

1. Conspicuously displayed in the dental practice in a manner that is always readily observable by patients and visitors, and

2. Exhibited to members of the Board or to duly authorized agents of the Board on request.

B. A business entity's receipt for the licensure period immediately preceding shall be kept on display until replaced by the receipt for the current period.

History

• New Section made by final rulemaking at 11 A.A.R. 793, effective April 2, 2005 (Supp. 05-1).

Chapter 12 Board of Funeral Directors and Embalmers

Article 1 GENERAL PROVISIONS

Ariz. Admin. Code § R4-12-101 Definitions

In this Chapter:

1."Applicant" means:

a.An individual requesting to take a state equivalent examination;

b.An individual requesting a reinstatement or an initial or renewal license or registration issued by the Board; or

c.One of the following if requesting an interim permit or an initial or renewal funeral establishment license, crematory license, or prearranged funeral sales establishment endorsement:

i.The individual, if a sole proprietorship;

ii.Any two of the corporation's officers, if a corporation;

iii.The managing partner, if a partnership or limited liability partnership; or

iv.The designated manger, or if no manger is designated, any two members of the limited liability company, if a limited liability company.

2."Application packet" means the documents, forms, and additional information required by the Board for an initial or renewal application for a license, registration, endorsement, or reinstatement.

3."Board" means the same as in A.R.S. § 32-1301.

4."Burial" means a disposition of human remains, other than direct cremation.

5."Cash advance item" means any service or merchandise such as pallbearers, transportation, clergy, flowers, motorcycle escorts, hair dressers, barbers, nurses, obituary notices, or death certificates, which is paid for by a funeral establishment on behalf of a purchaser and charged to the purchaser at the same amount as originally purchased.

6."Continuing education" means a workshop, seminar, lecture, conference, class, or instruction related to funeral practices.

7."Credit hour" means 60 minutes of participation in continuing education.

8."Day" means calendar day.

9."Direct cremation" means cremation of human remains without a formal viewing, ceremony, or visitation of the human remains except for identification purposes.

10."Disposition-transit permit" means the document that meets the requirements in A.R.S. § 36-326 and A.A.C. R4-19-302.

11."Endorsement" means a written authorization issued by the Board to a funeral establishment to offer or sell prearranged funeral agreements under 4 A.A.C. 12, Article 5.

12."Fraud," "misleading," or "false" means the actions described in A.R.S. § 44-1522.

13."Funeral establishment that provides for cremation" means a funeral establishment defined in A.R.S. § 32-1301(25) that owns a crematory on or off the funeral establishments premises or contracts with a crematory for cremation.

14."Immediate burial" means a disposition of human remains, other than direct cremation, without a formal viewing, ceremony, or visitation except for identification purposes.

15."Harmful" means to cause damage or impairment to an individual's body.

16."Manager" means an individual who manages according to A.R.S. § 32-1301.

17."Party" has the meaning in A.R.S. § 41-1001.

18."Permanent" means everlasting and existing perpetually.

19."Previous owner" means a person who owned 10 percent or more of a funeral establishment before the current owner.

20."Refrigerated" means the act of maintaining human remains at or below a temperature of 38 degrees Fahrenheit.

21."Registrant" means an individual authorized by the Board to act as an embalmer's assistant or a prearranged funeral salesperson.

22."Unfinished wood box" means an unornamented receptacle or casket for human remains.

23."Week" means seven consecutive days.

History

• Adopted effective June 16, 1981 (Supp. 81-3). Amended effective January 2, 1985 (Supp. 85-1). Amended by final rulemaking at 7 A.A.R. 1441, effective March 14, 2001 (Supp. 01-1). Amended by final rulemaking at 10 A.A.R. 681, effective April 3, 2004 (Supp. 04-1). Amended by final rulemaking at 20 A.A.R. 2648, effective 11/9/2014.

Ariz. Admin. Code § R4-12-103 Expired

History

• Adopted effective June 16, 1981 (Supp. 81-3). Section expired under A.R.S. § 41-1056(E) at 8 A.A.R. 853, effective December 31, 2001 (Supp. 02-1).

Ariz. Admin. Code § R4-12-104 Expired

History

• Adopted effective June 16, 1981 (Supp. 81-3). Amended effective January 2, 1985 (Supp. 85-1). Amended effective September 18, 1987 (Supp. 87-3). Section expired under A.R.S. § 41-1056(E) at 8 A.A.R. 853, effective December 31, 2001 (Supp. 02-1).

Ariz. Admin. Code § R4-12-105 Expired

History

• Adopted effective June 16, 1981 (Supp. 81-3). Former Section R4-12-105 repealed, new Section R4-12-105 adopted effective January 2, 1985 (Supp. 85-1). Section expired under A.R.S. § 41-1056(E) at 8 A.A.R. 853, effective December 31, 2001 (Supp. 02-1).

Ariz. Admin. Code § R4-12-106 Time-frames for Board Approval

A. The overall time-frame described in A.R.S. § 41-1072(2) for each type of approval granted by the Board is listed in Table 1. The applicant and the Executive Director of the Board may agree in writing to extend the overall time-frame. The substantive review time-frame may not be extended by more than 25 percent of the overall time-frame.

B. The administrative completeness review time-frame described in A.R.S. § 41-1072(1) for each type of approval granted by the Board is listed in Table 1.

1. The administrative completeness review time-frame begins:

a. For approval to take a state equivalent examination, when the Board receives an application packet required in R4-12-201;

b. For approval or denial of a license, when the Board receives an application packet; or

c. For approval or denial of an endorsement, a registration, or a permit, when the Board receives an application packet.

If the application packet is incomplete, the Board shall send to the applicant a written notice specifying the missing document or incomplete information. The administrative completeness review time-frame and the overall time-frame are suspended from the postmark date of the notice until the date the Board receives a complete application packet from the applicant.

3. If the application packet is complete, the Board shall send a written notice of administrative completeness to the applicant.

4. If the Board grants a license, registration, endorsement, or approval during the time provided to assess administrative completeness, the Board shall not issue a separate written notice of administrative completeness.

C. The substantive review time-frame described in A.R.S. § 41-1072(3) is listed in Table 1 and begins on the postmark date of the notice of administrative completeness.

1. As part of the substantive review for a funeral establishment license, the Board shall conduct an inspection of the funeral establishment that may require more than one visit.

2. During the substantive review time-frame, the Board may make one comprehensive written request for additional information or documentation. The time-frame for the Board to complete the substantive review is suspended from the postmark date of the comprehensive written request for additional information or documentation until the Board receives the additional information or documentation.

3. The Board shall send a written notice of approval to an applicant who meets the qualifications in A.R.S. Title 32, Chapter 13 and this Chapter.

4. The Board shall send a written notice of denial to an applicant who fails to meet the qualifications in A.R.S. Title 32, Chapter 13 and this Chapter.

D. The Board shall consider an application withdrawn if within 360 days from the application submission date the applicant fails to:

1. Supply the missing information under subsection (B)(2) or (C)(2); or

2. Pass a national board, state equivalent, or state laws and rules examination, as applicable.

E. An applicant who does not wish an application withdrawn may request a denial in writing within 360 days from the application submission date.

F. If a time-frame's last day falls on a Saturday, Sunday, or official state holiday, the Board shall consider the next business day as the time-frame's last day.

History

• New Section adopted by final rulemaking at 7 A.A.R. 1441, effective March 14, 2001 (Supp. 01-1).

Ariz. Admin. Code § R4-12-108 Fees

A. The Board shall charge the following nonrefundable fees for filing an annual trust report under A.R.S. § 32-1391.16:

1. For each funeral establishment that has a prearranged funeral trust account and files an annual trust report in the time and manner required in A.R.S. § 32-1391.16, $150.00.

2. For each funeral establishment that has a prearranged funeral trust account and files an annual trust report late or incomplete, $200.00.

B. The Board shall charge the following fees for the duplication or copying of public records under A.R.S. § 39-121.03:

1. Noncommercial and commercial copy, 25¢ per page;

2. Copying requiring more than 15 minutes, $5.00 for each 15-minutes in excess of 15 minutes;

3. Directories for noncommercial use, 5¢ per name and address;

4. Directories for noncommercial use printed on labels, 10¢ per name and address;

5. Directories for commercial use, 25¢ per name and address;

Directories for commercial use printed on labels, 30¢ per name and address;

7. A directory in subsection (B)(3), (4), (5), or (6) issued on a diskette, $5.00 and the applicable name and address fee;

C. For the consumer information pamphlet, entitled Arizona Funerals Information, the Board shall charge a funeral establishment the Board's actual cost of publishing, distributing, and mailing the pamphlet.

D. The Board may waive any of the fees in subsection (B) for charitable organizations or governmental entities.

History

• Adopted effective June 16, 1981 (Supp. 81-3). Amended effective January 2, 1985 (Supp. 85-1). Amended effective Dec. 27, 1985 (Supp. 85-6). Amended effective May 25, 1989 (Supp. 89-2). Amended by final rulemaking at 7 A.A.R. 1441, effective March 14, 2001 (Supp. 01-1).

Ariz. Admin. Code § R4-12-109 Enforcement Advisory Committee

A. The Board may appoint an enforcement advisory committee that consists of seven members as follows:

1. Four members representing the funeral industry, and

2. Three lay members that have no affiliation with a funeral establishment or cemetery.

B. The enforcement advisory committee may:

1. Review and evaluate investigative matters referred to it by the Board, and

2. Make recommendations to the Board about the disposition of investigative matters.

C. The Board may accept, reject, or modify the enforcement advisory committee's recommendations.

History

• Adopted effective January 2, 1985 (Supp. 85-1). Amended by final rulemaking at 10 A.A.R. 681, effective April 3, 2004 (Supp. 04-1).

Ariz. Admin. Code § R4-12-120 Inspection Procedures

A. The Board shall inspect a funeral establishment or crematory:

1. Before issuing an initial license under A.R.S. § 32-1383; and

2. Once every five years under A.R.S. § 32-1307(A)(5)(h).

B. The Inspection shall include:

1. Reviewing equipment and the physical plant;

2. Interviewing personnel;

3. For a funeral establishment, inspecting for compliance with A.R.S. Title 32, Chapter 12, Articles 2, 3, 3.1, 4, and 5, and A.A.C. Title 4, Chapter 12, Articles 3 and 5; and

4. For a crematory, inspecting the crematory for compliance with A.R.S. Title 32, Chapter 12, Article 6 and A.A.C. Title 4, Chapter 12, Article 6.

C. At the inspection site, the Board shall make a verbal report of findings to an applicant or licensee upon completion of an inspection.

D. Within 15 days of the inspection, the Board shall send to the applicant or licensee a written report of its findings that includes:

1. A statement that no deficiencies were found, or

2. If deficiencies are found:

a. A list of any deficiencies identified during the inspection,

b. A citation to each statute or rule that has not been complied with,

c. A request for a written plan of correction, and

d. The time-frame for correcting the deficiencies.

E. Within 15 days after receiving a request for a written plan of corrections, an applicant or licensee shall submit to the Board a written plan of correction that includes:

1. The identified deficiency,

2. How the applicant or licensee will correct the deficiency, and

3. When the applicant or licensee will correct the deficiency.

F. The Board shall accept a written plan of correction if it:

1. Describes how each deficiency will be corrected to bring the:

a. Funeral establishment into substantial compliance with A.R.S. Title 32, Chapter 12, Articles 2, 3, 3.1, 4, and 5, and A.A.C. Title 4, Chapter 12, Articles 3 and 5; or

b. Crematory into substantial compliance with A.R.S. Title 32, Chapter 12, Article 6 and A.A.C. Title 4, Chapter 12, Article 6.

2. Includes a date for correcting each deficiency as soon as practicable based upon the actions necessary to correct the deficiency.

G. The Board shall provide an applicant or licensee with an opportunity to correct the deficiencies unless the Board determines the deficiencies are:

1. Committed intentionally;

2. Evidence a pattern of noncompliance:

a. For a funeral establishment, with A.R.S. Title 32, Chapter 12, Articles 2, 3, 3.1, 4, and 5, and A.A.C. Title 4, Chapter 12, Articles 3 and 5; or

b. For a crematory, with A.R.S. Title 32, Chapter 12, Article 6 and A.A.C. Title 4, Chapter 12, Article 6; or

3. A risk to the public health, safety, or welfare.

H. If an applicant or licensee does not correct the deficiencies within the time-frame approved by the Board, the Board may:

1. If requested by the applicant or licensee, extend the time-frame for situations beyond the control of the applicant or licensee, such as:

a. When the applicant or licensee in good faith is unable to obtain the items necessary to correct the deficiencies within the time-frame approved by the Board, or

b. The time needed to correct the deficiencies is longer than the time-frame approved by the Board due to the complexity, nature, or amount of deficiencies.

2. If the applicant or licensee fails to correct the deficiencies within the time-frame approved by the Board, take the disciplinary actions stated in A.R.S. § 32-1390.01 or A.R.S. § 32-1398.

History

• New Section made by final rulemaking at 11 A.A.R. 3160, effective October 1, 2005 (Supp. 05-3).

Ariz. Admin. Code § R4-12-121 Investigation Procedures

A. After receiving a complaint, the Board shall send a written notice of the complaint to the licensee or registrant within 15 days of its receipt and may include a request for information or documents related to the complaint. The licensee or registrant shall provide a written response and the requested information or documents no later than 15 days from the date the Board mails the notice of the complaint.

B. In addition to the information or documents requested by the Board under subsection (A), the Board may request that a complainant, licensee, or registrant reply to or provide the Board with additional information relating to the complaint. The complainant, licensee, or registrant shall provide the Board with additional information within 15 days from the date the Board mails the request.

History

• Adopted effective June 16, 1981 (Supp. 81-3). Former Section R4-12-121 repealed, new Section R4-12-121 adopted effective January 2, 1985 (Supp. 85-1). Amended by final rulemaking at 10 A.A.R. 681, effective April 3, 2004 (Supp. 04-1).

Ariz. Admin. Code § R4-12-122 Expired

History

• Adopted effective June 16, 1981 (Supp. 81-3). Section expired under A.R.S. § 41-1056(E) at 8 A.A.R. 853, effective December 31, 2001 (Supp. 02-1).

Ariz. Admin. Code § R4-12-123 Informal Interview

A. The Board shall conduct an informal interview under A.R.S. § 32-1367 as follows:

1. The Board shall send a written notice of the informal interview to each party by personal service or certified mail, return receipt requested, at least 20 days before the informal interview. The notice shall contain:

a. The time, place, and date of the informal interview;

b. An explanation of the procedures to be followed at the informal interview;

c. A statement of the subject matter or issues involved;

d. A statement of the licensee's or registrant's right to appear with or without counsel;

e. A notice that if a licensee, registrant, or complainant fails to appear at the informal interview, the informal interview may be held in the licensee's, registrant's, or complainant's absence; and

f. A statement of the licensee's or registrant's right to a formal hearing according to A.R.S. § 32-1367 instead of attending the informal interview.

2. During the informal interview, the Board may:

a. Swear in the licensee or registrant and all witnesses;

b. Question the licensee or registrant and all witnesses; and

c. Deliberate.

3. After completing the informal interview the Board may dismiss the complaint or take any of the actions listed in A.R.S. § 32-1367(D):

B. The Board shall issue written findings of fact, conclusions of law, and Board order no later than 60 days from the date the informal interview is completed.

C. A licensee or registrant may seek a Board rehearing or review of a Board decision or the Board may grant rehearing or review on its own motion as stated in A.R.S. § 32-1367(I).

History

• New Section made by final rulemaking at 10 A.A.R. 681, effective April 3, 2004 (Supp. 04-1).

Ariz. Admin. Code § R4-12-124 Expired

History

• Adopted effective June 16, 1981 (Supp. 81-3). Section expired under A.R.S. § 41-1056(E) at 8 A.A.R. 853, effective December 31, 2001 (Supp. 02-1).

Ariz. Admin. Code § R4-12-125 Hearing Procedures

A. If a formal hearing under A.R.S. § 32-1367 is to be held before an administrative law judge, the requirements in A.R.S. §§ 41-1092 through 41-1092.11 apply.

B. If a formal hearing under A.R.S. § 32-1367 is to be held before the Board, the requirements in A.R.S. §§ 41-1092 through 41-1092.11 and the following apply:

1. The Board shall provide a written complaint and notice of formal hearing to a licensee or registrant at the licensee's or registrant's last known address of record, by personal service or certified mail, return receipt requested at least 30 days before the date set for the formal hearing.

2. A licensee or registrant served with a complaint and notice of hearing shall file an answer by the date specified in the notice of hearing admitting or denying the allegations in the complaint.

3. The Board may amend a complaint and notice of hearing at any time. The Board shall send written notice of any changes in the complaint and notice of hearing to the licensee or registrant at least 20 days before the formal hearing.

4. A licensee or registrant may appear at a formal hearing with or without the assistance of counsel. If the licensee or registrant fails to appear, the Board may hold the formal hearing in the licensee's or registrant's absence.

5. The Board may conduct a formal hearing without adherence to the rules of procedure or rules of evidence used in civil proceedings. At the formal hearing the Board shall rule on the procedure to be followed and admissibility of evidence.

6. The Board shall send a written decision that includes written findings of fact, conclusions of law, and order of the Board to the licensee or registrant and all parties within 60 days after the formal hearing is concluded. A licensee, registrant, or the Board may seek rehearing or review of the order according to A.R.S. § 32-1367(I).

History

• Adopted effective January 2, 1985 (Supp. 85-1). Amended by final rulemaking at 10 A.A.R. 681, effective April 3, 2004 (Supp. 04-1).

Ariz. Admin. Code § R4-12-126 Rehearing or Review of Board's Decision

A. Except as provided in subsection (G), a party who is aggrieved by a decision issued by the Board may file with the Board, no later than 30 days after service of the decision, a written motion for rehearing or review of the decision, specifying the grounds for rehearing or review. For purposes of this Section, a decision is considered to have been served when personally delivered to the party's last known home or business address or five days after the decision is mailed by certified mail to the party or the party's attorney.

B. A party filing a motion for rehearing or review may amend the motion at any time before it is ruled upon by the Board. Another party may file a response within 15 days after the date the motion or amended motion for rehearing is filed. The Board may require a party to file supplemental memoranda explaining the issues raised in the motion or response and may permit oral argument.

C. The Board may grant a rehearing or review of the decision for any of the following reasons materially affecting the moving party's rights:

1. Irregularity in the Board's or administrative law judge's administrative proceedings or any order or abuse of discretion that deprived the party of a fair hearing;

2. Misconduct of the Board, administrative law judge, or the prevailing party;

3. Accident or surprise that could not have been prevented by ordinary prudence;

4. Newly discovered material evidence that could not, with reasonable diligence, have been discovered and produced at the original hearing;

5. Excessive or insufficient penalties or disciplinary action;

6. Error in the admission or rejection of evidence or other errors of law occurring at the administrative hearing; or

7. That the decision is not supported by the evidence or is contrary to law.

D. The Board may affirm or modify the decision or grant a rehearing or review on all or part of the issues for any of the reasons in subsection (C). An order granting a rehearing or review shall specify each ground for the rehearing or review.

E. No later than 30 days after a decision is issued by the Board, the Board may, on its own initiative, grant a rehearing or review of its decision for any reason in subsection (C). An order granting a rehearing or review shall specify the grounds for the rehearing or review.

F. If a motion for rehearing or review is based upon affidavits, a party shall serve the affidavits with the motion. An opposing party may, within 10 days after service, serve opposing affidavits. The Board may extend the time for serving opposing affidavits for no more than 20 days for good cause or by written stipulation of the parties. The Board may permit reply affidavits.

G. If the Board makes specific findings that the immediate effectiveness of a decision is necessary to preserve the public health and safety and determines that a rehearing or review of the decision is impracticable, unnecessary, or contrary to the public interest, the Board may issue the decision as a final decision without an opportunity for rehearing or review. If a decision is issued as a final decision without an opportunity for rehearing or review, an aggrieved party who wishes to seek judicial review shall make an application for judicial review of the decision within the time limits permitted for judicial review of the Board's final decision at A.R.S. § 12-904.

History

• Adopted effective June 16, 1981 (Supp. 81-3). Amended by final rulemaking at 10 A.A.R. 681, effective April 3, 2004 (Supp. 04-1).

Article 2 LICENSING PROVISIONS

Ariz. Admin. Code § R4-12-201 Application for a State Equivalent Examination or Embalmer Assistant Practical Examination

An applicant for a state equivalent examination or embalmer assistant practical examination shall submit an application packet to the Board that contains the following:

1. An application form provided by the Board, signed and dated by the applicant, and notarized that contains:

a. The applicant's name, mailing address, telephone number, and social security number;

b. Any prior name or alias of the applicant;

c. The applicant's date and place of birth; and

d. The applicant's height, weight, hair color, and eye color;

2. A photocopy of the applicant's high school diploma or general educational diploma issued in any state;

3. If applying to take a state equivalent examination, a photocopy of the diploma issued to the applicant upon graduation from an accredited or provisionally accredited school of mortuary science;

4. Two passport photographs of the applicant, no larger than 1 1/2 x 2 inches, taken not more than 60 days before the date of the application; and

5. The fee required by the Board.

History

• Former Rule, Section 1, Article III; Former Section R4-12-26 renumbered as Section R4-12-201 effective June 16, 1981 (Supp. 81-3). Former Section R4-12-201 repealed and a new Section R4-12-201 adopted effective September 18, 1987 (Supp. 87-3). Section repealed; new Section adopted by final rulemaking at 7 A.A.R. 1441, effective March 14, 2001 (Supp. 01-1).

Ariz. Admin. Code § R4-12-202 Application for an Intern, an Embalmer, or a Funeral Director License

A. An applicant for an intern, an embalmer, or a funeral director license shall submit an application packet to the Board that contains the information required in A.R.S. § 32-1323, and the following:

1. An application form provided by the Board, signed and dated by the applicant, and notarized that contains:

a. The applicant's name, mailing address, telephone number, and social security number;

b. The applicant's date and place of birth;

c. Any prior name or alias of the applicant;

d. The name and address of the high school from which the applicant graduated and the graduation date or date applicant received a general equivalency diploma;

e. The name and address of the mortuary school from which the applicant graduated and graduation date;

f. The name, address, and telephone number of the funeral establishment employing the applicant;

g. Whether the applicant has ever been convicted of or entered into a plea of no contest to a class 1 or 2 felony, including the information in subsection (A)(1)(h)(i) through (A)(1)(h)(vi);

h. Whether the applicant, within five years from the date of the application, has been convicted of or entered into a plea of no contest to a felony or to a misdemeanor that is reasonably related to the applicant's proposed area of licensure including the:

i. Charged felony or misdemeanor;

ii. Date of conviction;

iii. Court having jurisdiction over the felony or misdemeanor;

iv. Probation officer's name, address, and telephone number, if applicable;

v. A copy of the notice of expungement, if applicable; and

vi. A copy of the notice of restoration of civil rights, if applicable;

i. Whether the applicant, within five years from the date of the application, has committed any act involving dishonesty, fraud, misrepresentation, breach of fiduciary duty, gross negligence, or incompetence reasonably related to the applicant's proposed area of licensure;

j. Whether the applicant is currently incarcerated or on community supervision after a period of imprisonment in a local, state, or federal penal institution or on criminal probation;

k. Whether the applicant, within five years from the date of the application, has had an application for a license, registration, certificate, or endorsement denied or rejected by any state funeral licensing authority including the:

i. Reason for the denial or rejection,

ii. Date of the denial or rejection, and

iii. Name and address of the agency that denied or rejected the application;

l. Whether the applicant has, within five years from the date of the application, had a license, registration, certificate, or endorsement suspended or revoked by any state funeral licensing authority including the:

i. Reason for the suspension or revocation,

ii. Date of the suspension or revocation, and

iii. Name and address of the state licensing authority that suspended or revoked the license;

m. Whether the applicant has ever surrendered a license, registration, certificate, or endorsement to the Board or any state funeral licensing authority;

n. The dates the applicant served as an apprentice embalmer or intern, location of apprenticeship or internship, and the number of human bodies embalmed, if applicable;

o. A statement of whether the applicant has passed a national board examination or state equivalent examination, if applicable; and

p. A notarized statement by the applicant verifying the information on the application is true and correct;

2. A copy of the applicant's high school or general equivalency diploma;

3. A copy of the transcript from each mortuary college attended by the applicant and, if applicable, each diploma issued to the applicant; and

4. The fee required by the Board.

B. In addition to the requirements in subsection (A), an applicant for an intern license shall submit on the application form the name and license number of the embalmer who will supervise the applicant.

C. In addition to the requirements in subsection (A), an applicant for an embalmer license shall submit to the Board:

1. On the application form:

a. Whether the applicant has embalmed 25 or more human bodies;

b. Apprenticeship or internship information including:

i. Beginning and ending dates,

ii. The state in which the apprenticeship or internship was served,

iii. The applicant's state registration number and date of issuance, and

iv. The number of human bodies embalmed by the applicant during the apprenticeship or internship;

c. The following information:

i. The name of each state in which the applicant has been licensed or registered as an embalmer or funeral director,

ii. The date of issuance of each funeral director or embalmer license or registration, and

iii. The license or registration number in each state in which the applicant is or has been licensed or registered as an embalmer or funeral director;

d. The name of each mortuary at which the applicant practiced as an embalmer or funeral director for five years immediately before the application date, beginning and ending dates of the practice, and a description of the practice, if applicable;

e. A notarized statement from a funeral director licensed or registered in any state that contains the funeral director's:

i. State in which licensed;

ii. License number and issuance date;

iii. Statement of length of time that the funeral director has known the applicant;

iv. Statement attesting to the applicant's good character, reputation, and professional ability; and

v. Recommendation for the Board's approval of the applicant; and

2. A report of apprenticeship or internship containing:

a. The applicant's name,

b. The name of the funeral establishment in which the apprenticeship or internship was served,

c. The name of the embalmer supervising the applicant,

d. The beginning and ending dates covered in the report,

e. The number of hours worked each month during the apprenticeship or internship,

f. The number of human bodies embalmed each month during the apprenticeship or internship, and

g. For each human body embalmed:

i. The name of the deceased,

ii. The date of death,

iii. A statement of whether an autopsy was performed, and

iv. The supervising embalmer's signature and license number,

D. In addition to the requirements in subsection (A), an applicant for a funeral director license shall submit to the Board a report containing:

1. The applicant's name;

2. The name of the funeral establishment in which one year of funeral directing experience was obtained;

3. The name of the responsible funeral director;

The beginning and ending dates covered in the report; and

5. For each burial, immediate burial, or direct cremation conducted by the applicant:

a. The name of the deceased;

b. The date of the burial, immediate burial, or direct cremation;

c. A statement of whether the applicant conducted a burial, immediate burial, or direct cremation; and

d. The supervising funeral director's signature and license number.

E. In addition to the requirements in subsection (A), an applicant for an embalmer or funeral director license who holds an out-of-state embalmer or funeral director license shall:

1. Submit on the application form, the name of each state in which the applicant is licensed or registered as an embalmer or funeral director; and

2. Arrange for the out-of-state licensing authority to complete the following on the application form to be submitted with the application packet:

a. Certification of current licensure of the applicant;

b. Type of license, license number, and date license was issued;

c. A statement of whether the applicant qualified by examination or by being licensed by another state;

d. A statement of whether the licensing authority has ever suspended, revoked, or taken any other action against the applicant's license; and

e. Notarized signature and title of agency official;

F. An applicant for a multiple funeral director license shall submit an application form that is signed and dated by the applicant, and notarized that includes the information in subsections (A)(1)(a) through (A)(1)(c) and:

1. The name and address of the funeral establishment for which the applicant:

a. Currently acts as the responsible funeral director, and

b. Is applying to act as the responsible funeral director;

2. The distance, stated in miles, between the current funeral establishment and the funeral establishment for which application is being made;

3. For the funeral establishment for which application is being made and for 12 months immediately preceding the application, the number of:

a. Funerals and cremations conducted at the funeral establishment, and

b. Transportations of human remains arranged through the funeral establishment;

4. The fee required by the Board; and

5. Other information required by the Board.

History

• Adopted effective September 18, 1987 (Supp. 87-3). Section repealed; new Section adopted by final rulemaking at 7 A.A.R. 1441, effective March 14, 2001 (Supp. 01-1).

Ariz. Admin. Code § R4-12-203 Application for an Embalmer's Assistant Registration

An applicant for an embalmer's assistant registration shall submit to the Board an application packet that contains the following:

1. An application form that contains:

a. The applicant's name, mailing address, telephone number, and social security number;

b. The applicant's date and place of birth;

c. Any prior name or alias of the applicant;

d. The name and address of the high school from which the applicant graduated and the graduation date or date applicant received a general equivalency diploma;

e. The name and address of each mortuary college attended by the applicant;

f. The name and address of the mortuary college from which the applicant graduated and graduation date;

g. The name, address, and telephone number of the funeral establishment employing the applicant;

h. Whether the applicant, within five years from the date of the application, has had an application for a license, registration, certificate, or endorsement denied or rejected by any state funeral licensing authority including the:

i. Reason for the denial or rejection,

ii. Date of the denial or rejection, and

iii. Name and address of the agency that denied or rejected the application;

i. Whether the applicant, within five years from the date of the application, has had a license, registration, certificate, or endorsement suspended or revoked by any state funeral licensing authority including the:

i. Reason for the suspension or revocation,

ii. Date of the suspension or revocation, and

iii. Name and address of the state licensing authority that suspended or revoked the license;

j. Whether the applicant, within five years from the date of the application, has surrendered a license, registration, certificate, or endorsement to the Board or any state funeral licensing authority;

k. The name of the applicant's current supervising embalmer;

l. If applicable, the beginning and ending dates the applicant served as an apprentice embalmer, the applicant's registration number and date of issuance, and the number of human bodies embalmed and date of each embalming; and

m. A notarized statement by the applicant verifying the information on the application is true and correct;

2. A copy of the applicant's high school or general equivalency diploma;

3. A copy of the transcript and diploma from the mortuary college from which the applicant graduated;

4. A report of apprenticeship containing:

a. The applicant's name,

b. The name of the funeral establishment in which the apprenticeship was completed,

c. The name of the supervising embalmer,

d. The beginning and ending dates covered in the report,

e. The number of hours worked each month during the two most recent consecutive years of apprenticeship,

f. The number of human bodies embalmed by the applicant or in which the applicant assisted in the embalming for each month of the apprenticeship,

g. For each human body embalmed by the applicant or in which the applicant assisted in embalming for the two most recent consecutive years of the apprenticeship:

i. The name of the deceased,

ii. The date of death,

iii. A statement of whether an autopsy was performed,

iv. The supervising embalmer's signature and license number, and

v. The applicant's signature.

5. A completed and legible fingerprint card; and

The fee required by the Board.

History

• Former Rule, Section 3, Article III; Former Section R4-12-27 amended and renumbered as Section R4-12-203 effective June 16, 1981 (Supp. 81-3). Former Section R4-12-203 repealed and a new Section R4-12-203 adopted effective September 18, 1987 (Supp. 87-3). Section repealed; new Section adopted by final rulemaking at 7 A.A.R. 1441, effective March 14, 2001 (Supp. 01-1).

Ariz. Admin. Code § R4-12-204 Application for a Funeral Establishment License or Interim Funeral Establishment Permit

A. An applicant for a funeral establishment license shall submit an application packet to the Board that contains the fee required by the Board, information required in A.R.S. § 32-1383, and an application form that contains:

1. The funeral establishment's current and previous name, if any;

2. The address of the physical location and telephone number of the funeral establishment;

3. The responsible funeral director's name and license number;

4. The name of the funeral establishment's current and previous owner;

5. Whether the funeral establishment is a proprietorship, a corporation, a partnership, a limited liability company, or a subsidiary of a corporation, a partnership, or a limited liability company;

6. If the previous owner was a corporation, the name of the corporation;

7. The name and address of each person owning 10 percent or more of the establishment or corporation common stock;

8. If a corporation, partnership, or limited liability company:

a. The state and date of incorporation or formation;

b. The name and address of the Arizona statutory agent or agent appointed to receive process; and

c. The name, address, and title of each officer, director, general partner, or member;

9. Whether the applicant has ever been convicted of or entered into a plea of no contest to a class 1 or 2 felony, including the information in subsections (A)(10)(a) through (A)(10)(f);

10. Whether the applicant, within five years from the date of the application, has been convicted of or entered into a plea of no contest to a felony or to a misdemeanor that is reasonably related to the applicant's proposed area of licensure including the:

a. Charged felony or misdemeanor;

b. Date of conviction;

c. Court having jurisdiction over the felony or misdemeanor;

d. Probation officer's name, address, and telephone number, if applicable;

e. A copy of the notice of expungement, if applicable; and

f. A copy of the notice of restoration of civil rights, if applicable;

11. Whether the applicant, within five years from the date of the application, has committed any act involving dishonesty, fraud, misrepresentation, breach of fiduciary duty, gross negligence, or incompetence reasonably related to the applicant's proposed area of licensure;

12. Whether the applicant is currently incarcerated or on community supervision after a period of imprisonment in a local, state, or federal penal institution or on criminal probation;

13. Whether the applicant, within five years from the date of the application, has had an application for a license, registration, certificate, or endorsement denied or rejected by any state funeral licensing authority including the:

a. Reason for the denial or rejection,

b. Date of the denial or rejection, and

c. Name and address of the agency that denied or rejected the application;

14. Whether the applicant has, within five years from the date of the application, had a license, registration, certificate, or endorsement suspended or revoked by any state funeral licensing authority including the:

a. Reason for the suspension or revocation,

b. Date of the suspension or revocation, and

c. Name and address of the state licensing authority that suspended or revoked the license;

15. Whether the applicant has ever surrendered a license, registration, certificate, or endorsement to the Board or any state funeral licensing authority;

16. A statement, signed by the responsible funeral director and notarized, affirming licensure in Arizona and confirming responsibility for the funeral establishment's compliance with Arizona state laws and rules; and

17. The applicant's signature.

B. An applicant for an interim funeral establishment permit shall submit an application packet to the Board that contains the information required in A.R.S. § 32-1388 and an application form that contains:

1. The funeral establishment's current and previous name, if any;

2. The address of the physical location and telephone number of the funeral establishment;

3. The name of the funeral establishment's current and previous owner;

4. The responsible funeral director's name and license number;

5. Whether the funeral establishment is a proprietorship, a corporation, a partnership, a limited liability company, or a subsidiary of a corporation, a partnership, or a limited liability company;

6. If the previous owner was a corporation, the name of the corporation;

7. The name and address of each person owning 10 percent or more of the establishment or corporation common stock;

8. If a corporation, partnership, or limited liability company:

a. The state and date of incorporation or formation;

b. The name and address of the Arizona statutory agent or agent appointed to receive process; and

c. The name, address, and title of each officer, director, general partner, or member;

9. The name of the previous licensed owner;

10. A statement, signed by the responsible funeral director and notarized, affirming licensure in Arizona and confirming responsibility for the funeral establishment's compliance with Arizona state laws and rules; and

11. The applicant's signature.

History

• Former Rule, Section 5, Article III; Former Section R4-12-28 amended and renumbered as Section R4-12-204 effective June 16, 1981 (Supp. 81-3). Former Section R4-12-204 repealed, new Section R4-12-204 adopted effective September 18, 1987 (Supp. 87-3). Section repealed; new Section adopted by final rulemaking at 7 A.A.R. 1441, effective March 14, 2001 (Supp. 01-1).

Ariz. Admin. Code § R4-12-205 Application for a Prearranged Funeral Sales Endorsement

An owner and the owner's responsible funeral director applying for a prearranged funeral sales endorsement for a funeral establishment shall submit an application packet to the Board that contains the fee required by the Board, information required in A.R.S. § 32-1391.12, and an application form that contains:

1. The funeral establishment's name, mailing address, and telephone number;

The funeral establishment's designated funeral director's, manager's, corporate officers', owner's, trustee's, or any controlling person's:

a. Current name and any prior name or alias;

b. Current address, telephone number, and social security number;

c. Date and place of birth; and

d. Former addresses, including dates of residence, for seven years immediately preceding the date of the application;

3. The total amount of trust funds, including accrued interest, for 12 months immediately preceding the application date;

4. The total number of currently existing prearranged funeral agreements entered into before January 1, 1985;

5. The total number of prearranged funeral agreements sold by the funeral establishment for the calendar year immediately preceding the date of the application;

6. Whether the designated funeral director, a manager, a corporate officer, a trustee, or an owner, within seven years preceding the date of application, in any state or federal jurisdiction, has:

a. Been convicted of or entered into a plea of no contest to a felony or to a misdemeanor involving dishonesty, fraud, deception, misrepresentation, embezzlement, or breach of fiduciary duty; or

b. Been issued a judgment or consent order for consumer fraud, securities violation, or civil racketeering;

7. The name, address, alias, and telephone number of each individual named in subsection (6) and the following:

a. The charged felony or misdemeanor;

b. Date of conviction or judgment;

c. Court having jurisdiction over the felony or misdemeanor;

d. Probation officer's name, address, and telephone number, if applicable; and

e. A copy of the notice of expungement, if applicable; and

f. A copy of the notice of restoration of civil rights, if applicable; and

8. A notarized statement signed by the owner and designated funeral director verifying the information on the application is true and correct;

History

• Former Section R4-12-29 amended and renumbered as Section R4-12-205 effective June 16, 1981 (Supp. 81-3). Section repealed; new Section adopted by final rulemaking at 7 A.A.R. 1441, effective March 14, 2001 (Supp. 01-1).

Ariz. Admin. Code § R4-12-206 Application for a Prearranged Funeral Salesperson Registration

An applicant for a prearranged funeral salesperson registration shall submit an application packet to the Board that contains the fee required by the Board, information required in A.R.S. § 32-1391.14, and an application form that contains:

1. The applicant's telephone number and social security number;

2. A statement of whether the applicant is a funeral director or embalmer licensed in Arizona;

3. Whether the applicant has ever been convicted of or entered into a plea of no contest to a felony or to a misdemeanor involving dishonesty, fraud, deception, misrepresentation, embezzlement, or breach of fiduciary duty in any state or federal court within seven years preceding the date of application including the:

a. Charged felony or misdemeanor;

b. Date of conviction;

c. Court having jurisdiction over the felony or misdemeanor;

d. Probation officer's name, address, and telephone number, if applicable;

e. A copy of the notice of expungement, if applicable; and

f. A copy of the notice of restoration of civil rights, if applicable.

4. Whether the applicant, within seven years preceding the date of the application, has had an application for a license, registration, endorsement, or certificate denied or rejected by any state funeral licensing authority including the:

a. Reason for the denial or rejection,

b. Date of the denial or rejection, and

c. Name and address of the agency that denied or rejected the application;

5. Whether the applicant, within seven years preceding the date of the application, has had a license, certificate, endorsement, or registration suspended or revoked by any state funeral licensing authority including the:

a. Reason for the suspension or revocation,

b. Date of the suspension or revocation, and

c. Name and address of the agency that suspended or revoked the license;

6. A notarized statement signed by the applicant verifying the information on the application is true and correct; and

7. A notarized statement signed by the responsible funeral director verifying the applicant will be employed by the responsible funeral director upon issuance of the registration by the Board.

History

• Former Rule, Section 9, Article 111; Former Section R4-12-30 renumbered as Section R4-12-206 effective June 16, 1981 (Supp. 81-3). Former Section R4-12-206 repealed and a new Section R4-12-206 adopted effective September 18,1987 (Supp. 87-3). Section repealed; new Section adopted by final rulemaking at 7 A.A.R. 1441, effective March 14, 2001 (Supp. 01-1).

Ariz. Admin. Code § R4-12-207 Application for a Crematory License

An applicant for a crematory license shall submit an application packet to the Board that contains the fee required by the Board, information required in A.R.S. § 32-1395, and the following:

1. An application form that contains:

a. The name of the crematory;

b. The address of the physical location and telephone number of the crematory;

c. Whether the crematory is a proprietorship, a corporation, a partnership, a limited liability company, or a subsidiary of a corporation, a partnership, or a limited liability company;

d. The name and license number of the responsible funeral director or cremationist;

e. The name and address of each person owning 10 percent or more of the establishment or corporation common stock;

f. A statement, signed by the responsible funeral director or cremationist and notarized, affirming licensure in Arizona and confirming responsibility for the crematory's compliance with Arizona state laws and rules;

g. If a corporation, partnership, or limited liability company:

i. The state and date of incorporation or formation;

ii. The name and address of the Arizona statutory agent or agent appointed to receive process; and

iii. The name, address, and title of each officer, director, general partner, or member;

h. Whether the applicant has ever been convicted of or entered into a plea of no contest to a class 1 or 2 felony, including the information in subsection (1)(i)(i) through (1)(i)(vi);

i. Whether the applicant, within five years from the date of the application, has been convicted of or entered into a plea of no contest to a felony or to a misdemeanor that is reasonably related to the applicant's proposed area of licensure including the:

i. Charged felony or misdemeanor;

ii. Date of conviction;

iii. Court having jurisdiction over the felony or misdemeanor;

iv. Probation officer's name, address, and telephone number, if applicable;

v. A copy of the notice of expungement; if applicable; and

vi. A copy of the notice of restoration of civil rights, if applicable;

j. Whether the applicant, within five years from the date of the application, has committed any act involving dishonesty, fraud, misrepresentation, breach of fiduciary duty, gross negligence, or incompetence reasonably related to the applicant's proposed area of licensure;

k. Whether the applicant is currently incarcerated or on community supervision after a period of imprisonment in a local, state, or federal penal institution or on criminal probation;

l. Whether the applicant, within five years from the date of the application, has had an application for a license, registration, certificate, or endorsement denied or rejected by any state funeral licensing authority including the:

i. Reason for the denial or rejection,

ii. Date of the denial or rejection, and

iii. Name and address of the agency that denied or rejected the application;

m. Whether the applicant has, within five years from the date of the application, had a license, registration, certificate, or endorsement suspended or revoked by any state funeral licensing authority including the:

i. Reason for the suspension or revocation,

ii. Date of the suspension or revocation, and

iii. Name and address of the state licensing authority that suspended or revoked the license;

n. Whether the applicant has ever surrendered a license, registration, certificate, or endorsement to the Board or any state funeral licensing authority; and

o. The applicant's signature;

2. A copy of a funeral establishment license or crematory authority certificate issued by the Arizona Department of Real Estate to a cemetery that operates a crematory.

History

• Adopted effective January 2,1985 (Supp. &5-1). Amended by adding subsections (F) and (G) effective September 18, 1987 (Supp. 87-3). Section repealed; new Section adopted by final rulemaking at 7 A.A.R. 1441, effective March 14, 2001 (Supp. 01-1).

Ariz. Admin. Code § R4-12-208 Annual Intern, Apprentice Embalmer, or Embalmer's Assistant Report

A. To meet the requirements in A.R.S. §§ 32-1322(A), 32-1324, or 32-1325.01(B)(2), an intern, apprentice embalmer, or embalmer's assistant shall work a minimum of 40 hours each week and a minimum of 160 hours each month during an internship or apprenticeship.

B. As required in A.R.S. § 32-1330, an intern, an apprentice embalmer, or an embalmer's assistant shall submit the following on a form provided by the Board:

The name of the intern, apprentice embalmer, or embalmer's assistant;

2. The name of the funeral establishment employing the intern, apprentice embalmer, or embalmer's assistant;

3. The supervising embalmer's name and license number;

4. The beginning and ending dates being covered by the report;

5. The number of hours worked each week at the employing funeral establishment;

6. For each human body embalmed:

a. The name of the deceased;

b. The date of death;

c. A statement of whether an autopsy was performed; and

d. The supervising embalmer's signature and license number;

7. A statement signed by the intern, apprentice embalmer, or embalmer's assistant verifying the information on the report is true and correct;

8. A statement signed by the responsible funeral director verifying the intern; apprentice embalmer, or embalmer's assistant has been employed by the responsible funeral director; and

9. A statement signed by the supervising embalmer verifying supervision of the intern, apprentice embalmer, or embalmer's assistant.

History

• Adopted effective January 2,1985 (Supp. 85-1). Section repealed; new Section adopted by final rulemaking at 7 A.A.R. 1441, effective March 14, 2001 (Supp. 01-1).

Ariz. Admin. Code § R4-12-209 State Equivalent Examination

A. The funeral service science section of the state equivalent examination shall consist of no fewer than 70 written questions covering the following subjects:

Embalming practices and procedures;

2. Methods of determining whether proper embalming practices and procedures are being or have been followed for the preservation of the human body and prevention of the spread of disease;

3. Laws and regulations and approved practices governing the preparation, burial, and disposal of human bodies; and

4. Methods of shipping human bodies when the cause of death is an infectious or contagious disease.

B. The funeral services arts section of the state equivalent examination shall consist of no fewer than 70 written questions covering the following subjects:

1. Funeral directing,

2. Funeral service law,

3. Funeral merchandising,

4. Business law,

5. Accounting,

6. Sociology,

7. Accounting, and

8. Psychology.

History

• New Section adopted by final rulemaking at 7 A.A.R. 1441, effective March 14, 2001 (Supp. 01-1).

Ariz. Admin. Code § R4-12-210 Application for a Cremationist License

An applicant for a cremationist license shall submit an application packet to the Board that contains all of the following:

1. An application form provided by the Board, signed and dated by the applicant that contains:

a. The applicant's name, mailing address, telephone number, and social security number;

b. The applicant's date and place of birth;

c. Any prior name or alias of the applicant;

d. The name, address, and telephone number of the crematory or funeral establishment employing the applicant, if applicable;

e. Whether the applicant has ever been convicted of or entered into a plea of no contest to a class 1 or 2 felony, including the information in subsections (1)(f)(i) through (1)(f)(vi) for each felony;

f. Whether the applicant, within the five years before the date of the application, has been convicted of or entered into a plea of no contest to a felony or to a misdemeanor that is reasonably related to the applicant's proposed area of licensure and the:

i. Charged felony or misdemeanor;

ii. Date of conviction;

iii. Court that has jurisdiction over the felony or misdemeanor;

iv. Probation officer's name, address, and telephone number, if applicable;

v. A copy of the notice of expungement, if applicable; and

vi. A copy of the notice of restoration of civil rights, if applicable;

g. Whether the applicant, within five years from the date of the application, has committed any act involving dishonesty, fraud, misrepresentation, breach of fiduciary duty, gross negligence, or incompetence reasonably related to the applicant's proposed area of licensure;

h. Whether the applicant is currently incarcerated, on community supervision after a period of incarceration in a local, state, or federal penal institution, or on criminal probation;

i. Whether the applicant, within five years from the date of the application, has had an application for a license, registration, certificate, or endorsement denied or rejected by any state funeral licensing authority and the:

i. Reason for the denial or rejection,

ii. Date of the denial or rejection, and

iii. Name and address of the agency that denied or rejected the application;

j. Whether the applicant has, within five years from the date of the application, had a license, registration, certificate, or endorsement suspended or revoked by any state funeral licensing authority and the:

i. Reason for the suspension or revocation,

ii. Date of the suspension or revocation, and

iii. Name and address of the state licensing authority that suspended or revoked the license;

k. Whether the applicant has ever surrendered a license, registration, certificate, or endorsement to the Board or any other state funeral licensing authority; and

l. A notarized statement by the applicant verifying that the information on the application is true and correct.

2. A copy of a certificate of completion of a crematory certification program issued by:

a. The manufacturer of a retort, or

b. An accredited organization that provides instruction for crematory operation;

3. A completed and legible fingerprint card; and

4. The fee required by the Board under A.R.S. § 32-1309.

History

• New Section made by final rulemaking at 10 A.A.R. 681, effective April 3, 2004 (Supp. 04-1).

Ariz. Admin. Code § R4-12-211 Renewal

A. An applicant for a renewal of a license, registration, or endorsement shall file a renewal application so the Board receives it on or before the following dates:

1. July 1 for an intern, embalmer, funeral director, funeral establishment, cremationist, or crematory license;

2. July 1 for an embalmer's assistant registration; or

3. July 31 for a prearranged funeral sales establishment endorsement or prearranged funeral salesperson registration.

B. An applicant for a renewal license, registration, or endorsement shall submit to the Board:

1. A renewal form, provided by the Board, that is signed and dated by the applicant and contains the applicant's:

a. Name,

b. Social security number,

c. Residence and practice addresses, and

d. Telephone number; and

2. The fee required by the Board under A.R.S. § 32-1309.

C. In addition to the requirements in subsection (B), an applicant renewing an intern, embalmer, or funeral director license or an embalmer's assistant registration shall submit to the Board a list of continuing education completed by the licensee or registrant or a continuing education waiver statement that meets the requirements in Article 4 of this Chapter.

History

• Adopted effective June 16,1981 (Supp. 81-3). Former Section R4-12-211 repealed and a new Section R4-12-211 adopted effective September 18, 1987 (Supp. 87-3). Section repealed by final rulemaking at 7 A.A.R. 1441, effective March 14, 2001 (Supp. 01-1). New Section made by final rulemaking at 10 A.A.R. 681, effective April 3, 2004 (Supp. 04-1).

Ariz. Admin. Code § R4-12-212 Reinstatement

A. An applicant requesting reinstatement under A.R.S. §§ 32-1331, 32-1391.12(C), or 32-1391.14(C) shall submit to the Board:

1. An application form that contains the applicant's:

a. Name,

b. Social security number,

c. Residence and practice addresses,

d. Telephone number, and

e. Signature, and

2. The renewal and reinstatement fees required by the Board under A.R.S. § 32-1309.

B. In addition to the requirements in subsection (A), an applicant requesting reinstatement of a prearranged funeral sales endorsement shall submit to the Board the information required in A.R.S. § 32-1391.12(C).

C. The Board shall send written notice of approval or denial of reinstatement within seven days of receiving the fees and application for reinstatement.

History

• Adopted effective June 16, 1981 (Supp. 81-3). Repealed effective September 18, 1987 (Supp. 87-3). New Section made by final rulemaking at 10 A.A.R. 681, effective April 3, 2004 (Supp. 04-1).

Article 3 REGULATORY PROVISIONS

Ariz. Admin. Code § R4-12-301 General Funeral Services Requirements

A. Any funeral director, embalmer, funeral establishment or other person licensed by the Board shall comply with the following general funeral service requirements:

1. Licensees shall deal with funeral services consumers in an honest and truthful manner, and shall be responsive and sensitive to particular requirements or needs concerning funeral arrangements. Licensees shall not engage in any conduct which causes or results in disrespect for the deceased person, disruption of the funeral services or any injury to the decedent's family, contrary to the prevailing standards and practices of the profession in this state.

Licensees shall perform their respective responsibilities concerning the care, handling, transportation and disposition of human remains and concerning all transactions with funeral services consumers in a careful and competent manner in accordance with the prevailing standards and practices of the profession in this state.

3. Licensees shall comply with all laws and regulations pertaining to their activities in the care, handling, transportation and disposition of human remains including, without limitation, the provisions of the Funeral Directors Act (A.R.S. § 32-1301 et seq.), the Prearranged Funeral Plan Act (A.R.S. § 44-1721 et seq.), and these rules. Licensees shall comply with all health laws and regulations which pertain to the embalming and preparation of human remains. The following health laws and rules should be reviewed and followed to the extent applicable:

| Subject | Law or Rule | | --- | --- | | Vital statistics | A.R.S. § 36-301 et seq. | | Health menaces | A.R.S. § 36-601 et seq. | | Disposition of bodies | A.R.S. § 36-801 et seq. | | Communicable diseases (Arizona Department of Health Services rules) | A.A.C. R9-6-110 et seq. | | Vital statistics (Arizona Department of Health Services rules) | A.A.C. R9-19-301 et seq. |

Licensees should also make reasonable efforts to cooperate with the customs of all religions and creeds according to the desires of the decedent or his family.

5. Licensees shall not make statements nor engage in activities which foreseeably could result in needless infliction of emotional distress on members of the decedent's family or result in exposing the remains to unnecessary indignity, including without limitation:

a. Making statements to members of the family designed to offend their sensibilities during grief, including unsolicited comments concerning graphic details of the embalming, or of the condition, decomposition or decay of the remains, except that statements which are necessary under the circumstances to adequately inform the family concerning the advisability of viewing the remains or having an open-casket funeral ceremony are not prohibited by this subsection.

b. Permitting the remains to be exposed or displayed to members of the family or the public in a manner not consistent with public health.

c. Permitting the remains to be exposed or displayed to members of the family or the public in a manner designed to offend their sensibilities during grief, including exposing or displaying the remains:

i. During the embalming or preparation process;

ii. Without clothing or suitable covering of the trunk and limbs of the remains;

iii. For any promotional or commercial purpose;

iv. For photographs, videotape or other reproductive process without clothing or suitable covering or during the embalming or preparation process.

This subsection does not apply where public officials in the discharge of their duties view or examine the remains.

6. Licensees shall not disclose or divulge any privacy, secrecy, confidence or secret of the domestic or private life of any deceased or the family thereof or of any home or circle learned as a result of professional employment, unless such disclosure is required by law, or is necessary to conduct the legitimate business of the funeral establishment in accordance with law. Licensees shall not discuss facts concerning the cause of death, expenditures for the funeral, the source of funds, or other matters of a personal nature except with the members of the family or their authorized representatives. Such information may be released to the Board during an investigation or inspection if a release or other permission is obtained or received from a family member or if pursuant to a subpoena or other court or administrative directive.

7. Licensees shall not pay or cause to be paid to any person including without limitation a nurse, attendant, doctor, ambulance personnel, hospital personnel, health care facility personnel, clergy or law enforcement officers, money or other valuable consideration to secure business from or through such person.

B. Failure to substantially comply with the provisions of this Section shall be deemed to be evidence of gross negligence, repeated or continuing negligence or other professional incompetence.

History

• Adopted effective June 16, 1981 (Supp. 81-3).

Ariz. Admin. Code § R4-12-302 Deceptive Practices Prohibited

A. In selling or offering to sell funeral goods or funeral services to funeral services consumers, it is a deceptive act or practice for a funeral establishment, funeral director, embalmer, or agents or employees of a funeral establishment:

To advertise for or solicit business through the use of deceptive, misleading or inaccurate statements or other information.

2. To display or represent funeral merchandise or services in a deceptive or misleading manner. Failure to display to or show funeral services consumers inexpensive caskets and containers regularly offered for sale and stocked by the funeral establishment is deemed to be a misleading display practice. Display of inexpensive caskets or containers, or photos or facsimiles thereof, under less favorable conditions or circumstances, including poor lighting, merchandise damage or defacement or conditions inhibiting the consumer's free choice of merchandise is also deemed to be a misleading display practice.

3. To embalm a deceased human body unless:

a. State or local law or regulation requires embalming in the particular circumstances regardless of any funeral choice which the family might make; or

b. Prior approval for embalming (expressly so described) has been obtained from a family member or other authorized person; or

c. The funeral establishment is unable to contact a family member or other authorized person after exercising due diligence, has no reason to believe the family does not want embalming performed, and obtains subsequent approval for embalming already performed (expressly so described). In seeking approval, the funeral establishment shall disclose that a fee will be charged if the family selects a funeral which requires embalming, such as a funeral with viewing, and that no fee will be charged if the family selects a service which does not require embalming, such as direct cremation or immediate burial.

4. To fail to promptly release upon request, deceased human remains to a family member, representative of the family or other person authorized by the family to take possession of the remains.

5. To make any false, misleading or unsubstantiated statements or claims, or in any manner imply that natural decomposition or decay of human remains can be prevented by embalming, or certain caskets, vaults or other burial containers, or to otherwise make any false, misleading or unsubstantiated statements or claims of watertightness or airtightness of caskets, vaults or other burial containers.

6. To reuse a casket or container previously purchased by or delivered to another decedent's family and intended for or used in connection with the burial, cremation or other final disposition of the previous decedent. This provision does not apply to the rental of caskets, containers, casket shells or other devices used in connection with the funeral services if the funeral services consumer is informed of the rental arrangement.

7. To bill or otherwise charge a purchaser for merchandise or services not actually provided by or arranged through the funeral establishment.

8. To represent that the price charged for a cash advance item is the same as the cost to the funeral establishment for the item when such is not the case, or to fail to disclose to purchasers that the price being charged for a cash advance item is not the same as the cost to the funeral establishment for the item when such is the case.

9. To make disparaging statements concerning the quality, utility, suitability or durability of inexpensive caskets or containers without basis in fact.

10. To make false or misleading statements concerning or otherwise engage in deceptive, misleading or fraudulent practices in connection with the advertising, solicitation or sale of prearranged funeral plans.

11. To make any misrepresentations or omissions of material fact concerning funeral services, prices or the merchandise and services included in a stated price.

12. To represent or insinuate that a direct cremation, immediate burial, inexpensive funeral arrangements or inexpensive casket, container or unfinished wood box would be disrespectful or inconsiderate to the decedent or family members, or friends, neighbors or associates of the decedent or family.

13. To disrupt the funeral arrangement process or funeral service, intimidate, harass or coerce a family member, with the intent to prevent such family member from exercising existing contractual or legal rights.

B. Failure to substantially comply with the provisions of this Section shall be deemed to be evidence of gross negligence, repeated or continuous negligence or other professional incompetence.

History

• Adopted effective June 16, 1981 (Supp. 81-3). Amended effective January 2, 1985 (Supp. 85-1).

Ariz. Admin. Code § R4-12-303 Misrepresentation of Legal or Cemetery Requirements

A. In selling or offering to sell funeral goods or funeral services to funeral services consumers, it is a deceptive act or practice for a funeral establishment, funeral director, embalmer, or agents or employees of a funeral establishment to:

Represent that state or local law requires that a deceased person be embalmed when such is not the case, or fail to disclose that embalming is not required by law except where burial or cremation will not occur within 24 hours or where the body is not refrigerated immediately after death.

2. Represent that state or local law requires a casket for direct cremation, or represent that a casket (other than an unfinished wood box) is required for direct cremations.

3. Represent that state or local laws or regulations, or particular cemeteries require burial vaults, grave boxes or grave liners when such is not the case, or fail to disclose to persons arranging funerals that state law does not require the purchase of an outside receptacle.

4. Represent that federal, state or local laws, or particular cemeteries or crematories require the purchase of any funeral goods or funeral services when such is not the case.

B. Failure to substantially comply with the provisions of this Section shall be deemed to be evidence of gross negligence, repeated or continuous negligence or other professional incompetence.

History

• Adopted effective June 16, 1981 (Supp. 81-3). Former Section R4-12-303 repealed, new Section R4-12-303 adopted effective January 2, 1985 (Supp. 85- 1).

Ariz. Admin. Code § R4-12-304 Telephone Price Disclosures Requirement

A. Each funeral establishment shall tell persons who contact the establishment by telephone and ask about terms, conditions or prices of funeral goods or funeral services offered that price information is available over the telephone. The funeral establishment shall provide accurate information from the funeral price list required by R4-12-305 which reasonably answers the question and any other information which reasonably answers the question about the retail prices of funeral goods or funeral services readily available for sale to the caller.

B. If the caller requests a funeral price list, the funeral establishment shall mail its funeral price list required by R4-12-305 to the caller. If a funeral establishment mails a funeral price list to a caller, it may charge a reasonable postage and handling fee not to exceed two dollars. The establishment shall mail the price list to the caller within five days after receipt of the handling charge, or if the establishment does not require a handling charge, within seven days after the caller's price list request.

History

• Adopted effective January 2, 1985 (Supp. 85- 1).

Ariz. Admin. Code § R4-12-305 Price Lists Requirement

A. Each funeral establishment, funeral director or embalmer shall provide a casket price list, an outside receptacle price list and a general price list in the form and in the manner required by Federal Trade Commission rules 16 CFR 453.2(b)(2), (3) and (4) issued pursuant to the Federal Trade Commission Act as amended and in effect on June 1, 1984. The items required by the Federal rules shall be included before additional items.

B. A copy of Federal Trade Commission rule 16 CFR 453.2(b) is on file with the Secretary of State and is incorporated by reference.

History

• Adopted effective January 2, 1985 (Supp. 85-1).

Ariz. Admin. Code § R4-12-306 Merchandise Price Card Requirement

Each funeral establishment shall place a price card on each casket, container and outside receptacle the establishment makes available for sale to funeral services consumers. Each price card shall be placed on or attached to each item of merchandise in a conspicuous manner which permits a potential purchaser to see the information on the price card when standing near the casket or other item of merchandise. Each price card shall conspicuously disclose the separate retail price of the merchandise item available for sale. Price cards on caskets or outside receptacles shall also disclose the construction or type, manufacturer or assembler, and model number or popular name of the casket or outside receptacle. Price cards on containers shall also disclose the construction or type and manufacturer or assembler of the container. Photographs or accurate pictures of merchandise items may be used if conspicuously displayed with the price card information required by this Section.

History

• Adopted effective January 2, 1985 (Supp. 85-1).

Ariz. Admin. Code § R4-12-307 Funeral Goods and Services Memorandum

A. Each funeral establishment, funeral director or embalmer shall give an itemized written or printed memorandum of funeral goods and services ("statement") for retention to each potential purchaser of funeral goods or services at the conclusion of the discussion of any funeral arrangements and before the establishment enters into a contract with a purchaser of funeral goods or services. The itemized statement shall list at least the following information:

The name and address of the funeral establishment;

2. A caption entitled "Statement of Funeral Goods and Services Selected";

The funeral goods and services selected by that person and the prices to be paid for each item, specifically itemized cash advance items, the total cost of the goods and services selected and other information contained in or indicated by the "Statement of Funeral Goods and Services Selected" format in Appendices B or C (following R4-12-565) to these rules.

B. The information required by this Section may be included on any contract, statement or other document which the funeral establishment would otherwise provide at the conclusion of discussion of arrangements. The itemized disclosures required by this Section shall be made in a clear and conspicuous manner. The establishment shall indicate immediately adjacent to the appropriate items under the "funeral arrangements" and "automotive equipment" categories the funeral services, facilities and automotive equipment items selected by the purchaser. A funeral establishment may include additional itemized disclosures on the statement concerning goods and services selected. If certain charges required to be itemized on the statement are not known or reasonably ascertainable at the time the contract is signed, a good faith estimate of the charges shall be given on the statement and the establishment shall provide a written description of the actual charges to the purchaser within fifteen (15) days after the information becomes available to the establishment.

C. If an establishment uses the "statement of funeral goods and services selected" as a final bill, the following disclosures must be added to the statement, as shown in Appendix C to these rules:

"If you elected a funeral which requires embalming, such as a funeral with a viewing, you may have to pay for the embalming. You do not have to pay for embalming you did not approve if you selected arrangements such as a direct cremation or immediate burial. If we charged for embalming, we will explain why in writing."

If an establishment does not use the "statement of funeral goods and services selected" as a final bill, the disclosures concerning embalming required by this subsection must be added to the final bill, contract or other written evidence of the agreement or obligation given to the purchaser, and the establishment may use the "statement of funeral goods and services selected" format as shown in Appendix B. The establishment shall disclose in writing to the purchaser on the statement any legal, cemetery or crematory requirement which mandates that the consumer purchase a specific funeral good or service. The establishment also shall disclose on the statement the "Notice to Purchaser" concerning casket and container legal requirements required by A.R.S. § 32-1373(B).

History

• Adopted effective January 2, 1985 (Supp. 85-1).

Ariz. Admin. Code § R4-12-308 Expired

History

• Adopted effective July 1, 1985 (Supp. 85-1). Section expired under A.R.S. § 41-1056(E) at 8 A.A.R. 853, effective December 31, 2001 (Supp. 02-1).

Ariz. Admin. Code § R4-12-309 Expired

History

• Adopted effective January 2, 1985 (Supp. 85-1). Section expired under A.R.S. § 41-1056(E) at 8 A.A.R. 853, effective December 31, 2001 (Supp. 02-1).

Ariz. Admin. Code § R4-12-310 Expired

History

• Adopted effective January 1, 1985 (Supp. 85-1). Amended effective September 18, 1987 (Supp. 87-3). Section expired under A.R.S. § 41-1056(E) at 8 A.A.R. 853, effective December 31, 2001 (Supp. 02-1).

Ariz. Admin. Code § R4-12-311 Minimum Embalming Requirements

A. Embalmers and apprentice embalmers shall comply with the following minimum embalming procedures when embalming human remains:

1. All persons participating in the embalming procedure shall be either a licensed embalmer or a registered apprentice embalmer. Apprentice embalmers shall be under the direct supervision of a licensed embalmer during the embalming. "Direct supervision," as used in this subsection, means that the licensed embalmer shall at all times be immediately available on the funeral establishment premises to supervise the apprentice embalmer, except that if the apprentice embalmer has embalmed at least ten adult human remains and has been registered with the Board for a minimum of six months, the super-vision requirement is deemed to have been met if the apprentice has immediate access to and is performing according to the directions of a licensed embalmer.

2. Regulations of the Arizona Department of Health Services and of county health departments pertaining to sewage, sanitation and public health requirements shall be observed.

3. All persons engaged in the embalming process shall wear a clean smock or gown and wear impervious rubber gloves.

4. All clothing shall be removed from the remains and a visual inspection of the condition of the remains shall be conducted.

5. To the extent feasible under the circumstances, the entire remains, including all extremities (legs, arms, feet, hands and head) shall be washed with an antiseptic or detergent solution.

6. To the extent feasible under the circumstances, the arterial injection technique shall be used in the embalming process. If the arterial circulation of any portion of the remains is materially incomplete or impaired due to advanced decomposition or autopsy, then the embalming may be done by hypodermically injecting those areas.

7. Embalming solution shall be injected into the entire remains, including extremities (legs, arms, feet, hands and head), and shall be injected in such dilutions and pressures as warranted by the condition of the remains in accordance with prevailing professional practice.

8. The abdominal and thoracic cavities of the remains shall be injected with a concentrated cavity chemical after liquids and materials have been substantially removed through a trocar. The cavity chemical shall be injected into and thoroughly distributed in such cavities in accordance with prevailing professional practice.

9. If the body is to be viewed at a funeral service, cosmetic procedures should be employed in accordance with the wishes of the family and prevailing professional practice.

10. Within 24 hours after the embalming procedure, an embalming case report shall be prepared describing the elapsed time since death, condition of the remains before and after embalming, and embalming procedures used.

11. After embalming procedures have been completed, the remains shall be covered and diligent effort shall be made to maintain the privacy of the remains.

B. The care and preparation for burial or other disposition of human remains shall be strictly private and no one shall be allowed in the embalming room while a dead human body is being embalmed, except licensees or other authorized employees of the establishment, instructors of the science of embalming and their students, public officials in the discharge of their duties or other persons having the legal right to be present.

C. Each funeral establishment and responsible funeral director shall adopt and implement adequate procedures concerning the supervision of embalming personnel to assure compliance with this rule.

D. Failure to substantially comply with the minimum embalming standards contained in this rule shall be deemed to be evidence of gross negligence, repeated or continuing negligence or other professional incompetence.

History

• Adopted effective June 16.1981 (Supp. 81-3).

Ariz. Admin. Code § R4-12-312 Equipment and Sanitation Requirements

A. The Board recommends that the following instruments, equipment and supplies be maintained in the preparation room of a funeral establishment:

1. 1 set metal or rubber drain tubes (large, medium, small)

2. 1 set metal injection tubes (large, medium, small)

3. 1 grooved director or equal

4. 1 aneurysm needle

5. 1 large trocar

6. 1 small trocar

7. 1 scalpel

8. 1 pair scissors

9. 6 hemostats

10. 2 forceps

11. 1 hypodermic syringe

12. hypodermic needles (assorted)

13. aspirator

14. suture needles

15. suture thread

16. disinfectant

17. 1 set of cream or liquid cosmetics

18. 1 powder brush

19. 1 application brush

20. wax for restorative work

21. soap

22. cotton

23. head rest

24. hardening compound

25. arterial embalming fluid

26. cavity embalming fluid

27. embalming machine or percolator gravity injector and bulb syringe if latter used

28. sheets or covers for remains.

B. All funeral establishments shall be kept and maintained in a clean and sanitary condition and all embalming tables, hoppers, sinks, receptacles, instruments and other appliances used in embalming human remains shall be thoroughly cleansed and disinfected with a 1% solution of chlorinated soda, or other suitable and effective disinfectant immediately after the embalming of each remains.

C. Every preparation room shall be equipped with a sanitary embalming table, and such table should be provided with running water.

D. Every preparation room should be provided with proper and convenient receptacles for refuse, bandages, cotton and other waste materials and supplies, and all such waste materials shall be properly disposed of.

E. At no time shall the operation of the establishment constitute or create a health nuisance or hazard.

History

• Adopted effective June 16, 1981 (Supp. 81-3).

Article 4 CONTINUING EDUCATION

Ariz. Admin. Code § R4-12-405 Expired

History

• Adopted effective June 16, 1981 (Supp. 81-3). Former Section R4-12-405 repealed, a new Section R4-12405 adopted effective September 18, 1987 (Supp. 87-3). Section expired under A.R.S. § 41-1056(E) at 8 A.A.R. 853, effective December 31, 2001 (Supp. 02-1).

Ariz. Admin. Code § R4-12-413 Continuing Education Hours Required

A. Unless a funeral director or embalmer obtains a waiver under R4-12-414, the funeral director or embalmer shall complete 12 credit hours or more of continuing education every calendar year as follows:

1. At least three credit hours in mortuary sciences;

2. At least three credit hours in ethical considerations in business practices and state and federal laws; and

3. At least six other credit hours intended to enhance professional development or competence.

B. Unless an embalmer's assistant obtains a waiver under R4-12-414, the embalmer's assistant shall complete six credit hours or more of continuing education every calendar year as follows:

At least three credit hours in mortuary sciences, and

2. At least three credit hours covering compliance with state and federal laws.

C. A licensee who has been licensed for less than 12 months during a calendar year shall complete one credit hour of continuing education for each month of licensure.

D. A registrant who has been registered for less than 12 months during a calendar year shall complete one credit hour of continuing education for every two months of registration.

History

• Adopted effective February 8, 1991 (Supp. 91-1). Amended by final rulemaking at 10 A.A.R. 681, effective April 3, 2004 (Supp. 04-1).

Ariz. Admin. Code § R4-12-414 Waiver of Continuing Education

A. The Board shall waive the continuing education requirements in R4-12-413 for a funeral director or an embalmer whose license or registration has been placed on inactive status or who was serving in the United States Armed Forces in time of war.

B. The Board may waive the continuing education requirements in R4-12-413 upon request and for good cause, which includes:

1. For an embalmer's assistant, that the embalmer's assistant:

a. Was serving in the United States Armed Forces in time of war, or

b. Has not practiced as an embalmer's assistant during the year in which continuing education is required;

2. That the funeral director, embalmer, or embalmer's assistant was prevented from completing continuing education due to extreme hardship, a disability, or a mental or physical illness; or

3. That the funeral director, embalmer, or embalmer's assistant was prevented from completing continuing education because of absence from the United States.

C. A funeral director, embalmer, or embalmer's assistant who is unable to complete the continuing education required in R4-12-413 may submit, before a renewal application is due or with a renewal application, a written request to the Board for a waiver from the continuing education required in R4-12-413 that contains:

1. The name, address, and telephone number of the licensee or registrant,

2. An explanation of why the licensee was unable to meet the Board's continuing education requirements that includes one of the reasons in subsection (A) or (B);

3. Any documents that support the explanation; and

4. The signature of the licensee or registrant.

D. The Board shall send written notice of approval or denial of the request for waiver within seven days of receipt of the request.

History

• Adopted effective February 8, 1991 (Supp. 91-1). Amended by final rulemaking at 10 A.A.R. 681, effective April 3, 2004 (Supp. 04-1).

Ariz. Admin. Code § R4-12-415 Continuing Education Determinations

A. To obtain a Board determination that continuing education satisfies the requirements of A.R.S. § 32-1338 and R4-12-413, a licensee or registrant shall submit a written request to the Board before submission of a renewal application.

B. A request under subsection (A) shall contain:

1. A brief summary of the continuing education;

2. The date and place where the continuing education was provided;

3. The number of credit hours of the continuing education;

4. The name of the individual providing the continuing education, if available; and

5. The name of the organization providing the continuing education, if applicable.

C. In making the continuing education determination, the Board shall consider whether the continuing education:

1. Is designed to provide current developments, skills, and procedures related to funeral practices;

2. Is developed and provided by an individual with knowledge and experience in the subject area; and

3. Contributes directly to the professional competence of the licensee or registrant.

History

• Adopted effective February 8, 1991 (Supp. 91-1). Amended by final rulemaking at 10 A.A.R. 681, effective April 3, 2004 (Supp. 04-1).

Ariz. Admin. Code § R4-12-416 Documentation of Continuing Education

A licensee or registrant shall submit a written document of completed continuing education with a renewal application that includes:

1. The name of the licensee or registrant;

2. The title of each continuing education;

3. A brief summary of the content of each continuing education;

4. The date of completion of each continuing education;

5. The number of credit hours of each continuing education; and

6. A statement, signed and dated by the licensee or registrant, verifying that the information in the document is true and correct.

History

• New Section made by final rulemaking at 10 A.A.R. 681, effective April 3, 2004 (Supp. 04-1).

Article 5 PREARRANGED FUNERAL AGREEMENTS

Ariz. Admin. Code § R4-12-501 Expired

History

• Adopted effective January 1, 1985 (Supp. 85-1). Amended by adding a new paragraph (4) effective June 18, 1987 (Supp. 87-2). Section expired under A.R.S. § 41-1056(E) at 8 A.A.R. 853, effective December 31, 2001 (Supp. 02-1).

Ariz. Admin. Code § R4-12-502 Expired

History

• Adopted effective January 1, 1985 (Supp. 85-1). Section expired under A.R.S. § 41-1056(E) at 8 A.A.R. 853, effective December 31, 2001 (Supp. 02-1).

Ariz. Admin. Code § R4-12-503 Expired

History

• Adopted effective June 18, 1987 (Supp. 87-2). Section expired under A.R.S. § 41-1056(E) at 8 A.A.R. 853, effective December 31, 2001 (Supp. 02-1).

Ariz. Admin. Code § R4-12-521 Expired

History

• Adopted effective January 1, 1985 (Supp. 85-1). Section expired under A.R.S. § 41-1056(E) at 8 A.A.R. 853, effective December 31, 2001 (Supp. 02-1).

Ariz. Admin. Code § R4-12-523 Surety Bond Requirements

A. A funeral establishment applying for a prearranged funeral sales endorsement shall provide the Board with the number of prearranged funeral agreements sold during the immediately preceding calendar year and provide the applicable surety bond as follows:

1. $15,000 if the establishment sold fewer than 100 prearranged funeral agreements during the immediately preceding calendar year;

2. $30,000 if the establishment sold 100 or more, but fewer than 250 prearranged funeral agreements during the immediately preceding calendar year; or

$50,000 if the establishment sold 250 or more prearranged funeral agreements during the immediately preceding calendar year.

The amount of the surety bond shall be increased by $5,000 for each salesperson currently registered by the Board for the establishment.

B. The corporate surety bond provided to the Board shall contain the language specified by Appendix D (following R4-12-565).

History

• Adopted effective January 1, 1985 (Supp. 85-1).

Ariz. Admin. Code § R4-12-531 Repealed

History

• Adopted effective January 1, 1985 (Supp. 85-1). Section repealed by final rulemaking at 7 A.A.R. 1441, effective March 14, 2001 (Supp. 01-1).

Ariz. Admin. Code § R4-12-541 Consumer Disclosures

A. The consumer notice required by A.R.S. § 32-1391.08(A) and (C) shall be conspicuously printed on either the first or signature page of the prearranged funeral agreement.

B. At the time the purchaser signs the agreement the funeral establishment shall provide a copy of the prearranged funeral agreement for retention by the purchaser.

C. At the time of the inquiry or solicitation the funeral establishment shall provide a copy of its current price list for retention by the person who inquires about or is personally solicited regarding a prearranged funeral agreement.

D. Pursuant to A.R.S. § 32-1373, each contract for prearranged funeral services also shall contain one of the following notices, as appropriate, conspicuously printed near the top of the first page:

1. THIS FUNERAL CONTRACT IS FUNDED BY INSURANCE.

2. THIS FUNERAL CONTRACT IS FUNDED BY A PREARRANGED FUNERAL TRUST ACCOUNT.

History

• Adopted effective January 1, 1985 (Supp. 85-1). Amended by adding a new subsection (D) effective June 18, 1987 (Supp. 87-2).

Ariz. Admin. Code § R4-12-545 Deceptive, Misleading or Professionally Negligent Practices

In selling or offering to sell prearranged funerals, or in handling the trust funds or accounts of a prearranged funeral consumer, it is a deceptive, misleading or professionally negligent practice for anyone licensed under Title 32, Chapter 12, A.R.S. or his agent:

1. To misstate or omit to state any material fact upon which a prearranged funeral consumer detrimentally relies concerning the transaction or the prearranged funeral.

2. To represent or imply that the prices of funeral goods and services to be provided pursuant to a fixed price prearranged funeral agreement are guaranteed, frozen or otherwise an absolute economic certainty.

3. To guarantee or promise that the funeral establishment will be in business at any indefinite time in the future.

4. To fail to disclose to the purchaser or beneficiary within ten business days after a request, the most currently available information concerning the purchaser's principal payments, all earned interest on the principal and total service fees charged concerning that purchase.

5. To intentionally mislead or deceive by entering into a contract with a prearranged funeral purchaser, while any blank in the contract other than for the account number has not been completed.

6. To enter into a prearranged funeral agreement to provide funeral goods and services not regularly sold by the funeral establishment at the time of execution of the agreement.

History

• Adopted effective January 1, 1985 (Supp. 85-1).

Ariz. Admin. Code § R4-12-546 Description of Casket

A prearranged funeral agreement shall be deemed misleading unless it describes the following information concerning any casket to be provided under the agreement:

Specific construction and type.

Interior fabric.

3. Manufacturer and model number or popular name.

4. Special features, if any.

5. Casket retail price.

History

• Adopted effective January 1, 1985 (Supp. 85-1).

Ariz. Admin. Code § R4-12-548 Possession of Trust Account Passbook

With respect to individual trust accounts, the funeral establishment shall offer a prearranged funeral purchaser the option of either obtaining a copy of the financial institution passbook, certificate of deposit, or other similar documentation of the prearranged funeral trust account for his personal possession, or authorizing the funeral establishment to maintain such documentation on behalf of the purchaser. This Section does not apply to common trust accounts.

History

• Adopted effective January 1, 1985 (Supp. 85-1).

Ariz. Admin. Code § R4-12-551 Certificate of Entitlement

The certificate of entitlement which a funeral establishment delivers to the financial institution servicing a prearranged funeral trust account or accounts shall contain the following information:

1. Name of the funeral establishment.

2. Name and location of financial institution.

Prearranged funeral trust account number(s).

4. The amount of trust funds to be withdrawn as the annual service fee.

Certification by the funeral establishment that it is contractually entitled to an annual service fee for the preceding calendar year pursuant to the terms of the prearranged funeral agreement(s).

The certificate shall be signed and dated by the owner or responsible funeral director of the establishment and sworn to before a notary public. On receipt of an appropriately completed certificate of entitlement, the financial institution shall release a portion of the trust funds equal to the annual service fee to the funeral establishment. The portion of trust funds released to the establishment shall not exceed 10 percent of the interest which has accrued on the trust funds during the preceding calendar year.

History

• Adopted effective January 1, 1985 (Supp. 85-1).

Ariz. Admin. Code § R4-12-552 Certificate of Performance

A. The certificate of performance which a funeral establishment delivers to the financial institution servicing a prearranged funeral trust account after the death of the beneficiary of a prearranged funeral agreement shall contain the following information:

1. Name of the funeral establishment.

2. Name and location of financial institution and trust account number

3. Name of deceased beneficiary.

4. Certification of the total charges for the funeral goods and services provided in the funeral arrangements.

5. Certification that it provided the funeral goods and services pursuant to the prearranged funeral agreement.

B. If the certificate of performance concerns a fixed price prearranged funeral agreement, it shall contain the following additional information:

1. Certification that the establishment agreed in the prearranged funeral agreement to fix the prices of the funeral goods and services provided under the agreement at the price levels in effect at the time of the execution of the agreement by the purchaser.

C. The certificate shall be signed and dated by the owner or responsible funeral director of the establishment and sworn to before a notary public. The certified death certificate of the deceased beneficiary shall accompany the certificate of performance when it is delivered to the financial institution. On receipt of the certified death certificate and appropriately completed certificate of performance, the financial institution shall release a portion of the trust funds equal to the establishment's charges for funeral goods and services for the beneficiary's funeral arrangements. If the certificate of performance concerns a fixed price prearranged funeral agreement, the financial institution may release an additional portion of the trust funds to the establishment equal to that portion of the total accrued interest on principal payments deposited in the trust account during the term of the prearranged funeral agreement which the purchaser agreed to convey to the establishment.

History

• Adopted effective January 1, 1985 (Supp. 85-1).

Ariz. Admin. Code § R4-12-554 Statement of Accrued Taxes

The statement of accrued taxes which a funeral establishment delivers to the financial institution servicing a prearranged funeral trust account or accounts shall contain the following information:

1. Name of the funeral establishment.

2. Name and location of financial institution.

Prearranged funeral trust account number(s).

4. Statement identifying the person by whom taxes are due and payable concerning income earned from funds deposited in the trust account(s). The statement shall describe the taxing authority to which the taxes are due, the amount of taxes due and payable concerning each trust account and the fiscal period the taxes concern. The statement shall be signed and dated by the owner or responsible funeral director and one other employee of the establishment. On receipt of an appropriately completed statement of accrued taxes, the financial institution shall release a portion of the trust funds equal to the accrued taxes, payable to the taxing authority, to the funeral establishment.

History

• Adopted effective January 1, 1985 (Supp. 85-1).

Ariz. Admin. Code § R4-12-556 Notice of Trust Account Transfer

A. If a funeral establishment directs a financial institution to transfer a common prearranged funeral trust account pursuant to A.R.S. § 32-1391.04(C), it shall provide written notice by first class mail to the last known address of each participant not less than ten business days before transfer of the account. The notice shall advise each participant that the account is being transferred and give the name and location of the new financial institution and trust account number. The notice also shall contain a conspicuous statement that the establishment will provide specific information concerning the trust account status upon request.

B. If a funeral establishment is sold, or its name or location is changed or the prearranged funeral trust account is in any way transferred to another entity, the funeral establishment shall notify the Board of the disposition of the trust account within ten business days after the change in the status of the trust account. The funeral establishment also shall provide written notice by certified mail to the last known address of each participant in the prearranged funeral trust account within thirty business days after the change in the status of the trust account. The notice shall advise each participant of the change of status of the trust account and shall contain a conspicuous statement that the establishment, or its successor in interest, will provide specific information concerning the trust account status upon request.

History

• Adopted effective January 1, 1985 (Supp. 85-1). Amended by adding a new subsection (B) effective June 18, 1987 (Supp. 87-2).

Ariz. Admin. Code § R4-12-559 Purchaser Cancellation Requests

The written request from a purchaser of a prearranged funeral agreement or designated person to terminate the agreement and refund the trust funds shall contain the following information:

1. Name of funeral establishment.

2. Full name of the prearranged funeral purchaser or designated person making the request.

3. Statement of purchaser or designated or legally responsible person requesting refund of the trust funds.

The cancellation request shall be signed by the purchaser, designated or legally responsible person. Within five days following receipt of a properly signed cancellation request, the financial institution shall release the trust funds, payable to the person making the cancellation request, to the establishment for refund to the requesting person.

History

• Adopted effective January 1, 1985 (Supp. 85-1).

Ariz. Admin. Code § R4-12-561 Annual Report Format

A. The annual report concerning prearranged funeral sales and trust account activities filed by funeral establishments pursuant to A.R.S. § 32-1391.15 shall contain the information indicated by the annual report format in Appendix E (following R4-12-565). If a funeral establishment does not offer or sell prearranged funerals on or after January 1, 1985, it shall annually provide to the Board the information required by Appendix E concerning:

1. Each prearranged funeral trust account established before the effective date of this Article and in existence during any portion of the preceding calendar year and;

2. Trust account deposits, withdrawals and service fees during the preceding calendar year.

B. If a funeral establishment offers or sells prearranged funeral agreements on or after January 1, 1985, it shall annually provide to the Board the information required by Appendix E concerning:

1. Each prearranged funeral trust account established before the effective date of this Article and in existence during any portion of the preceding calendar year;

2. Each prearranged funeral agreement sold after January 1, 1985 and in existence during any portion of the preceding calendar year, and;

3. Trust account deposits, withdrawals and service fees during the preceding calendar year.

History

• Adopted effective January 1, 1985 (Supp. 85-1).

Ariz. Admin. Code § R4-12-565 Records Retention Requirement

Each funeral establishment shall retain and make available for inspection by Board representatives true and accurate copies of the following records during the term of the prearranged funeral agreement and for three years following the death of the beneficiary or the termination of the agreement:

1. The prearranged funeral agreement.

2. Each notice of the transfer of the trust account to another financial institution, together with a record of the names and last known addresses of the purchasers and the dates on which the notice was mailed.

3. The certificate of performance from the funeral establishment stating that it provided the requested funeral goods and services which is delivered to a financial institution.

4. Each certificate from the funeral establishment concerning entitlement to service fees concerning the trust account.

5. Each statement of accrued taxes from the funeral establishment concerning the trust account.

6. Each cancellation or termination request from a purchaser.

7. Detailed financial institution statements and accounting records concerning the trust account.

History

• Adopted effective January 1, 1985 (Supp. 85-1).

Article 6 CREMATORY AND CREMATION REGULATION

Ariz. Admin. Code § R4-12-601 Repealed

History

• Adopted effective July 3, 1991 (Supp. 91-3). Section repealed by final rulemaking at 7 A.A.R. 1441, effective March 14, 2001 (Supp. 01-1).

Ariz. Admin. Code § R4-12-602 Repealed

History

• Adopted effective July 3, 1991 (Supp. 91-3). Repealed by final rulemaking at 20 A.A.R. 2648, effective 11/9/2014.

Ariz. Admin. Code § R4-12-611 Repealed

History

• Adopted effective July 3, 1991 (Supp. 91-3). Section repealed by final rulemaking at 7 A.A.R. 1441, effective March 14, 2001 (Supp. 01-1).

Ariz. Admin. Code § R4-12-612 Crematory Requirements

A. In addition to the requirements in A.R.S. § 32-1394, the responsible cremationist of a crematory shall ensure:

1. The crematory is maintained free from dirt and debris,

2. Equipment and supplies maintained in the crematory do not impede passage through the crematory, and

3. Human remains that are not embalmed are held in a refrigerated holding facility at the crematory or sent to a funeral establishment or another crematory for refrigeration.

B. Unclaimed cremated remains shall be placed in an enclosed receptacle which shall be held temporarily in a secure place which is restricted to the crematory owners, operators, employees, and public officials in the discharge of their duties.

C. A receptacle containing unclaimed cremated remains shall be identified clearly and indelibly with the name and location of the crematory, the name of the deceased and the date of cremation. If the receptacle containing the cremated remains is a temporary cremation box, the identification shall be affixed permanently on the cremation box. If the receptacle is an urn, the identification shall be affixed securely but temporarily to the urn.

D. A crematory registered pursuant to R4-12-611 shall maintain the following on its premises:

1. A cremation chamber constructed to withstand temperatures high enough to reduce human remains to bone fragments and sufficiently safe so that employees, surrounding structures, other persons and property are not subjected to damage from excessive heat or harmful emissions.

2. A holding facility which preserves the dignity of the decedent as follows:

a. Human remains which have not been embalmed shall be held at a temperature of 38 degrees Fahrenheit or below.

b. Entrance to the holding facility while human remains are being held shall be limited to authorized employees of the crematory authority, a funeral director, embalmer, public officials in the discharge of their duties or other persons having the legal right to be present.

c. Except at the request and in the presence of the authorizing agent, crematory personnel shall not open a container or casket containing human remains without the presence of a licensed funeral director or embalmer. If a container or casket is opened, the funeral director or embalmer shall prepare, execute and date a report stating the reason. The report shall be made part of the cremation record of the crematory authority.

d. Each crematory authority shall adopt, and the responsible funeral director or cemetery operator shall enforce, personnel procedures which shall assure compliance with this subsection.

History

• Adopted effective July 3, 1991 (Supp. 91-3). Amended by final rulemaking at 20 A.A.R. 2648, effective 11/9/2014.

Ariz. Admin. Code § R4-12-613 Requirements for a Funeral Establishment That Provides for Cremation

A. A funeral establishment that owns a crematory on or off the funeral establishment's premises shall designate a responsible cremationist.

A. B. The responsible funeral director of a funeral establishment that provides for cremation shall ensure that:

1. The cost of cremation is included on its general price list required by A.R.S. § 32-1371;

2. A price card for cremation is placed as required by A.R.S. § 32-1372;

3. If the funeral establishment contracts with a licensed crematory to perform the cremation; the information required in A.R.S. § 32-1373(A) and (B) is provided to the purchaser of the cremation;

4. A consumer who chooses cremation is informed that human remains may be cremated in a cremation container capable of being entirely consumed or reduced to fine residue during the cremation process, such as a casket, unfinished wood box, or fiberboard container; and

B. A funeral establishment also may offer for sale in connection with cremation a closed casket which meets the combustibility requirements in subsection (A).

C. 5. Caskets or containers constructed of metal or of a substance that may emit harmful fumes when subjected to the cremation process are not sold or used for cremation.

D. If the responsible funeral director determines that there is potential for leakage from the cremation container or casket prior to the cremation, the funeral establishment shall line the container or casket with material that will prevent such occurrence or shall encase the human remains in a leakproof body pouch prior to placing the human remains in the container or casket.

E. Body fluids removed from the decedent prior to cremation shall not be forwarded for cremation except by the explicit request of the authorizing agent and with the knowledge and consent of the crematory authority.

History

• Adopted effective July 3, 1991 (Supp. 91-3). Amended by final rulemaking at 20 A.A.R. 2648, effective 11/9/2014.

Ariz. Admin. Code § R4-12-621 Repealed

History

• Adopted effective July 3, 1991 (Supp. 91-3). Repealed by final rulemaking at 20 A.A.R. 2648, effective 11/9/2014.

Ariz. Admin. Code § R4-12-622 Expired

History

• Adopted effective July 3, 1991 (Supp. 91-3). Section expired under A.R.S. § 41-1056(E) at 8 A.A.R. 853, effective December 31, 2001 (Supp. 02-1).

Ariz. Admin. Code § R4-12-631 Records Requirements for Crematories and Funeral Establishments That Provide for Cremation

A. The responsible cremationist of a crematory or funeral establishment that provides for cremation shall ensure for each cremation performed that the following records are established and maintained for five years from the date of the cremation:

1. The name of the decedent and date of death;

1.2. The authorization document required by A.R.S. § 32-1365.01, if applicable or a record of the oral or written consent of the authorizing agent that meets the requirements in A.R.S. § 32-1365.02; and

2.3. A copy of the completed disposition-transit permit that meets the requirements in A.R.S. § 36-326 and A.A.C. R9-19-302.

3. Reports or records relevant to the cremation not contained on the chronological log described in subsection B.

B. The responsible cremationist of a crematory or funeral establishment that provides for cremation shall establish and maintain a written permanent chronological log of cremations that includes the identification number and identification information required in A.R.S. § 32-1399(1) and the following for each cremation performed:

1. The day, month, and year the human remains were received at the crematory or funeral establishment that provides for cremation;

2. Name of the decedent;

3. The name of the responsible cremationist;

4. The type of receptacle in which the human remains were received at the crematory, such as a wooden casket or a cardboard, fiberboard, or wooden container;

5. A check list showing receipt of the following:

a. The authorization document required in R4-12-631(A)(2); and

b. The disposition-transit permit;

6. Code indicator if there are reports in the decedent's file.

7.6. The time, day, month, and year of the cremation;

8.7. The printed name and signature of the cremationist who performed the cremation;

9.8. The following information regarding the cremated remains:

a. The time, day, month, and year the cremated remains were disposed of according to the authority set forth in A.R.S. § 32-1365.01 or 32-1365.02;

b. The name of the crematory, funeral establishment, or authorizing agent authorized according to A.R.S. § 32-1365.01 or 32-1365.02 to dispose of cremated remains; and

c. The place and manner of disposal according to A.R.S. § 32-1399(7).

10. If the uncremated human remains are returned to a funeral establishment, the date and time of the return and the name of the person who picked up the human remains.

11. Column for referencing a subsequent log entry.

C. If the uncremated human remains are returned to a funeral establishment, the responsible cremationist shall ensure that the time, day, month, and year the human remains were picked up and the name of the individual who picked up the human remains are recorded on the written chronological log required in subsection (B).

D. If a funeral establishment returns human remains that have been sent back according to subsection (C), the responsible cremationist shall ensure that a new entry that meets the requirements of subsection (B) is made.

History

• Adopted effective July 3, 1991 (Supp. 91-3). Amended by final rulemaking at 20 A.A.R. 2648, effective 11/9/2014.

Ariz. Admin. Code § R4-12-632 Repealed

History

• Adopted effective July 3, 1991 (Supp. 91-3). Repealed by final rulemaking at 20 A.A.R. 2648, effective 11/9/2014.

Ariz. Admin. Code § R4-12-633 Disposition of Records

A. If the crematory of a funeral establishment that provides for cremation or a crematory changes ownership, the responsible funeral director or responsible cremationist shall ensure the records described in R4-12-631 are provided to the new responsible funeral director of the funeral establishment or responsible cremationist of the crematory.

B. If a funeral establishment that provides for cremation or a crematory ceases operations, within 20 days from the date of cessation, the responsible funeral director of the funeral establishment that provides for cremation or responsible cremationist of a crematory shall ensure that the records required in R4-12-631 are:

1. Provided to the Board office in person or by certified delivery mail; or

2. Provided to another funeral establishment or crematory and the location of the records is provided to the Board.

History

• Adopted effective July 3, 1991 (Supp. 91-3). Amended by final rulemaking at 20 A.A.R. 2648, effective 11/9/2014.

Ariz. Admin. Code § R4-12-634 Repealed

History

• Adopted effective July 3, 1991 (Supp. 91-3). Repealed by final rulemaking at 20 A.A.R. 2648, effective 11/9/2014.

Ariz. Admin. Code § R4-12-641 Expired

History

• Adopted effective July 3, 1991 (Supp. 91-3). Section expired under A.R.S. § 41-1056(E) at 12 A.A.R. 4742, effective September 30, 2006 (Supp. 06-4).

Chapter 15 Board of Massage Therapy

Article 1 GENERAL PROVISIONS

Ariz. Admin. Code § R4-15-101 Definitions

In addition to the definitions in A.R.S. § 32-4201, in this Chapter:

1. "Accredited" means approved by the:

a. New England Association of Schools and Colleges,

b. Middle States Association of Colleges and Secondary Schools,

c. North Central Association of Colleges and Schools,

d. Northwest Association of Schools and Colleges,

e. Southern Association of Colleges and Schools,

f. Western Association of Schools and Colleges,

g. National Commission for Certifying Agencies, or

h. Commission on Massage Therapy Accreditation.

2. "Applicant" means an individual requesting a regular, renewal, or reciprocity license from the Board or recognition as an out-of-state school as required by A.R.S. § 32-4228.

3. "Application packet" means the documents, forms, fees, and additional information required by the Board of an applicant.

4. "Classroom instruction" means the physical or distance learning format environment in which massage therapy didactic teaching or lecturing takes place.

5. "Client" means an individual receiving massage therapy.

6. "Clinical instruction" means the hands-on application of massage therapy.

7. "Continuing education" means a workshop, seminar, lecture, conference, class, or instruction related to massage therapy.

8. "Day" means calendar day.

9. "Distance learning" means the instructor of a continuing education and the individual receiving the continuing education are not located in the same room in which the continuing education is being provided.

"FSMTB" means Federation of State Massage Therapy Boards, the body that administers a massage and bodywork licensing examination.

11. "Health care practitioner" means "practitioner" defined in A.R.S.§ 32-3101.

12. "Hour" or "classroom hour" means 50 to 60 minutes of participation.

13. "High school equivalency diploma" means:

a. A document issued by the Arizona Department of Education under A.R.S. § 15-702 to an individual who passes a high school equivalency test or meets the requirements of A.R.S. § 15-702(B),

b. A document issued by a state other than this state to an individual who passes a high school equivalency test or meets the requirements of a state statute equivalent to A.R.S. § 15-702(B), or

c. A document issued by a country other than the United States to an individual who has completed that country's equivalent of a 12th grade education as determined by the Board based upon information obtained from American or foreign consulates or embassies or other governmental entities.

"Good moral character" means an applicant:

a. Has not been convicted of a felony or an offense involving moral turpitude or prostitution, solicitation, or other related offense;

b. Has not been convicted of an act involving dishonesty, fraud, misrepresentation, or gross negligence;

c. Is not currently incarcerated in a local, state, or federal penal institution or is not on community supervision;

d. Has not had a professional license revoked or suspended by this state, a political subdivision of this state, or a regulatory board in another jurisdiction in the United States, or voluntarily surrendered a professional license in lieu of disciplinary action; or

e. Has not had a massage therapy certification revoked or suspended by a national massage therapy certifying agency.

15. "License" means written authorization issued by the Board to engage in the practice of massage therapy in Arizona.

16. "Massage therapy student" means an individual receiving instruction in massage therapy or bodywork therapy at a Board-recognized school.

17. "NCBTMB" means National Certification Board for Therapeutic Massage and Bodywork, the body that is accredited by the National Commission for Certifying Agencies and provides examinations of and certifies individuals in massage therapy and bodywork.

18. "Regular license" means an approval issued by the Board to an applicant who meets the requirements in A.R.S.§ 32-4222(A) and (B), and this Chapter.

19. "Practice of massage therapy" means the same as "massage therapy" as defined in A.R.S. § 32-4201.

20. "Supervised instruction" means a licensee responsible for a massage therapy student at a Board-recognized school:

a. For clinical instruction:

i. Is present at the location where the massage therapy student is performing massage therapy as part of the massage therapy student's education,

ii. Is immediately available for consultation, and

iii. Evaluates the performance of the massage therapy student.

b. For classroom instruction:

i. Is immediately available for consultation, and

ii. Evaluates the performance of the massage therapy student.

"TOEFL" means Test of English as a Foreign Language.

22. "TOEIC" means Test of English for International Communications.

History

• New Section made by final rulemaking at 10 A.A.R. 2668, effective June 8, 2004 (Supp. 04-2). Amended by final rulemaking at 12 A.A.R. 2759, effective September 9, 2006 (Supp. 06-3). Amended by final rulemaking at 20 A.A.R. 2246, effective 8/5/2014.

Ariz. Admin. Code § R4-15-102 Fees

A. The Board shall charge the following fees that are nonrefundable, unless A.R.S. § 41-1077 applies:

1. Application for a license, $195;

2. Reinstatement of a license, $125;

3. Duplicate license, $25;

4. License renewal, $95; and

5. Delinquent renewal of a license, $40.

B. The Board shall charge 25 cents per page for copying records, documents, letters, minutes, applications, and files.

C. If an applicant submits a paper application, the applicant shall pay any of the fees listed in subsection (A) by cashier's check or money order.

D. If an applicant submits an electronic application, the applicant shall pay by credit card.

History

• New Section made by final rulemaking at 10 A.A.R. 2668, effective June 8, 2004 (Supp. 04-2). Amended by final rulemaking at 12 A.A.R. 2759, effective September 9, 2006 (Supp. 06-3). Amended by final rulemaking at 15 A.A.R. 1562, effective September 1, 2009 (Supp. 09-3). Amended by final rulemaking at 20 A.A.R. 2246, effective 8/5/2014.

Ariz. Admin. Code § R4-15-103 Ethical Standards

Pursuant to A.R.S. § 32-4203(A)(6), the Board is adopting the following ethical standards, which a licensee is required to meet:

1. When a licensee agrees to provide massage therapy to a client, the licensee shall:

a. Inform the client and other health care practitioners, if applicable, of the licensee's qualifications, education, and experience;

b. Provide only those massage therapies that are within the licensee's qualifications, education, and experience;

c. Provide massage therapy only when the licensee believes that it will be advantageous to the client;

d. Refer the client to other health care practitioners after evaluating the client for any contraindications and the referral is within the best interests of the client;

e. Provide draping that ensures the safety, comfort, and privacy of the client;

f. Respect the client's right to refuse, modify, or terminate treatment;

g. Safeguard the confidentiality of all client information unless disclosure is requested by the client in writing, medically necessary, required by law, or necessary for the protection of the public; and

h. Refrain from engaging in sexual activity with the client even if the client attempts to sexualize the relationship.

2. A licensee shall not advertise that the licensee offers sensual or erotic massage that constitutes sexual activity as stated in A.R.S. § 32-4253 or for the purposes of sexual gratification.

3. A licensee shall not discriminate against a client on the basis of race, sex, age, religion, disability, or national origin.

History

• New Section made by final rulemaking at 20 A.A.R. 2246, effective 8/5/2014.

Article 2 LICENSING

Ariz. Admin. Code § R4-15-201 Qualifications; Application for a Regular License

A. To meet the requirements in A.R.S. § 32-4222(B), an applicant who submits an application:

Before January 1, 2008 shall complete 500 classroom and clinical hours of supervised instruction at a Board-recognized school, and

2. On and after January 1, 2008 shall complete 700 classroom and clinical hours of supervised instruction at a Board-recognized school.

B. An applicant for a regular license shall meet the requirements in A.R.S. § 32-4222(A) and (B) before submitting an application packet that contains:

1. An application form that includes:

a. The applicant's name, date of birth, place of birth, social security number, email address, residence and business addresses, residence and business telephone numbers, and mailing address, if applicable;

b. The applicant's race, gender, height, weight, and eye color;

c. Each name or alias previously or currently being used by the applicant;

d. The applicant's name as it will appear on the license;

d. e. To satisfy the requirements in A.R.S. § 32-4222(A)(5):

i. If the applicant graduated from a high school, the date of graduation and name of the high school;

ii. If the applicant received a high school equivalency diploma, the date the high school equivalency diploma was awarded; or

iii. If the applicant passed an ability to benefit examination recognized by the United States Department of Education, written documentation of passage;

f. One passport quality photograph of the applicant's head and shoulders no larger than 2 1/2 by 3 inches taken no more than 60 days before the date of the application;

e. g. The name and address of each Board-recognized school attended by the applicant, dates of attendance, and date of completion of the course of study;

f. If applicable, the applicant's national massage therapy certificate number and date of certification;

g. h. The number of hours of classroom and clinical instruction completed by the applicant at a Board-recognized school;

h. i. Whether the applicant has passed the examination administered by the NCBTMB or FSTMB and if so, the name of the entity and date the examination was taken;

j. Whether the applicant has been convicted of a felony or an offense involving moral turpitude or prostitution, solicitation, or a related offense or entered into a plea of no contest and, if so:

i. Charged felony or offense;

ii. Date of conviction;

iii. Court having jurisdiction over the felony or offense;

iv. Probation officer's name, address, and telephone number, if applicable;

v. A copy of the notice of expungement, if applicable; and

vi. A copy of the notice of restoration of civil rights, if applicable;

k. Whether the applicant currently holds or has held a massage therapy license issued by another state and if so, the name of each state;

l. Whether the applicant has ever voluntarily surrendered a license under A.R.S. § 32-4254 or had a license to practice massage therapy or another related license revoked by a political subdivision of this state or a regulatory board in another jurisdiction in the United States for an act that occurred in that jurisdiction that would be subject to discipline pursuant to this Chapter;

m. Whether the applicant is currently under investigation, suspension, or restriction by a political subdivision of this state or a regulatory board in another jurisdiction in the United States for an act that occurred in that jurisdiction that would be subject to discipline pursuant to this Chapter;

n. Whether the applicant has committed any of the actions or been subject to any of the actions listed in the definition of good moral character in R4-15-101;

o. Whether English is the applicant's native language and, if not:

i. What the applicant's native language is, and

ii. Whether the applicant has met the requirements in subsection (C); and

p. A notarized statement, signed by the applicant, stating: the information on the application form is true and correct;

2. Documentation of citizenship or alien status that meets the requirements in A.R.S. § 41-1080;

3. A completed and legible fingerprint card; and

4. The fee required in R4-15-102.

C.If English is not the native language of the applicant, to meet the requirements in A.R.S. § 32-4222(E), the applicant shall take and pass, no more than twenty four months before the date of the application, either of the following examinations:

1. The internet-based TOEFL with the following minimum scores:

a. For the writing section, 25;

b. For the speaking section, 25;

c. For the reading section, 25; and

d. For the listening section, 25; or

2. The TOEIC with the following minimum scores:

a. For the speaking section, 150;

b. For the writing section, 150;

c. For the listening section, 300;

d. For the reading section, 350.

D. In addition to the requirements in subsection (A), an applicant shall arrange to have directly submitted to the Board from the issuing entity:

2. 1. Written verification of a passing score on the NCBTMB or FSTMB examination;

3. 2. To show proof of completion of the classroom hours of supervised instruction at a Board-recognized school required in subsection (A), academic transcripts from the Board-recognized school from which the applicant graduated; and

3. The score earned on the examination in subsection (C).

History

• New Section made by final rulemaking at 10 A.A.R. 2668, effective June 8, 2004 (Supp. 04-2). Amended by final rulemaking at 12 A.A.R. 2759, effective September 9, 2006 (Supp. 06-3). Amended by final rulemaking at 20 A.A.R. 2246, effective 8/5/2014.

Ariz. Admin. Code § R4-15-202 Expired

History

• New Section made by final rulemaking at 10 A.A.R. 2668, effective June 8, 2004 (Supp. 04-2). Section expired under A.R.S. § 41-1056(E) at 15 A.A.R. 1941, effective October 31, 2009 (Supp. 09-4).

Ariz. Admin. Code § R4-15-203 Application for a License by Reciprocity

An applicant for a license by reciprocity shall meet the requirements in A.R.S. § 32-4223 and:

1. Submit an application packet that contains the information in R4-15-201(B)(1)(a), (b), (c), (d), (e), (i), (j), (k), (m), (n), (B)(2), and photograph required by R4-15-201(B)(1)(f) and:

a. If the applicant wishes to demonstrate that the applicant meets the requirements in A.R.S § 32-4223(A)(1), the name of the state where the applicant was licensed continuously for five years immediately before the date of the application;

b. If the applicant wishes to demonstrate that the applicant meets the requirements in A.R.S. § 32-4223(A)(2), whether the applicant holds a current certification from the NCBTMB or another agency that meets the standards of the National Commission for Certifying Agencies; and

c. Whether the applicant has within five years before the date of the application voluntarily surrendered a massage therapy license or had a massage therapy license or another similar license revoked by a political subdivision of this state or a regulatory board in another jurisdiction in the United States for an act that occurred in that jurisdiction that would be subject to discipline in this state under this Chapter; and

c. A notarized statement, signed by the applicant, stating that the information on the application form is true and correct;

2. If the applicant wishes to demonstrate that the applicant meets the requirements in A.R.S § 32-4223(A)(1), arrange to have verification of the license or certificate in the jurisdiction in the other state sent directly to the Board from the jurisdiction including:

a. The license or certificate number issued to the applicant by the jurisdiction,

b. Whether the jurisdiction has instituted disciplinary proceedings against the applicant or has unresolved complaints pending against the applicant, and

c. Whether the license or certificate is in good standing.

3. If the applicant wishes to demonstrate that the applicant meets the requirements in A.R.S. § 32-4223(A)(2), arrange to have:

a. A verification of certification as a massage therapist sent directly to the Board from the NCBTMB or other agency that meets the standards of the National Commission for Certifying Agencies; and

b. Academic transcripts from the Board-recognized school from which the applicant completed the course of study;

4. Submit a completed and legible fingerprint card; and

5. Submit the fee required in R4-15-102.

History

• New Section made by final rulemaking at 10 A.A.R. 2668, effective June 8, 2004 (Supp. 04-2). Amended by final rulemaking at 20 A.A.R. 2246, effective 8/5/2014.

Ariz. Admin. Code § R4-15-204 Board-recognized School

A.A massage therapy school or bodywork therapy school in this state that is offered by a community college or approved by the Arizona State Board for Private Postsecondary Education is a Board-recognized school.

B. A massage therapy school or bodywork therapy school in another state that is approved by an agency similar to the Board for Private Postsecondary Education and that wishes to be a Board-recognized school shall:

1. Have a program that meets requirements that are substantially equivalent to those imposed by the Board for Private Postsecondary Education in A.R.S. Title 32, Chapter 30 and 4 A.A.C. 39; and

Submit an application packet to the Board that includes:

a. The name, address, and telephone number of the massage therapy school or bodywork therapy school;

b. The same information required by the Board for Private Postsecondary Education in R4-39-103(B); and

c. Documentation from the agency similar to the Board for Private Postsecondary Education that states the applicant meets the requirements of the agency.

History

• New Section made by final rulemaking at 10 A.A.R. 2668, effective June 8, 2004 (Supp. 04-2). Amended by final rulemaking at 20 A.A.R. 2246, effective 8/5/2014.

Ariz. Admin. Code § R4-15-207 Licensing Time-frames

A.The overall time-frame described in A.R.S. § 41-1072(2) for each type of approval granted by the Board is listed in Table 1. The applicant and the Executive Director of the Board may agree in writing to extend the overall time-frame. The substantive review time-frame shall not be extended by more than 25 percent of the overall time-frame.

B. The administrative completeness review time-frame described in A.R.S. § 41-1072(1) for each type of approval granted by the Board is set forth in Table 1 and begins when the Board receives an application.

1. If the application packet is not complete, the Board shall send to the applicant a written notice specifying the missing document or incomplete information. The administrative completeness review time-frame and the overall time-frame are suspended from the postmark date of the notice until the date the Board receives a complete application packet from the applicant.

2. If an application is complete, the Board shall send a written notice of administrative completeness to the applicant.

3. If the Board grants the license during the time provided to assess administrative completeness, the Board shall not issue a separate written notice of administrative completeness.

C. The substantive review time-frame described in A.R.S. § 41-1072(3) is set forth in Table 1 and begins on the postmark date of the notice of administrative completeness.

1. During the substantive review time-frame, the Board may make one comprehensive written request for additional information or documentation. The time-frame for the Board to complete the substantive review is suspended from the postmark date of the comprehensive written request for additional information or documentation until the Board receives the additional information or documentation.

2. The Board shall send a written notice of approval to an applicant who meets the qualifications and requirements in A.R.S. Title 32, Chapter 42 and this Chapter.

3. The Board shall send a written notice of denial to an applicant who fails to meet the qualifications and requirements in A.R.S. Title 32, Chapter 42 and this Chapter.

D.The Board shall consider an application withdrawn if within 365 days from the application submission date the applicant fails to supply the missing information under subsection (B)(1) or (C)(1).

E.An applicant who does not wish an application withdrawn may request a denial in writing within 365 days from the application submission date.

F. If a time-frame's last day falls on a Saturday, Sunday, or an official state holiday, the Board considers the next business day the time-frame's last day.

History

• New Section made by final rulemaking at 10 A.A.R. 2668, effective June 8, 2004 (Supp. 04-2). Amended by final rulemaking at 20 A.A.R. 2246, effective 8/5/2014.

Article 3 CONTINUING EDUCATION

Ariz. Admin. Code § R4-15-301 Required Continuing Education Hours

A.During the two-year period immediately preceding license expiration, a licensee applying for a renewal license shall complete 24 hours or more of continuing education.

B.A licensee may complete a maximum of 12 continuing education hours from a distance learning format to satisfy the requirement in subsection (A).

C.A licensee shall not carry over hours from one renewal period to another renewal period.

History

• New Section made by final rulemaking at 12 A.A.R. 2759, effective September 9, 2006 (Supp. 06-3). Amended by final rulemaking at 20 A.A.R. 2246, effective 8/5/2014.

Ariz. Admin. Code § R4-15-302 Approval of Continuing Education

The following continuing education is approved by the Board:

1. Continuing education that is taught by an association, corporation, or organization:

a. Accredited by the National Commission for Certifying Agencies, or

b. Approved by the NCBTMB.

Continuing education sponsored by a massage therapy school or bodywork therapy school that is:

a. Affiliated with a community college located in this state, or

b. Approved by the Arizona State Board for Private Postsecondary Education;

3. Continuing education offered by a regionally or nationally accredited post-secondary institution in a state other than Arizona;

4. Continuing education offered by an institution approved by a post-secondary educational entity as a massage therapy or bodywork therapy school in a state other than Arizona.

5. For each renewal period no more than four hours of CPR or four hours of First Aid for a combination of no more than eight hours that is taught by an instructor who has been certified in CPR or First Aid instruction by the American Red Cross, American Heart Association, American Safety and Health Institute, or National Safety Council and has a current card issued by the American Red Cross, American Heart Association, or American Safety and Health Institute, or National Safety Council that contains:

a. The instructor's name,

b. A statement by the certifying entity that authorizes the instructor to teach CPR or first aid, and

c. A certification expiration date;

6. For each renewal period no more than three hours for attendance at a Board meeting, if the licensee obtains a document that states the licensee attended a minimum of three hours at a Board meeting, the date of the Board meeting, and the signature of the Board's chair or executive director. The licensee may claim only the actual number of hours attended by the licensee for a maximum of three hours; or

7. For each renewal period one hour for each eight hours serving as an instructor of a massage therapy class at a Board-recognized school for a maximum of 10 hours and the licensee documents:

a. The name of the Board-recognized school,

b. The title of the massage therapy class,

c. The subject matter of the massage therapy class,

d. The dates of the instruction,

e. The location of the massage therapy class, and

f. A confirmation of number of hours that is on official school letterhead and signed by the owner of the Board-recognized school or designee.

History

• New Section made by final rulemaking at 12 A.A.R. 2759, effective September 9, 2006 (Supp. 06-3). Amended by final rulemaking at 20 A.A.R. 2246, effective 8/5/2014.

Ariz. Admin. Code § R4-15-303 Documentation of Completion of Continuing Education

A.When renewing a license, a licensee shall submit on a renewal application an affirmation of completion of 24 hours of continuing education.

B.The Board may annually and randomly select a minimum of 10% of active licenses for an audit of continuing education and require the following information:

1. The name of the licensee,

2. The title of the continuing education,

3. The subject matter of the continuing education,

4. The date of the continuing education,

5. The hours completed,

6. The location where the continuing education took place, and

7. The name of the instructor providing the continuing education.

8. The signature of the licensee.

History

• New Section made by final rulemaking at 12 A.A.R. 2759, effective September 9, 2006 (Supp. 06-3). Amended by final rulemaking at 20 A.A.R. 2246, effective 8/5/2014.

Article 4 REGULATORY PROVISIONS

Ariz. Admin. Code § R4-15-401 Rehearing or Review of Board's Decision

A. Except as provided in subsection (F), a party who is aggrieved by a decision issued by the Board may file with the Board, not later than 30 days after service of the decision, a written motion for rehearing or review of the decision specifying the grounds for rehearing or review. For purposes of this Section and except as provided in A.R.S. § 41-1092.09(C), a decision is considered served when personally delivered to the party's last known address or mailed by certified mail to the party at the party's last known address or the party's attorney.

B. A party filing a motion for rehearing or review under this Section may amend the motion at any time before it is ruled upon by the Board. Other parties may file a response within 15 days after the date the motion for rehearing or review is filed. The Board may require that the parties file supplemental memoranda explaining the issues raised in the motion and may permit oral argument.

C. The Board may grant a rehearing or review of the decision for any of the following causes materially affecting the party's rights:

1. Irregularity in the proceedings of the Board, administrative law judge, or any abuse of discretion that deprived the party of a fair hearing;

2. Misconduct of the Board or administrative law judge;

3. Accident or surprise that could not have been prevented by ordinary prudence;

4. Newly discovered material evidence that could not, with reasonable diligence, have been discovered and produced at the hearing;

5. Excessive or insufficient penalties;

6. Error in the admission or rejection of evidence or other errors of law occurring at the hearing; or

7. That the findings of fact or decision are not supported by the evidence or are contrary to law.

D. The Board may affirm or modify its decision or grant a rehearing or review to all or any of the parties on all or part of the issues for the reasons specified in subsection (C). An order modifying a decision or granting a rehearing or review shall specify the grounds for the rehearing or review and the rehearing or review shall cover only those matters specified.

E. No later than 30 days after a decision is issued by the Board, the Board may, on its own initiative, grant a rehearing or review of its decision for any reasons in subsection (C). An order granting a rehearing or review shall specify the grounds for the rehearing or review.

F. If the Board makes specific findings that the immediate effectiveness of the decision is necessary for the preservation of the public health and safety and determines that a rehearing or review of the decision is impracticable, unnecessary, or contrary to the public interest, the Board may issue the decision as a final decision without an opportunity for a rehearing or review. If the Board issues the decision as a final decision without an opportunity for a rehearing or review, the aggrieved party may make an application for judicial review within the time limits permitted for an application for judicial review of the Board's final decision under A.R.S. § 12-904.

History

• New Section made by final rulemaking at 12 A.A.R. 2759, effective September 9, 2006 (Supp. 06-3).

Chapter 16 ARIZONA MEDICAL BOARD

Article 1 GENERAL PROVISIONS

Ariz. Admin. Code § R4-16-101 Definitions

Unless the context otherwise requires, definitions prescribed under A.R.S. § 32-1401 and the following apply to this Chapter:

1. "ACLS" means advanced cardiac life support performed according to certification standards of the American Heart Association.

2. "Agent" means an item or element that causes an effect.

3. "Approved medical assistant training program" means a program accredited by one of the following:

a. The Commission on Accreditation of Allied Health Education Programs; or

b. The Accrediting Bureau of Health Education Schools.

c. A medical assisting program accredited by any accrediting agency recognized by the United States Department of Education; or

d. A training program:

i. Designed and offered by a licensed allopathic physician;

ii. That meets or exceeds any of the prescribed accrediting programs in subsection (a), (b), or (c); and

iii. That verifies the entry-level competencies of a medical assistant prescribed under R4-16-402(A) .

4. "Ausculation" means the act of listening to sounds within the human body either directly or through use of a stethoscope or other means.

5. 4. "BLS" means basic life support performed according to certification standards of the American Heart Association.

6. 5. "Capnography" means monitoring the concentration of exhaled carbon dioxide of a sedated patient to determine the adequacy of the patient's ventilatory function.

7. 6. "Deep sedation" means a drug-induced depression of consciousness during which a patient:

a. Cannot be easily aroused, but

b. Responds purposefully following repeated or painful stimulation, and

c. May partially lose the ability to maintain ventilatory function.

8. 7. "Discharge" means a written or electronic documented termination of office-based surgery to a patient.

9. 8. "Drug" means the same as in A.R.S. § 32-1901.

10. 9. "Emergency" means an immediate threat to the life or health of a patient.

11. 10. "Emergency drug" means a drug that is administered to a patient in an emergency.

12. 11. "General Anesthesia" means a drug-induced loss of consciousness during which a patient:

a. Is unarousable even with painful stimulus; and

b. May partially or completely lose the ability to maintain ventilatory, neuromuscular, or cardiovascular function or airway.

13. 12. "Health care professional" means a registered nurse defined in A.R.S. § 32-1601, registered nurse practitioner defined in A.R.S. § 32-1601, physician assistant defined in A.R.S. § 32-2501, and any individual authorized to perform surgery according to A.R.S. Title 32 who participates in office-based surgery using sedation at a physician's office.

14. 13. "Informed consent" means advising a patient of the:

a. Purpose for and alternatives to the office-based surgery using sedation,

b. Associated risks of office-based surgery using sedation, and

c. Possible benefits and complications from the office-based surgery using sedation.

15. 14. "Inpatient" has the same meaning as in A.A.C. R9-10-201.

16. 15. "Malignant hyperthermia" means a life-threatening condition in an individual who has a genetic sensitivity to inhalant anesthetics and depolarizing neuromuscular blocking drugs that occurs during or after the administration of an inhalant anesthetic or depolarizing neuromuscular blocking drug.

17. 16. "Minimal Sedation" means a drug-induced state during which:

a. A patient responds to verbal commands,

b. Cognitive function and coordination may be impaired, and

c. A patient's ventilatory and cardiovascular functions are unaffected.

18. 17. "Moderate Sedation" means a drug-induced depression of consciousness during which:

a. A patient responds to verbal commands or light tactile stimulation, and

b. No interventions are required to maintain ventilatory or cardiovascular function.

19. 18. "Monitor" means to assess the condition of a patient.

20. 19. "Office-based surgery" means a medical procedure conducted in a physician's office or other outpatient setting that is not part of a licensed hospital or licensed ambulatory surgical center. (A.R.S. § 32-1401(20)).

21. 20. "PALS" means pediatric life support performed according to certification standards of the American Academy of Pediatrics or the American Heart Association.

22. 21. "Patient" means an individual receiving office-based surgery using sedation.

23. 22. "Physician" has the same meaning as doctor of medicine as defined in A.R.S. § 32-1401.

24. 23. "Rescue" means to correct adverse physiologic consequences of deeper than intended level of sedation and return the patient to the intended level of sedation.

25. 24. "Sedation" means minimum sedation, moderate sedation, or deep sedation.

26. 25. "Staff member" means an individual who:

a. Is not a health care professional, and

b. Assists with office-based surgery using sedation under the supervision of the physician performing the office-based surgery using sedation.

27. 26. "Transfer" means a physical relocation of a patient from a physician's office to a licensed health care institution.

History

• Former Rule 12. Former Section R4-16-01 repealed, new Section R4-16-101 adopted effective June 1, 1984 (Supp. 84-3). Section repealed, new Section renumbered from R4-16-103 effective September 22, 1995 (Supp. 95-3). Amended by final rulemaking at 8 A.A.R. 830, February 7, 2002 (Supp. 02-1). Amended by final rulemaking at 8 A.A.R. 4270, effective November 18, 2002 (Supp. 02-3). Former Section R4-16-101 recodified to R4-16-102 at 11 A.A.R. 1283, effective March 25, 2005 (Supp. 05-1). New Section made by final rulemaking at 12 A.A.R. 823, effective February 23, 2006 (Supp. 06-1). Amended by final rulemaking at 14 A.A.R. 380, effective January 8, 2008 (Supp. 08-1). Amended by final rulemaking at 25 A.A.R. 145, effective 3/9/2019.

Ariz. Admin. Code § R4-16-102 Continuing Medical Education

A. A physician holding an active license to practice medicine in this state shall complete 40 credit hours of the continuing medial education required by A.R.S. § 32-1434 during the two calendar years preceding biennial registration.

1. A physician who is authorized to prescribe schedule II controlled substances and holds a valid U.S. Drug Enforcement Administration registration number shall complete at least three hours of opioid-related, substance-use-disorder-related, or addiction-related continuing medical education during each renewal cycle;

2. One hour of credit is allowed for each clock hour of participation in continuing medical education activities, unless otherwise designated in subsection (B); and

3. The physician may not carry excess hours of continuing medical education over to another two-year cycle.

B. A physician may claim continuing medical education for the following:

1. Participating in an internship, residency, or fellowship at a teaching institution approved by the American Medical Association, the Association of American Medical Colleges, or the American Osteopathic Association. A physician may claim one credit hour of continuing medical education for each one day of training in a full-time approved program, or for a less than full-time training on a pro rata basis. In this subsection teaching institutions define "full-time."

2. Participating in an education program for an advanced degree in a medical or medically-related field in a teaching institution approved by the American Medical Association, the Association of American Medical Colleges, or the American Osteopathic Association. A physician may claim one credit hour of continuing medical education for each one day of full-time study or less than a full-time study on a pro rata basis. In this subsection teaching institutions define "full-time".

3. Participating in full-time research in a teaching institution approved by the American Medical Association, the Association of American Medical Colleges, or the American Osteopathic Association. A physician may claim one credit hour of continuing medical education for each one day of full-time research, or less than full-time research on a pro rata basis. In this subsection teaching institutions define "full-time".

4. Participating in an education program certified as Category 1 by an organization accredited by the Accreditation Council for Continuing Medical Education, 515 North State Street, Suite 2150, Chicago, Illinois 60610.

5. Participating in a medical education program designed to provide understanding of current developments, skills, procedures, or treatments related to the practice of medicine, that is provided by an organization or institution accredited by the Accreditation Council for Continuing Medical Education.

Serving as an instructor of medical students, house staff, other physicians, or allied health professionals from a hospital or other health care institution with a formal training program, if the instructional activities provide the instructor with understanding of current developments, skills, procedures, or treatments related to the practice of allopathic medicine.

7. Publishing or presenting a paper, report, or book that deals with current developments, skills, procedures, or treatments related to the practice of allopathic medicine. The physician may claim one credit hour for each hour preparing, writing, and presenting materials:

a. Actually published or presented; and

b. After the date of publication or presentation.

8. A credit hour may be earned for any of the following activities that provide an understanding of current developments, skills, procedures, or treatments related to the practice of allopathic medicine:

a. Completing a medical education program based on self-instruction that uses videotapes, audiotapes, films, filmstrips, slides, radio broadcasts, or computers;

b. Reading scientific journals and books;

c. Preparing for specialty board certification or recertification examinations;

d. Participating on a staff or quality of care committee, or utilization review committee in a hospital, health care institution, or government agency.

C. If a physician holding an active license to practice medicine in this state fails to meet the continuing medical education requirements under subsection (A) because of illness, military service, medical or religious missionary activity, or residence in a foreign country, upon written application, the Board shall grant an extension of time to complete the continuing medical education.

D. The Board shall mail to each physician a license renewal form that includes a section regarding continuing medical education compliance. The physician shall sign and return the form certified under penalty of perjury that the continuing medical education requirements under subsection (A) are satisfied for the two-calendar-year period preceding biennial renewal. Failure to receive the license renewal form under subsection (A) shall not relieve the physician of the requirements of subsection (A). The Board may randomly audit a physician to verify compliance with the continuing medical education requirements under subsection (A).

History

• Former Rule 16. Former Section R4-16-02 repealed, new Section R4-16-102 adopted effective June 1, 1984 (Supp. 84-3). Section repealed, new Section renumbered from R4-16-106 effective September 22, 1995 (Supp. 95-3). Amended by final rulemaking at 6 A.A.R. 1881, effective May 3, 2000 (Supp. 00-2). Former Section R4-16-102 recodified to R4-16-103; New Section R4-16-102 recodified from R4-16-101 at 11 A.A.R. 1283, effective March 25, 2005 (Supp. 05-1). Amended by final rulemaking at 24 A.A.R. 182, effective 3/10/2018. Amended by final rulemaking at 25 A.A.R. 145, effective 3/9/2019.

Ariz. Admin. Code § R4-16-103 Rehearing or Review of Board Decision

A. In a contested case or appealable agency action, a party aggrieved by an order of the Board may file a written motion for rehearing or review with the Board under A.R.S. Title 41, Chapter 6, Article 10, specifying the grounds for rehearing or review.

1. Except as provided in subsection (B), any party in a contested case may file a written motion for rehearing or review of the Board's decision, specifying generally the grounds upon which the motion is based.

2.1. A motion for rehearing or review shall be filed with the Board and served no later than 30 days after the decision of the Board.

3. 2. For purposes of this Section, "service" has the same meaning as in A.R.S. § 41-1092.09.

4. 3. For purposes of this Section, a document is deemed filed when the Board receives the document.

5. 4. For purposes of this Section, "party" has the same meaning as in A.R.S. § 41-1001.

B. Except as provided in subsection (H), a party is required to file a motion for rehearing or review of a Board decision to exhaust the party's administrative remedies.

C. A party may amend a motion for rehearing or review at any time before the Board rules on the motion.

D. The Board may grant a rehearing or review for any of the following reasons materially affecting a party's rights:

1. Irregularity in the proceedings or an order or abuse of discretion, that deprives the moving party of a fair hearing;

2. Misconduct of the Board, its staff, administrative law judge, or the prevailing party;

3. Accident or surprise that could have not been prevented by ordinary prudence;

4. Newly discovered material evidence that could not, with reasonable diligence, have been discovered and produced at the hearing;

5. Excessive penalty;

6. Error in the admission or rejection of evidence or other errors of law occurring at the hearing or during the progress of the proceedings;

7. The decision is the result of a passion or prejudice; or

8. The findings of fact or decision is not justified by the evidence or is contrary to law.

E. The Board may grant a rehearing or review to all or any of the parties and on all or part of the issues for any of the reasons in subsection (D). The Board may take additional testimony, amend findings of fact and conclusions of law, or make new findings and conclusions, and affirm, modify, or reverse the original decision. The Board shall specify the particular grounds for any order modifying a decision or granting a rehearing. If a rehearing or review is granted, the rehearing or review shall cover only the matters specified in the order.

F. A rehearing or review, if granted, shall be a rehearing or review only of the question upon which the decision is found erroneous. An order granting a rehearing or review shall specify with particularity the grounds for the order.

G. Not later than 15 days after a decision is issued, the Board on its own initiative may order a rehearing or review for any reason that it might have granted a rehearing or review on motion of a party. After giving the parties notice and an opportunity to be heard on the matter, the Board may grant a timely-served motion for a rehearing or review for a reason not stated in the motion. In either case, the Board shall specify in the order the grounds for the rehearing or review.

H. G. If a motion for rehearing or review is based upon affidavits, they shall be served with the motion. An opposing party may, within 15 days after service, serve opposing affidavits. The Board may extend this period for a maximum of 20 days either for good cause or upon written stipulation by the parties . The Board may permit reply affidavits.

H. If, in a particular decision, the Board makes a specific finding that the immediate effectiveness of the decision is necessary for the preservation of the public health, safety, or welfare, the decision may be issued as a final decision without an opportunity for rehearing or review.

I. A party that has exhausted the party's administrative remedies may appeal a final order of the Board under A.R.S. Title 12, Chapter 7, Article 6.

J. A person that files a complaint with the Board against a licensee:

1. Is not a party to:

a. A Board administrative action, decision, or proceeding; or

b. A court proceeding for judicial review of a Board decision under A.R.S. §§ 12-901 through 12-914; and

2. Is not entitled to seek rehearing or review of a Board action or decision under this Section.

History

• Former Rule 17; Amended effective August 19, 1977 (Supp. 77-4). Former Section R4-16-03 repealed, new Section R4-16-103 adopted effective June 1, 1984 (Supp. 84-3). Section R4-16-103 renumbered to R4-16-101 effective September 22, 1995 (Supp. 95-3). New Section adopted effective May 20, 1997 (Supp. 97-2). Amended by final rulemaking at 8 A.A.R. 830, February 7, 2002 (Supp. 02-1). Amended by final rulemaking at 8 A.A.R. 4270, effective November 18, 2002 (Supp. 02-3). Former Section R4-16-103 recodified to R4-16-204; new Section R4-16-103 recodified from R4-16-102 at 11 A.A.R. 1283, effective March 25, 2005 (Supp. 05-1). Amended by final rulemaking at 25 A.A.R. 145, effective 3/9/2019.

Ariz. Admin. Code § R4-16-104 Recodified

History

• Former Rule 18. Former Section R4-16-04 repealed, new Section R4-16-104 adopted effective June 1, 1984 (Supp. 84-3). Section repealed effective September 22, 1995 (Supp. 95-3). New Section adopted effective January 20, 1998 (Supp. 98-1). Section recodified to R4-16-206 at 11 A.A.R. 1283, effective March 25, 2005 (Supp. 05-1).

Ariz. Admin. Code § R4-16-105 Recodified

History

• Former Rule 19. Former Section R4-16-05 repealed, new Section R4-16-105 adopted effective June 1, 1984 (Supp. 84-3). Section repealed effective September 22, 1995 (Supp. 95-3). New Section adopted effective January 20, 1998 (Supp. 98-1). Section recodified to R4-16-207 at 11 A.A.R. 1283, effective March 25, 2005 (Supp. 05-1).

Ariz. Admin. Code § R4-16-106 Recodified

History

• Former Rule 21. Former Section R4-16-06 repealed, new Section R4-16-106 adopted effective June 1, 1984 (Supp. 84-3). Section R4-16-106 renumbered to R4-16-102 effective September 22, 1995 (Supp. 95-3). New Section adopted by final rulemaking at 6 A.A.R. 1881, effective May 3, 2000 (Supp. 00-2). Section recodified to R4-16-201 at 11 A.A.R. 1283, effective March 25, 2005 (Supp. 05-1).

Ariz. Admin. Code § R4-16-107 Recodified

History

• New Section adopted by final rulemaking at 6 A.A.R. 1881, effective May 3, 2000 (Supp. 00-2). Section recodified to R4-16-202 at 11 A.A.R. 1283, effective March 25, 2005 (Supp. 05-1).

Ariz. Admin. Code § R4-16-108 Recodified

History

• New Section adopted by final rulemaking at 6 A.A.R. 1881, effective May 3, 2000 (Supp. 00-2). Section recodified to R4-16-203 at 11 A.A.R. 1283, effective March 25, 2005 (Supp. 05-1).

Ariz. Admin. Code § R4-16-109 Recodified

History

• New Section made by final rulemaking at 8 A.A.R. 830, February 7, 2002 (Supp. 02-1). Amended by final rulemaking at 8 A.A.R. 4270, effective November 18, 2002 (Supp. 02-3). Section recodified to R4-16-205 at 11 A.A.R. 1283, effective March 25, 2005 (Supp. 05-1).

Article 2 LICENSURE

Ariz. Admin. Code § R4-16-201 Application for Licensure by Examination or Endorsement

A. For purposes of this Article, unless otherwise specified:

1. "ABMS" means American Board of Medical Specialties.

"ECFMG" means Educational Commission for Foreign Medical Graduates.

3. "FCVS" means Federation Credentials Verification Service.

4. "FLEX" means Federation Licensing Examination.

5. "LMCC" means Licentiate of the Medical Council of Canada.

6. "NBME" means National Board of Medical Examiners.

7. "Primary source" means the original source or an approved agent of the original source of a specific credential that can verify the accuracy of a qualification reported by an applicant.

8. "SPEX" means Special Purposes Examination.

9. "USMLE" means United States Medical Licensing Examination.

B. An applicant for licensure to practice medicine by Step 3 of the USMLE or endorsement shall submit the following information on an application form available on request from the Board and on the Board's web site:

1. Applicant's full name, Social Security number, business and home addresses, primary e-mail address, business and home telephone numbers, and date and place of birth;

2. Name of the school of medicine from which the applicant graduated and date of graduation;

3. A complete list of the applicant's internship, residency, and fellowship training;

4. List of all licensing examinations taken;

5. Names of the states, U.S. territories, or provinces in which the applicant has applied for or been granted a license or registration to practice medicine, including license number, date issued, and current status of the license;

6. A statement of whether the applicant:

a. Has had an application for medical licensure denied or rejected by another state or province licensing board, and if so, an explanation;

b. Has ever had any disciplinary or rehabilitative action taken against the applicant by another licensing board, including other health professions, and if so, an explanation;

c. Has had any disciplinary actions, restrictions, or limitations taken against the applicant while participating in any type of training program or by any health care provider, and if so, an explanation;

d. Has been found in violation of a statute, rule, or regulation of any domestic or foreign governmental agency, and if so, an explanation;

e. Is currently under investigation by any medical board or peer review body, and if so, an explanation;

f. Has been subject to discipline resulting in a medical license being revoked, suspended, limited, cancelled during investigation, restricted, or voluntarily surrendered, or resulting in probation or entry into a consent agreement or stipulation and if so, an explanation;

g. Has had hospital privileges revoked, denied, suspended, or restricted, and if so, an explanation;

h. Has been named as a defendant in a malpractice matter currently pending or that resulted in a settlement or judgment against the applicant, and if so, an explanation;

i. Has been subjected to any regulatory disciplinary action, including censure, practice restriction, suspension, sanction, or removal from practice, imposed by any agency of the federal or state government, and if so, an explanation;

j. Has had the authority to prescribe, dispense, or administer medications limited, restricted, modified, denied, surrendered, or revoked by a federal or state agency as a result of disciplinary or other adverse action, and if so, an explanation;

k. Has been found guilty or entered into a plea of no contest to a felony, a misdemeanor involving moral turpitude in any state, and if so, an explanation;

7. Whether the applicant is currently certified by any of the American Board of Medical Specialties;

8. The applicant's intended specialty;

9. Consistent with the Board's authority at A.R.S. § 32-1422(B), other information the Board may deem necessary to evaluate the applicant fully;

10. Whether the applicant completed a training unit prescribed by the Board regarding the requirements of A.R.S. Title 32, Chapter 13 and this Chapter;

11. In addition to the answers provided under subsections (B)(1) through (B)(10), the applicant shall answer the following confidential question:

a. Whether the applicant currently has a medical condition that impairs the applicant's ability to practice medicine in a competent, ethical, and professional manner;

b. If the answer to subsection (B)(11)(a) is yes:

i. Provide an explanation of the medical condition; and

ii. If currently practicing under a monitoring agreement with a licensing board in another state, attach a copy of the monitoring agreement to the application; and

c. A copy of any public or confidential agreement or order relating to the use, disorder, or condition, issued by a licensing agency or health care institution within the last five years, if applicable; and

12. A notarized statement, signed by the applicant, verifying the truthfulness of the information provided, and that the applicant has not engaged in any acts prohibited by Arizona law or Board rules, and authorizing release of any required records or documents to complete application review.

C. In addition to the application form required under subsection (B), an applicant for licensure to practice medicine by Step 3 of the USMLE or endorsement shall submit the following:

1. A copy of the applicant's birth certificate or passport that is:

a. Notarized, or

b. Certified by a governmental agency.

2. Evidence of legal name change if the applicant's legal name is different from that shown on the document submitted under subsection (C)(1);

3. Documentation listed under A.R.S. § 41-1080(A) showing that the applicant's presence in the U.S. is authorized under federal law;

4. Complete list of all medical employment for the five years before the date of application;

5. Verification of any medical malpractice matter currently pending or resulting in a settlement or judgment against the applicant, including a copy of the complaint and either the agreed terms of settlement or the judgment and a narrative statement specifying the nature of the occurrence resulting in the medical malpractice action. An applicant who is unable to obtain a document required under this subsection may apply under subsection (E) a waiver of the requirement;

6. A full set of fingerprints and the processing charge specified in R4-16-205;

7. A paper or digital headshot photograph of the applicant taken no more than 60 days before the date of application; and

8. The fee authorized under A.R.S. § 32-1436 and specified in R4-16-205.

D. In addition to the requirements of subsections (B) and (C), an applicant for licensure to practice medicine by Step 3 of the USMLE or endorsement shall have the following submitted to the Board, electronically or in hard copy, by the primary source, ECFMG, Veridoc, or FCVS:

1. Official transcript or other authentication of graduation from a school of medicine;

2. Verification of completion of postgraduate training;

3. Verification of ECFMG certification if the applicant graduated from an unapproved school of medicine;

4. Examination and Board history report scores for USMLE, FLEX, NBME, and SPEX;

5. Verification of LMCC exam score or state written exam score;

6. Verification of licensure from every state in which the applicant has ever held a medical license;

7. Verification of all hospital affiliations during the five years before the date of application. Under A.R.S. § 32-1422(A)(11)(b), this verification is required to be on the hospital's official letterhead or the electronic equivalent; and

Verification of all medical employment during the five years before the date of application. Under A.R.S. § 32-1422(A)(11)(b), this verification may be submitted by the employer.

E. As provided under A.R.S. § 32-1422(F), the Board may waive a documentation requirement specified under subsections (C)(5) and (D).

1. To obtain a waiver under this subsection, an applicant shall submit a written request that includes the following information:

a. Applicant's name;

b. Date of request;

c. Document required under subsection (C)(5) or (D) for which waiver is requested;

d. Detailed description of efforts made by the applicant to provide the document as required under subsection (C)(5) or (D);

e. Reason the applicant's inability to provide the document as required under subsection (C)(5) or (D) is due to no fault of the applicant; and

f. If applicable, documents that support the request for waiver.

The Board shall consider the request for waiver at its next regularly scheduled meeting.

3. In determining whether to grant the request for waiver, the Board shall consider whether the applicant:

a. Made appropriate and sufficient effort to satisfy the requirement under subsection (C)(5) or (D); and

b. Demonstrated that compliance with the requirement under subsection (C)(5) or (D) is not possible because:

i. The entity responsible for issuing the required document no longer exists;

ii. The original of the required document was destroyed by accident or natural disaster;

iii. The entity responsible for issuing the required document is unable to provide verification because of armed conflict or political strife; or

iv. Another valid reason beyond the applicant's control prevents compliance with the requirement under subsection (C)(5) or (D).

4. In determining whether to grant the request for waiver, the Board shall:

a. Consider whether it is possible for the Board to obtain the required document from other source; and

b. Request the applicant to obtain and provide additional information the Board believes will facilitate the Board's decision.

5. If the Board determines the applicant is unable to comply with a requirement under subsection (C)(5) or (D) in spite of the applicant's best effort and for a reason beyond the applicant's control, the Board may grant the request for waiver and include the decision in the Board's official record for the applicant.

6. The Board shall provide the applicant with written notice of its decision regarding the request for waiver. The Board's decision is not subject to review or appeal.

F. As provided under A.R.S. § 32-1426(B), the Board may require an applicant for licensure by endorsement who passed an examination specified in A.R.S. § 32-1426(A) more than ten years before the date of application to provide evidence the applicant is able to engage safely in the practice of medicine. The Board may consider one or more of the following to determine whether the applicant is able to engage safely in the practice of medicine:

1. Whether the applicant is board certified by one of the specialties recognized by the ABMS. If the applicant holds a current ABMS certification, this criterion is considered met.

2. Whether the applicant takes and passes the SPEX examination. If the applicant obtains a passing score on the SPEX examination, this criterion is considered met.

3. The Board may also consider any combination of the following:

a. The applicant's records,

b. The applicant's practice history, and

c. A physical or psychological assessment of the applicant.

History

• Adopted effective September 22, 1995 (Supp. 95-3). Amended by final rulemaking at 8 A.A.R. 2319, effective May 9, 2002 (Supp. 02-2). Former Section R4-16-201 recodified to R4-16-301; New Section R4-16-201 recodified from R4-16-106 at 11 A.A.R. 1283, effective March 25, 2005 (Supp. 05-1). Amended by exempt rulemaking at 20 A.A.R. 1995, effective 7/11/2014. Amended by exempt rulemaking at 21 A.A.R. 2630, effective 10/15/2015. Amended by exempt rulemaking at 22 A.A.R. 778, effective 1/14/2016. Amended by final rulemaking at 27 A.A.R. 2907, effective 2/6/2022.

Ariz. Admin. Code § R4-16-201.1 Application for Renewal of License

A. Under A.R.S. § 32-1430(A), an individual licensed under A.R.S. Title 32, Chapter 13, shall renew the license every other year on or before the licensee's birthday.

B. To renew a license, a licensee shall submit the following information on an application form available on request from the Board and on the Board's web site:

1. The licensee's full name, license number, business and home addresses, primary e-mail address, and business and home telephone numbers;

Identification of changes to medical specialties and fields of practice;

3. A statement of whether, since the time of last license issuance, the licensee:

a. Has had an application for medical licensure denied or rejected by another state or province licensing board and if so, an explanation;

b. Has had any disciplinary or rehabilitative action taken against the licensee by another licensing board, including other health professions and if so, an explanation;

c. Has had any disciplinary action, restriction, or limitation taken against the licensee by any program or health care provider and if so, an explanation;

d. Has been subject to discipline resulting in a medical license being revoked, suspended, limited, cancelled during an investigation, restricted, or voluntarily surrendered, or resulting in probation or entry into a consent agreement or stipulation and if so, an explanation;

e. Has had hospital privileges revoked, denied, suspended, or restricted and if so, an explanation (do not report if the licensee's hospital privileges were suspended due to failure to complete hospital records and reinstated after no more than 90 days);

f. Has been subjected to disciplinary action including censure, practice restriction, suspension, sanction, or removal from practice by an agency of the state or federal government and if so, an explanation;

g. Has had the authority to prescribe, dispense, or administer medications limited, restricted, modified, denied, surrendered, or revoked by a federal or state agency as a result of disciplinary or other adverse action and if so, an explanation;

h. Has been found guilty or entered into a plea of no contest to a felony, a misdemeanor involving moral turpitude, or an alcohol or drug-related offense in any state and if so, an explanation; and

i. Has failed the SPEX;

4. A statement of whether the licensee understands and complies with the medical records and recordkeeping requirements in A.R.S. §§ 32-3211 and 12-2297;

5. A statement of whether the licensee has completed at least 40 hours of CME as required under A.R.S. § 32-1434 and R4-16-102, including the hour of CME required under R4-16-102(A)(1);

6. A statement of whether the licensee requests that the license be inactivated or cancelled; and

7. A statement of whether the licensee completed a training unit prescribed by the Board regarding the requirements of A.R.S. Title 32, Chapter 13 and this Chapter.

C. Additionally, the licensee shall answer the following confidential question:

Whether the licensee currently has a medical condition that impairs the licensee's ability to practice medicine in a competent, ethical, and professional manner;

2. If the answer to subsection (C)(1) is yes:

a. Provide an explanation of the medical condition; and

b. If currently practicing under a monitoring agreement with a licensing board in another state, attach a copy of the monitoring agreement to the application; and

3. A copy of any public or confidential agreement or order relating to the use, disorder, or condition, issued by a licensing agency or health care institution since the last renewal, if applicable.

D. To renew a license, a licensee shall submit the following with the required application form:

1. If the document submitted under R4-16-201(C)(3) was a limited form of work authorization issued by the federal government, evidence that the licensee's presence in the U.S. continues to be authorized under federal law;

The renewal fee specified under R4-16-205 and, if applicable, the penalty fee for late renewal; and

3. An attestation that all information submitted is correct.

History

• Adopted by exempt rulemaking at 21 A.A.R. 2630, effective 10/15/2015. Amended by final rulemaking at 24 A.A.R. 182, effective 3/10/2018. Amended by final rulemaking at 27 A.A.R. 2907, effective 2/6/2022.

Ariz. Admin. Code § R4-16-202 Application and Reapplication for Pro Bono Registration

A. An applicant for a pro bono registration to practice medicine for a maximum of 60 days in a calendar year in Arizona shall submit the following information on an application form available on request from the Board and on the Board's web site:

1. Applicant's full name, social security number, business and home addresses, primary e-mail address, and business and home telephone numbers;

2. List of all states, U.S. territories, and provinces in which the applicant is or has been licensed to practice medicine;

3. A statement verifying that the applicant:

a. Agrees to render all medical services without accepting a fee or salary; or

b. Agrees to perform only initial or follow-up examinations at no cost to the patient or the patient's family through a charitable organization,

B. In addition to the application form required under subsection (A), an applicant for a pro bono registration to practice medicine shall submit documentation listed under A.R.S. § 41-1080(A) showing that the applicant's presence in the U.S. is authorized under federal law.

1. Certified copy of the applicant's medical degree diploma;

2. Certified copies of internship, residency, or fellowship certificates;

3. Photocopy of any current license to practice medicine in another state, territory, or possession of the United States or the District of Columbia, along with a letter from the medical board issuing the license, certifying that the license is current and in good standing;

4. Certified copy of ECFMG certificate, if applicable;

5. The fee required in A.R.S. § 32-1436 .

C. An applicant may make application for a pro bono registration annually. A previously registered applicant may apply for a pro bono registration by submitting the following information on an application form available on request from the Board and on the Board's web site:

1. Applicant's full name, home address and telephone number, and primary e-mail address;

2. Number of previous pro bono registration;

3. Name of each state, U.S. territory, and province in which the applicant holds an active medical license;

4. A statement whether since issuance of the last pro bono registration:

a. Any disciplinary action has been taken against the applicant, and

b. Any unresolved complaints are currently pending against the applicant with any state board; and

5. If the document submitted under R4-16-202(B) was a limited form of work authorization issued by the federal government, evidence that the applicant's presence in the U.S. continues to be authorized under federal law.

History

• Adopted effective September 22, 1995 (Supp. 95-3). Amended by final rulemaking at 8 A.A.R. 2319, effective May 9, 2002 (Supp. 02-2). Former Section R4-16-202 recodified to R4-16-302; New Section R4-16-202 recodified from R4-16-107 at 11 A.A.R. 1283, effective March 25, 2005 (Supp. 05-1). Amended by exempt rulemaking at 21 A.A.R. 2630, effective 10/15/2015.

Ariz. Admin. Code § R4-16-203 Application for Locum Tenens Registration

A. An applicant for a locum tenens registration to practice medicine for a maximum of 180 consecutive days in Arizona shall submit an application form available on request from the Board and on the Board's web site that provides the information required under R4-16-201(B).

B. In addition to the application form required under subsection (A), an applicant for a locum tenens registration to practice medicine shall have the the following submitted directly to the Board, electronically or in hard copy, by the primary source, ECFMG, Veridoc, or FCVS:

1. Official transcript or other authentication of graduation from a school of medicine;

2. Verification of completion of postgraduate training;

3. A statement completed by the sponsoring Arizona-licensed physician giving the reason for the request for issuance of the registration;

4. Verification of ECFMG certification if the applicant graduated from an unap-proved school of medicine; and

5. Verification of licensure from every state in which the applicant has ever held a medical license.

C. In addition to the application form required under subsection (A), an applicant for a locum tenens registration to practice medicine shall submit the following:

1. Documentation listed under A.R.S. § 41-1080(A) showing that the applicant's presence in the U.S. is authorized under federal law;

2. A full set of fingerprints and the charge specified in R4-16-205;

3. A copy of a government-issued photo identification; and

4. The fee specified under R4-16-205.

History

• Adopted effective September 22, 1995 (Supp. 95-3). Amended by final rulemaking at 8 A.A.R. 2319, effective May 9, 2002 (Supp. 02-2). Former Section R4-16-203 recodified to R4-16-303; New Section R4-16-203 recodified from R4-16-108 at 11 A.A.R. 1283, effective March 25, 2005 (Supp. 05-1). Amended by exempt rulemaking at 21 A.A.R. 2630, effective 10/15/2015.

Ariz. Admin. Code § R4-16-204 Repealed

History

• Adopted effective September 22, 1995 (Supp. 95-3). Amended by final rulemaking at 8 A.A.R. 2319, effective May 9, 2002 (Supp. 02-2). Former Section R4-16-204 recodified to R4-16-304; New Section R4-16-204 recodifed from R4-16-103 at 11 A.A.R. 1283, effective March 25, 2005 (Supp. 05-1). Repealed by exempt rulemaking at 21 A.A.R. 2630, effective 10/15/2015.

Ariz. Admin. Code § R4-16-205 Fees and Charges

A. As specifically authorized under A.R.S. § 32-1436(A), the Board establishes and shall collect the following fees:

1. Application for a license through endorsement, USMLE Step 3, or Endorsement with SPX Examination, $500;

2. Issuance of an initial license, $500, prorated from date of issuance to date of license renewal;

3. Renewal of license for two years, $500;

4. Application to reactivate an inactive license, $500;

5. Locum tenens registration, $350;

Annual registration of an approved internship, residency, clinical fellowship program, or short-term residency program, $50;

7. Annual teaching license at an approved school of medicine or at an approved hospital internship, residency, or clinical fellowship program, $250;

8. Five-day teaching permit at an approved school of medicine or at an approved hospital internship, residency, or clinical fellowship program, $100;

9. Initial registration to dispense drugs and devices, $200;

10. Annual renewal to dispense drugs and devices, $150;

11. Penalty fee for late renewal of an active license, $350; and

12. Application for temporary license, $250.

B. Under the specific authority provided by A.R.S. § 36-3606(A)(3), the Board establishes and shall collect the following fee to register as an out-of-state health care provider of telehealth services: $500.

C. The fees specified in subsections (A) and (B) are nonrefundable unless A.R.S. §§ 32-1436(C) or 41-1077 applies.

B.D. As specifically authorized under A.R.S. § 32-1436(B), the Board establishes the following charges for the services listed:

1. Processing fingerprints to conduct a criminal background check, $50;

Providing a duplicate license, $50;

3. Verifying a license, $10 per request;

4. Providing a copy of records, documents, letters, minutes, applications, and files, $1 for the first three pages and 25¢ for each additional page;

5. Providing a copy of annual allopathic medical directory, $30; and

Providing an electronic medium containing public information about licensed physicians, $100.

History

• Adopted effective September 22, 1995 (Supp. 95-3). Amended by final rulemaking at 8 A.A.R. 2319, effective May 9, 2002 (Supp. 02-2). Former Section R4-16-205 recodified to R4-16-305; New Section R4-16-205 recodifed from R4-16-109 at 11 A.A.R. 1283, effective March 25, 2005 (Supp. 05-1). Amended by final rulemaking 19 A.A.R. 1300, effective July 6, 2013 (Supp. 13-2). Amended by exempt rulemaking at 20 A.A.R. 2569, effective 9/2/2014. Amended by exempt rulemaking at 21 A.A.R. 2630, effective 10/15/2015. Amended by exempt rulemaking at 22 A.A.R. 778, effective 1/14/2016. Amended by final exempt rulemaking at 23 A.A.R. 2056, effective 8/9/2017. Amended by final rulemaking at 24 A.A.R. 182, effective 3/10/2018. Amended by final exempt rulemaking at 27 A.A.R. 1645, effective 9/22/2021.

Ariz. Admin. Code § R4-16-205.1 Mandatory Reporting Requirement

A. As required under A.R.S. § 32-3208, an applicant, licensee, permit holder, or registrant who is charged with a misdemeanor involving conduct that may affect patient safety or a felony shall provide written notice of the charge to the Board within 10 working days after the charge is filed.

B. An applicant, licensee, permit holder, or registrant may obtain a list of reportable misdemeanors on request from the Board and on the Board's web site.

C. Failure to comply with A.R.S. § 32-3208 and this Section is unprofessional conduct.

History

• Adopted by exempt rulemaking at 21 A.A.R. 2630, effective 10/15/2015.

Ariz. Admin. Code § R4-16-206 Time Frames for Licenses, Permits, and Registrations

A. For each type of license, permit, or registration issued by the Board, the overall time frame under A.R.S. § 41-1072(2) is shown on Table 1.

B. For each type of license, permit, or registration issued by the Board, the administrative completeness review time frame under A.R.S. § 41-1072(1) is shown on Table 1 and begins on the date the Board receives an application and all required documentation and information.

1. If the application is not administratively complete, the Board shall send a written deficiency notice to the applicant.

a. In the deficiency notice, the Board shall state each deficiency and the information or supporting documentation required to complete the application. In the deficiency notice, the Board shall include a written notice that the application is withdrawn if the applicant does not submit the required information or documentation within the time provided for response.

b. Within the time provided in Table 1 for response to a deficiency notice, the applicant shall submit to the Board the documentation or information specified in the notice. The time frame for the Board to finish the administrative completeness review is suspended from the date of the notice until the date the Board receives the documentation or information from the applicant.

2. Within 30 days after receipt of a deficiency notice, an applicant who disagrees with the deficiency notice may submit to the Board a written request for a hearing regarding the deficiency notice.

3. The Board shall schedule and conduct the applicant's deficiency hearing according to provisions prescribed under A.R.S. § 32-1427(E).

4. In addition to hearing provisions prescribed under subsection (B)(3), the Board shall send the following to the applicant in writing:

a. A notice of the scheduled hearing at least 21 days before the hearing date; and

b. The Board's decision within 30 days after the hearing and notice of any applicable right of appeal.

C. For each type of license, permit, or registration issued by the Board, the substantive review time frame under A.R.S. § 41-1072(3) is shown on Table 1.

1. The Board may make a comprehensive written request for additional information from an applicant according to provisions prescribed under A.R.S. § 41-1075 during the substantive review time frame. In any request for additional information, the Board shall include a written notice that the application is withdrawn if the applicant does not submit the additional information within the time provided for response.

In response to a single comprehensive written request from the Board under A.R.S. § 41-1075(A), the applicant shall submit the information identified to the Board within the time to respond specified in Table 1. The time frame for the Board to finish the substantive review is suspended from the date the Board sends the comprehensive written request for additional information until the date the Board receives the additional information from the applicant.

3. If the Board determines the applicant does not meet all substantive criteria for a license, permit, or registration as required under A.R.S. Title 32, Chapter 13 or this Chapter, the Board shall send written notice of denial to the applicant. The Board shall include notice of any applicable right of appeal in the denial notice.

4. If the applicant meets all substantive criteria for a license, permit, or registration required under A.R.S. Title 32, Chapter 13 and this Chapter, the Board shall issue the applicable license, permit, or registration to the applicant.

D. An applicant may receive a 30-day extension of the time provided under subsection (B)(1) or (C)(2) by providing written notice to the Board's Executive Director before the time expires.

E. If a licensee does not apply for license renewal according to the biennial renewal requirement, the licensee's license expires according to provisions prescribed under A.R.S § 32-1430(A) unless the licensee is under investigation according to provisions under A.R.S. § 32-3202. If a licensee makes timely application according to the biennial renewal requirement but fails to respond timely to a deficiency notice under subsection (B)(1) or a request for additional information under subsection (C)(2) and fails to request from the Executive Director an extension of time to respond, the licensee's license expires according to provisions prescribed under A.R.S § 32-1430(A).

History

• New Section recodified from R4-16-104 at 11 A.A.R. 1283, effective March 25, 2005 (Supp. 05-1). Amended by final rulemaking at 11 A.A.R. 2944, effective September 10, 2005 (Supp. 05-3). Amended by exempt rulemaking at 21 A.A.R. 2630, effective 10/15/2015.

Ariz. Admin. Code § R4-16-207 Repealed

History

• New Section recodified from R4-16-105 at 11 A.A.R. 1283, effective March 25, 2005 (Supp. 05-1). Amended by final rulemaking at 11 A.A.R. 2944, effective September 10, 2005 (Supp. 05-3). Repealed by exempt rulemaking at 21 A.A.R. 2630, effective 10/15/2015.

Article 3 DISPENSING OF DRUGS

Ariz. Admin. Code § R4-16-301 Registration and Renewal

A. A physician who wishes to dispense a controlled substance, as restricted under A.R.S. § 32-1491(B), prescription-only drug, or prescription-only device, as defined at A.R.S. § 32-1901, shall be currently licensed to practice medicine in Arizona and shall register with the Board by providing the following to the Board:

1. A completed registration form, which is available on the Board's web site and includes the following information:

a. The physician's name, license number, and field of practice;

b. A list of the types of drugs and devices the physician will dispense; and

c. The location or locations where the physician will dispense a controlled substance, prescription-only drug, or prescription-only device;

2. A copy of the physician's current Drug Enforcement Administration Certificate of Registration for each dispensing location from which the physician will dispense a controlled substance; and

3. The fee required under R4-16-205 unless the physician is exempt under A.R.S. § 32-1921(E) from paying the fee.

B. A physician shall renew a registration to dispense a controlled substance, as restricted under A.R.S. § 32-1491(B), prescription-only drug, or prescription-only device by complying with the requirements in subsection (A) on or before June 30 of each year. If a physician makes timely and complete application for the renewal of a registration, the physician may continue to dispense until the Board approves or denies the renewal application.

C. If a physician fails to comply with subsection (B), the physician shall not dispense any controlled substances, prescription-only drugs, or prescription-only devices until the physician complies fully with subsection (A) and receives notice the Board approves the registration.

History

• New Section adopted by final rulemaking at 6 A.A.R. 751, effective February 2, 2000 (Supp. 00-1). Former Section R4-16-301 recodified to R4-16-401; New Section R4-16-301 recodified from R4-16-201 at 11 A.A.R. 1283, effective March 25, 2005 (Supp. 05-1). Amended by final rulemaking at 27 A.A.R. 2907, effective 2/6/2022.

Ariz. Admin. Code § R4-16-302 Packaging and Inventory; Exception

A. A physician shall dispense all controlled substances and prescription-only drugs in prepackaged containers or in light-resistant containers with consumer safety caps that comply with standards specified in the official compendium, as defined in A.R.S. § 321901, and state and federal law, unless a patient or the patient's representative requests a non-safety cap.

B. A physician shall ensure a controlled substance or prescription-only drug dispensed is labeled with the following information:

1. The physician's name, address, and telephone number;

2. The date the controlled substance or prescription-only drug is dispensed;

3. The patient's name and date of birth;

4. The controlled substance or prescription-only drug name, strength, dosage, form, name of manufacturer, the quantity dispensed, directions for use, and any cautionary statement necessary for the safe and effective use of the controlled substance or prescription-only drug; and

5. A beyond-use date not to exceed one year from the date of dispensing or the manufacturer's expiration date if less than one year.

C. A physician shall secure all controlled substances in a locked cabinet or room and control access to the cabinet or room by a written procedure that includes, at a minimum, designation of the persons who have access to the cabinet or room and procedures for recording requests for access to the cabinet or room. The physician shall make the written procedure available on demand to the Board or its authorized representatives for inspection or copying.

D. A physician shall store prescription-only drugs so the prescription-only drugs are not accessible to patients.

D. E. A physician shall store controlled substances and prescription-only drugs not requiring refrigeration in an area where the temperature does not exceed 85° F.

E. F. A physician shall maintain an ongoing dispensing log for all controlled substances and the prescription-only drug nalbuphine hydrochloride (Nubain) dispensed by the physician. The dispensing log shall include the following:

1. A separate inventory sheet for each controlled substance and prescription-only drug;

2. The date the drug is dispensed;

3. The patient's name and date of birth;

4. The controlled substance or prescription-only drug name, strength, dosage, form, and name of the manufacturer;

5. The number of dosage units dispensed;

6. A running total of each controlled substance and prescription-only drug dispensed; and

7. The signature of the physician written next to each entry.

F. G. A physician may use a computer to maintain the dispensing log required in subsection (F) if the dispensing log is password protected and quickly accessible through either on-screen viewing or printing a copy.

G. H. This Section does not apply to a prepackaged manufacturer sample of a controlled substance or prescription-only drug, unless otherwise provided by federal law.

History

• New Section adopted by final rulemaking at 6 A.A.R. 751, effective February 2, 2000 (Supp. 00-1). Former Section R4-16-302 recodified to R4-16-402; New Section R4-16-302 recodified from R4-16-202 at 11 A.A.R. 1283, effective March 25, 2005 (Supp. 05-1). Amended by final rulemaking at 27 A.A.R. 2907, effective 2/6/2022.

Ariz. Admin. Code § R4-16-303 Prescribing and Dispensing Requirements

A. A physician shall record on the patient's medical record the name, strength, dosage, and form, of a controlled substance, prescription-only drug, or prescription-only device dispensed, the quantity or volume dispensed, the date the controlled substance, prescription-only drug, or prescription-only device is dispensed, the therapeutic reason for dispensing the controlled substance, prescription-only drug, or prescription-only device, and the number of refills authorized.

B. Before dispensing a controlled substance, prescription-only drug, or prescription-only device to a patient, a physician shall review the prepared controlled substance, prescription-only drug, or prescription-only device to ensure:

1. The container label and contents comply with the prescription order, and

2. The patient is informed of the name of the controlled substance, prescription-only drug, or prescription-only device, directions for use, precautions, and storage requirements.

C. A physician shall purchase all dispensed controlled substances, prescription-only drugs, or prescription-only devices from a manufacturer or distributor approved by the United States Food and Drug Administration or a pharmacy holding a current permit from the Arizona Board of Pharmacy.

D. The person who prepares a controlled substance, prescription-only drug, or prescription-only device for dispensing shall countersign and date the original prescription order for the controlled substance, prescription-only drug, or prescription-only device.

E. For purposes of this Article, "dispensing" means the delivery of a controlled substance, a prescription-only drug, or a prescription-only device to a patient for use outside the physician's office.

History

• New Section adopted by final rulemaking at 6 A.A.R. 751, effective February 2, 2000 (Supp. 00-1). Amended by final rulemaking at 6 A.A.R. 4585, effective November 14, 2000 (Supp. 00-4). Former Section R4-16-303 recodified to R4-16-403; New Section R4-16-303 recodifed from R4-16-203 at 11 A.A.R. 1283, effective March 25, 2005 (Supp. 05-1). Amended by final rulemaking at 27 A.A.R. 2907, effective 2/6/2022.

Ariz. Admin. Code § R4-16-304 Recordkeeping and Reporting Shortages

A. A physician who dispenses a controlled substance or prescription-only drug shall ensure an original prescription order for the controlled substance or prescription-only drug is dated, consecutively numbered in the order in which it is originally dispensed, and filed separately from patient medical records. the physician shall ensure original prescription orders are maintained in three separate files, as follows:

1. Schedule II controlled substances;

2. Schedule III, IV, and V controlled substances; and

Prescription-only drugs.

B. A physician shall ensure purchase orders and invoices are maintained for all controlled substances and prescription-only drugs dispensed, whether for profit or not for profit, for three years from the date of the purchase order or invoice. Purchase orders and invoices shall be maintained in three separate files as follows:

1. Schedule II controlled substances only;

2. Schedule III, IV, and V controlled substances and nalbuphine; and

3. All other prescription-only drugs.

C. A physician who discovers a theft or loss of a controlled substance or dangerous drug, as defined in A.R.S. § 13-3401, from the physician's office shall:

Immediately notify the local law enforcement agency,

2. Provide the local law enforcement agency with a written report, and

3. Send a copy of the report provided under subsection (C)(2) to the Drug Enforcement Administration and Board within seven days of the discovery.

D. For purposes of this Section, controlled substances are identified, defined, or listed in A.R.S. Title 36, Chapter 27.

History

• New Section recodified from R4-16-204 at 11 A.A.R. 1283, effective March 25, 2005 (Supp. 05-1). Amended by final rulemaking at 27 A.A.R. 2907, effective 2/6/2022.

Ariz. Admin. Code § R4-16-305 Inspections; Denial and Revocation

A. A physician shall cooperate with and allow access to the physician's office and records for periodic inspection of dispensing practices by the Board or its authorized representative. Failure to cooperate or allow access constitutes grounds for revocation of a physician's registration to dispense a controlled substance, prescription-only drug, or prescription-only device or denial of renewal of the physician's dispensing registration.

B. Failure to comply with A.R.S. § 32-1491 or this Article constitutes grounds for denial or revocation of dispensing registration.

C. The Board shall revoke a physician's registration to dispense a controlled substance, prescription-only drug, or prescription-only device if any of the following occur:

1. Suspending, revoking, surrendering, or canceling the physician's license;

2. Placing the physician's license on inactive status;

3. Failing to renew the physician's license timely; or

4. Restricting the physician's ability to prescribe or administer medication, including loss or expiration of the physician's Drug Enforcement Administration Certificate of Registration.

D. As specified under R4-16-103, a physician who is denied a dispensing registration may appeal the decision by filing a request, in writing, with the Board, no later than 30 days after receipt of the notice denying the registration.

History

• New Section recodified from R4-16-205 at 11 A.A.R. 1283, effective March 25, 2005 (Supp. 05-1). Amended by final rulemaking at 27 A.A.R. 2907, effective 2/6/2022.

Article 4 MEDICAL ASSISTANTS

Ariz. Admin. Code § R4-16-401 Medical Assistant Training Requirements

A. After the effective date of this Section, a supervising physician or physician assistant shall ensure that before a medical assistant is employed, the medical assistant completes one of the following:

1. An approved training program identified in R4-16-101;

2. An unapproved training program and successfully passes the medical assistant examination administered by a certifying organization accredited by either the National Commission for Certifying Agencies or the American National Standards Institute; or

3. A training program that meets the requirements of A.R.S. § 32-1456(D) and is designed and offered by a physician.

B. This Section does not apply to any person who:

1. Before February 2, 2000:

a. Completed an unapproved medical assistant training program and was employed as a medical assistant after program completion; or

b. Was directly supervised by the same physician, physician group, or physician assistant for a minimum of 2000 hours; or

2. Completes a United States Armed Forces medical services training program.

History

• New Section made by final rulemaking at 8 A.A.R. 830, February 7, 2002 (Supp. 02-1). Former Section R4-16-401 recodified to R4-16-501; New Section R4-16-401 recodified from R4-16-301 at 11 A.A.R. 1283, effective March 25, 2005 (Supp. 05-1). Former Section R4-16-401 repealed; New Section R4-16-401 renumbered from R4-16-402 and amended by final rulemaking at 12 A.A.R. 823, effective February 23, 2006 (Supp. 06-1). Amended by final rulemaking at 25 A.A.R. 145, effective 3/9/2019. Amended by final rulemaking at 29 A.A.R. 3684, effective 1/8/2024.

Ariz. Admin. Code § R4-16-402 Authorized Procedures for Medical Assistants

A. A medical assistant may perform, under the direct supervision of a physician or a physician assistant, the medical procedures listed in Appendix B, Core Curriculum for Medical Assistants, 2015 edition of Standards and Guidelines for the Accreditation of Educational Programs in Medical Assisting, published by the Commission on Accreditation of Allied Health Education Programs. This material is incorporated by reference, does not include later amendments or editions, and may be obtained from the publisher at 25400 U.S. Highway 19 N, Suite 158, Clearwater, FL 33763, www.caahep.org, or the Board.

B. In addition to the medical procedures in subsection (A), a medical assistant may administer the following under the direct supervision of a physician or physician assistant:

1. Whirlpool treatments,

2. Diathermy treatments,

3. Electronic galvation stimulation treatments,

Ultrasound therapy,

5. Massage therapy,

6. Traction treatments,

7. Transcutaneous Nerve Stimulation unit treatments,

8. Hot and cold pack treatments, and

Small volume nebulizer treatments.

History

• New Section made by final rulemaking at 8 A.A.R. 830, February 7, 2002 (Supp. 02-1). Amended by final rulemaking at 8 A.A.R. 4270, effective November 18, 2002 (Supp. 02-3). Former Section R4-16-402 recodified to R4-16-502; New Section R4-16-402 recodified from R4-16-302 at 11 A.A.R. 1283, effective March 25, 2005 (Supp. 05-1). Former Section R4-16-402 renumbered to R4-16-401; New Section R4-16-402 renumbered from R4-16-403 and amended by final rulemaking at 12 A.A.R. 823, effective February 23, 2006 (Supp. 06-1). Amended by final rulemaking at 25 A.A.R. 145, effective 3/9/2019.

Ariz. Admin. Code § R4-16-403 Renumbered

History

• New Section made by final rulemaking at 8 A.A.R. 830, February 7, 2002 (Supp. 02-1). Amended by final rulemaking at 8 A.A.R. 4270, effective November 18, 2002 (Supp. 02-3). Former Section R4-16-403 recodified to R4-16-503; New Section R4-16-403 recodified from R4-16-303 at 11 A.A.R. 1283, effective March 25, 2005 (Supp. 05-1). Former Section R4-16-403 renumbered to R4-16-402 by final rulemaking at 12 A.A.R. 823, effective February 23, 2006 (Supp. 06-1).

Ariz. Admin. Code § R4-16-404 Recodified

History

• New Section made by final rulemaking at 8 A.A.R. 830, February 7, 2002 (Supp. 02-1). Section recodified to R4-16-504 at 11 A.A.R. 1283, effective March 25, 2005 (Supp. 05-1).

Ariz. Admin. Code § R4-16-405 Recodified

History

• New Section made by final rulemaking at 8 A.A.R. 830, February 7, 2002 (Supp. 02-1). Section recodified to R4-16-505 at 11 A.A.R. 1283, effective March 25, 2005 (Supp. 05-1).

Ariz. Admin. Code § R4-16-406 Recodified

History

• New Section made by final rulemaking at 8 A.A.R. 830, February 7, 2002 (Supp. 02-1). Section recodified to R4-16-506 at 11 A.A.R. 1283, effective March 25, 2005 (Supp. 05-1).

Ariz. Admin. Code § R4-16-407 Recodified

History

• New Section made by final rulemaking at 8 A.A.R. 830, February 7, 2002 (Supp. 02-1). Section recodified to R4-16-507 at 11 A.A.R. 1283, effective March 25, 2005 (Supp. 05-1).

Ariz. Admin. Code § R4-16-408 Recodified

History

• New Section made by final rulemaking at 8 A.A.R. 830, February 7, 2002 (Supp. 02-1). Section recodified to R4-16-508 at 11 A.A.R. 1283, effective March 25, 2005 (Supp. 05-1).

Ariz. Admin. Code § R4-16-409 Recodified

History

• New Section made by final rulemaking at 8 A.A.R. 830, February 7, 2002 (Supp. 02-1). Amended by final rulemaking at 8 A.A.R. 4270, effective November 18, 2002 (Supp. 02-3). Section recodified to R4-16-509 at 11 A.A.R. 1283, effective March 25, 2005 (Supp. 05-1).

Ariz. Admin. Code § R4-16-410 Recodified

History

• New Section made by final rulemaking at 8 A.A.R. 830, February 7, 2002 (Supp. 02-1). Amended by final rulemaking at 8 A.A.R. 4270, effective November 18, 2002 (Supp. 02-3). Section recodified to R4-16-510 at 11 A.A.R. 1283, effective March 25, 2005 (Supp. 05-1).

Article 5 EXECUTIVE DIRECTOR DUTIES

Ariz. Admin. Code § R4-16-501 Medical Competency Examination; Investigational Interview

A. The executive director may require a physician, who is under investigation by the Board, to submit to a mental, physical, oral, or written medical competency examination after the following:

1. Reviewing the allegations and investigator's summary of findings; and

2. Consulting with and receiving the agreement of the Board's supervising medical consultant that an examination is necessary.

B. The executive director may request a physician to attend an investigational interview to answer questions regarding a complaint against the physician. Before issuing a request for an investigational interview, the executive director shall review the allegations and facts to determine whether an interview is necessary to provide information the Board needs to adjudicate the case. The executive director shall consult with and receive the agreement of either the investigation supervisor or supervising medical consultant that an investigational interview is necessary before requesting one.

C. The executive director shall report to the Board at each regularly scheduled Board meeting a summary of the number and type of evaluations ordered and completed since the preceding Board meeting.

History

• New Section made by exempt rulemaking at 9 A.A.R. 2274, effective August 12, 2003 (Supp. 03-2). Former Section R4-16-501 recodified to R4-16-601; New Section R4-16-501 recodified from R4-16-401 at 11 A.A.R. 1283, effective March 25, 2005 (Supp. 05-1). Amended by final rulemaking at 25 A.A.R. 3705, effective 2/1/2020.

Ariz. Admin. Code § R4-16-502 Direct Referral to Formal Interview

The executive director shall refer a case to a formal interview on a future Board meeting agenda if the investigative staff, lead Board member, and in cases involving quality of care, supervising medical consultant, concur after review of the case that a formal interview is appropriate.

History

• New Section made by exempt rulemaking at 9 A.A.R. 2274, effective August 12, 2003 (Supp. 03-2). Former Section R4-16-502 recodified to R4-16-602; New Section R4-16-502 recodified from R4-16-402 at 11 A.A.R. 1283, effective March 25, 2005 (Supp. 05-1). Amended by final rulemaking at 25 A.A.R. 3705, effective 2/1/2020.
• Editor's Note: At the time of publication, A.R.S. § 32-1401(26) (referenced in R4-16-503) was A.R.S. § 32-1401(24). Laws 2003, Ch. 59, § 1, effective 90 days after the close of the First Regular Session of the Forty-sixth Legislature, will change the subparagraph citation to A.R.S. § 32-1401(26) (Supp. 03-2). This Section was subsequently recodified to a different Section in this Chapter. Refer to the historical notes for more information (05-1).

Ariz. Admin. Code § R4-16-503 Request for Inactive Status or License Cancellation

A. If a physician requests inactive status or license cancellation, meets the requirements of A.R.S. § 32-1431 or 32-1433, and is not participating in the program defined under A.R.S. § 32-1452, the executive director shall grant the request.

B. The executive director shall provide to the Board at each regularly scheduled Board meeting a list of the physicians granted inactive or cancelled license status since the preceding Board meeting.

History

• New Section made by exempt rulemaking at 9 A.A.R. 2274, effective August 12, 2003 (Supp. 03-2). Former Section R4-16-503 recodified to R4-16-603; New Section R4-16-503 recodified from R4-16-403 at 11 A.A.R. 1283, effective March 25, 2005 (Supp. 05-1). Amended by final rulemaking at 25 A.A.R. 3705, effective 2/1/2020.

Ariz. Admin. Code § R4-16-504 Interim Consent Agreement

The executive director may enter into an interim consent agreement with a physician if there is evidence that a restriction is needed to mitigate imminent danger to public health and safety and the investigative staff, supervising medical consultant, and lead Board member concur after review of the case that a consent agreement is appropriate.

History

• New Section made by exempt rulemaking at 9 A.A.R. 2274, effective August 12, 2003 (Supp. 03-2). Former Section R4-16-504 recodifed to R4-16-605; New Section R4-16-504 recodified from R4-16-404 at 11 A.A.R. 1283, effective March 25, 2005 (Supp. 05-1). Amended by final rulemaking at 25 A.A.R. 3705, effective 2/1/2020.

Ariz. Admin. Code § R4-16-505 Mediated Case

A. The executive director shall close a case resolved through mediation.

B. The executive director shall provide to the Board at each regularly scheduled Board meeting a list of the physicians whose cases were resolved through mediation since the preceding Board meeting.

History

• New Section made by exempt rulemaking at 9 A.A.R. 2274, effective August 12, 2003 (Supp. 03-2). Former Section R4-16-505 recodifed to R4-16-606; New Section R4-16-505 recodified from R4-16-405 at 11 A.A.R. 1283, effective March 25, 2005 (Supp. 05-1). Amended by final rulemaking at 25 A.A.R. 3705, effective 2/1/2020.

Ariz. Admin. Code § R4-16-506 Referral to Formal Hearing

A. The executive director may directly refer a case to a formal hearing if the investigative staff, supervising medical consultant, and lead Board member concur after review of the physician's case that a formal hearing is appropriate.

B. The executive director shall provide to the Board at each regularly scheduled Board meeting a list of the physicians whose cases were referred to formal hearing since the preceding Board meeting and whether the referral is for revocation or suspension or the result of an out- of-state disciplinary action or due to complexity of the case.

History

• New Section R4-16-506 recodified from R4-16-406 at 11 A.A.R. 1283, effective March 25, 2005 (Supp. 05-1). Amended by final rulemaking at 25 A.A.R. 3705, effective 2/1/2020.

Ariz. Admin. Code § R4-16-507 Dismissal of Complaint

A. The executive director, with concurrence of the investigative staff, shall dismiss a complaint if the review shows the complaint is without merit and dismissal is appropriate.

B. The executive director shall provide to the Board at each regularly scheduled Board meeting a report that contains the information specified in A.R.S. § 32-1405(C)(21).

History

• New Section R4-16-507 recodified from R4-16-407 at 11 A.A.R. 1283, effective March 25, 2005 (Supp. 05-1). Amended by final rulemaking at 25 A.A.R. 3705, effective 2/1/2020.

Ariz. Admin. Code § R4-16-508 Denial of License

A. The executive director shall deny a license to an applicant who does not meet statutory requirements for licensure if the executive director, investigative staff and supervising medical consultant concur after reviewing the application that the applicant does not meet the statutory requirements.

B. The executive director shall provide to the Board at each regularly scheduled Board meeting a list of the physicians whose applications were denied since the preceding Board meeting.

History

• New Section R4-16-508 recodified from R4-16-408 at 11 A.A.R. 1283, effective March 25, 2005 (Supp. 05-1). Amended by final rulemaking at 25 A.A.R. 3705, effective 2/1/2020.

Ariz. Admin. Code § R4-16-509 Non-disciplinary Consent Agreement

The executive director may enter into a consent agreement under A.R.S. § 32-1451(F) with a physician to limit the physician's practice or rehabilitate the physician if there is evidence that a licensee is mentally or physically unable to engage safely in the practice of medicine and the investigative staff, supervising medical consultant, and lead Board member concur after review of the case that a consent agreement is appropriate.

History

• New Section R4-16-509 recodified from R4-16-409 at 11 A.A.R. 1283, effective March 25, 2005 (Supp. 05-1). Amended by final rulemaking at 25 A.A.R. 3705, effective 2/1/2020.

Ariz. Admin. Code § R4-16-510 Appealing Executive Director Actions

A. Any person aggrieved by an action taken by the executive director under the authority delegated in this Article may appeal that action to the Board. The aggrieved person shall file a written request with the Board no later than:

1. Thirty days after notification of the action, if personally served; or

2. Thirty-five days after the date on the notification, if mailed.

B. The aggrieved person shall provide, in the written request, evidence showing:

1. An irregularity in the investigative process or the executive director's review deprived the party of a fair decision;

2. Misconduct by Board staff, a Board consultant, or the executive director that deprived the party of a fair decision; or

3. Material evidence newly discovered that could have a bearing on the decision and that, with reasonable diligence, could not have been discovered and produced earlier.

C. The fact that the aggrieved party does not agree with the the executive director's action is not grounds for a review by the Board.

D. If an aggrieved person fails to submit a written request within the time specified in subsection (A), the Board is relieved of the requirement to review actions taken by the executive director. The executive director may, however, evaluate newly provided information that is material or substantial in content to determine whether the Board should review the case.

E. If a written request is submitted that meets the requirements of subsection (B):

1. The Board shall consider the written request at its next regularly scheduled meeting.

2. If the written request provides new material or substantial evidence that requires additional investigation, the investigation shall be conducted as expeditiously as possible and the case shall be forwarded to the Board at the first possible regularly scheduled meeting.

History

• New Section R4-16-510 recodified from R4-16-410 at 11 A.A.R. 1283, effective March 25, 2005 (Supp. 05-1). Amended by final rulemaking at 25 A.A.R. 3705, effective 2/1/2020.

Article 6 DISCIPLINARY ACTIONS

Ariz. Admin. Code § R4-16-601 Expired

History

• New Section R4-16-601 recodified from R4-16-501 at 11 A.A.R. 1283, effective March 25, 2005 (Supp. 05-1). Section expired under A.R.S. § 41-1056(E) at 16 A.A.R. 2062, effective September 14, 2010 (Supp. 10-3)

Ariz. Admin. Code § R4-16-602 Expired

History

• New Section R4-16-602 recodified from R4-16-502 at 11 A.A.R. 1283, effective March 25, 2005 (Supp. 05-1). Section expired under A.R.S. § 41-1056(E) at 16 A.A.R. 2062, effective September 14, 2010 (Supp. 10-3).
• To conform with the renumbering in A.R.S., the Arizona Medical Board requested (under A.R.S. § 41-1011 et seq.) a subsection reference update in R4-16-603 [R05-85]. Please refer to the historical notes for more details (Supp. 05-1).

Ariz. Admin. Code § R4-16-603 Expired

History

• New Section R4-16-603 recodified from R4-16-503 at 11 A.A.R. 1283, effective March 25, 2005 (Supp. 05-1). A.R.S. § 32-1401(26) subsection corrected to A.R.S. § 32-1401(27) under a formal written request from the Board, March 22, 2005 (Supp. 05-1). Amended by final rulemaking at 14 A.A.R. 380, effective January 8, 2008 (Supp. 08-1). Section expired under A.R.S. § 41-1056(E) at 16 A.A.R. 2062, effective September 14, 2010 (Supp. 10-3).

Ariz. Admin. Code § R4-16-604 Aggravating Factors Considered in Disciplinary Actions

When determining the degree of discipline, the Board may consider certain factors including, but not limited to, the following:

1. Prior disciplinary offenses;

2. Dishonest or selfish motive;

3. Pattern of misconduct; multiple offenses;

4. Bad faith obstruction of the disciplinary proceeding by intentionally failing to comply with rules or orders of the Board;

5. Submission of false evidence, false statements, or other deceptive practices during the investigative or disciplinary process;

6. Refusal to acknowledge wrongful nature of conduct; and

7.Vulnerability of the victim.

History

• New Section R4-16-604 recodified from R4-16-504 at 11 A.A.R. 1283, effective March 25, 2005 (Supp. 05-1).

Ariz. Admin. Code § R4-16-605 Mitigating Factors Considered in Disciplinary Actions

When determining the degree of discipline, the Board may consider certain factors including, but not limited to, the following:

1. Absence of prior disciplinary record;

2. Absence of dishonest or selfish motive;

3. Timely good faith effort to rectify consequences of misconduct;

4. Interim rehabilitation;

5. Remoteness of prior offenses; and

6. How much control the physician has of processes in the specific practice setting.

History

• New Section R4-16-605 recodified from R4-16-504 at 11 A.A.R. 1283, effective March 25, 2005 (Supp. 05-1).

Article 7 OFFICE-BASED SURGERY USING SEDATION

Ariz. Admin. Code § R4-16-701 Health Care Institution License

A physician who uses general anesthesia in the physician's office or other outpatient setting that is not part of a licensed hospital or licensed ambulatory surgical center when performing office-based surgery using sedation shall obtain a health care institution license as required by the Arizona Department of Health Services under A.R.S. Title 36, Chapter 4 and 9 A.A.C. 10.

History

• New Section made by final rulemaking at 14 A.A.R. 380, effective January 8, 2008 (Supp. 08-1).

Ariz. Admin. Code § R4-16-702 Administrative Provisions

A. A physician who performs office-based surgery using sedation in the physician's office or other outpatient setting that is not part of a licensed hospital or licensed ambulatory surgical center shall:

Establish, document, and implement written policies and procedures that cover:

a. Patient's rights,

b. Informed consent,

c. Care of patients in an emergency, and

d. The transfer of patients;

2. Ensure that a staff member who assists with or a healthcare professional who participates in office-based surgery using sedation:

a. Has sufficient education, training, and experience to perform duties assigned;

b. If applicable, has a current license or certification to perform duties assigned; and

c. Performs only those acts that are within the scope of practice established in the staff member's or health care professional's governing statutes;

3. Ensure that the office where the office-based surgery using sedation is performed has all equipment necessary:

a. For the physician to safely perform the office-based surgery using sedation,

b. For the physician or health care professional to safely administer the sedation,

c. For the physician or health care professional to monitor the use of sedation, and

d. For the physician and health care professional administering the sedation to rescue a patient after the sedation is administered to the patient and the patient enters into a deeper state of sedation than what was intended by the physician.

4. Ensure that a copy of the patient's rights policy is provided to each patient before performing office-based surgery using sedation;

5. Obtain informed consent from the patient before performing an office-based surgery using sedation that:

a. Authorizes the office-based surgery, and

b. Authorizes the office-based surgery to be performed in the physician's office; and

6. Review all policies and procedures every 12 months and update as needed.

B. A physician who performs office-based surgery using sedation shall comply with:

The local jurisdiction's fire code;

2. The local jurisdiction's building codes for construction and occupancy;

The biohazardous waste and hazardous waste standards in 18 A.A.C. 13, Article 14; and

4. The controlled drug administration, supply, and storage standards in 4 A.A.C. 23.

History

• New Section made by final rulemaking at 14 A.A.R. 380, effective January 8, 2008 (Supp. 08-1).

Ariz. Admin. Code § R4-16-703 Procedure and Patient Selection

A. A physician shall ensure that each office-based surgery using sedation performed:

1. Can be safely performed with the equipment, staff members, and health care professionals at the physician's office;

2. Is of duration and degree of complexity that allows a patient to be discharged from the physician's office within 24 hours;

3. Is within the education, training, experience skills, and licensure of the physician; and

4. Is within the education, training, experience, skills, and licensure of the staff members and health care professionals at the physician's office.

B. A physician shall not perform office-based surgery using sedation if the patient:

1. Has a medical condition or other condition that indicates the procedure should not be performed in the physician's office, or

2. Will require inpatient services at a hospital.

History

• New Section made by final rulemaking at 14 A.A.R. 380, effective January 8, 2008 (Supp. 08-1).

Ariz. Admin. Code § R4-16-704 Sedation Monitoring Standards

A physician who performs office-based surgery using sedation shall ensure from the time sedation is administered until post-sedation monitoring begins:

1. A quantitative method of assessing a patient's oxygenation, such as pulse oximetry, is used when minimal sedation is administered to the patient, and

2. When moderate or deep sedation is administered to a patient:

a. A quantitative method of assessing the patient's oxygenation, such as pulse oximetry, is used;

b. The patient's ventilatory function is monitored by any of the following:

i. Direct observation,

ii. Auscultation, or

iii. Capnography;

c. The patient's circulatory function is monitored during the surgery by:

i. Having a continuously displayed electrocardiogram,

ii. Documenting arterial blood pressure and heart rate at least every five minutes, and

iii. Evaluating the patient's cardiovascular function by pulse plethysmography,

d. The patient's temperature is monitored if the physician expects the patient's temperature to fluctuate; and

e. That a licensed and qualified healthcare professional, other than the physician performing the office-based surgery, whose sole responsibility is attending to the patient, is present throughout the office-based surgery.

History

• New Section made by final rulemaking at 14 A.A.R. 380, effective January 8, 2008 (Supp. 08-1).

Ariz. Admin. Code § R4-16-705 Perioperative Period; Patient Discharge

A physician performing office-based surgery using sedation shall ensure all of the following:

During office-based surgery using sedation, the physician is physically present in the room where office-based surgery is performed;

2. After the office-based surgery using sedation is performed, a physician is at the physician's office and sufficiently free of other duties to respond to an emergency until the patient's post-sedation monitoring is discontinued;

3. If using minimal sedation, the physician or a health care professional certified in ACLS, PALS, or BLS is at the physician's office and sufficiently free of other duties to respond to an emergency until the patient is discharged;

4. If using deep or moderate sedation, the physician or a health care professional certified in ACLS or PALS is at the physician's office and sufficiently free of other duties to respond to an emergency until the patient is discharged;

5. A discharge is documented in the patient's medical record including:

a. The time and date of the patient's discharge, and

b. A description of the patient's medical condition at the time of discharge; and

6. A patient receives discharge instructions and documents in the patient's medical record that the patient received the discharge instructions.

History

• New Section made by final rulemaking at 14 A.A.R. 380, effective January 8, 2008 (Supp. 08-1).

Ariz. Admin. Code § R4-16-706 Emergency Drugs; Equipment and Space Used for Office-based Surgery Using Sedation

A. In addition to the requirements in R4-16-702(A)(3) and R4-16-703(A)(1), a physician who performs office-based surgery using sedation shall ensure that the physician's office has at a minimum:

The following:

a. A reliable oxygen source with a SaO2 monitor;

b. Suction;

c. Resuscitation equipment, including a defibrillator;

d. Emergency drugs; and

e. A cardiac monitor;

2. The equipment for patient monitoring according to the standards in R4-16-704;

3. Space large enough to:

a. Allow for access to the patient during office-based surgery using sedation, recovery, and any emergency;

b. Accommodate all equipment necessary to perform the office-based surgery using sedation; and

c. Accommodate all equipment necessary for sedation monitoring;

A source of auxiliary electrical power available in the event of a power failure; and

5. Equipment, emergency drugs, and resuscitative capabilities required under this Section for patients less than 18 years of age, if office-based surgery using sedation is performed on these patients; and

Procedures to minimize the spread of infection.

B. A physician who performs office-based surgery using sedation shall:

1. Ensure that all equipment used for office-based surgery using sedation is maintained, tested, and inspected according to manufacturer specifications, and

2. Maintain documentation of manufacturer-recommended maintenance of all equipment used in office-based surgery using sedation.

History

• New Section made by final rulemaking at 14 A.A.R. 380, effective January 8, 2008 (Supp. 08-1).

Ariz. Admin. Code § R4-16-707 Emergency and Transfer Provisions

A. A physician who performs office-based surgery using sedation shall ensure that before a health care professional participates in or staff member assists with office-based surgery using sedation, the health care professional and staff member receive instruction in the following:

1. Policy and procedure in cases of emergency,

2. Policy and procedure for office evacuation, and

3. Safe and timely patient transfer.

B. When performing office-based surgery using sedation, a physician shall not use any drug or agent that trigger malignant hyperthermia.

History

• New Section made by final rulemaking at 14 A.A.R. 380, effective January 8, 2008 (Supp. 08-1).

Chapter 17 ARIZONA REGULATORY BOARD OF PHYSICIAN ASSISTANTS

Article 1 GENERAL PROVISIONS

Ariz. Admin. Code § R4-17-101 Definitions

For the purposes of A.R.S. Title 32, Chapter 25 and this Chapter:

1. "Ability to perform health care tasks authorized by A.R.S. § 32-2531" means:

a. The cognitive capacity to make clinical diagnoses and exercise medical judgments and to learn and keep abreast of medical developments through the completion of continuing medical education,

b. The ability to communicate medical judgments and medical information to patients and other professionals, and

c. The physical capability to perform the health care tasks authorized by A.R.S. § 32-2531.

2. "Applicant" means an individual seeking a regular license or renewal license.

3. "Category I" means a designation given to a continuing medical education activity provided by an institution or organization that has been accredited for continuing medical education by the:

a. Accreditation Council for Continuing Medical Education,

b. American Medical Association,

c. American Academy of Physician Assistants,

d. American Osteopathic Association,

e. Accreditation Council for Continuing Medical Education,

f. Accreditation Review Commission on Education for Physician Assistants, or

g. Commission on the Accreditation of Allied Health Education Programs.

4. "Controlled Substance" means the same as in A.R.S. § 32-1901.

5. "Dispense" means the same as in A.R.S. § 32-1901.

6. "Drug" means the same as in A.R.S. § 32-1901.

7. "Health care institution" means the same as in A.R.S. § 36-401.

8. "Health professional" means the same as in A.R.S. § 32-3201 or its equivalent in another state.

9. "Health profession regulatory authority" means a state or federal entity that issues and regulates health professional licenses.

10. "NCCPA" means the National Commission on the Certification of Physician Assistants.

11. "PANCE" means the Physician Assistant National Certifying Examination.

12. "PANRE" means the Physicians Assistants National Recertification Examination.

13. "Prescribe" means to issue:

a. A signed, written order to a pharmacist for drugs or medical devices; or

b. An order transmitted to a pharmacist by word of mouth, telephone, or other means of communication.

14. "Privileges" means the authority granted by a health care institution to a physician or physician assistant to practice medicine at the health care institution.

15. "Service" means personal delivery or mailing by certified mail to a physician assistant, supervising physician, or applicant affected by a decision of the Board at the physician assistant's, supervising physician's, or applicant's last known residence or place of business.

16. "State fiscal year" means from July 1 of one calendar year to June 30 of the next calendar year.

17. "Substance use disorder" means the maladaptive pattern of the use of a drug, alcohol, or chemical leading to effects that are detrimental to an individual's physical or mental health.

History

• Adopted effective July 8, 1986 (Supp. 86-4). Amended effective April 22, 1998 (Supp. 98-2). Amended by final rulemaking at 18 A.A.R. 2123, effective October 7, 2012 (Supp. 12-3).

Ariz. Admin. Code § R4-17-102 Time-frames for Licenses and Approvals

A. The overall time-frame described in A.R.S. § 41-1072(2) for a regular license or renewal license is set forth in Table 1.

B. The administrative completeness review time-frame described in A.R.S. § 41-1072(1) for a regular license or renewal license is set forth in Table 1 and begins on the date the Board receives an application.

1. If the application is not administratively complete, the Board shall send a deficiency notice to the applicant.

a. The deficiency notice shall state each deficiency and the information needed to complete the application.

b. Within the time provided in Table 1 for response to the deficiency notice, the applicant shall submit to the Board the missing information specified in the deficiency notice. The time-frame for the Board to finish the administrative completeness review is suspended from the date the Board mails the deficiency notice to the applicant until the date the Board receives the missing information.

c. If the applicant does not submit the missing information within the time to respond to the deficiency notice set forth in Table 1, the Board shall send a written notice to the applicant informing the applicant that the application is deemed withdrawn.

2. If the application is administratively complete, the Board shall send a written notice of administrative completeness to the applicant.

C. The substantive review time-frame described in A.R.S. § 41-1072(3) for a regular license or renewal license is set forth in Table 1 and begins on the date the Board sends written notice of administrative completeness to the applicant.

1. During the substantive review time-frame, the Board may make one comprehensive written request for additional information. The applicant shall submit the additional information within the time provided in Table 1 for response to a comprehensive written request for additional information. The time-frame for the Board to finish the substantive review is suspended from the date the Board mails the request until the Board receives the information.

2. The Board shall issue a written notice informing the applicant that the application is deemed withdrawn if the applicant does not submit the requested additional information within the time-frame in Table 1.

3. The Board shall issue a written notice of denial of a license or license renewal if the Board determines that the applicant does not meet all of the substantive criteria required by statute or this Chapter for licensure or license renewal.

4. If the applicant meets all of the substantive criteria required by statute and this Chapter for a license or license renewal, the Board shall issue the license or license renewal to the applicant.

D. In computing any period of time prescribed in this Section, the day of the act, event, or default shall not be included. The last day of the period shall be included unless it is Saturday, Sunday, or a state holiday, in which event the period runs until the end of the next day that is not a Saturday, Sunday, or state holiday. The computation shall include intermediate Saturdays, Sundays, and holidays. The time period for an applicant to respond to a deficiency notice or request for additional information shall commence on the date of personal service or the date of mailing.

History

• Adopted effective April 22, 1998 (Supp. 98-2). Amended by final rulemaking at 18 A.A.R. 2123, effective October 7, 2012 (Supp. 12-3).

Article 2 PHYSICIAN ASSISTANT LICENSURE

Ariz. Admin. Code § R4-17-201 [Repealed]

History

• Adopted effective July 8, 1986 (Supp. 86-4). Section R4-17-201 renumbered to R4-17-202; new Section adopted effective April 22, 1998 (Supp. 98-2). Section repealed by final rulemaking at 18 A.A.R. 2123, effective October 7, 2012 (Supp. 12-3).

Ariz. Admin. Code § R4-17-202 Examination

A. An applicant for a regular license as a physician assistant shall pass the PANCE or PANRE and be certified by the NCCPA at the time of application for licensure.

B. An applicant for a regular license who has not passed the PANCE within six years preceding the date of the application shall submit documentation that shows the applicant passed the PANRE within six years preceding the date of the application.

History

• Adopted effective July 8, 1986 (Supp. 86-4). Section repealed; new Section R4-17-202 renumbered from R4-17-201 and amended effective April 22, 1998 (Supp. 98-2). Amended by final rulemaking at 18 A.A.R. 2123, effective October 7, 2012 (Supp. 12-3). Amended by final rulemaking at 22 A.A.R. 3700, effective 2/6/2017.

Ariz. Admin. Code § R4-17-203 Regular License Application

A. An applicant for a regular license shall submit a completed application to the Board that includes:

1. The applicant's:

a. First, last, and middle name;

b. Every other name used by the applicant;

c. Social Security number;

d. Office, mailing, e-mail, and home addresses;

e. Office, mobile, and home telephone numbers; and

f. Birth date and state or country of birth;

2. The name and address of the approved physician assistant program completed by the applicant and the date of completion;

3. The name of each state or province in which the applicant has ever been certified, registered, or licensed as a physician assistant, including the certificate, registration, or license number, and current status;

4. Whether the applicant has practiced as a physician assistant for 10 continuous years before the date the application was submitted to the Board or since graduation from a physician assistant program and if not, an explanation;

5. A questionnaire that includes answers to the following:

a. Whether the applicant has had an application for a certificate, registration, or license refused or denied by any licensing authority, and if so, an explanation;

b. Whether the applicant has had the privilege of taking an examination for a professional license refused or denied by any entity, and if so, an explanation;

c. Whether the applicant has ever resigned or been requested to resign, been suspended or expelled from, been placed on probation, or been fined while enrolled in an approved physician assistant program or a postsecondary educational program, and if so, an explanation;

d. Whether, while attending an approved physician assistant program, the applicant has ever had any action taken against the applicant by the approved program, resigned, or been asked to leave the approved program for any amount of time, and if so, an explanation;

e. Whether the applicant has ever surrendered a health professional license, and if so, an explanation;

f. Whether the applicant has ever had a health professional license suspended or revoked, or whether any other disciplinary action has ever been taken against a health professional license held by the licensee, and if so, an explanation;

g. Whether the applicant is currently under investigation by any health profession regulatory authority, health care association, licensed health care institution, or there are any pending complaints or disciplinary actions against the applicant, and if so, an explanation;

h. Whether the applicant has ever had any action taken against the applicant's privileges, including termination, resignation, or withdrawal by a health care institution or health profession regulatory authority, and if so, an explanation;

i. Whether the applicant has ever had a federal or state regulatory authority take any action against the applicant's authority to prescribe, dispense, or administer controlled substances including revocation, suspension, or denial, or whether the applicant ever surrendered the authority in lieu of any of these actions, and if so, an explanation;

j. Whether the applicant has ever been charged with, convicted of, pleaded guilty to, or entered into a plea of no contest to a felony or misdemeanor involving moral turpitude or has been pardoned or had a record expunged or vacated, and if so, an explanation;

k. Whether the applicant has ever been charged with or convicted of a violation of any federal or state drug statute, rule, or regulation, regardless of whether a sentence was or was not imposed, and if so, an explanation;

l. Whether the applicant has been named as a defendant in a malpractice matter currently pending or that resulted in a judgment or settlement entered against the applicant, and if so, an explanation;

m. Whether the applicant has ever been court-martialed or discharged other than honorably from any component of the uniformed services of the United States, and if so, an explanation;

n. Whether the applicant has ever been involuntarily terminated from a health professional position, resigned, or been asked to leave the health care position, and if so, an explanation;

o. Whether the applicant has ever been convicted of insurance fraud or received a sanction, including limitation, suspension, or removal from practice, imposed by any state or the federal government, and if so, an explanation; and

p. Whether the applicant, within the three years before the date of the application, has completed 45 hours in pharmacology or clinical management of drug therapy or is certified by a national commission on the certification of physician assistants or its successor;

6. A confidential questionnaire that includes answers to the following:

a. Whether the applicant currently has a medical condition that impairs the applicant's judgment or ability to practice medicine in a competent, ethical, and professional manner;

b. If the answer to subsection (A)(6)(a) is yes:

i. Provide an explanation of the medical condition; and

ii. If currently practicing under a monitoring agreement with a licensing board in another state, attach a copy of the monitoring agreement to the application; and

c. A copy of any public or confidential agreement or order relating to the use, disorder, or condition, issued by a licensing agency or health care institution within the last five years, if applicable;

7. Consistent with the Board's statutory authority, other information the Board may deem necessary to evaluate the applicant fully; and

8. A sworn statement that complies with A.R.S. § 32-2522(C).

B. In addition to the requirements in subsection (A), an applicant shall submit the following to the Board:

1. Documentation of citizenship or alien status that conforms to A.R.S. § 41-1080;

2. Documentation of a legal name change if the applicant's legal name is different from that shown on the document submitted in accordance with subsection (B)(1);

3. A form provided by the Board and completed by the applicant that lists all current or past employment with health professionals, health professions educational institutions, or health care institutions within five years before the date of application or since graduation from a physician assistant program, if less than five years, including each health professional's, health professions educational institution's, or health care institution's name, address, and dates of employment;

4. Verification of any medical malpractice matter currently pending or resulting in a settlement or judgment against the applicant, including a copy of the complaint and either the agreed terms of settlement or the judgment and a narrative statement specifying the nature of the occurrence resulting in the medical malpractice action. An applicant who is unable to obtain a document required under this subsection may submit a written request for a waiver of the requirement. The applicant shall include the following information in a request for waiver:

a. The document for which waiver is requested;

b. Detailed description of efforts made by the applicant to provide the required document; and

c. Reason the applicant's inability to provide the required document is due to no fault of the applicant; and

5. The fee required in R4-17-204.

C. In addition to the requirements in subsections (A) and (B), an applicant shall have the following directly submitted to the Board:

1. A copy of the applicant's certificate of successful completion of the PANCE or PANRE and the applicant's examination score provided by the NCCPA;

2. An approved program form provided by the Board, completed and signed by the director or administrator of the approved program that granted the applicant a physician assistant degree, that includes the:

a. Applicant's full name,

b. Type of degree earned by the applicant,

c. Name of the physician assistant program completed by the applicant,

d. Starting and ending dates, and

e. Date the applicant's degree was granted.

D. The Board's issuance of a regular license to an applicant certifies the applicant to issue, dispense, or administer schedule II or schedule III controlled substances, subject to the limits and requirements specified in A.R.S. § 32-2532. Additionally, beginning October 1, 2018, a physician assistant previously certified by the Board for 30-day prescription privileges for schedule II or schedule III controlled substances is certified for 90-day prescription privileges for schedule II or schedule III controlled substances that are not opioids or benzodiazepine.

History

• Adopted effective July 8, 1986 (Supp. 86-4). Section repealed; new Section adopted effective April 22, 1998 (Supp. 98-2). Amended by final rulemaking at 18 A.A.R. 2123, effective October 7, 2012 (Supp. 12-3). Amended by final rulemaking at 22 A.A.R. 3700, effective 2/6/2017. Amended by final rulemaking at 25 A.A.R. 401, effective 4/6/2019. Amended by final rulemaking at 28 A.A.R. 1757, effective 9/4/2022.

Ariz. Admin. Code § R4-17-204 Fees and Charges

A. As expressly authorized under A.R.S. § 32-2526(A) (1) through (4), the Board shall charge the following fees:

1. License application - $125.00;

2. Regular license - $370.00, prorated for each month remaining in the biennial period;

3. Regular license renewal - $370.00 if the renewal application is postmarked no later than the applicant's birthdate; and

4. Penalty for late renewal - $100.00.

B. Under the specific authority provided by A.R.S. § 36-3606(A)(3), the Board establishes and shall collect the following fee to register as an out-of-state health care provider of telehealth services: $200.

C. The fees specified in subsections (A) and (B) are nonrefundable unless A.R.S. §§ 32-2526(B) or 41-1077 applies.

B.D. As expressly authorized under A.R.S. § 32-2526(A)(5) through (9), the Board establishes the following charges for providing the services listed:

Duplicate license - $25.00;

Copies of Board documents - $1.00 for first three pages, $.25 for each additional page;

3. Medical Directory (CD-ROM) - $30.00;

Data Disk - $100.00; and

5. License verification - $10.00.

History

• Adopted effective July 8, 1986 (Supp. 86-4). Section repealed; new Section adopted effective April 22, 1998 (Supp. 98-2). Section repealed; new Section adopted by final rulemaking at 18 A.A.R. 2123, effective October 7, 2012 (Supp. 12-3). Amended by final rulemaking at 22 A.A.R. 3700, effective 2/6/2017. Amended by final exempt rulemaking at 27 A.A.R. 1647, effective 9/22/2021.

Ariz. Admin. Code § R4-17-205 Continuing Medical Education; Request for Extension of Time

A. Under A.R.S. § 32-2523(A), renewal of a license is conditioned on the licensee completing 40 hours of category I continuing medical education during each biennial license period.

B. During a licensee's first biennial license period, the licensee may complete a pro-rated number of continuing medical education hours established by the Board.

A. C. A licensee who is unable to complete the required hours of continuing medical education for any of the reasons in A.R.S. § 32-2523(E) may submit a written request to the Board for an extension no later than 30 days before expiration of the license that contains:

1. The name, address, and telephone number of the licensee;

2. The reason for the request;

3. The number of continuing medical education hours completed during the biennial license period;

3. 4. The dates on which the remaining hours of continuing medical education are scheduled to be completed; and

4. 5. The signature of the licensee.

B. D. The Board shall send a written notice of approval of the extension within seven days from the date of receipt of the request if the Board determines:

1. The extension is needed for a reason specified in A.R.S. § 32-2523(E),

2. The remaining hours of continuing medical education are scheduled to be completed within 30 days, and

3. The extension is in the best interest of the state.

History

• Adopted effective April 22, 1998 (Supp. 98-2). Amended by final rulemaking at 18 A.A.R. 2123, effective October 7, 2012 (Supp. 12-3). Amended by final rulemaking at 22 A.A.R. 3700, effective 2/6/2017.

Ariz. Admin. Code § R4-17-206 License Renewal

A. To renew a license, a licensee shall submit a completed application to the Board that includes:

1. An application form that contains the licensee's:

a. First, last, and middle names;

b. Arizona license number;

c. Office, mailing, e-mail, and home addresses;

d. Office, mobile, and home telephone numbers;

2. A questionnaire that includes answers to the following since the last renewal date:

a. Whether the licensee has had an application for a certificate, registration, or license refused or denied by any licensing authority, and if so, an explanation;

b. Whether the licensee has had the privilege of taking an examination for a professional license refused or denied by any entity, and if so, an explanation;

c. Whether the licensee has voluntarily surrendered a health care professional license, and if so, an explanation;

d. Whether the licensee has had a health professional license suspended or revoked, or whether any other disciplinary action has been taken against a health professional license held by the licensee, and if so, an explanation;

e. Whether the licensee has had any action taken against the applicant's privileges, including termination, resignation, or withdrawal by a health care institution or health profession regulatory authority, and if so, an explanation;

f. Whether the licensee has had a federal or state regulatory authority take any action against the license's authority to prescribe, dispense, or administer controlled substances including revocation, suspension, or denial, or whether the applicant surrendered the authority in lieu of any of these actions, and if so, an explanation;

g. Whether the licensee has been charged with, convicted of, pleaded guilty to, or entered into a plea of no contest to a felony or misdemeanor involving moral turpitude or an alcohol- or drug-related offense in any state, or has been pardoned or had a record expunged or vacated, and if so, an explanation;

h. Whether the licensee has been court-martialed or discharged other than honorably from any component of the uniformed services of the United States, and if so, an explanation;

i. Whether the licensee has been involuntarily terminated from a health professional position with any city, county, state, or federal government, and if so, an explanation;

j. Whether the licensee has been convicted of insurance fraud or a state or the federal government has sanctioned or taken any action against the licensee, such as suspension or removal from practice, and if so, an explanation;

3. Consistent with the Board's statutory authority, other information the Board may deem necessary to evaluate the licensee fully;

4. A dated and sworn statement by the licensee verifying that during the past biennial license period, the licensee completed at least 40 hours of Category I continuing medical education as required by A.R.S. § 32-2523;

5. The fee required in R4-17-204;

6. A confidential questionnaire that includes answers to the following:

a. Whether the licensee currently has a medical condition that impairs the licensee's judgment or ability to practice medicine in a competent, ethical, and professional manner;

b. If the answer to subsection (A)(6)(a) is yes:

i. Provide an explanation of the medical condition; and

ii. If currently practicing under a monitoring agreement with a licensing board in another state, attach a copy of the monitoring agreement to the application; and

c. A copy of any public or confidential agreement or order relating to the use, disorder, or condition, issued by a licensing agency or health care institution since the last renewal, if applicable; and

7. If the document submitted under R4-17-203(B)(1) was a limited form of work authorization issued by the federal government, evidence that the licensee's presence in the U.S. continues to be authorized under federal law.

B. Under A.R.S. § 32-2523(A), the Board shall randomly select at least 10 percent of renewal applications submitted by licensees who are not currently certified by a national certification organization to verify compliance with the continuing medical education requirement specified in R4-17-205(A). If selected, a licensee shall submit to the Board documents that verify compliance with the continuing medical education requirement.

History

• Adopted effective April 22, 1998 (Supp. 98-2). Amended by final rulemaking at 18 A.A.R. 2123, effective October 7, 2012 (Supp. 12-3). Amended by final rulemaking at 22 A.A.R. 3700, effective 2/6/2017. Amended by final rulemaking at 28 A.A.R. 1757, effective 9/4/2022.

Ariz. Admin. Code § R4-17-207 Denial of License or Extension to Complete Continuing Education

An applicant for a license who is denied the license or a physician assistant who is denied an extension to complete continuing medical education may request a hearing to contest the matter by filing a written notice with the Board within 30 days of receipt of notice of the Board's action. A hearing shall be conducted in accordance with A.R.S. Title 41, Chapter 6, Article 6 and Article 10.

History

• Adopted effective April 22, 1998 (Supp. 98-2). Amended by final rulemaking at 18 A.A.R. 2123, effective October 7, 2012 (Supp. 12-3).

Ariz. Admin. Code § R4-17-208 Expired

History

• Adopted effective April 22, 1998 (Supp. 98-2). Section expired under A.R.S. § 41-1056(E) at 11 A.A.R. 1569, effective March 31, 2005 (Supp. 05-2).

Article 3 DUTIES OF THE EXECUTIVE DIRECTOR

Ariz. Admin. Code § R4-17-301 Dismissal of Complaint

A. The executive director, with concurrence of the investigative staff, shall dismiss a complaint if review shows the complaint is without merit and dismissal is appropriate.

B. The executive director shall provide to the Board, at each regularly scheduled Board meeting, a list of physician assistants about whom complaints were dismissed since the preceding Board meeting.

History

• Adopted effective July 8, 1986 (Supp. 86-4). Section R4-17-301 renumbered to R4-17-302; new Section R4-17-301 adopted effective April 22, 1998 (Supp. 98-2). Section repealed by final rulemaking at 18 A.A.R. 2123, effective October 7, 2012 (Supp. 12-3). Adopted by final rulemaking at 22 A.A.R. 3701, effective 2/6/2017.

Ariz. Admin. Code § R4-17-302 Referral to Formal Hearing

A. The executive director may refer a case directly to a formal hearing if the investigative staff, medical consultant, and lead Board member concur after review of the case that a formal hearing is appropriate.

B. The executive director shall provide to the Board, at each regularly scheduled Board meeting, a list of the physician assistants whose cases were referred to formal hearing since the preceding Board meeting and indicate whether each case was referred because it involves revocation, suspension, out- of-state disciplinary action, or complexity.

History

• Adopted effective July 8, 1986 (Supp. 86-4). Section repealed; new Section renumbered from R4-17-301 and amended effective April 22, 1998 (Supp. 98-2). Section repealed by final rulemaking at 18 A.A.R. 2123, effective October 7, 2012 (Supp. 12-3). Adopted by final rulemaking at 22 A.A.R. 3701, effective 2/6/2017.

Ariz. Admin. Code § R4-17-303 Non-disciplinary Consent Agreement

The executive director may enter into a consent agreement under A.R.S. § 32-2505(C)(23) with a physician assistant to limit the physician assistant's practice or rehabilitate the physician assistant if there is evidence the physician assistant is mentally or physically unable to engage in the practice of medicine safely and the investigative staff, medical consultant, and lead Board member concur after review of the case that a consent agreement is appropriate.

History

• Adopted effective July 8, 1986 (Supp. 86-4). Section renumbered to R4-17-304; new Section R4-17-303 adopted effective April 22, 1998 (Supp. 98-2). Section repealed by final rulemaking at 18 A.A.R. 2123, effective October 7, 2012 (Supp. 12-3). Adopted by final rulemaking at 22 A.A.R. 3701, effective 2/6/2017.

Ariz. Admin. Code § R4-17-304 Request for Inactive Status and License Cancellation

A. If a physician assistant requests inactive status or license cancellation, meets the requirements of A.R.S. §§ 32-2525 or 32-2528, and is not participating in the program defined under A.R.S. § 32-2552(E), the executive director shall grant the request.

B. The executive director shall provide to the Board, at each regularly scheduled Board meeting, a list of the individuals granted inactive or cancelled license status since the preceding Board meeting.

History

• Adopted effective July 8, 1986 (Supp. 86-4). Section R4-17-304 renumbered to R4-17-305; new Section R4-17-304 renumbered from R4-17-303 and amended effective April 22, 1998 (Supp. 98-2). Section repealed by final rulemaking at 18 A.A.R. 2123, effective October 7, 2012 (Supp. 12-3). Adopted by final rulemaking at 22 A.A.R. 3701, effective 2/6/2017.

Ariz. Admin. Code § R4-17-305 Referral to Formal Interview

The executive director shall refer a case to a formal interview on a future Board meeting agenda if the investigative staff, lead Board member, and in cases involving quality of care, the medical consultant, concur after review of the case that a formal interview is appropriate.

History

• New Section R4-17-305 renumbered from R4-17-304 and amended effective April 22, 1998 (Supp. 98-2). Section repealed by final rulemaking at 18 A.A.R. 2123, effective October 7, 2012 (Supp. 12-3). Adopted by final rulemaking at 22 A.A.R. 3701, effective 2/6/2017.

Ariz. Admin. Code § R4-17-306 Denial of License

A. The executive director shall deny a license to an applicant if the executive director, in consultation with the investigative staff and medical consultant concur after review of the application, that the applicant does not meet the statutory requirements for licensure.

B. The executive director shall provide to the Board, at each regularly scheduled Board meeting, a list of the physician assistants whose applications were denied since the preceding Board meeting.

History

• Adopted by final rulemaking at 22 A.A.R. 3701, effective 2/6/2017.

Ariz. Admin. Code § R4-17-307 Appealing Executive Director Actions

A. Any person aggrieved by an action taken by the executive director under the authority delegated in this Article may appeal that action to the Board. The aggrieved person shall file a written request with the Board no later than:

1. Thirty days after notification of the action, if personally served; or

Thirty-five days after the date on the notification, if mailed.

B. The aggrieved person shall provide, in the written request, evidence showing:

1. An irregularity in the investigative process or the executive director's review deprived the party of a fair decision;

2. Misconduct by Board staff, a Board consultant, or the executive director that deprived the party of a fair decision; or

3. Material evidence newly discovered that could have a bearing on the decision and that, with reasonable diligence, could not have been discovered and produced earlier.

C. The fact that the aggrieved party does not agree with the executive director's action is not grounds for a review by the Board.

D. If an aggrieved person fails to submit a written request within the time specified in subsection (A), the Board is relieved of the requirement to review actions taken by the executive director. The executive director may, however, evaluate newly provided information that is material or substantial in content to determine whether the Board should review the case.

E. If a written request is submitted that meets the requirements of subsection (B):

1. The Board shall consider the written request at its next regularly scheduled meeting.

2. If the written request provides new material or substantial evidence that requires additional investigation, the investigation shall be conducted as expeditiously as possible and the case shall be forwarded to the Board at the first possible regularly scheduled meeting.

History

• New section made by final rulemaking at 28 A.A.R. 1757, effective 9/4/2022.

Article 4 COLLABORATIVE PRACTICE; REGULATION

Ariz. Admin. Code § R4-17-401 Application for Certification of Clinical Practice Hours; Waiver of Documentation

A. As required under A.R.S. § 32-2536(A), a physician assistant who is licensed by the Board and in good standing may apply to the Board for certification of the clinical practice hours required to practice collaboratively with a physician or entity. A physician assistant is in good standing if the physician assistant is not:

1. Under investigation by a regulatory authority, or

2. Subject to a public or confidential probation order.

B. To be eligible to practice collaboratively with a physician or entity, a physician assistant shall have at least 8,000 hours of clinical practice, as described in subsection (E), obtained:

1. In the five years before the date of the application submitted under subsection (C), or

2. In the 10 years before the date of the application submitted under subsection (C) if:

a. At least 2,000 hours of clinical practice were obtained in the three years before the date of application submitted under subsection (C); and

b. The physician assistant is currently certified by the National Commission on Certification of Physician Assistants.

C. To apply for certification of clinical practice hours, a physician assistant shall submit to the Board an application form, which is available on the Board's website.

D. In addition to complying with subsection (C), a physician assistant applying for certification of clinical practice hours shall have submitted directly to the Board by the document custodian or an individual with direct knowledge, documentation of hours of clinical practice performed by the physician assistant. Documentation may be submitted by multiple persons.

E. Clinical practice includes:

1. Performing medical services related directly to patient care;

2. Providing instruction to physician assistants at an institution accredited by the Accreditation Review Commission on Education for the Physician Assistant. Time spent preparing to provide instruction or preforming administrative tasks related to providing instruction is not clinical practice.

F. The Board may waive the documentation requirement specified under subsection (D). To obtain a waiver of the documentation requirement, the physician assistant shall submit to the Board a written request that includes the following information:

1. The physician assistant's name and license number;

2. Date on the request for waiver;

3. Identification and an estimate of the number of clinical hours for which documentation has not been submitted under subsection (D);

Description of the physician assistant's efforts to have the documentation submitted as required under subsection (D);

5. Explanation of why the documentation cannot be submitted;

6. If applicable, evidence that supports the request for waiver; and

7. The physician assistant's affirmation that the physician assistant has performed the required hours of clinical practice even though documentation has not been submitted.

G. The Board shall waive the documentation requirement if the Board determines the documentation is unavailable for a reason beyond the control of the physician assistant requesting the waiver. In making this determination, the Board shall consider:

1. The sufficiency of the physician assistant's effort to have the documentation submitted;

2. Evidence it is not possible to have the documentation submitted because:

a. The required document does not exist;

b. The individual or entity responsible for maintaining and submitting the documentation is unable to do so; or

c. Another reason beyond the control of the physician assistant; and

3. Whether the Board is able to obtain the required documentation from another source.

H. The Board shall document the Board's decision regarding a request for waiver submitted under subsection (F) in the official record regarding the application submitted under subsection (C). The Board's decision regarding a request for waiver is not subject to review or appeal.

I. The Board shall maintain on the Board's website a list of physician assistants who have at least 8,000 hours of clinical practice certified by the Board and are eligible to practice in collaboration with a physician, physician group practice, or health care institution.

History

• Adopted effective July 8, 1986 (Supp. 86-4). Section R4-17-401 renumbered to R4-17-402; new Section R4-17-401 adopted effective April 22, 1998 (Supp. 98-2). Section expired under A.R.S. § 41-1056(E) at 11 A.A.R. 1569, effective March 31, 2005 (Supp. 05-2). New Section made by final exempt rulemaking at 30 A.A.R. 63, effective 12/31/2023.

Ariz. Admin. Code § R4-17-402 Practicing Collaboratively with a Physician Assistant

A. Before practicing collaboratively with a physician assistant, the collaborating physician or entity shall verify that the physician assistant is qualified under A.R.S. § 32-2536 and R4-17-401 to practice collaboratively. The collaborating physician or entity shall maintain evidence of the verification as long as the physician assistant is employed by the collaborating physician or entity.

B. A collaborating physician or entity shall designate one or more physicians by name or position as responsible for the oversight of the physician assistant. When requested by the Board, the collaborating physician or entity shall notify the Board of the identity of the physician designated as responsible for oversight of the physician assistant.

1. The physician assistant's name, license number, and contact information;

2. The name or position of the physician responsible for providing oversight of the physician assistant;

3. Description of the level of collaboration required between the physician assistant and the physician providing oversight including specific information to enable the physician assistant to contact the physician providing oversight;

4. Description of the practice setting in which the physician assistant will work;

5. Description of the practice specialty in which the physician assistant will work; and

6. Description of practice limitations, if any, applicable to the physician assistant.

C. The collaborating physician or entity shall ensure the physician assistant is competent to practice in any new area that is not substantially similar to the practice area in which the physician assistant previously practiced collaboratively, If the collaborating physician or entity determines the physician assistant needs additional education, training, and oversight, the collaborating physician or entity shall ensure additional education, training, and oversight is provided until the physician assistant acquires the necessary competence.

1. If the collaborating physician or entity determines a supervision agreement is warranted, the collaborating physician or entity shall require the physician assistant to enter a supervision agreement, as defined at A.R.S. § 32-2501, until the physician assistant acquires the education, experience, and competence necessary to practice in the practice setting or specialty in which the physician assistant has not previously practiced.

2. The collaborating physician or entity shall document all actions taken under this subsection, including any additional education, training, and oversight or the initiation or termination of a supervision agreement, to ensure the actions are recorded in the employment file of the physician assistant. When requested by the Board, the collaborating physician or entity shall provide a copy of the information required under this subsection to the Board.

D. The collaborating physician or entity shall make a determination required under subsection (C) in collaboration with the physician assistant.

E. When certified under A.R.S. § 32-2536 to practice collaboratively, a physician assistant shall continue to collaborate or consult with or refer to the appropriate health care professional according to the policies of the practice setting at which the physician assistant is employed.

1. If the collaborating physician or entity determines it is in the best interest of public health and safety, the collaborating physician or entity shall require the physician assistant to enter a supervision agreement, as defined at A.R.S. § 32-2501, until the physician assistant acquires the education, experience, and competence necessary to practice in the practice setting or specialty in which the physician assistant had not previously practiced collaboratively.

2. The collaborating physician or entity shall ensure that all actions taken under this subsection, including additional training and oversight, entering a supervision agreement, and terminating a supervision agreement, are noted in the employment file of the physician assistant.

F. A physician assistant may be employed by and practice collaboratively with multiple collaborating physicians or entities. Each collaborating physician or entity shall comply with this Section.

G. When requested by the Board, a collaborating physician or entity shall provide a copy of the policies required under this Section to the Board.

History

• Adopted effective July 8, 1986 (Supp. 86-4). Section R4-17-402 renumbered to R4-17-403; new Section R4-17-402 renumbered from R4-17-401 and amended effective April 22, 1998 (Supp. 98-2). Section repealed by final rulemaking at 18 A.A.R. 2123, effective October 7, 2012 (Supp. 12-3). New Section made by final exempt rulemaking at 30 A.A.R. 63, effective 12/31/2023. Amended by final exempt rulemaking at 31 A.A.R. 129, effective 12/17/2024.

Ariz. Admin. Code § R4-17-403 Rehearing or Review

A. Except as provided in subsection (B), a party who is aggrieved by a decision issued by the Board may file with the Board, no later than 30 days after service of the decision, a written request for rehearing or review of the decision, specifying the grounds for rehearing or review. For purposes of this Section, a decision is considered to have been served when personally delivered to the party's last known home or business address or five days after the decision is mailed by certified mail to the party or the party's attorney.

B. If the Board makes specific findings that the immediate effectiveness of the decision is necessary for the preservation of the public health and safety and determines that a rehearing or review of the decision is impracticable, unnecessary, or contrary to the public interest, the Board may issue the decision as a final decision without an opportunity for rehearing or review. If the Board issues the decision as a final decision, without an opportunity for a rehearing or review, the aggrieved party may make an application for judicial review within the time limits permitted for an application for judicial review of the Board's final decision under A.R.S. § 12-904.

C. A party filing a request for rehearing or review may amend the request at any time before it is ruled upon by the Board. Another party may file a response within 15 days after the date the request or amended request for rehearing is filed. The Board may require a party to file supplemental memoranda explaining the issues raised in the request or response and may permit oral argument.

D. The Board may grant a rehearing or review of a decision for any of the following causes materially affecting the requesting party's rights:

1. Irregularity in the Board's or administrative law judge's administrative proceedings or any order or abuse of discretion that deprived the party of a fair hearing;

2. Misconduct of the Board, administrative law judge, or the prevailing party;

3. Accident or surprise that could not have been prevented by ordinary prudence;

4. Newly discovered material evidence that could not, with reasonable diligence, have been discovered and produced at the original hearing;

5. Excessive or insufficient penalties;

6. Error in the admission or rejection of evidence, or other errors of law that occurred at the hearing;

7. The decision is the result of passion or prejudice; or

8. The decision or findings of fact are not justified by the evidence or are contrary to law.

E. The Board may affirm or modify a decision or grant rehearing or review on all or part of the issues for any of the reasons set forth in subsection (D). An order granting a rehearing or review shall specify each ground for the rehearing or review.

F. No later than 30 days after a decision is issued by the Board, the Board on its own initiative may order a rehearing or review for any reason in subsection (D).

G. When a request for rehearing or review is based on affidavits, a party shall serve the affidavits with the request. The opposing party may, within 10 days after service, serve opposing affidavits. The Board may extend the time for serving opposing affidavits for no more than 20 days for good cause shown or by written stipulation by the parties. The Board may permit reply affidavits.

History

• New Section R4-17-403 renumbered from R4-17-402 and amended effective April 22, 1998 (Supp. 98-2). Amended by final rulemaking at 18 A.A.R. 2123, effective October 7, 2012 (Supp. 12-3).

Chapter 18 NATUROPATHIC PHYSICIANS MEDICAL BOARD

Article 1 GENERAL PROVISIONS

Ariz. Admin. Code § R4-18-101 Definitions

In addition to the definitions in A.R.S. §§ 32-1501 through 32-1581, the following definitions apply to this Chapter unless otherwise specified:

1. "Administrative completeness review" means the Board's process for determining that an applicant has provided, or caused to be provided, all of the application packet information and documentation required by statute or rule for an application for a license or a certificate.

2. "Applicant" means a person requesting from the Board an initial, temporary, or renewal license or certificate.

3. "Approved Specialty College or Program" means a post- doctoral training program that awards a medical specialist certificate, and is certified by a Specialty Board of Examiners, The American Association of Naturopathic Physicians ("AANP") or another professional association or, another state's licensing agency, and which is recognized by the Board.

4. "Chief medical officer" means a physician who is responsible for a clinical, preceptorship, internship, or postdoctoral training program's compliance with state and federal laws, rules, and regulations.

5. "Continuing medical education" or "CME" means courses, seminars, lectures, programs, conferences, and workshops related to subjects listed in A.R.S. § 32- 1525(B), that are offered or sanctioned by one of the organizations referenced in R4-18-205(B).

6. "Device" means the same as in A.R.S. § 32-1581(H)(1) .

7.6. "Endorsement" means the procedure for granting a license in this state to an applicant who is currently licensed to practice naturopathic medicine by another state, district, or territory of the United States or by a foreign country that requires a written examination substantially equivalent to the written examination provided for in A.R.S. § 32-1525.

8.7. "Facility" means a health care institution as defined in A.R.S. § 36-401, office or clinic maintained by a health care institution or by an individual licensed under A.R.S. Title 32, Chapter 13, 14, 17, or 29, office or public health clinic maintained by a state or county, office or clinic operated by a qualifying community health center under A.R.S. § 36-2907.06, or an office or clinic operated by a corporation, association, partnership, or company authorized to do business in Arizona under A.R.S. Title 10.

9.8. "Informed consent" means a document, signed by a patient or the patient's legal guardian, which contains the information in R4-18-802(A)(1), (A)(2), and (A)(3).

10.9. "Institutional review board" means a group of persons that is approved according to guidelines of the United States Department of Health and Human Services, Office for Human Research Protection, which reviews investigational or experimental protocols and approves their use on animals or humans for the purposes of protecting the subjects of the investigational or experimental protocol from undue harm and assures that the research and its review is carried out according to guidelines of the United States Department of Health and Human Services, Office for Human Research Protection.

11.10. "Internship" means clinical and didactic training by a doctor of naturopathic medicine certified by the Board according to A.R.S. § 32-1561.

12.11. "License" means a document issued by the Board that authorizes the individual to whom it is issued to practice naturopathic medicine.

13. "Medical student" means naturopathic medical student defined in A.R.S. § 32-1501(24) .

14.12. "Medication" means the same as drug defined in A.R.S. § 32-1501(15) or natural substance defined in A.R.S. § 32- 1501(23).

15.13. "National board" means any of the following:

a. The Federation of State Medical Licensing Boards,

b. The National Board of Chiropractic Examiners,

c. The National Board of Medical Examiners,

d. The National Board of Osteopathic Examiners, or

e. The North American Board of Naturopathic Examiners.

16.14. "Procedure" means an activity directed at or performed on an individual for improving health, treating disease or injury, or making a diagnosis.

17.15. "Protocol" means an explicit detailed plan of an experimental medical procedure or test that is approved by an institutional review board.

18.16. "Resident physician in training" means a person who holds a degree of doctor of naturopathic medicine and is certified by the Board to diagnose and treat patients under supervision in an internship, preceptorship, or a post doctoral training program.

19.17. "Substantive review" means the Board's process for determining whether an applicant for licensure, certification, or approval meets the requirements of A.R.S. Title 32, Chapter 14 and this Chapter.

20.18. "Verified" means a notarized form dated, and signed by the applicant, affirming the information provided in the application, including any accompanying documents submitted by or on behalf of the applicant, is true and complete.

History

• Adopted effective December 31, 1984 (Supp. 84-6). Amended effective December 29, 1995 (Supp. 95-4). Amended Section corrected Supp. 96-4 to reflect adopted Section on file with the Office of the Secretary of State effective December 31, 1984 (Supp. 84-6). Amended by final rulemaking at 8 A.A.R. 3702, effective August 9, 2002 (Supp. 02-3). Amended by final rulemaking at 19 A.A.R. 1302, effective July 6, 2013 (Supp. 13-2). Amended by Final rulemaking at 21 A.A.R. 2009, effective 9/1/2015. Amended by final rulemaking at 30 A.A.R. 3091, effective 12/1/2024.

Ariz. Admin. Code § R4-18-102 Board Meetings; Elections; Officers

A. The Board shall hold a regular meeting in January and July of each year. The officers shall be elected at the January meeting of the Board by majority vote of the Board members present at that meeting. The Board chairman shall preside at all Board meetings. If the chairman is disqualified or unable to attend, the Board vice-chairman shall preside at the meeting. If the Board vice-chairman is disqualified or unable to attend, the Board secretary-treasurer shall preside at the meeting.

B. If an officer's position becomes vacant, the Board shall elect a member of the Board to complete the term of office that is vacant.

C. A Board member shall attend meetings scheduled by the Board. The Board may recommend to the Governor that a Board member who fails to attend three consecutive Board meetings be removed from the Board.

History

• Adopted effective December 31, 1984 (Supp. 84-6). Amended by final rulemaking at 8 A.A.R. 3702, effective August 9, 2002 (Supp. 02-3).

Ariz. Admin. Code § R4-18-103 Duties of Board Committees

A committee appointed by the Board chairman shall make a report to the Board based on the findings or investigations of the committee and may make recommendations for further action by the Board.

History

• New Section made by final rulemaking at 8 A.A.R. 3702, effective August 9, 2002 (Supp. 02-3).

Ariz. Admin. Code § R4-18-104 Repealed

History

• Adopted effective December 31, 1984 (Supp. 84-6). Amended by adding a new subsection (H) effective June 18, 1987 (Supp. 87-2). Section repealed by final rulemaking at 8 A.A.R. 3702, effective August 9, 2002 (Supp. 02-3).

Ariz. Admin. Code § R4-18-106 Rehearing or Review of Decision

A. Except as provided in subsection (G), any party under the jurisdiction of the Board who is aggrieved by a decision issued by the Board regarding an appealable agency action, may file with the Board not later than 30 days after service of the decision, a written motion for rehearing or review of the decision specifying the particular grounds for the rehearing or review. For purposes of this Section, a decision is considered served when personally delivered or five days after mailing by certified mail to the party at the party's last known residence or place of business.

B. A motion for rehearing or review under this Section may be amended at any time before it is ruled upon by the Board. A response may be filed within 15 days after service of the motion or amended motion by any other party. The Board may require the filing of written briefs upon the issue raised in the motion and may provide for oral argument.

C. A rehearing or review of a decision may be granted by the Board for any of the following reasons materially affecting the party's rights:

1. Irregularity in the proceedings of the Board, administrative law judge, or any abuse of discretion that deprives the moving party of a fair hearing;

Misconduct of the Board or an administrative law judge;

3. Accident or surprise that could not have been prevented by ordinary prudence;

4. Newly discovered material evidence that could not, with reasonable diligence, have been discovered and produced at the hearing;

5. Excessive or insufficient penalties;

6. Error in the admission or rejection of evidence or other errors of law occurring at the hearing; or

7. That the findings of fact or decision is not justified by the evidence, or is contrary to law.

D. The Board may affirm or modify its decision or grant a rehearing or review, to all or any of the parties on all or part of the issues for the reasons specified in subsection (C). An order modifying a decision or granting a rehearing or review shall specify with particularity the grounds on which the rehearing or review is granted, and the rehearing or review shall cover only those matters specified.

E. Not later than 35 days after the date a decision is rendered, the Board may, on its own initiative order a rehearing or review of its decision for any reason for which it might have granted a rehearing or review on motion of a party. After giving the par- ties or their counsel notice and an opportunity to be heard on the matter, the Board may grant a motion for rehearing or review, timely served, for a reason not stated in the motion. In either case, the order shall specify the grounds for rehearing and review.

F. When a motion for rehearing is based upon affidavits, they shall be served with the motion. An opposing party may, within 15 days after service, serve opposing affidavits. The Board may extend this period for good cause.

G. If the Board makes specific findings that the immediate effectiveness of the decision is necessary for the preservation of the public health and safety and determines that a rehearing or review of the decision is impracticable, unnecessary, or contrary to the public interest, the decision may be issued as a final decision without an opportunity for a rehearing or review. If a decision is issued as a final decision without an opportunity for rehearing or review, any application for judicial review of the decision shall be made within the time limits permitted for applications for judicial review of the Board's final decisions under A.R.S. Title 12, Chapter 7, Article 6.

History

• Adopted effective December 31, 1984 (Supp. 84-6). Section repealed; new Section made by final rulemaking at 8 A.A.R. 3702, effective August 9, 2002 (Supp. 02-3). Amended by final rulemaking at 30 A.A.R. 3091, effective 12/1/2024.
• Editor's Note: The following Section was adopted under an exemption from the provisions of A.R.S. Title 41, Chapter 6, pursuant to A.R.S. § 41-1005(25). Exemption from A.R.S. Title 41, Chapter 6 means the Board did not submit notice of proposed rulemaking to the Secretary of State for publication in the Arizona Administrative Register; the Board did not submit the rules to the Governor's Regulatory Review Council for review; and the Board was not required to hold public hearings on this Section (Supp. 99-3).

Ariz. Admin. Code § R4-18-107 Fees

A. Application fees are as follows:

1. Medical license, $225

2. Certificate to dispense, $225

3. Medical assistant certificate, $100

4. Clinical training certificate, $0.00

Preceptorship certificate, $100

Specialty certificate, $225

B. Arizona naturopathic jurisprudence examination, $30.00

C. Annual renewal fees are as follows:

1. Medical license, $165

2. Certificate to Dispense, $225

3. Medical assistant certificate, $150

4. Clinical training certificate, $0.00

Preceptorship certificate, $225

Renewal of Specialty certificate, $225.

D. Late renewal fees are as follows:

1. Medical license $83.00

2. Certificate to dispense, $113.00

3. Medical assistant certificate, $75

4. Clinical training certificate, $0.00

5. Preceptorship certificate, $113.00

6. Specialty certificate, $113.00

E. Other fees are as follows:

1. For a duplicate license or certificate, $20

2. For photocopying Board records, documents, letters, applications, or files, $5 or $0.25 per page, whichever is greater

3. For each audio tape or computer disk containing information requested, $25

4. For written verification of a license or certificate, $5

5. For the costs in locating a person who is licensed or certified, Actual cost incurred by the Board

6. For each insufficient fund check, $25

History

• Adopted effective December 31, 1984 (Supp. 84-6). Amended as an emergency effective December 31, 1986, pursuant to A.R.S. § 41-1003, valid for only 90 days (Supp. 86-6). Emergency expired. Amended and adopted as a permanent rule effective June 18, 1987 (Supp. 87-2). Amended paragraph (3) effective November 10, 1988 (Supp. 88-4). Section repealed; new Section adopted by exempt rulemaking at 5 A.A.R. 2874, effective July 28, 1999 (Supp. 99-3). Amended by final rulemaking at 8 A.A.R. 3702, effective August 9, 2002 (Supp. 02-3). Amended by exempt rulemaking at 18 A.A.R. 1499, effective June 6, 2012 (Supp. 12-2). Amended by exempt rulemaking at 19 A.A.R. 1986, effective September 16, 2013. Amended by Final rulemaking at 21 A.A.R. 2009, effective 9/1/2015. Amended by exempt Rulemaking at 28 A.A.R. 1481, effective 11/13/2022.

Ariz. Admin. Code § R4-18-108 Titles, Use of Abbreviations

A. A physician issued a license by the Board may use any of the following titles or abbreviations:

1. Doctor of Naturopathic Medicine,

2. N.M.D.,

3. Doctor of Naturopathy,

4. N.D.,

5. Naturopath,

6. Naturopathic Physician, or

7. Naturopathic Medical Doctor.

B. A physician issued a license, or a graduate of a school approved by the Board, shall not use any of the following titles or abbreviations:

1. Doctor of medicine (naturopathic),

M.D.(N.), or

3. M.D. (naturopathic).

C. An unlicensed graduate of an approved school of naturopathic medicine as defined in A.R.S. § 32-1501(8)(a) and (b), who is certified by the Board to engage in preceptorship training shall use the designation "(Preceptee)" after any of the designations in subsection (A). The preceptee shall also ensure that any patient treated by the preceptee signs an informed consent treatment form stating clearly that the preceptee is undergoing training, is not licensed, and identifying the name of the supervising physician.

D. An unlicensed graduate of an approved school of naturopathic medicine as defined in A.R.S. § 32-1501(8)(a) and (b), who is certified by the Board to engage in internship training shall use the designation "(Intern)" after any of the designations in subsection (A). The intern shall ensure that any patient treated by the intern signs an informed consent treatment form stating clearly that the intern is undergoing training, is not licensed and identifying the name of the supervising physician.

E. A person who is retired from the practice of naturopathic medicine under A.R.S. § 32-1528 may use any of the designations listed in subsection (A) if that person also uses the designation "(Retired)" after each designation.

History

• Adopted effective December 31, 1984 (Supp. 84-6). Amended by final rulemaking at 8 A.A.R. 3702, effective August 9, 2002 (Supp. 02-3). Amended by final rulemaking at 30 A.A.R. 3091, effective 12/1/2024.

Ariz. Admin. Code § R4-18-109 Repealed

History

• Adopted effective December 31, 1984 (Supp. 84-6). Section repealed by final rulemaking at 8 A.A.R. 3702, effective August 9, 2002 (Supp. 02-3).

Ariz. Admin. Code § R4-18-110 Display of Licenses and Certificates; Notice of Change of Status; Student Identification

A. Each person licensed by the Board shall display that license, or a Board issued duplicate in a conspicuous place in each location in which the person conducts regular and ongoing patient care activity.

B. A person, regulated by the Board shall notify the Board of any change in the information provided to the Board concerning a license or certificate application or its renewal, including changes in name, address, place of practice, or actions taken against the licensee, for any reason, in any court or by any governmental regulatory body.

C. Each person certified by the Board to engage in clinical training shall wear an identification card issued by the approved naturopathic medical school conducting the training that clearly identifies the person as a student, at all times that the person is involved in clinical training. An approved school may keep all certificates to engage in clinical training issued by the Board at a central location of the primary training facility, if it is easily available for public viewing.

D. Each person, that is issued a certificate by the Board shall display that certificate or a Board issued duplicate, in a conspicuous place at each location in which the person, business, or institution conducts regular and ongoing business activity.

E. All notice requirements under this rule shall be in writing and made within 30 days of change of status.

History

• Adopted effective December 31, 1984 (Supp. 84-6). Amended by final rulemaking at 8 A.A.R. 3702, effective August 9, 2002 (Supp. 02-3). Amended by final rulemaking at 30 A.A.R. 3091, effective 12/1/2024.

Ariz. Admin. Code § R4-18-111 Notice of Civil and Criminal Actions

A. As required under A.R.S. § 32-3208, A person licensed or certified by the Board shall, within 10 days of receipt, notify the Board of any notice, subpoena, summons, or receipt of complaint, whether civil or criminal, arising directly or indirectly out of the person's conduct of the person's professional activities.

B. To provide notice to the Board a person licensed or certified by the Board shall provide a copy of the notice or other service or a letter advising the Board of the nature of the cause of action allegations made, and the date, time, and place where appearance is required.

History

• Adopted effective December 31, 1984 (Supp. 84-6). Amended by final rulemaking at 8 A.A.R. 3702, effective August 9, 2002 (Supp. 02-3). Amended by final rulemaking at 30 A.A.R. 3091, effective 12/1/2024.

Ariz. Admin. Code § R4-18-116 Repealed

History

• Adopted effective December 31, 1984 (Supp. 84-6). Section repealed by final rulemaking at 8 A.A.R. 3702, effective August 9, 2002 (Supp. 02-3).

Ariz. Admin. Code § R4-18-117 Repealed

History

• Adopted effective December 31, 1984 (Supp. 84-6). Section repealed by final rulemaking at 8 A.A.R. 3702, effective August 9, 2002 (Supp. 02-3).

Article 2 LICENSES; SPECIALISTS CERTIFICATES; CONTINUING MEDICAL EDUCATION; RENEWAL

Ariz. Admin. Code § R4-18-201 Jurisprudence Examination

In addition to the requirements of R4-18-202 or R4-18-203, every applicant for licensure shall take and pass the Arizona Naturopathic Jurisprudence Examination, administered by the Board, with a minimum score of 75%. The examination shall consist of multiple-choice and true-false questions. If an applicant passes the jurisprudence examination to obtain a clinical training certificate under R4-18-501 and is under the continuous regulation of the Board after obtaining the clinical training certificate, the applicant is not required to take the examination again.

History

• New Section made by final rulemaking at 8 A.A.R. 3702, effective August 9, 2002 (Supp. 02-3).

Ariz. Admin. Code § R4-18-202 License by Examination

In addition to the requirements of R4-18-201, an applicant for licensure by examination shall meet the requirements of A.R.S. Title 32, Chapter 14 and provide the Board:

1. A completed application form, provided by the Board that is signed, dated, and verified; which shall include the following information;

a. Applicant's full name and any former names used by the applicant;

b. Place and date of birth;

c. Social Security number;

d. Home, business, and e-mail addresses;

e. Home, business, and cell phone numbers;

f. A completed Arizona Statement of Citizenship and Alien Status for State Public Benefits, and copy of evidence;

g. The name of the approved naturopathic college applicant graduated from, date of graduation, and date of clinical training completion;

h. The date applicant took and passed the required NPLEX examinations of Part I; Biomedical examination, Part II; Clinical Science examination, Part II; Core Clinical Science Examination, and the Clinical Elective examinations in acupuncture, and minor surgery. The date applicant took and passed the examination in Arizona naturopathic jurisprudence that is administered by the Board. Applicant must have taken and passed all the required examinations within a five-year period immediately preceding the date of application submission to the Board;

i. A list of all license or certificates issued or denied by any agency. Applicant must cause to have a document submitted directly to the Board from each agency listed, containing the applicant's name, date of issuance or denial, current status, and whether or not any disciplinary actions are pending or have ever been taken;

j. Whether applicant has ever been arrested, charged with, convicted of, or entered into a plea of no contest to a felony or a misdemeanor;

k. Whether applicant has ever had a naturopathic medical license or certification, or any other health profession license or certification denied, suspended, rejected or revoked by any agency;

l. Whether applicant has ever been disciplined by any agency for any act of unprofessional conduct as defined in A.R.S. § 32-1501;

m. Whether in lieu of disciplinary action, has applicant ever entered into a consent agreement or stipulation with a licensing agency;

n. Whether applicant currently has an open complaint or is involved in any open investigation in any agency or court of law, in any state or territory of the United States;

o. Whether applicant has ever had the authority to prescribe, dispense, or administer a natural substance, drug, or device limited, restricted, modified, denied, surrendered or revoked by a federal or state agency or court of law;

p. Whether applicant has ever been found medically incompetent;

q. Whether applicant has ever been a defendant in any malpractice matter that resulted in a settlement or judgment;

r. Whether applicant has a medical condition that in any way impairs or limits applicant's ability to practice medicine, and;

s. A detailed explanation and supporting documentation for each affirmative answer to questions regarding the applicant's background;

2. A copy of the applicant's complete NPLEX examination record, to be sent directly to the Board by the North American Board of Naturopathic Examiners ("NABNE") or its successor;

3. A complete transcript sent directly to the Board from the approved school of naturopathic medicine from which the applicant graduated. The transcript shall include the date of graduation and the date of completion of clinical training;

4. A complete and legible fingerprint card, including the DPS processing fee;

5. A passport size photograph taken within 60 days prior to application submission that is signed on the back by the applicant, and;

6. The fees specified in R4-18-107.

History

• New Section made by final rulemaking at 8 A.A.R. 3702, effective August 9, 2002 (Supp. 02-3). Amended by Final rulemaking at 21 A.A.R. 2009, effective 9/1/2015.

Ariz. Admin. Code § R4-18-203 License by Endorsement

In addition to the requirements of R4-18-201, an applicant for licensure by endorsement shall meet the requirements of A.R.S. Title 32, Chapter 14, and provide the Board:

1. A completed application form, provided by the Board that is signed, dated, and verified, which shall include the following information;

a. Applicant's full name and any former names used by the applicant;

b. Place and date of birth;

c. Social Security number;

d. Home, business, and e-mail addresses;

e. Home, business, and cell phone numbers;

f. A completed Arizona Statement of Citizenship and Alien Status for State Public Benefits, and copy of evidence;

g. The name of the approved naturopathic college applicant graduated from, date of graduation, and date of clinical training completion;

h. The date applicant took and passed the required NPLEX examinations of Part I; Biomedical examination, Part II; Clinical Science examination, Part II; Core Clinical Science Examination, and the Clinical Elective examinations in acupuncture, and minor surgery. The date applicant took and passed the examination in Arizona naturopathic jurisprudence that is administered by the Board;

i. A list of all license or certificates issued or denied by any Agency. Applicant must cause to have a document submitted directly to the Board from each agency listed, containing the applicant's name, date of issuance or denial, current status, and whether or not any disciplinary actions are pending or have ever been taken;

j. Whether applicant has ever been arrested, charged with, convicted of, or entered into a plea of no contest to a felony or a misdemeanor;

k. Whether applicant has ever had a naturopathic medical license or certification, or any other health profession license or certification denied, suspended, rejected or revoked by any agency;

l. Whether applicant has ever been disciplined by any agency for any act of unprofessional conduct as defined in A.R.S. § 32-1501;

m. Whether in lieu of disciplinary action, has applicant ever entered into a consent agreement or stipulation with a licensing agency in any state or territory of the United States;

n. Whether applicant currently has an open complaint or is involved in any open investigation in any agency or court of law, in any state or territory of the United States;

o. Whether applicant has ever had the authority to prescribe, dispense, or administer a natural substance, drug, or device limited, restricted, modified, denied, surrendered or revoked by a federal or state agency or court of law; in any state or territory of the United States;

p. Whether applicant has ever been found medically incompetent;

q. Whether applicant has ever been a defendant in any malpractice matter that resulted in a settlement or judgment;

r. Whether applicant has a medical condition that in any way impairs or limits applicant's ability to practice medicine, and;

s. A detailed explanation and supporting documentation for each affirmative answer to questions regarding the applicant's background;

2. A document submitted directly to the Board by the agency by whom the applicant is licensed as a naturopathic physician that is signed and dated by an official of the agency and that contains:

a. The applicant's name;

b. The date of issuance of the license;

c. The current status of the license;

d. A statement of whether the applicant has ever been denied a license by the agency, and;

e. A statement of whether any disciplinary action is pending or has ever been taken against the applicant;

3. A copy of the applicant's complete NPLEX examination record, to be sent directly to the Board by the North American Board of Naturopathic Examiners "NABNE") or its successor;

4. A complete transcript sent directly to the board from the approved school of naturopathic medicine from which the applicant graduated. The transcript shall include the date of graduation and the date of completion of clinical training.

5. Applicant must provide evidence of being actively engaged, for at least three years immediately preceding the application, in one or more of the following:

a. The active practice as a licensed doctor of naturopathic medicine;

b. Participation in an approved internship, preceptorship or clinical training program in naturopathic medicine, as defined in A.R.S. § 32-1501(4), (5), (7);

c. Participation in an approved postdoctoral training program in naturopathic medicine, as defined in A.R.S. § 32-1501(6);

d. Active in the resident study of naturopathic medicine at an approved school of naturopathic medicine, as defined in A.R.S. § 32-1501(8)(a) and (b);

6. A complete and legible fingerprint card, including the DPS processing fee;

7. A passport size photograph taken within 60 days prior to application submission, that is signed on the back by the applicant;

8. The fees specified in R4-18-107;

9. Applicants who were licensed in another state or a Canadian province before January 1, 2005, shall include evidence of completion of additional 60 hours of continuing medical education ("CME") in the subject of pharmaco-therapeutics. The CME must be offered, sanctioned, or accredited by one of the organizations referenced in R4-18-205(B)(1), (2)(a), (b), (c) or (4)(a), (b), (c), and include an examination. In the event the applicant cannot provide satisfactory evidence of completion of the required pharmacotherapeutics, or the required examinations, pursuant to A.R.S. § 32-1524(E), and (G)(3), the applicant will have an additional 365 days from the date the board notifies the applicant of the deficiency, to supply satisfactory evidence of completion.

History

• New Section made by final rulemaking at 8 A.A.R. 3702, effective August 9, 2002 (Supp. 02-3). Amended by Final rulemaking at 21 A.A.R. 2009, effective 9/1/2015.

Ariz. Admin. Code § R4-18-204 Specialists Certificate

To obtain a specialist certificate, a physician shall meet the requirements of A.R.S. Title 32, Chapter 14 and provide the Board:

1. A completed application form, provided by the Board that is signed, dated, and verified, which shall include the following information;

a. Applicant's full name;

b. Current State of Arizona Naturopathic Physicians Medical License number;

c. Email address, phone number, and mailing address;

d. Name and address of the approved specialty college or program from which applicant completed postdoctoral specialty training;

e. The specialty applicant received training in, and a copy of the certificate of completion received in the specialty;

f. Who the specialty program was approved by;

g. Whether applicant has a medical condition that in any way impairs or limits applicant's ability to practice medicine;

h. Whether applicant has ever been disciplined by any agency in any state or territory of the United States, for any act of unprofessional conduct as defined in A.R.S. § 32-1501;

i. Whether applicant has ever had a naturopathic medical license or certification, or any other health profession license or certification denied, suspended, rejected or revoked by any agency in any state or territory of the United States, and;

j. A detailed explanation and supporting documentation for each affirmative answer to questions regarding the applicant's background;

2. The fees specified in R4-18-107 and;

3. A letter from the specialty board that conducted the specialty examination verifying that the licensee is certified as a specialists in the specialty for which application is made;

4. A certificate issued to a physician pursuant to A.R.S. § 32-1529 (C.), shall be concurrently renewed, suspended or revoked, with that physician's license to practice naturopathic medicine.

History

• New Section made by final rulemaking at 8 A.A.R. 3702, effective August 9, 2002 (Supp. 02-3). Amended by Final rulemaking at 21 A.A.R. 2009, effective 9/1/2015.

Ariz. Admin. Code § R4-18-205 Continuing Medical Education Requirements

A. Every calendar year, a physician shall complete 30 credit hours of approved continuing medical education activities. Ten credit hours shall be in pharmacology as it relates to the diagnosis, treatment, or prevention of disease. Eight credit hours shall be from programs approved by one or more of the organizations listed in subsection (B)(2). One hour of credit is allowed for every 50 minutes of participation in an approved continuing medical education activity unless otherwise noted in R4-18-205(B).

B. The following are approved continuing medical education activities:

1. Education certified as Category I by an organization accredited by the Accreditation Council on Continuing Medical Education;

2. Continuing medical educational programs in the clinical application of naturopathic medical philosophy that are approved by;

a. The American Association of Naturopathic Physicians or any of its constituent organizations,

b. The Arizona Naturopathic Medical Association, or

c. Any naturopathic licensing authority in the United States or Canada.

3. One credit hour may be claimed for each eight hour day of training in an internship training program, a preceptorship training program, or a postdoctoral training program approved by the Board. A maximum of eight hours per year may be claimed in this manner.

4. One credit hour, not to exceed eight credit hours, may be claimed for each eight hour day of research in subjects listed in A.R.S. § 32-1525(B), if the research is conducted by or sponsored by a school of naturopathic medicine that is accredited or a candidate for accreditation by:

a. The Council on Naturopathic Medical Education,

b. The Council for Higher Education Accreditation, or

c. An accrediting agency recognized by the United States Department of Education.

5. One credit hour may be claimed for each hour serving as an instructor of naturopathic medical students or other physicians in a program approved by one of the organizations listed in subsection (B)(2), or a school approved by the Board. A maximum of eight hours may be claimed in this manner.

6. A maximum of four credit hours may be claimed for preparing or writing for presentation or publication, a medically related paper, report, or book that is presented or published addressing current developments, skills, procedures, or treatment in the practice of naturopathic medicine. Credit may be claimed only for materials presented or published. Credit may be claimed once as of the date of publication or presentation.

A maximum of eight credit hours may be earned for the following activities that provide necessary understanding of current developments, skills, procedures, or treatment related to the practice of naturopathic medicine if the physician maintains a record for at least three years that includes the name of the activity, the date of the activity, and the amount of time to complete the activity:

a. Self-instruction that utilizes videotapes, audiotapes, films, filmstrips, slides, radio broadcasts, or computers;

b. Independent reading of scientific journals and books;

c. Preparation for specialty board certification or re-certification examinations; or

d. Participation on a staff committee or quality of care or utilization review committee in a facility or government agency.

C. The Board shall grant an extension of time to complete continuing medical education required in subsection (A) upon written application by a licensee if the licensee fails to meet the requirements due to illness, military service, medical or religious missionary activity, residence in a foreign country, or other extenuating circumstance. An extension, other than for military service, shall not exceed 90 days.

D. An applicant for renewal of a license shall certify on the application for renewal, under penalty of perjury, that the applicant has met or will meet, before January 1, the continuing medical education requirements for the calendar year.

E. Board staff shall annually select a minimum of ten percent of the active licensees for an audit of required continuing medical education. Failure to complete the required continuing medical education is considered unprofessional conduct.

History

• New Section made by final rulemaking at 8 A.A.R. 3702, effective August 9, 2002 (Supp. 02-3).

Ariz. Admin. Code § R4-18-206 Renewal of a License

A. To renew a license to practice naturopathic medicine, on or before January 1 of each year, a licensee shall submit a complete license application renewal form, that allows the Board to determine whether the applicant continues to meet the requirements of A.R.S. Title 32, Chapter 14. If an applicant makes a timely and complete application for renewal of the applicant's license, the physician may continue to practice until the application is approved or denied by the Board.

1. A completed application form, provided by the Board that is signed, dated, and verified, which shall include the following information;

a. Applicant's full name;

b. Applicant's State of Arizona Naturopathic Physicians Medical License number and initial issuance date of the license;

c. Applicant's home, business, and e-mail addresses, and choice of mailing address;

d. Applicant's home, business, and cell phone numbers;

e. Applicant's attestation of completion of the Continuing Medical Education credit hours required to renew the medical license;

f. A statement of whether during the last 12 months applicant was arrested, charged with, convicted of, or entered into a plea of no contest to any criminal act;

g. A statement of whether during the last 12 months applicant had any licensing agency or board initiate or take any action against any license or certificate that is or was held;

h. A statement of whether during the last 12 months applicant entered into a consent agreement or stipulation with any agency in lieu of disciplinary action;

i. A statement of whether during the last 12 months applicant was named in a malpractice suit;

j. A statement of whether applicant has a complaint currently pending before any agency, or court of law; in any state or territory of the United States;

k. A detailed explanation and supporting documentation for each affirmative answer to questions regarding the applicant's background;

2. The fee specified in R4-18-107.

B. A licensee shall submit the licensure renewal fee required in R4-18/107 to the Board by mail or in person.

History

• New Section made by final rulemaking at 8 A.A.R. 3702, effective August 9, 2002 (Supp. 02-3). Amended by Final rulemaking at 21 A.A.R. 2009, effective 9/1/2015.

Ariz. Admin. Code § R4-18-207 Reinstatement of an Expired License or Certificate

A. In order to reinstate an expired license, an applicant must meet the requirements in A.R.S. § 32-1526, and pay a renewal and penalty fee for each year the license has been expired. In addition, the applicant must demonstrate completion of 30 hours of continuing medical education for each year the license has been expired. The CME must cover clinical application of naturopathic medical philosophy, pharmacology, and be accredited by the Accreditation Council on Continuing Medical Education or approved by any of the programs listed in R4-18-201(B)(2).

B. The applicant must provide the Board with:

1. A completed application form, provided by the Board that is signed, dated, and verified; which shall include the following information;

a. Applicant's full name and any former names used by the applicant;

b. Place and date of birth;

c. Social Security number;

d. Home, business, and e-mail addresses;

e. Home, business, and cell phone numbers;

f. A completed Arizona Statement of Citizenship and Alien Status for State Public Benefits, and copy of evidence;

g. The name of the approved naturopathic college applicant graduated from, date of graduation, and date of clinical training completion;

h. A list of all license or certificates issued or denied by any agency. Applicant must cause to have a document submitted directly to the Board from each agency listed, containing the applicant's name, date of issuance or denial, current status and whether or not any disciplinary actions are pending or have ever been taken;

i. Whether applicant has ever been arrested, charged with, convicted of, or entered into a plea of no contest to a felony or a misdemeanor;

j. Whether applicant has ever had a naturopathic medical license or certification, or any other health profession license or certification denied, suspended, rejected or revoked by any agency;

k. Whether applicant has ever been disciplined by any agency for any act of unprofessional conduct as defined in A.R.S. § 32-1501;

l. Whether in lieu of disciplinary action, has applicant ever entered into a consent agreement or stipulation with a licensing agency;

m. Whether applicant currently has an open complaint or is involved in any open investigation in any agency or court of law, in any state or territory of the United States;

n. Whether applicant has ever had the authority to prescribe, dispense, or administer a natural substance, drug, or device limited, restricted, modified, denied, surrendered or revoked by a federal or state agency or court of law;

o. Whether applicant has ever been found medically incompetent;

p. Whether applicant has ever been a defendant in any malpractice matter that resulted in a settlement or judgment;

q. Whether applicant has a medical condition that in any way impairs or limits applicant's ability to practice medicine, and;

r. A detailed explanation and supporting documentation for each affirmative answer to questions regarding the applicant's background;

2. A complete and legible fingerprint card, including the DPS processing fee;

3. A passport size photograph taken within 60 days prior to application submission that is signed on the back by the applicant;

C. An applicant for reinstatement of an expired certificate to dispense must complete the renewal application form and pay the renewal and late fees for each year the certificate has been expired;

D. An applicant for reinstatement of a certificate to dispense must complete the initial application form for the certificate. Pursuant to A.R.S. § 32-1526(H), an applicant for reinstatement of an expired certificate shall pay all renewal and penalty fees;

E. A applicant who held a specialty certificate that expired with the license, may request reinstatement of the certificate on the application for reinstatement of the medical license.

History

• Adopted by Final rulemaking at 21 A.A.R. 2009, effective 9/1/2015.

Ariz. Admin. Code § R4-18-208 Reinstatement of a Retired License

A. A person may apply to reinstate a retired license to active practice, upon payment of the renewal fee. As a condition of reinstatement of a retired license, Pursuant to A.R.S. § 32-1528, each applicant shall provide proof of completion of 30 hours of continuing medical education, and provide the board with:

1. A completed application form, provided by the Board that is signed, dated, and verified; which shall include the following information:

a. Applicant's full name and any former names used by the applicant;

b. Place and date of birth;

c. Social Security number;

d. Home, business, and e-mail addresses;

e. Home, business, and cell phone numbers;

f. A completed Arizona Statement of Citizenship and Alien Status for State Public Benefits, and copy of evidence;

g. The name of the approved naturopathic college applicant graduated from, date of graduation, and date of clinical training completion;

h. The dates applicant retired the license;

i. A list of all license or certificates issued or denied by any agency. Applicant must cause to have a document submitted directly to the Board from each agency listed, containing the applicant's name, date of issuance or denial, current status and whether or not any disciplinary actions are pending or have ever been taken;

j. Whether applicant has ever been arrested, charged with, convicted of, or entered into a plea of no contest to a felony or a misdemeanor;

k. Whether applicant has ever had a naturopathic medical license or certification, or any other health profession license or certification denied, suspended, rejected or revoked by any agency;

l. Whether applicant has ever been disciplined by any agency for any act of unprofessional conduct as defined in A.R.S. § 32-1501;

m. Whether in lieu of disciplinary action, has applicant ever entered into a consent agreement or stipulation with a licensing agency;

n. Whether applicant currently has an open complaint or is involved in any open investigation in any agency or court of law, in any state or territory of the United States;

o. Whether applicant has ever had the authority to prescribe, dispense, or administer a natural substance, drug, or device limited, restricted, modified, denied, surrendered or revoked by a federal or state agency or court of law;

p. Whether applicant has ever been found medically incompetent;

q. Whether applicant has ever been a defendant in any malpractice matter that resulted in a settlement or judgment;

r. Whether applicant has a medical condition that in any way impairs or limits applicant's ability to practice medicine, and;

s. A detailed explanation and supporting documentation for each affirmative answer to questions regarding the applicant's background.

2. A complete and legible fingerprint card, including the DPS processing fee;

3. A passport size photograph taken within 60 days prior to application submission that is signed on the back by the applicant, and;

4. The fees specified in R4-18-107;

5. Provide proof of completion of 30 hours of CME taken, within the last 12 months prior to application submission. The CME is in addition to the 30 hours required each year for license renewal, must cover clinical application of naturopathic medical philosophy, pharmacology, and be accredited by the Accreditation Council on Continuing Education, or approved by any of the programs listed in R4-18-201(B)(2)(a), (b) and (c).

B. An applicant for reinstatement of a retired certificate to dispense must complete the renewal application form for the certificate, and pay the required fee.

C. An applicant who held a specialty certificate that retired with the license, may request reinstatement of the certificate on the application for reinstatement of the medical license.

History

• Adopted by Final rulemaking at 21 A.A.R. 2009, effective 9/1/2015.

Ariz. Admin. Code § R4-18-209 Reinstatement of a Suspended, Revoked, or Surrendered License or Certificate

A. A person may apply to the board for the termination of the suspension or reissuance of a revoked license. Pursuant to A.R.S. § 32-1551, the board shall make its determination on each application as it deems consistent with the public health, safety and just in the circumstances. The applicant must provide the Board with;

1. A completed application form, provided by the Board that is signed, dated, and verified; which shall include the following information;

a. Applicant's full name and any former names used by the applicant;

b. Place and date of birth;

c. Social Security number;

d. Home, business, and e-mail addresses;

e. Home, business, and cell phone numbers;

f. A completed Arizona Statement of Citizenship and Alien Status for State Public Benefits, and copy of evidence;

g. The name of the approved naturopathic college applicant graduated from, date of graduation, and date of clinical training completion;

h. Documentation showing that the basis for the suspension or revocation has been removed, and that suspension termination or reinstatement of the license or certificate, does not constitute a threat to the public health or safety;

i. A list of all license or certificates issued or denied by any agency. Applicant must cause to have a document submitted directly to the Board from each agency listed, containing the applicant's name, date of issuance or denial, current status and whether or not any disciplinary actions are pending or have ever been taken;

j. Whether applicant has ever been arrested, charged with, convicted of, or entered into a plea of no contest to a felony or a misdemeanor;

k. Whether applicant has ever had a naturopathic medical license or certification, or any other health profession license or certification denied, suspended, rejected or revoked by any agency;

l. Whether applicant has ever been disciplined by any agency for any act of unprofessional conduct as defined in A.R.S. § 32-1501;

m. Whether in lieu of disciplinary action, has applicant ever entered into a consent agreement or stipulation with a licensing agency;

n. Whether applicant currently has an open complaint or is involved in any open investigation in any agency or court of law, in any state or territory of the United States;

o. Whether applicant has ever had the authority to prescribe, dispense, or administer a natural substance, drug, or device limited, restricted, modified, denied, surrendered or revoked by a federal or state agency or court of law;

p. Whether applicant has ever been found medically incompetent;

q. Whether applicant has ever been a defendant in any malpractice matter that resulted in a settlement or judgment;

r. Whether applicant has a medical condition that in any way impairs or limits applicant's ability to practice medicine, and;

s. A detailed explanation and supporting documentation for each affirmative answer to questions regarding the applicant's background;

2. A complete and legible fingerprint card, including the DPS processing fee;

3. A passport size photograph taken within 60 days prior to application submission that is signed on the back by the applicant, and;

4. The fees specified in R4-18-107;

5. Proof of completion of 30 hours of CME for each year the license has been suspended or revoked. The CME is in addition to the 30 hours required each year for license renewal, must cover clinical application of naturopathic medical philosophy and pharmacology, and, be accredited by the Accreditation Council on Continuing Education, or approved by any of the programs listed in R4-18-205(B)(2);

B. An applicant for reinstatement of a suspended or revoked certificate to dispense shall submit a complete renewal form, along with the fee specified in R4-18-107;

C. An applicant who held a specialty certificate that was suspended or revoked with the license, may request reinstatement of the certificate on the application for reinstatement of the medical license.

D. An applicant seeking licensure after the surrendered of a license or certificate must apply and meet the requirements as a new applicant.

History

• Adopted by Final rulemaking at 21 A.A.R. 2009, effective 9/1/2015.

Article 4 APPROVAL OF SCHOOLS OF NATUROPATHIC MEDICINE

Ariz. Admin. Code § R4-18-401 Approval of a School of Naturopathic Medicine

The Board shall approve a school of naturopathic medicine if, in addition to the requirements of A.R.S. § 32-1501(8):

1. It is accredited or a candidate for accreditation by the Council on Naturopathic Medical Education, or its successor agency, and

2. It has complied with the requirements of the Arizona State Board of Private Post Secondary Education in A.R.S. Title 32, Chapter 30 and A.A.C. 4-39-101 through 4-39-603.

History

• New Section made by final rulemaking at 8 A.A.R. 3702, effective August 9, 2002 (Supp. 02-3).

Ariz. Admin. Code § R4-18-402 Annual Renewal of an Approved School of Naturopathic Medicine

An approved school of naturopathic medicine shall be renewed by submitting on or before January 1 of each year, the information required by the Board that allows the Board to determine if the applicant continues to meet the requirements of A.R.S. § 32-1501(8) and of R4-18-401.

History

• New Section made by final rulemaking at 8 A.A.R. 3702, effective August 9, 2002 (Supp. 02-3).

Article 5 NATUROPATHIC CLINICAL TRAINING AND PRECEPTORSHIP TRAINING PROGRAM REQUIREMENTS

Ariz. Admin. Code § R4-18-501 Certificate to Engage in Clinical or Preceptorship Training

A. To obtain a certificate to engage in clinical or preceptorship training, an applicant shall submit to the Board a complete application form provided by the Board, that allows the Board to determine if the applicant meets the requirements of A.R.S. § 32-1524. The application shall be verified, and include the fee listed in R4-18-107;

B. In addition to the requirements in subsection (A.) a naturopathic medical student who applies for a certificate to engage in clinical training shall comply with the requirements of A.R.S. § 32-1560, and, be attending an approved naturopathic medical school. Applicant must arrange to have submitted directly to the Board, a letter from the chief medical officer of the medical school verifying that the applicant will be entering clinical training, and the anticipated starting and completion dates. The Board may deny an application for any reason set forth in A.R.S. § 32-1501(31) and A.R.S. § 32-1522(A)(3) - (6);

C. Applicant must take and pass the examination in Arizona naturopathic jurisprudence that is administered by the Board, with a minimum score of 75%, include with the application a passport size photograph taken within 60 days prior to application submission that is signed on the back by the applicant, provide a legible fingerprint card, including the DPS processing fee as specified on the application form;

D. The application form for clinical training entry shall include:

Applicant's full name and any former names used by applicant;

2. Applicant's place and date of birth;

3. Applicant's Social Security number;

4. Applicant's home and email address;

Applicant's home and cell phone numbers;

6. The name and address of the approved naturopathic college applicant is attending; name and address of clinical training program, the date of clinical entry and the date of completion of clinical entry;

7. The name of the Supervising Physician and the name of the Chief Medical Officer of the Clinical Training program;

8. Whether applicant has ever been arrested, charged with, convicted of, or entered into a plea of no contest to a felony or a misdemeanor;

9. Whether applicant has ever had a naturopathic medical license or certification, or any other health profession license or certification denied, suspended, rejected or revoked by any agency in any state, district or territory of the United States or another country;

10. Whether applicant has ever been disciplined by any agency in any state, district or territory of the United States or another country, for any act of unprofessional conduct as defined in A.R.S. § 32-1501;

11. Whether applicant, in lieu of disciplinary action, has entered into a consent agreement or stipulation with a licensing agency in any state, district or territory of the United States or another country;

12. Whether applicant currently has an open complaint or is involved in any open investigation in any agency or court of law, in any state, district or territory of the United States or another country;

13. Whether applicant has ever had the authority to prescribe, dispense, or administer a natural substance, drug, or device limited, restricted, modified, denied, surrendered or revoked by a federal or state agency or court of law, in any state, district or territory of the United States or another country;

14. Whether applicant has ever been found medically incompetent;

15. Whether applicant has ever been a defendant in any malpractice matter that resulted in a settlement or judgment;

Whether applicant has a medical condition, that in any way, impairs or limits applicant's ability to practice medicine;

17. A detailed explanation and supporting documentation for each affirmative answer to questions regarding the applicant's background, and;

18. A completed Arizona Statement of Citizenship and Alien Status for State Public Benefits, and copy of evidence;

C. E.In addition to the requirements in subsection (A.), an applicant for a certificate to engage in a preceptorship training program shall comply with the requirements of A.R.S. § 32-1561 and arrange to have submitted directly to the Board, an official transcript from the approved naturopathic medical school from which the applicant graduated;

F. Applicant must, take and pass the examination in Arizona naturopathic jurisprudence that is administered by the Board with a minimum score of 75%, include with the application, a passport size photograph taken within 60 days prior to application submission that is signed on the back by the applicant, provide a legible fingerprint card, including the DPS processing fee as specified on the application form;

G. The application form for preceptorship training shall include:

1. Applicant's full name and any former names used by applicant;

2. Applicant's place and date of birth;

Applicant's Social Security number;

4. Applicant's home and email address

5. Applicant's home and cell phone numbers;

6. The name, address, and medical license number of the Supervising Physician, designated Supervising Physician, if any, and Chief Medical Officer;

7. Attestation signed by the Supervising Physician declaring they have read and understand A.R.S. § 32-1561 and R4-18-108, and agree to be the Supervising physician of record;

8. Whether applicant has ever been arrested, charged with, convicted of, or entered into a plea of no contest to a felony or a misdemeanor;

9. Whether applicant has ever had a naturopathic medical license or certification, or any other health profession license or certification denied, suspended, rejected or revoked by any state, district or territory or the United States or another country;

10. Whether applicant has ever been disciplined by any agency in any state, district or territory of the United States or another country, for any act of unprofessional conduct as defined in A.R.S. § 32-1501;

11. Whether applicant, in lieu of disciplinary action by any agency, in any state, district or territory of the United States or another country, has entered into a consent agreement or stipulation with a licensing agency;

12. Whether applicant currently has an open complaint or is involved in any open investigation in any agency or court of law, in any state, district or territory of the United States or another country;

13. Whether applicant has ever had the authority to prescribe, dispense, or administer a natural substance, drug, or device limited, restricted, modified, denied, surrendered or revoked by a federal or state agency or court of law, in any state, district or territory of the United States, or another country;

14. Whether applicant has ever been found medically incompetent;

15. Whether applicant has ever been a defendant in any malpractice matter that resulted in a settlement or judgment;

Whether applicant has a medical condition, that in any way, impairs or limits applicant's ability to practice medicine;

17. A detailed explanation and supporting documentation for each affirmative answer to questions regarding the applicant's background; and

18. A completed Arizona Statement of Citizenship and Alien Status for State Public Benefits, and copy of evidence.

History

• New Section made by final rulemaking at 8 A.A.R. 3702, effective August 9, 2002 (Supp. 02-3). Amended by Final rulemaking at 21 A.A.R. 2009, effective 9/1/2015.

Ariz. Admin. Code § R4-18-502 Annual Renewal of a Certificate to Engage in Clinical or Preceptorship Training

A holder of a certificate to engage in clinical training shall renew the certification by submitting before the expiration date of the certificate a completed clinical training renewal form. A holder of a certificate to engage in preceptorship training shall renew the certification on or before July 1, by submitting a completed preceptorship renewal form.

1. Applicant must submit a completed application form provided by the Board for renewal of certification that allows the Board to determine whether the holder of the certificate continues to meet the requirements of A.R.S. Title 32 Chapter 14. The form must be signed, dated, and shall include;

a. Applicant's full name and any former names used by applicant;

b. Applicant's certificate number, and original issue date;

The fees specified in R4-18-107.

History

• New Section made by final rulemaking at 8 A.A.R. 3702, effective August 9, 2002 (Supp. 02-3). Amended by Final rulemaking at 21 A.A.R. 2009, effective 9/1/2015.

Ariz. Admin. Code § R4-18-503 Application for a Certificate to Conduct a Clinical or Preceptorship Training Program

A chief medical officer applying on behalf of a school of naturopathic medicine for a certificate to conduct clinical training, or on behalf of a preceptorship training program, shall submit to the Board the fee indicated in R4-18-107 and an application form provided by the Board, signed and dated by the chief medical officer, that contains:

1. The chief medical officer's name, mailing address, and telephone number;

2. The name and address of the training program and of each facility where training will be conducted;

3. The name, professional degree, license number, and licensing agency for each physician who will be providing supervision in the training program; and

4. A mission statement outlining the goals of the training program.

History

• New Section made by final rulemaking at 8 A.A.R. 3702, effective August 9, 2002 (Supp. 02-3).

Ariz. Admin. Code § R4-18-504 Annual Renewal of Certificate to Conduct a Clinical or Preceptorship Training Program

A certificate to conduct clinical or preceptorship training shall be renewed before the anniversary date, by submitting the appropriate fee listed in R4-18-107 and a completed form.

History

• New Section made by final rulemaking at 8 A.A.R. 3702, effective August 9, 2002 (Supp. 02-3).

Article 6 NATUROPATHIC MEDICAL ASSISTANTS

Ariz. Admin. Code § R4-18-601 Definitions

In addition to the definitions in A.R.S. § 32-1501 and R4-18-101, the following definitions apply to this Article:

"Approved medical assistant training program" means a course of study for medical assistants that is provided:

a. At an institution that is accredited by:

i. The Commission on Accreditation of Allied Health Education Programs,

ii. The Commission for the Accrediting Bureau of Health Education Schools, or

iii. An accrediting agency recognized by the United States Department of Education or the Armed Forces of the United States, or

b. By an organization recognized by the American Association of Naturopathic Physicians.

2. "Employ" means to compensate by money or other consideration for work performed.

3. "Medical history" means an account of an individual's past and present physical and mental health including the individual's illness, injury, or disease.

4. "Medication" means a drug as defined in A.R.S. § 32-1501 or a natural substance as defined in A.R.S. § 32-1581.

5. "Naturopathic practice" means a place where the practice of naturopathic medicine as defined in A.R.S. § 32-1501 takes place.

6. "Training" means classroom and clinical instruction completed by an individual as part of an approved medical assistant training program, or training designed and offered by a licensed naturopathic physician, that meets or exceeds the standards of one of the approved medical assistant training programs listed in subsection (1)(a) through (b).

7. "Treatment" means any of the acts included in the practice of naturopathic medicine as defined in A.R.S. § 32-1501.

History

• New Section made by final rulemaking at 11 A.A.R. 1547, effective June 4, 2005 (Supp. 05-2). Amended by final rulemaking at 30 A.A.R. 346, effective 4/1/2024.

Ariz. Admin. Code § R4-18-602 Medical Assistant Qualification and Training Requirements

A licensed Naturopathic Physician who provides direct supervision to a medical assistant, shall ensure that the medical assistant satisfies one of the following training requirements before the medical assistant is employed:

1. Completes an approved medical assistant training program;

2. Completes a medical assistant training program designed and offered by a licensed Naturopathic Physician that meets the requirements outlined in A.R.S. § 32-1559(D)(1) through (4), and passes a medical assistant examination administered by either the American Association of Medical Assistants or the American Medical Technologists; or

3. Completes a medical services training program of The Armed Forces of the United States;

4. A licensed Naturopathic Physician must obtain approval of the medical assistant training program prior to providing the training, by submitting the required application to the Board.

History

• New Section made by final rulemaking at 11 A.A.R. 1547, effective June 4, 2005 (Supp. 05-2). Amended by final rulemaking at 30 A.A.R. 346, effective 4/1/2024.

Ariz. Admin. Code § R4-18-603 Application for Medical Assistant Certification

An applicant for a medical assistant certificate shall submit an application packet to the Board that contains the following:

1. An application form provided by the Board, signed and dated by the applicant that contains:

a. The applicant's legal name, mailing address, telephone number, and Social Security number;

b. The applicant's date and place of birth;

c. The applicant's height, weight, and eye and hair color;

d. The name, address, and telephone number of the applicant's employer, if applicable;

e. The name of the licensed naturopathic physician who will supervise the applicant;

f. The name and address of the institution where the applicant completed an approved medical assistant training program; or

g. If the training was completed in a program provided by a licensed naturopathic physician, the following must be submitted:

i. A letter outlining the training provided and signed by the naturopathic physician who provided the training;

ii. Proof of passing the required medical assistant examination administered by either The American Association of Medical Assistants or The American Medical Technologists; or

iii. Proof of completion of a medical services training program of The Armed Forces of the United States.

2. A copy of a certificate of completion from an approved medical assistant training program or a letter of completion from an approved medical assistant training program signed by the person in charge of the approved medical assistant training program;

3. A completed and legible fingerprint card; and

4. The fees required by the Board under A.R.S. § 32-1527.

History

• New Section made by final rulemaking at 11 A.A.R. 1547, effective June 4, 2005 (Supp. 05-2). Amended by final rulemaking at 30 A.A.R. 346, effective 4/1/2024.

Ariz. Admin. Code § R4-18-604 Renewal of Medical Assistant Certificate

An applicant for a renewal certificate shall submit to the Board:

1. A renewal form, provided by the Board, that is signed and dated by the applicant and contains the applicant's:

a. Name,

b. Social Security number,

c. Residence and naturopathic practice addresses, and

d. Telephone number; and

2. The fee required by the Board under A.R.S. § 32-1527.

History

• New Section made by final rulemaking at 11 A.A.R. 1547, effective June 4, 2005 (Supp. 05-2).

Ariz. Admin. Code § R4-18-605 Authorized Procedures for Medical Assistants

A. A medical assistant may perform the following under the direct supervision of a physician:

1. Obtain a patient's medical history;

2. Obtain a patient's vital signs;

3. Assist a physician in performing a physical examination, surgical procedure, or treatment;

4. Perform a diagnostic test ordered by a physician including:

a. An electrocardiogram;

b. A peripheral vein puncture;

c. A capillary puncture;

d. Urine analysis;

e. A hematology test; or

f. Respiratory function testing;

5. Administer a medication:

a. By mouth; or

b. By subcutaneous or intra-muscular injection if the medical assistant received training on performing this type of administration from an approved medical assistant training program;

6. Monitor and remove an intravenous administration of a medication established by a supervising physician if the medical assistant received training on monitoring and removing an intravenous administration from an approved medical assistant training program.

7. Perform physiotherapy, which includes the following:

a. Whirlpool treatment,

b. Diathermy treatment,

c. Electronic stimulation treatment,

d. Ultrasound therapy,

e. Massage therapy,

f. Traction,

g. Transcutaneous nerve stimulation,

h. Colon hydrotherapy, or

i. Hot and cold pack treatment.

B. A medical assistant shall not:

1. Diagnose a medical condition;

2. Design or modify a treatment program;

Prescribe a medication or natural substance;

4. Provide a patient with a prognosis;

5. Unless authorized by law, perform:

a. An ionizing radiographic procedure,

b. A surgical procedure,

c. A central venous catheterization,

d. An acupuncture needle insertion, or

e. Manipulative therapy;

Administer or establish an intravenous medication;

7. Perform any procedure that requires precise placement of a needle into a patient by single or multiple injections including:

a. Sclerotherapy,

b. Prolotherapy,

c. Mesotherapy, or

d. Neurotherapy; or

8. Employ the medical assistant's supervising physician or have any financial interest in a naturopathic practice where the supervising physician is employed.

C. While assisting a naturopathic physician or performing a procedure delegated to the medical assistant, the medical assistant shall wear a clearly visible tag that states the individual is a medical assistant.

History

• New Section made by final rulemaking at 11 A.A.R. 1547, effective June 4, 2005 (Supp. 05-2).

Article 7 TIME-FRAMES FOR BOARD DECISIONS

Ariz. Admin. Code § R4-18-701 Time-frames for Board Decisions

A. The overall time-frame described in A.R.S. § 41-1072(2) for each type of license, certification, or approval granted by the Board is listed in Table 1. The applicant and the Executive Director of the Board may agree in writing to extend a substantive review and overall time-frame by no more than 25 percent of the overall time-frame listed in Table 1.

B. The administrative completeness review time-frame described in A.R.S. § 41-1072(1) for each type of license, certification, and approval granted by the Board is listed in Table 1.

1. The administrative completeness review time-frame begins on the day the Board receives the application form and the appropriate fee.

2. If the application packet is incomplete, the Board shall send to the applicant a written notice specifying the missing document or incomplete information.

3. The administrative completeness review time-frame and the overall time-frame are suspended from the date on the Board's notice until the date the Board office receives all missing information.

C. The substantive review time-frame described in A.R.S. § 41-1072(3) for each type of license, certification, and approval granted by the Board is listed in Table1.

1. The substantive review time-frame begins on the date of the Board's notice of administrative completeness.

2. If the Board determines that additional information or documentation is required, the Board shall send to the applicant a written request for that additional information or documentation.

3. The time-frame for the substantive review is suspended from the date the request for additional information or documentation is sent to the applicant, until the date on which all of the requested information is received.

4. The Board shall notify the applicant of the dates of all Board meetings at which the application will be considered.

5. The Board shall send a written notice of approval or denial to applicants within ten working days of the Board meeting at which the decision is made. An applicant may request a hearing on the decision within 30 days of the Board's action.

D. The Board shall consider an application withdrawn if within 360 days from the date of application the applicant fails to:

1. Supply the missing information requested under subsection (B)(2) or (C)(2); or

2. If applicable, take and obtain a minimum score of 75% on the Arizona Naturopathic Jurisprudence Examination.

E. During the administrative review period, an applicant may withdraw an application by requesting withdrawal in writing. During the substantive review period, the Board shall decide whether to grant a request to withdraw.

F. An applicant shall send written notice to the Board within 10 days from the date of any change of applicant's address.

History

• New Section made by final rulemaking at 8 A.A.R. 3702, effective August 9, 2002 (Supp. 02-3).

Article 8 EXPERIMENTAL MEDICINE

Ariz. Admin. Code § R4-18-801 Experimental Medicine

A procedure, medication, or device is experimental if:

1. An Institutional review board exists for a particular procedure, medication, or device;

2. The procedure, medication, or device is not generally considered to be within the accepted practice standards for the naturopathic profession; and

3. The procedure, medication, or device is not part of the curriculum at an approved school of naturopathic medicine or approved postdoctoral training.

History

• New Section made by final rulemaking at 8 A.A.R. 3702, effective August 9, 2002 (Supp. 02-3). Amended by final rulemaking at 19 A.A.R. 1302, effective July 6, 2013 (Supp. 13-2).

Ariz. Admin. Code § R4-18-802 Informed Consent and Duty to Follow Protocols

A. A physician, medical student engaged in an approved clinical training program, preceptee, or intern who conducts research involving an experimental procedure, medication, or device, shall ensure that all research subjects give informed consent to participate, which states:

1. Whether a physician, preceptee, or an intern is treating the patient;

That the patient or legal guardian of the patient understands:

a. The type of treatment the patient is to receive;

b. Each procedure that will be provided to the patient;

c. The risks and benefits of each procedure, medication, or device to be provided;

d. That the patient can withdraw at any time; and

e. That the patient is voluntarily participating; and

3. The physician, medical student engaged in the approved clinical training program, preceptee, or intern has established a protocol as required by subsection (B) that meets the requirements of the institutional review board that approved the protocol.

B. A physician, medical student engaged in an approved clinical training program, preceptee, or intern, who conducts research on humans involving an experimental procedure, medication, or device shall have a protocol for that research approved by an institutional review board.

History

• New Section made by final rulemaking at 8 A.A.R. 3702, effective August 9, 2002 (Supp. 02-3). Amended by final rulemaking at 19 A.A.R. 1302, effective July 6, 2013 (Supp. 13-2).

Article 9 CERTIFICATE TO DISPENSE

Ariz. Admin. Code § R4-18-901 Definitions

The following definitions apply in this Article:

1. "Applicant" means:

a. An individual applying for a license and a certificate to dispense; or

b. A licensee requesting a certificate to dispense only.

2. "Ausculation" means the act of listening to sounds within the human body either directly or through the use of a stethoscope or other means.

3. "Certificate to dispense" means an approval granted by the Board to dispense a natural substance, drug, or device.

4. "Dispense" means the same as in A.R.S. § 32-1581(H).

5. "Drug" means the same as in A.R.S. § 32-1501(15).

6. "Hour" means 50 to 60 minutes of participation.

7. "Medical record" means the same as in A.R.S. § 12-2291.

8. "Nutrient" means the same as in A.R.S. § 32-1501(15)(a)(iii).

9. "Physical examination" means an evaluation of the health of an individual's body using inspection, palpation, percussion, and auscultation to determine cause of illness or disease.

History

• New Section made by final rulemaking at 19 A.A.R. 1302, effective July 6, 2013 (Supp. 13-2).

Ariz. Admin. Code § R4-18-902 Qualifications for a Certificate to Dispense

A. To qualify for a certificate to dispense, an applicant shall have completed before the submission date of the application, Board approved training in the safe administration of natural substances, drugs, or devices.

B. The Board approves documentation of the following as evidence of completion of Board approved training in the safe administration of natural substances, drugs, or devices:

1. Graduation from an approved school of naturopathic medicine after January 1, 2005 as referenced in A.R.S. § 32-1525(B)(4); or

2. Completion of a 60 hour or more pharmacological course on natural substances, drugs, or devices that is offered, approved, or recognized by one of the organizations in R4-18-205(B)(1) or R4-18-205(B)(2), or by passing of The North American Board of Naturopathic Examiners (NABNE) add on Parenteral Medicine Examination.

C. If an applicant intends to administer a natural substance or drug intravenously, the Board approved training completed by the applicant shall include administration of a natural substance or drug by intravenous means.

History

• New Section made by final rulemaking at 19 A.A.R. 1302, effective July 6, 2013 (Supp. 13-2). Amended by final rulemaking at 30 A.A.R. 348, effective 4/1/2024.

Ariz. Admin. Code § R4-18-903 Application for a Certificate to Dispense; Renewal

A. An applicant for a certificate to dispense shall submit:

1. An application to the Board that contains:

a. The applicant's:

i. Full legal name;

ii. Naturopathic license number, if known; and

iii. Social Security number;

b. If a corporation, a statement of whether the corporation holds tax exempt status;

c. A statement of whether the applicant holds a drug enforcement number issued by the United States Drug Enforcement Administration, and if so, the drug enforcement number;

d. A statement of whether the applicant has ever had the authority to prescribe, dispense, or administer a natural substance, drug, or device limited, restricted, modified, denied, surrendered or revoked by a federal or state agency or court of law, and if so, an explanation that includes:

i. The name and address of the federal or state agency or court having jurisdiction over the matter, and

ii. The disposition of the matter;

e. A statement, signed by the applicant, that the applicant agrees to conform to all federal and state statutes, regulations, and rules; and

f. The date the application is submitted; and

2. Unless exempted by A.R.S. § 32-1530, the fee required by the Board.

B. An applicant for a naturopathic license may request a certificate to dispense as part of a naturopathic license application. When this request is made, approval of the naturopathic license by the Board includes approval of the certificate to dispense.

C. B. A certificate holder shall renew a certificate to dispense on or before July 1 of each year by submitting:

1. An application to the Board that contains:

a. The applicant's full legal name;

b. If a corporation, a statement of whether the corporation holds tax exempt status;

c. A statement of whether the applicant has had the authority to prescribe, dispense, or administer a natural substance, drug, device limited, restricted, modified, denied, surrendered or revoked by a federal or state agency or court of law, during the one year period immediately preceding the renewal date and if so, an explanation that includes:

i. The name and address of the federal or state agency or court having jurisdiction over the matter; and

ii. The disposition of the matter; and

d. A statement, signed and dated by the applicant, verifying the information on the application is true and correct and the applicant is the licensee named on the application; and

2. Unless exempted by A.R.S. § 32-1530, the fee required by the Board.

D. C. The Board shall grant or deny the certificate to dispense or renewal of certificate to dispense according to the time-frames in 4 A.A.C. 18, Article 7, Table 1.

History

• New Section made by final rulemaking at 19 A.A.R. 1302, effective July 6, 2013 (Supp. 13-2). Amended by final rulemaking at 30 A.A.R. 348, effective 4/1/2024.

Ariz. Admin. Code § R4-18-904 Dispensing; Intravenous Nutrients

A. To prevent toxicity due to the excessive intake of a natural substance, drug, or device, before dispensing the natural substance, drug, or device to an individual, a certified physician shall:

1. Conduct a physical examination of the individual,

2. Conduct laboratory tests as necessary that determine the potential for toxicity of the individual, and

3. Document the results of the physical examination and laboratory tests in the individual's medical record.

B. For the purposes of A.R.S. § 32-1504(A)(8), a substance is considered a nutrient suitable for intravenous administration if it complies with A.R.S. § 32-1501(15)(iii).

History

• New Section made by final rulemaking at 19 A.A.R. 1302, effective July 6, 2013 (Supp. 13-2). Amended by Final rulemaking at 21 A.A.R. 2009, effective 9/1/2015.

Article 10 [Effective 4/1/2024] DISPENSING OF A NATURAL SUBSTANCE, DRUG OR DEVICE

Ariz. Admin. Code § R4-18-1001 Certificate to Dispense Required

A. A doctor of naturopathic medicine may dispense a natural substance, a drug, except a schedule II controlled substance that is an opioid, or a device to a patient for a condition that is being diagnosed or treated by the doctor. A doctor who holds a current medical license with the board shall obtain a certificate to dispense annually if the doctor:

1. Maintains a supply of Natural Substances as defined in A.R.S. § 32-1501(23), controlled substances as defined in A.R.S. § 321501(12), prescription-only drugs as defined in A.R.S. § 321501(17), or prescription-only devises as defined in A.R.S. § 32-1581(H)(i), excluding manufacturer's samples;

2. Prescribes the items listed in subsection (A)(1) to a patient of the doctor for use outside the office;

3. Obtains payment for the items listed in subsection (A)(1), including payment from a fulfillment center; or

4. Administers substances approved for intravenous administration pursuant to A.R.S. § 32-1501(15)(a)(i)(ii)(iii).

B. To obtain a certificate to dispense, a doctor shall:

1. Submit the application form referenced in R4-18-903;

2. Submit a copy of the doctor's current Drug Enforcement Administration certificate of registration, for each location from which the doctor will dispense a controlled substance; and

3. Submit the fee required under R4-18-107, unless the doctor is exempt from paying the fee pursuant to A.R.S. § 32-1530. A doctor applying for exemption is required to submit proof of exempt status with the application.

C. A doctor shall renew the certificate to dispense by July 1 of each year. If a doctor makes a timely and complete application to renew the certificate, the doctor may continue to dispense until the Board approves or denies the renewal application.

D. If a doctor fails to submit a timely and complete application to renew the certificate to dispense, the doctor shall immediately cease dispensing.

E. If a doctor fails to comply with subsection (C), the doctor shall not dispense any natural substance, controlled substance, prescription-only drug, or prescription-only device, including substances approved for intravenous administration, until the doctor complies fully with subsection (B) and receives notice the Board approves the application.

History

• New Section made by final rulemaking at 30 A.A.R. 348, effective 4/1/2024.

Ariz. Admin. Code § R4-18-1002 Packaging and Inventory

A. A doctor shall dispense all controlled substances and prescription-only drugs in appropriate containers that are in compliance with state and federal laws.

B. A doctor shall ensure the natural substance, drug or device dispensed is in compliance with labeling requirements outlined in A.R.S. § 32-1581(2). For the purpose of compliance with A.R.S. § 32-1581(2), if the natural substance or device dispensed does not require a prescription, the information required may be incorporated into an accompanying instruction sheet. For a natural substance that contains multiple ingredients, the strength of each ingredient is not required to be documented, only the brand name of the supplement is required for documentation. All ingredients and amounts administered by intravenous or intramuscular administration are required to be fully documented in the patient chart.

C. A doctor shall:

1. Secure all controlled substances in a locked cabinet or room;

2. Control access to the locked cabinet or room by a written procedure that include, at a minimum:

a. Designation of the persons who have access to the locked room, and

b. Procedures for recording requests for access to the locked cabinet or room;

3. Make a written procedure required under subsection (C)(2) available on demand by the Board or its authorized representative for inspection and copying;

4. Store prescription-only drugs so they are not accessible to patients; and

Store controlled substances and prescription-only drugs not requiring refrigeration in an area where the temperature does not exceed 85 degrees Fahrenheit.

D. A doctor shall maintain an ongoing dispensing log for all controlled substances and prescription-only drugs dispensed by the physician. The dispensing log shall include the following:

1. A separate inventory sheet for each controlled substance and prescription-only drug;

2. The date the drug is dispensed;

3. The patient's name;

4. The name of the controlled substance or prescription-only drug, strength, dosage, form, and name of manufacturer;

5. The number of dosage units dispensed;

6. A running total of each controlled substance or prescription-only drug dispensed; and

7. The written signature of the doctor next to each entry.

E. A doctor may use a computer to maintain the dispensing log required under subsection (D) if the dispensing log is password protected and quickly accessible through either on-screen viewing or printing a copy.

F. This Section does not apply to a prepackaged manufacturer sample of a controlled substance or prescription-only drug unless otherwise provided by federal law.

G. The doctor must report the dispensing of controlled substances in compliance with the Arizona Controlled Substance Prescription Monitoring Program.

History

• New Section made by final rulemaking at 30 A.A.R. 348, effective 4/1/2024.

Ariz. Admin. Code § R4-18-1003 Recordkeeping and Reporting Shortages

A. A doctor who dispenses a controlled substance or prescription-only drug shall ensure an original prescription order for the controlled substance or prescription-only device is dated, consecutively numbered in the order in which it is originally dispensed, and filed separately from patient medical records. The doctor shall ensure original prescription orders are maintained in three separate files, as follows:

1. Schedule II controlled substances;

2. Schedule III, IV and V controlled substances; and

Prescription-only drugs.

B. A doctor shall ensure purchase orders and invoices are maintained for all controlled substances and prescription-only drugs dispensed, whether for profit or not for profit, for three years from the date of the purchase order or invoice. Purchase orders and invoices shall be maintained in three separate files as follows:

1. Schedule II controlled substances only;

2. Schedule III, IV and V controlled substances; and

3. All other prescription-only drugs.

C. A doctor who discovers a theft or loss of a prescription only drug from the doctors office shall:

1. Immediately notify the local law enforcement agency,

2. Provide the local law enforcement agency with a written report, and

3. Send a copy of the report provided under subsection (C)(2) to the Drug Enforcement Administration and Board within seven days of the discovery.

History

• New Section made by final rulemaking at 30 A.A.R. 348, effective 4/1/2024.

Ariz. Admin. Code § R4-18-1004 Inspections

A. A doctor shall cooperate with and allow access to the doctor's office and records for inspection of dispensing practices by the Board or its authorized representative.

B. The Board shall revoke a doctor's certificate to dispense if the doctor's license is suspended, revoked or surrendered.

C. The certificate automatically expires if;

1. The doctor fails to renew the medical license in a timely manner; or

2. The doctor fails to renew the certificate in a timely manner.

D. A doctor who holds a certificate and is not currently under investigation, may request the certificate be cancelled.

History

• New Section made by final rulemaking at 30 A.A.R. 348, effective 4/1/2024.

Chapter 19 BOARD OF NURSING

Article 1 DEFINITIONS AND TIME-FRAMES

Ariz. Admin. Code § R4-19-101 Definitions

"Abuse" means a misuse of power or betrayal of trust, respect, or intimacy by a nurse, nursing assistant, or applicant that causes or is likely to cause physical, mental, emotional, or financial harm to a client.

"Administer" means the direct application of a medication to the body of a patient by a nurse, whether by injection, inhalation, ingestion, or any other means.

"Admission cohort" means a group of students admitted at the same time to the same curriculum in a regulated nursing, nursing assistant, or advanced practice nursing program or entering the first clinical course in a regulated program at the same time. "Same time" means on the same date or within a narrow range of dates pre-defined by the program.

"Advance practice registered nurse (APRN)" means either a registered nurse practitioner (RNP), certified nurse midwife (CNM), certified registered nurse anesthetist (CRNA), or clinical nurse specialist (CNS), certified by the Board.

"Applicant" means a person seeking licensure, certification, prescribing, or prescribing and dispensing privileges, or an entity seeking approval or re-approval, if applicable, of a:

CNS or RNP nursing program,

Credential evaluation service,

Nursing assistant training program,

Nursing program,

Nursing program change, or

Refresher program.

"Approved national nursing accrediting agency" means an organization recognized by the United States Department of Education as an accrediting agency for a nursing program.

"Assign" means a nurse designates nursing activities to be performed by another nurse that are consistent with the other nurse's scope of practice.

"Certificate or diploma in practical nursing" means the document awarded to a graduate of an educational program in practical nursing.

"Certified medication assistant" means a certified nursing assistant who meets Board qualifications and is additionally certified by the Board to administer medications under A.R.S. § 32-1650 et. seq.

"CES" means credential evaluation service.

"Client" means a recipient of care and may be an individual, family, group, or community.

"Clinical instruction" means the guidance and supervision provided by a nursing, nursing assistant or medication assistant program faculty member while a student is providing client care.

"CMA" means certified medication assistant.

"CNA" means a certified nursing assistant, as defined in A.R.S § 32-1601(4).

"CNS" means clinical nurse specialist, as defined in A.R.S. § 32-1601(7).

"Collaborate" means to establish a relationship for consultation or referral with one or more licensed physicians on an as-needed basis. Supervision of the activities of a registered nurse practitioner by the collaborating physician is not required.

"Contact hour" means a unit of organized learning, which may be either clinical or didactic and is either 60 minutes in length or is otherwise defined by an accrediting agency recognized by the Board.

"Continuing education activity" means a course of study related to nursing practice that is awarded contact hours by an accrediting agency recognized by the Board, or academic credits in nursing or medicine by a regionally or nationally accredited college or university.

"CRNA" means a certified registered nurse anesthetist as defined in A.R.S. § 32-1601(5).

"DEA" means the federal Drug Enforcement Administration.

"Dispense" means to deliver a controlled substance or legend drug to an ultimate user.

"Dual relationship" means a nurse or CNA simultaneously engages in both a professional and nonprofessional relationship with a patient or resident or a patient's or resident's family that is avoidable, non-incidental, and results in the patient or resident or the patient's or resident's family being exploited financially, emotionally, or sexually.

"Eligibility for graduation" means that the applicant has successfully completed all program and institutional requirements for receiving a degree or diploma but is delayed in receiving the degree or diploma due to the graduation schedule of the institution.

"Endorsement" means the procedure for granting an Arizona nursing license to an applicant who is already licensed as a nurse in another state or territory of the United States and has passed an exam as required by A.R.S. §§ 32-1633 or 32-1638 or an Arizona nursing assistant or medication assistant certificate to an applicant who is already listed on a nurse aide register or certified as a medication assistant in another state or territory of the United States.

"Episodic nursing care" means nursing care at nonspecific intervals that is focused on the current needs of the individual.

"Failure to maintain professional boundaries" means any conduct or behavior of a nurse or CNA that, regardless of the nurse's or CNA's intention, is likely to lessen the benefit of care to a patient or resident or a patient's or resident's family or places the patient, resident or the patient's or resident's family at risk of being exploited financially, emotionally, or sexually.

"Family," as applied to R4-19-511, means individuals who are related by blood, marriage, adoption, legal guardianship, or domestic partnership, or who are cohabitating or romantically involved.

"Family Member", means a licensed health aide (LHA) who is an adult (at least 18 years old) and has the following relationship with the LHA's one patient:

1. spouse,

2. children/step children,

3. son/daughter-in-law,

4. grandchildren,

5. siblings /step siblings,

6. parents /step parents/adoptive parents,

7. grandparents,

8. mother/father-in-law,

9. brother/sister-in-law, or

10. legal guardian.

"Full approval" means the status granted by the Board when a nursing program, after graduation of its first class, demonstrates the ability to provide and maintain a program in accordance with the standards provided by A.R.S. Title 32, Chapter 15 and this Chapter.

"Good standing" means the license of a nurse, or the certificate of a nursing assistant, is current, and the nurse or nursing assistant is not presently subject to any disciplinary action, consent order, or settlement agreement.

"Independent nursing activities" means nursing care within an RN's scope of practice that does not require authorization from another health professional.

"Initial approval" means the permission, granted by the Board, to an entity to establish a nursing assistant training program, after the Board determines that the program meets the standards provided by A.R.S. Title 32, Chapter 15 and this Chapter.

"LHA", means a licensed health aide who meets Board qualifications as defined by A.R.S. § 32-1601(14).

"Licensure by examination" means the granting of permission to practice nursing based on an individual's passing of a prescribed examination and meeting all other licensure requirements.

"LPN" means licensed practical nurse.

"NCLEX" means the National Council Licensure Examination.

"Nurse" means a licensed practical or registered nurse.

"Nursing diagnosis" means a clinical judgment, based on analysis of comprehensive assessment data, about a client's response to actual and potential health problems or life processes. Nursing diagnosis statements include the actual or potential problem, etiology or risk factors, and defining characteristics, if any.

"Nursing process" means applying problem-solving techniques that require technical and scientific knowledge, good judgment, and decision-making skills to assess, plan, implement, and evaluate a plan of care.

"Nursing program" means a formal course of instruction designed to prepare its graduates for licensure as registered or practical nurses.

"Nursing program administrator" means a nurse educator who meets the requirements of A.R.S. Title 32, Chapter 15 and this Chapter and has the administrative responsibility and authority for the direction of a nursing program.

"Nursing program faculty member" means an individual working full or part time within a nursing program who is responsible for either developing, implementing, teaching, evaluating, or updating nursing knowledge, clinical skills, or curricula.

"Nursing-related activities or duties" means client care tasks for which education is provided by a basic nursing assistant training program.

"P & D" means prescribing and dispensing.

"Parent institution" means the educational institution in which a nursing program, nursing assistant training program or medication assistant program is conducted.

"Patient" means an individual recipient of care.

"Pharmacology" means the science that deals with the study of drugs.

"Physician" means a person licensed under A.R.S. Title 32, Chapters 7, 8, 11, 13, 14, 17, or 29, or by a state medical board in the United States.

"Preceptor" means a licensed nurse or other health professional who meets the requirements of A.R.S. Title 32, Chapter 15 and this Chapter who instructs, supervises and evaluates a licensee, clinical nurse specialist, nurse practitioner or pre-licensure nursing student, for a defined period.

"Preceptorship" means a clinical learning experience by which a learner enrolled in a nursing program, nurse refresher program, clinical nurse specialist, or registered nurse practitioner program or as part of a Board order provides nursing care while assigned to a health professional who holds a license or certificate equivalent to or higher than the level of the learner's program or in the case of a nurse under Board order, meets the qualifications in the Board order.

"Prescribe" means to order a medication, medical device, or appliance for use by a patient.

"Private business" means any individual or sole proprietorship, partnership, limited liability partnership, limited liability company, corporation or other legal business entity.

"Proposal approval" means that an institution has met the standards provided by A.R.S. Title 32, Chapter 15 and this Chapter to proceed with an application for provisional approval to establish a pre-licensure nursing program in Arizona.

"Provisional approval" means that an institution has met the standards provided by A.R.S. Title 32, Chapter 15 and this Chapter to implement a pre-licensure nursing program in Arizona.

"Refresher program" means a formal course of instruction designed to provide a review and update of nursing theory and practice.

"Register" means a listing of Arizona certified nursing assistants maintained by the Board that includes the following about each nursing assistant:

Identifying demographic information;

Date placed on the register;

Date of initial and most recent certification, if applicable; and

Status of the nursing assistant certificate, including findings of abuse, neglect, or misappropriation of property made by the Arizona Department of Health Services, sanctions imposed by the United States Department of Health and Human Services, and disciplinary actions by the Board.

"Resident" means a patient who receives care in a long-term care facility or other residential setting.

"RN" means registered nurse.

"RNP" means a registered nurse practitioner as defined in A.R.S. § 32-1601(20).

"SBTPE" means the State Board Test Pool Examination.

"School nurse" means a registered nurse who is certified under R4-19-309.

"Secure examination" means a written test given to an examinee that:

Is administered under conditions designed to prevent cheating;

Is taken by an individual examinee without access to aides, textbooks, other students or any other material that could influence the examinee's score; and,

After opportunity for examinee review, is either never used again or stored such that only designated employees of the educational institution are permitted to access the test.

"Self-study" means a written self-evaluation conducted by a nursing program to assess the compliance of the program with the standards listed in Article 2.

"Standards related to scope of practice" means the expected actions of any nurse who holds the identified level of licensure.

"Substance use disorder" means misuse, dependence or addiction to alcohol, illegal drugs or other substances.

"Supervision" means the direction and periodic consultation provided to an individual to whom a nursing task or patient care activity is delegated.

"Unlicensed assistive personnel" or "UAP" means a CNA or any other unlicensed person, regardless of title, to whom nursing tasks are delegated.

"Verified application" means an affidavit signed by the applicant attesting to the truthfulness and completeness of the application and includes an oath that applicant will conform to ethical professional standards and obey the laws and rules of the Board.

History

• Former Glossary of Terms; Amended effective Nov. 17, 1978 (Supp. 78-6). Former Section R4-19-01 repealed, new Section R4-19-01 adopted effective February 20, 1980 (Supp. 80-1). Amended paragraphs (1) and (7), added paragraphs (9) through (25) effective July 16, 1984 (Supp. 84-4). Former Section R4-19-01 renumbered as Section R4-19-101 (Supp. 86-1). Amended effective November 18, 1994 (Supp. 94-4). Section repealed, new Section adopted effective July 19, 1995 (Supp. 95-3). Amended effective December 22, 1995 (Supp. 95-4). Amended effective November 25, 1996 (Supp. 96-4). Amended by final rulemaking at 7 A.A.R. 1712, effective April 4, 2001 (Supp. 01-2). Amended by final rulemaking at 14 A.A.R. 4621, effective January 31, 2009 (Supp. 08-4). Pursuant to authority of A.R.S. § 41-1011(C), Laws 2012, Ch. 152, §1, provides for A.R.S. references to be corrected to reflect the renumbering of definitions. Therefore the A.R.S. citations in the definitions of "CNA" "CNS" and "RNP" have been updated. Agency request filed July 12, 2012, Office File No. M12-242 (Supp. 12-3). Amended by final rulemaking at 19 A.A.R. 1308 effective July 6, 2013 (Supp. 13-2). Amended by final rulemaking at 20 A.A.R. 1859, effective 9/8/2014. Amended by final rulemaking at 23 A.A.R. 1420, effective 7/1/2017. Amended by final rulemaking at 25 A.A.R. 919, effective 6/3/2019. Amended by final rulemaking at 26 A.A.R. 3289, effective 12/2/2020. Amended by exempt rulemaking at 28 A.A.R. 111, effective 1/2/2022.

Ariz. Admin. Code § R4-19-102 Time-frames for Licensure, Certification, or Approval

A. In this Section:

1. "Administrative completeness" or "administratively complete" means Board receipt of all application components required by statute or rule and necessary to begin the substantive review time-frame.

2. "Application packet" means an application form provided by the Board and the documentation necessary to establish an applicant's qualifications for licensure, certification, or approval.

3. "Comprehensive written request for additional information" means written communication after the administrative completeness time-frame by the Board to an applicant in person or at the address of record or electronic address identified on the application notifying the applicant that additional information, including missing documents is needed before the Board can grant the license. The written communication shall:

a. Contain a list of information required by statute or rule and necessary to complete the application or grant the license, and

b. Inform the applicant that the request suspends the running of days within the time-frame, and

c. Be effective on the date of issuance which is:

i. The date of its postmark, if mailed;

ii. The date of delivery, if delivered in person by a Board employee or agent; or

iii. The date of delivery to the electronic address if delivered electronically.

4. "Deficiency notice" means written communication by the Board to an applicant in person or at the address of record or electronic address identified on the application notifying the applicant that additional information, including missing documents, is needed to complete the application. The written communication shall:

a. Contain a list of information required by statute or rule and necessary to complete the application or grant the license;

b. Inform the applicant that the request suspends the running of days within the time-frame; and

c. Be effective on the date of issuance which is:

i. The date of its postmark, if mailed;

ii. The date of delivery, if delivered in person by a Board employee or agent; or

iii. The date of delivery to the electronic address if delivered electronically.

5. "Notice of administrative completeness" means written communication by the Board to an applicant in person or at the address of record or electronic address identified on the application notifying the applicant the application contains all information required by statute or rule to complete the application.

6. "Overall time-frame" has the same meaning as A.R.S. § 41-1072(2).

7. "Substantive review time-frame" has the same meaning as A.R.S. § 41-1072(3).

B. In computing the time-frames in this Section, the day of the act or event from which the designated period begins to run is not included. The last day of the period is included unless it is a Saturday, Sunday, or official state holiday, in which event the period runs until the end of the next day that is not a Saturday, Sunday, or official state holiday.

C. For each type of licensure, certification, or approval issued by the Board, the overall time-frame described in A.R.S. § 41-1072(2) is listed in Table 1. An applicant may submit a written request to the Board for an extension of time in which to provide a complete application. The request for an extension of time shall be submitted to the Board office before the deadline for submission of a complete application and shall state the reason that the applicant is unable to comply with the time-frame requirements in Table 1 and the amount of additional time requested. The Board may grant an extension of time based on whether the Executive Director of the Board finds that the applicant is unable to comply within the time-frame due to circumstances beyond the applicant's control and that the additional information can reasonably be supplied during the extension of time.

D. For each type of licensure, certification, or approval issued by the Board, the administrative completeness review time-frame described in A.R.S. § 41-1072(1) is listed in Table 1 and begins to run when the Board receives an application packet.

If the application packet is not administratively complete, the Board shall send a deficiency notice to the applicant. The time for the applicant to respond to a deficiency notice begins to run on the date the deficiency notice is issued.

a. The deficiency notice shall list each deficiency.

b. The applicant shall submit to the Board the missing information listed in the deficiency notice within the period specified in Table 1 for responding to a deficiency notice. The time-frame for the Board to complete the administrative review is suspended until the Board receives the missing information.

c. If an applicant fails to provide the missing information listed in the deficiency notice within the period specified in Table 1, the Board shall close the applicant's file and send a notice to the applicant by U.S. mail and electronically, if an electronic address is included in the application.

d. If the applicant is the subject of an investigation, the Board may continue to process the application. Failure of the applicant to supply the requested information may result in denial of the license or certificate based on information gathered during the investigation.

2. If the application packet is administratively complete, the Board shall send a written notice of administrative completeness to the applicant.

3. If the Board issues a license, certificate, or approval during the administrative completeness review time-frame, the Board shall not send a separate written notice of administrative completeness.

E. For each type of licensure, certification, or approval issued by the Board, the substantive review time-frame described in A.R.S. § 41-1072(3) is listed in Table 1 and begins to run on the date the notice of administrative completeness is issued.

1. During the substantive review time-frame, an applicant may make a request to withdraw an application packet. The Board may deny the request to withdraw an application packet if the applicant is the subject of an investigation, based on information gathered during the investigation.

2. If an applicant discloses or the Board receives allegations of unprofessional conduct as described in A.R.S. § 32-1601 or this Chapter, the Board shall review the allegations and may investigate the applicant. The Board may require the applicant to provide additional information as prescribed in subsection (E)(3) based on its assessment of whether the conduct is or might be harmful or dangerous to the health of a client or the public.

3. During the substantive review time-frame, the Board may make one comprehensive written request for additional information. The applicant shall submit the additional information within the period specified in Table 1. The time-frame for the Board to complete the substantive review of the application packet is suspended from the date the comprehensive written request for additional information is issued until the Board receives the additional information.

4. If the applicant fails to provide the additional information identified in the comprehensive written request for additional information within the time specified in Table 1, the Board shall close the applicant's file and send a notice to the applicant by U.S. mail and electronically, if an electronic address is included in the application. The Board may continue to process the application if the applicant is the subject of an investigation. Failure of the applicant to supply the requested information may result in denial of the license or certificate based on information gathered during the investigation.

5. The Board shall grant licensure, conditional licensure, limited licensure, certification, or approval to an applicant:

a. Who meets the substantive criteria for licensure, certification, or approval required by A.R.S. Title 32, Chapter 15 and this Chapter; and

b. Whose licensure, certification, or approval is in the best interest of the public.

6. The Board shall deny licensure, certification, or approval to an applicant:

a. Who fails to meet the substantive criteria for licensure, certification, or approval required by A.R.S. Title 32, Chapter 15 and this Chapter; or

b. Who has engaged in unprofessional conduct as described in A.R.S. § 32-1601 or this Chapter; and

c. Whose licensure, certification, or approval is not in the best interest of the public.

7. The Board's written order of denial shall meet the requirements of A.R.S. § 41-1076. The applicant may request a hearing by filing a written request with the Board within 30 days of receipt of the Board's order of denial. The Board shall conduct hearings in accordance with A.R.S. Title 41, Chapter 6, Article 10 and 4 A.A.C. 19, Article 6.

History

• Adopted effective February 20, 1980 (Supp. 80-1). Former Section R4-19-02 renumbered and amended as Section R4-19-102 effective February 21, 1986 (Supp. 86-1). Section repealed effective July 19, 1995 (Supp. 95-3). New Section adopted April 20, 1998 (Supp. 98-2). Amended by final rulemaking at 7 A.A.R. 1712, effective April 4, 2001 (Supp. 01-2). Amended by final rulemaking at 14 A.A.R. 4621, effective January 31, 2009 (Supp. 08-4). Amended by final rulemaking at 26 A.A.R. 3289, effective 12/2/2020.

Article 2 ARIZONA REGISTERED AND PRACTICAL NURSING PROGRAMS; REFRESHER PROGRAMS

Ariz. Admin. Code § R4-19-201 Organization and Administration

A. The parent institution of a nursing program shall:

1. Be accredited as a post-secondary institution, college, or university, by an accrediting body that is recognized as an accrediting body by the U.S. Department of Education.

2. Hold Arizona Private Post-secondary board approval status, if applicable.

3. Submit evidence to the board of continuing accreditation after each reaccreditation review or action.

4. Operate any RN or PN program under its post-secondary accreditation if the parent institution holds both secondary and post-secondary accreditation.

Notify the Board within 15 days of any change or pending change in institutional accreditation status or reporting requirements.

6. Provide adequate fiscal, physical, learning resources and adequate human resources to recruit, employ and retain sufficient numbers of qualified faculty members to support program processes and outcomes necessary for compliance with this article.

7. Center the administrative control of the nursing program in the nursing program administrator and shall provide the support and resources necessary to meet the requirements of R4-19-203 and R4-19-204.

8. Ensure that the nursing program is an integral part of the parent institution and shall have at a minimum equivalent status with other academic units of the parent institution.

9. Appoint a sole individual to the position of nursing program administrator, and fill any program administrator vacancies within 15 days.

10. Notify the Board of any changes in program administrator within 30 days and ensure that the individual appointed meets the requirements of, and fulfills the duties specified in R4-19-203.

11. Ensure that every registered nursing program faculty member holds a current Arizona registered nurse license in good standing or multi-state privilege to practice in Arizona under A.R.S., Title 32, Chapter 15, and that every faculty member meets one of the following:

a. If providing didactic instruction:

i. At least two years of experience as a registered nurse providing direct patient care; and

ii. A graduate degree. The majority of the faculty members of a registered nursing program shall hold a graduate degree with a major in nursing. If the graduate degree is not in nursing, the faculty member shall hold a minimum of a baccalaureate degree in nursing.

b. If providing clinical instruction only, as defined in R4-19-101 :

i. The requirements for didactic faculty, or

ii. A baccalaureate degree with a major in nursing and at least three years of experience as a registered nurse providing direct patient care.

12. Ensure that each practical nursing program faculty member holds a current Arizona registered nurse license in good standing or multi-state privilege to practice in Arizona under A.R.S. Title 32, Chapter 15, and that every faculty member meets the following:

a. At least two years of experience as a registered nurse providing direct patient care, and

b. A minimum of a baccalaureate degree with a major in nursing.

B. A nursing program shall:

1. Maintain an organizational chart that identifies the actual relationships, lines of authority, and channels of communication within the program, between the program, and between the program and the parent institution.

Develop, implement, and enforce written policies and procedures that provide:

a. A mechanism for student feedback into the development of academic policies and procedures and allow students to anonymously evaluate faculty, nursing courses, clinical experiences, resources and the overall program.

b. Personnel policies for didactic and clinical nursing faculty members including workload policies that facilitate safe and effective nursing education, including clinical experiences.

c. For clinical experiences, ensure that:

i. At least one nursing faculty member is assigned to no more than ten students while students are directly or indirectly involved in the care of patients, including precepted experiences.

ii. Faculty supervises all students in clinical areas in accordance with the acuity of the patient population, clinical objectives, demonstrated competencies of the student, and requirements established by the clinical agency.

iii. Either faculty or program-approved preceptors are on site supervising students during all patient care.

3. Provide the minimum number of qualified faculty members necessary for compliance with the provisions of this Article.

Develop and implement a written plan for the systematic evaluation of the total program that is based on program and student learning outcomes and that incorporates continuous improvement based on the evaluative data. The plan shall include measurable outcome criteria, logical methodology, frequency of evaluation, assignment of responsibility, actual outcomes and actions taken. The following areas shall be evaluated:

a. Internal structure of the program, its relationship to the parent institution, and compatibility of program policies and procedures with those of the parent institution;

b. Mission and goals consistent with those of the parent institution and compatible with current concepts in nursing education and practice appropriate for the type of nursing program offered;

c. Curriculum;

d. Education facilities, resources, and student support services;

e. Clinical resources;

f. Student achievement of program educational outcomes;

g. Admission and graduation data for each admission cohort, including, at a minimum, the number and percent of students who graduated within 100%, 150% or greater than 150% of time allotted in the curriculum plan.

h. Graduate performance on the licensing examination;

i. Protection of patient safety including but not limited to:

i. Student and faculty policies regarding supervision of students, practicing within scope and student safe practice;

ii. The integration of safety concepts within the curriculum;

iii. The application of safety concepts in the clinical setting; and

iv. Policies made under R4-19-203(C)(6).

5. Maintain current and accurate records of the following:

a. Student admission materials, courses taken, grades received, scores in any standardized tests taken, health and performance, and health information submitted to meet program or clinical requirements, for a minimum of three years after the fiscal year of program completion for academic records and one year after program completion for health records;

b. Faculty registered nursing license number issued by the board, evidence of fulfilling the requirements in R4-19-204, and performance evaluations for faculty employed by the parent institution. Records shall be kept current during the period of employment and retained for a minimum of three years after termination of employment;

c. Minutes of faculty and committee meetings for a minimum of three years;

d. Reports from accrediting agencies and the Board for a minimum of 10 years;

e. Curricular materials consistent with the requirements of R4-19-206 for the current curriculum and, previous curricula used within the past three years; and

f. Formal program complaints and grievances since the last site review with evidence of resolution for a minimum of three years.

C. A nursing program shall be an integral part of the parent institution and shall have at a minimum equivalent status with other academic units of the parent institution.

D. The parent institution shall center the administrative control of the nursing program in the nursing program administrator and shall provide the support and resources necessary to meet the requirements of R4-19-203 and R4-19-204

E. A nursing program shall provide an organizational chart that identifies the actual relationships, lines of authority, and channels of communication within the program, and between the program and the parent institution.

F. A nursing program shall have a written agreement between the program and each clinical agency where clinical experience is provided to the program's students.

G. A nursing program shall implement written policies and procedures that provide a mechanism for student input into the development of academic policies and procedures and allow students to anonymously evaluate faculty, nursing courses, clinical experiences, resources and the overall program.

H. The parent institution shall appoint a sole individual to the full-time position of nursing program administrator. The parent institution shall ensure that the individual appointed meets or exceeds the requirements of, and fulfills the duties specified in, R4-19-203, whether on an interim or permanent basis.

I. A nursing program shall develop and implement a written plan for the systematic evaluation of the total program that is based on program and student learning outcomes and that incorporates continuous improvement based on the evaluative data. The plan shall include measurable outcome criteria, logical methodology, frequency of evaluation, assignment of responsibility, actual outcomes and actions taken. The following areas shall be evaluated:

1. Internal structure of the program, its relationship to the parent institution, and compatibility of program policies and procedures with those of the parent institution;

2. Mission and goals;

3. Curriculum;

4. Education facilities, resources, and student support services;

5. Clinical resources;

6. Student achievement of program educational outcomes;

7. Graduation and attrition for each admission cohort including at a minimum:

a. Number and percent of students who left the program;

b. Number and percent of students who are out of sequence in the program; and

c. Number and percent of students who graduated within 100%, 150% or greater than 150% of time allotted in the curriculum plan.

8. Graduate performance on the licensing examination;

9. Faculty performance; and

10. Protection of patient safety including but not limited to:

a. Student and faculty policies regarding supervision of students, practicing within scope and student safe practice;

b. The integration of safety concepts within the curriculum;

c. The application of safety concepts in the clinical setting; and

d. Policies made under R4-19-203(C)(6) .

J. The parent institution shall provide adequate fiscal, human, physical, and learning resources to support program processes and outcomes necessary for compliance with this Article.

K. The parent institution shall provide adequate resources to recruit, employ, and retain sufficient numbers of qualified faculty members to meet program and student learning outcomes and the requirements of this Article.

L. The parent institution shall notify the Board of a vacancy, pending vacancy, or leave of absence greater than 30 days in the position of nursing program administrator within 15 days of the program's awareness of the vacancy, pending vacancy, or leave of absence and do the following:

1. Appoint an interim or permanent administrator who meets the requirements of R4-19-203(A) within 15 days of the effective date of the vacancy or absence, and

2. Notify the Board of the appointment of an interim or permanent administrator within 15 days of appointment and provide a copy of the administrator's credentials to the Board.

M. A parent institution shall notify the Board within 15 days of any change or pending change in institutional accreditation status or reporting requirements.

N C. Prior to final approval for new nursing programs and by July 31, 2015 for existing programs, all RN nursing programs offering less than a bachelor's degree in nursing shall have a minimum of one articulation agreement with a Board approved and nationally accredited baccalaureate or higher nursing program that includes recognition of prior learning in nursing and recognition of foundational courses.

History

• Former Section I, Part I; Amended effective January 20, 1975 (Supp. 75-1). Former Section R4-19-11 repealed, new Section R4-19-11 adopted effective February 20, 1980 (Supp. 80-1). Amended effective July 16, 1984 (Supp. 84-4). Former Section R4-19-11 renumbered as Section R4-19-201 (Supp. 86-1). Section repealed; new Section adopted effective July 19, 1995 (Supp. 95-3). Amended by final rulemaking at 7 A.A.R. 5349, effective November 8, 2001 (Supp. 01-4). Amended by final rulemaking at 11 A.A.R. 451, effective March 7, 2005 (05-1). Amended by final rulemaking at 19 A.A.R. 1419, effective July 6, 2013 (Supp. 13-2). Amended by final rulemaking at 23 A.A.R. 1420, effective 7/1/2017. Amended by final rulemaking at 25 A.A.R. 919, effective 6/3/2019.

Ariz. Admin. Code § R4-19-202 [Repealed]

History

• Former Section I, Part II; Former Section R4-19-12 repealed, new Section R4-19-12 adopted effective February 20, 1980 (Supp. 80-1). Former Section R4-19-12 repealed, new Section R4-19-12 adopted effective July 16, 1984 (Supp. 84-4). Former Section R4-19-12 renumbered as Section R4-19-202 (Supp. 86-1). Section repealed; new Section adopted effective July 19, 1995 (Supp. 95-3). Amended by final rulemaking at 7 A.A.R. 5349, effective November 8, 2001 (Supp. 01-4). Amended by final rulemaking at 11 A.A.R. 451, effective March 7, 2005 (05-1). Amended by final rulemaking at 19 A.A.R. 1419, effective July 6, 2013 (Supp. 13-2). Repealed by final rulemaking at 25 A.A.R. 919, effective 6/3/2019.

Ariz. Admin. Code § R4-19-203 Administrator; Qualifications and Duties

A. The nursing program administrator shall hold a current Arizona registered nurse license in good standing or multi-state privilege to practice in Arizona under A.R.S., Title 32, Chapter 15 and:

1. For registered nursing programs:

a. A graduate degree with a major in nursing;

b. A minimum of three years work experience as a registered nurse providing direct patient care; and

c. If appointed to the position of nursing program administrator on or after the effective date of these rules, have a minimum of one academic year full-time experience teaching in or administering a nursing education program leading to licensure; or

d. If lacking the requirements of subsection (A)(1)(c), the parent institution may appoint an individual to the position of "Interim Program Administrator" under the following conditions:

i. The individual is subject to termination based on performance and any factors determined by the institution;

ii. A direct supervisor evaluates performance periodically over the next 12 months to ensure institutional and program goals are being addressed; and

iii. If evaluations are satisfactory, the individual may be appointed to permanent status after 12 months in the interim position.

2. For practical nursing programs:

a. If appointed prior to the effective date of these rules, a baccalaureate degree with a major in nursing; and

b. If appointed on or after the effective date of these rules, the requirements of subsection (A)(1).

B. The administrator shall have comparable status with other program administrators in the parent institution and shall report directly to an academic officer of the institution.

C. The administrator shall have the authority and responsibility to direct the program in all its phases, including:

1. Administering the nursing education program;

Directing activities related to academics, personnel, curriculum, resources, facilities, services, program policies, and program evaluation;

3. Preparing and administering the budget;

4. Recommending candidates for faculty appointment, retention, and promotion;

5 4. Evaluating nursing program faculty members at a minimum:

a. Annually in the first year of employment and every three years thereafter;

b. Upon receipt of information that a faculty member, in conjunction with performance of their duties, may be engaged in conduct that is or might be:

i. Below A pattern of conduct the standards of the program or the parent institution,

ii. A pattern of conduct that is inconsistent with nursing professional standards, or

iii. Any conduct that is potentially or actually harmful to a patient or a student.

c. By the nurse administrator or a nurse educator designated by the nurse administrator, and

d c. In the areas of teaching ability and application of nursing knowledge and skills relative to the teaching assignment.

6. Together with faculty:

a. Developing, implementing, consistently enforcing, evaluating, and revising, as necessary:

i. Equivalent student and faculty policies necessary for safe patient care, including faculty supervision of clinical activities, and to meet clinical agency requirements regarding student and faculty physical and mental health, criminal background checks, substance use screens, and functional abilities.

ii. The program of learning including the curriculum and learning outcomes of the program, standards for the admission, progression, and graduation of students, and written policies for faculty orientation, continuous learning and evaluation.

iii. Student and faculty policies regarding minimal requisite nursing skills and knowledge necessary to provide safe patient care for the type of unit and patient assignment.

b. Participate in advisement and guidance of students.

c. Substance use screens

d. Functional abilities, and

e. Supervision of clinical activities.

7. Participating in activities that contribute to the governance of the parent institution;.

8. Together with faculty develop, enforce and evaluate both student and faculty policies regarding minimal requisite nursing skills and knowledge necessary to provide safe patient care for the type of unit and patient assignment; and

9. Enforcing consistent application of all nursing program policies.

D. The administrator of the nursing program shall not carry a teaching load of more than three clock hours per week if required to teach.

E. The administrator may have administrative responsibilities other than the nursing program, provided that a nursing program faculty member is designated to assist with program management and the administrator is able to fulfill the duties of this Article.

History

• Former Section I, Part III; Former Section R4-19-13 repealed, new Section R4-19-13 adopted effective February 20, 1980 (Supp. 80-1). Former Section R4-19-13 repealed, new Section R4-19-13 adopted effective July 16, 1984 (Supp. 84-4). Former Section R4-19-13 renumbered as Section R4-19-203 (Supp. 86-1). Section repealed; new Section adopted effective July 19, 1995 (Supp. 95-3). Amended by final rulemaking at 7 A.A.R. 5349, effective November 8, 2001 (Supp. 01-4). Amended by final rulemaking at 11 A.A.R. 451, effective March 7, 2005 (05-1). Amended by final rulemaking at 19 A.A.R. 1419, effective July 6, 2013 (Supp. 13-2). Amended by final rulemaking at 25 A.A.R. 919, effective 6/3/2019.

Ariz. Admin. Code § R4-19-204 [Repealed]

History

• Former Section I, Part IV; Former Section R4-19-14 repealed, new Section R4-19-14 adopted effective February 20, 1980 (Supp. 80-1). Former Section R4-19-14 repealed, new Section R4-19-14 adopted effective July 16, 1984 (Supp. 84-4). Former Section R4-19-14 renumbered as Section R4-19-204 (Supp. 86-1). Section repealed; new Section adopted effective July 19, 1995 (Supp. 95-3). Amended by final rulemaking at 7 A.A.R. 5349, effective November 8, 2001 (Supp. 01-4). Amended by final rulemaking at 11 A.A.R. 451, effective March 7, 2005 (05-1). Amended by final rulemaking at 19 A.A.R. 1419, effective July 6, 2013 (Supp. 13-2). Repealed by final rulemaking at 25 A.A.R. 919, effective 6/3/2019.

Ariz. Admin. Code § R4-19-205 Students; Policies and Admissions

A. The number of students admitted to a nursing program shall be determined by the number of qualified faculty, the size, number and availability of educational facilities and resources, and the availability of the appropriate clinical learning experiences for students.

B. A nursing program shall implement written student admission and progression requirements that are evidence-based, allow for a variety of clinical experiences and satisfy the licensure criteria of A.R.S. Title 32, Chapter 15 and A.A.C. Title 4 Chapter 19.

C. A nursing program shall have and enforce written policies available to students and the public regarding admission, readmission, transfer, advanced placement, progression, graduation, withdrawal, and dismissal.

D C. A nursing program and parent institution shall:

1. Develop and enforce written policies that are readily available to:

a. Students, in either the college catalogue or nursing student handbook, that address student rights, responsibilities, grievance processes, health, safety; and

b. Students and the public, for policies regarding, admission, readmission, transfer, advanced placement, progression, graduation, withdrawal, and dismissal.

2. Provide accurate and complete written information that is readily available to all students and the general public about the program, including:

a. The nature of the program, including course sequence, prerequisites, co-requisites and academic standards;

b. The length of the program;

c. Total program costs including tuition, fees and all program related expenses;

d. The transferability of credits to other public and private educational institutions in Arizona; and

e. A clear statement regarding any technology based instruction and the technical support provided to students.

E. A nursing program and parent institution shall provide accurate and complete written information that is readily available to all students and the general public about the program, including

1. The nature of the program, including course sequence, prerequisites, co-requisites and academic standards;

2. The length of the program;

3. Total program costs including tuition, fees and all program related expenses;

4. The transferability of credits to other public and private educational institutions in Arizona; and

5. A clear statement regarding any technology based instruction and the technical support provided to students.

F D. A nursing program shall communicate changes in policies, procedures and program information clearly to all students, prospective students and the public and provide advance notice in a time-frame that allows those who are or may be affected to comply with the changes.

History

• Adopted effective February 20, 1980 (Supp. 80-1). Former Section R4-19-15 repealed, new Section R4-19-15 adopted effective July 16, 1984 (Supp. 84-4). Former Section R4-19-15 renumbered as Section R4-19-205 (Supp. 86-1). Section repealed; new Section adopted effective July 19, 1995 (Supp. 95-3). Amended by final rulemaking at 7 A.A.R. 5349, effective November 8, 2001 (Supp. 01-4). Amended by final rulemaking at 11 A.A.R. 451, effective March 7, 2005 (05-1). Amended by final rulemaking at 19 A.A.R. 1419, effective July 6, 2013 (Supp. 13-2). Amended by final rulemaking at 23 A.A.R. 1420, effective 7/1/2017. Amended by final rulemaking at 25 A.A.R. 919, effective 6/3/2019.

Ariz. Admin. Code § R4-19-206 Curriculum

A. A nursing program shall assign students only to those clinical agencies that provide the experience necessary to meet the established

B A. A nursing program shall provide a written program curriculum to students that includes;

1. Student centered outcomes for the program;

2. A curriculum plan that identifies the prescribed course sequencing and time required;

3. Specific course information that includes:

a. A course description and outline including student centered and measurable didactic, clinical, and simulation objectives, if applicable, for each unit of instruction;

b. Student centered and measurable didactic objectives;

c. Student centered and measurable clinical objectives, if applicable;

d. Student centered and measurable simulation objectives, if applicable;

e. A course content outline that relates to the course objectives;

f. Student centered and measurable objectives and a content outline for each unit of instruction.

gb. Graded activities to demonstrate that course objectives have been met.

C B. A nursing program administrator and faculty members shall ensure that the curriculum:

1. Reflects the nursing program's mission and goals;

2 1. Is designed so that the student is able to achieve program objectives within the curriculum plan;

3 2. Is logically consistent between and within courses and structured in a manner whereby each course builds on previous learning.

4 3. Incorporates established professional standards, guidelines or competencies; and

5 4. Is designed so that a student who completes the program will have the knowledge and skills necessary to function in accordance with the definition and scope of practice specified in A.R.S. for a practical nurse Title 32, Chapter 15 and A.A.C. Title 4 Chapter 19, for a registered or practical nurse, as applicable.

D C. A nursing program shall provide for progressive sequencing of classroom and clinical instruction sufficient to meet the goals of the program and be organized in such a manner to allow the student to form necessary links of theoretical knowledge, clinical reasoning, and practice.

1. A nursing program curriculum shall provide coursework that includes, but is not limited to:

a. Content in the biological, physical, social, psychological and behavioral sciences, professional responsibilities, legal and ethical issues, history and trends in nursing and health care, to provide a foundation for safe and effective nursing practice consistent with the level of the nursing program;

b. Content regarding professional responsibilities, legal and ethical issues, history and trends in nursing and health care;

c b. Didactic content and supervised clinical experience in the prevention of illness and the promotion, restoration and maintenance of health in patients across the life span and from diverse cultural, ethnic, social and economic backgrounds to include:

i. Patient centered care,

ii. Teamwork and collaboration,

iii. Evidence-based practice,

iv. Quality improvement,

v. Safety, and

vi. Informatics

2. A registered nursing program shall provide clinical instruction that includes, at a minimum, selected and guided experiences that develop a student's ability to apply core principles of registered nursing in varied settings when caring for:

a. Adult and geriatric patients with acute, chronic, and complex, life-threatening, medical and surgical conditions;

b. Peri-natal patients and families;

c. Neonates, infants, and children;

d. Patients with mental, psychological, or psychiatric conditions; and

e. Patients with wellness needs.

2 3. A practical nursing program shall provide clinical instruction that includes, at minimum, selected and guided experiences that develop a student's ability to apply core principles of practical nursing when caring for:

a. Patients with medical and surgical conditions throughout the life span,

b. Peri-natal patients, and

c. Neonates, infants, and children in varied settings.

4. A nursing program shall assign students only to those clinical agencies that provide the experience necessary to meet the established clinical objectives of the course.

E. A nursing program may provide precepted clinical instruction. Programs offering precepted clinical experiences shall:

1. Develop and enforce policies that require preceptors to:

a. Be licensed nurses at or above the level of the program either by holding an Arizona license in good standing, holding multi-state privilege to practice in Arizona under A.R.S. Title 32, Chapter 15, or if practicing in a federal facility, meet requirements of A.R.S. § 32-1631(5);

b. For LPN preceptors, practice under the supervision required by A.R.S. Title 32, Chapter 15.

2. Develop and implement policies that require a faculty member of the program to:

a. Together with facility personnel, select preceptors that possess clinical expertise sufficient to accomplish the goals of the preceptorship;

b. Supervise the clinical instruction consistent with requirements of this Article, and

c. Maintain accountability for student education and evaluation.

F. A nursing program may utilize simulation in accordance with the clinical objectives of the course. Unless approved under R4-19-214, a nursing program shall not utilize simulation for an entire clinical experience with any patient population identified in subsection (D) of this Section.

G. A nursing program shall maintain at least a 80% NCLEX®; passing rate for graduates taking the NCLEX-PN® or NCLEX-RN® for the first time within 12 months of graduation.

H. At least 45% of students enrolled in the first nursing clinical course shall graduate within 100% of the prescribed period. "Prescribed period" means the time required to complete all courses and to graduate on time according to the nursing program's curriculum plan in place at the time the student entered the program, excluding the time to complete program pre-requisite or pre-clinical courses.

History

• Adopted effective February 20, 1980 (Supp. 80-1). Former Section R4-19-16 repealed, former Section R4-19-17 renumbered and amended as Section R4-19-16 effective July 16, 1984 (Supp. 84-4). Former Section R4-19-16 renumbered as R4-19-206 (Supp. 86-1). Section repealed; new Section adopted effective July 19, 1995 (Supp. 95-3). Amended by final rulemaking at 7 A.A.R. 5349, effective November 8, 2001 (Supp. 01-4). Amended by final rulemaking at 11 A.A.R. 451, effective March 7, 2005 (05-1). Pursuant to authority of A.R.S. § 41-1011(C), Laws 2012, Ch. 152, § 1, provides for A.R.S. references to be corrected to reflect the renumbering of definitions. Therefore the A.R.S. citations in subsection (B)(3) were updated. Agency request filed July 12, 2012, Office File No. M12-242 (Supp. 12-3). Amended by final rulemaking at 19 A.A.R. 1419, effective July 6, 2013 (Supp. 13-2). Amended by final rulemaking at 25 A.A.R. 919, effective 6/3/2019.

Ariz. Admin. Code § R4-19-207 New Programs; Proposal Approval; Provisional Approval

A. At a minimum of one year before establishing a nursing program, a parent institution shall submit to the Board an electronic copy of an application for proposal approval. The parent institution shall ensure that the proposal application was written by or under the direction of a registered nurse who meets the nursing program administrator requirements of R4-19-203(A) and includes the following information and documentation:

1. Name and address of the parent institution;

2. Statement of intent to establish a nursing program, including the academic and licensure level of the program; and:

a. Organizational structure of the educational institution documenting the relationship of the nursing program within the institution and the role of the nursing program administrator consistent with R4-19-201 and R4-19-203;

b. Evidence of institutional accreditation consistent with R4-19-201 and post-secondary approval, if applicable. The institution shall provide the most recent full reports including findings and recommendations of the applicable accrediting organization or approval agency. The Board may request additional accreditation or approval evidence.

c. Curriculum development documentation to include:

i. Student-centered outcomes for the program;

ii. A plan that identifies the prescribed course sequencing and time required; and

iii. Identification of established professional standards, guidelines or competencies upon which the curriculum will be based;

d. Name, qualifications, and job description of a nursing program administrator who meets the requirements of R4-19-203 and availability and job description of faculty who meet qualifications of R4-19-204;

e. Number of budgeted clinical and didactic faculty positions from the time of the first admission to graduation of the first class;

f. Evidence that the program has secured clinical sites for its projected enrollment that meet the requirements of R4-19-206;

g. Anticipated student enrollment per session and annually;

h. Documentation of planning for adequate academic facilities and secretarial and support staff to support the nursing program consistent with the requirements of R4-19-202;

i. Evidence of adequate program financial resources;

j. Tentative time schedule for planning and initiating the nursing program including faculty hiring, entry date and size of student cohorts, and obtaining and utilizing clinical placements from the expected date of proposal approval to graduation of the first cohort.

k. For a parent institution that has an existing nursing program in one or more U.S. jurisdictions including Arizona, evidence for each of its nursing programs that includes:

i. Program approval in good standing with no order entered in this or any other jurisdiction, which if entered by this state would constitute the denial of a license or a disciplinary action within the meaning of A.R.S. § 32-1601, subsection 12, paragraphs (d), (e), (f), (g), (h); and

ii. An NCLEX pass rate of at least 80% for the 12 months preceding the current application; or

iii. The parent institution successfully demonstrates to the Board that:

(1) The program is in the best interests of the public. The Board's consideration of what is in the best interests of the public shall include, but is not limited to, the geographic need for a new nursing program, the populations that would be served by the program, adequate program oversight, institutional financial security, adequacy of the program proposal, and a demonstrated history of cooperation with accrediting and regulatory bodies; and

(2) The program will be capable of meeting all other applicable requirements for the establishment of a nursing program.

l. For a parent institution that has an existing nursing program in one or more U.S. jurisdictions including Arizona, evidence for each of its nursing programs that includes:

i. Program approval in good standing with no order entered in this or any other jurisdiction, which if entered by this state would constitute the denial of a license or a disciplinary action within the meaning of A.R.S. § 32-1601, subsection 12, paragraphs (d), (e), (f), (g), (h); and

ii. An NCLEX pass rate of at least 80% for the 12 months preceding the current application; or

iii. The parent institution successfully demonstrates to the Board that:

(1) The program is in the best interests of the public. The Board's consideration of what is in the best interests of the public shall include, but is not limited to, the geographic need for a new nursing program, the populations that would be served by the program, adequate program oversight, institutional financial security, adequacy of the program proposal, and a demonstrated history of cooperation with accrediting and regulatory bodies; and

(2) The program will be capable of meeting all other applicable requirements for the establishment of a nursing program.

B. The Board shall grant proposal approval to any parent institution that meets the requirements of subsection (A) if the Board deems that such approval is in the best interests of the public. Proposal approval expires one year from the date of Board issuance.

C. A parent institution that is denied proposal approval may request a hearing by filing a written request with the Board within 30 days of service of the Board's order denying the application for proposal approval. Hearings shall be conducted in accordance with A.R.S. Title 41, Chapter 6, Article 10 and 4 A.A.C. 19, Article 6 of this Chapter.

D. At a minimum of 180 days before planned enrollment of students, a parent institution that received proposal approval within the previous year may submit to the Board an electronic copy of an application for provisional approval. The parent institution shall ensure that the provisional approval application was written by or under the direction of a registered nurse who meets the program administrator requirements of R4-19-203(A) and includes the following information and documentation:

1. Name and address of parent institution;

2. A self-study that provides evidence supporting compliance with R4-19-201 through R4-19-206, and

3. Names and qualifications of:

a. The nursing program administrator;

b. Didactic nursing faculty or one or more nurse consultants who are responsible for developing the curriculum and determining nursing program admission, progression and graduation criteria;

Plan for recruiting and hiring additional didactic faculty for the first semester or session of operation at least 60 days before classes begin;

5. Plan for recruiting and hiring additional clinical nursing faculty at least 30 days before the clinical rotation begins;

6. Final program implementation plan including dates and number of planned student admissions, recruitment and hire dates for didactic and clinical faculty for the period of provisional approval;

Descriptions of available and proposed physical facilities with dates of availability; and

8. Detailed written plan for clinical placements for all planned enrollments until graduation of the first class that is:

a. Based on current clinical availability and curriculum needs;

b. Confirms availability and commitment from proposed clinical agencies for the times and units specified.

E. Following an onsite evaluation conducted according to A.R.S. § 41-1009, the Board shall grant a two year provisional approval to a parent institution that meets the requirements of R4-19-201 through R4-19-206 if approval is in the best interest of the public. A parent institution that is denied provisional approval may request a hearing by filing a written request with the Board within 30 days of service of the Board's order denying the application for provisional approval. Hearings shall be conducted in accordance with A.R.S. Title 41, Chapter 6, Article 10 and 4 A.A.C. 19, Article 6 of this Chapter.

F. The provisional approval of a nursing program expires 12 months from the date of the grant of provisional approval if a class of nursing students is not admitted by the nursing program within that time.

G. One year after admission of the first nursing class into nursing courses, the program shall provide a report to the Board containing information on:

Implementation of the program including any differences from the plans submitted in the applications for proposal and provisional approval and an explanation of those differences; and

2. The outcomes of the evaluation of the program according to the program's systematic evaluation plan under R4-19-201;

H. Following receipt of the report described in subsection (G), a representative of the Board shall conduct a site survey visit in accordance with A.R.S. § 41-1009 to determine compliance with this Article. A report of the site visit shall be provided to the Board.

I. If a nursing program with provisional approval fails to comply with requirements of A.R.S. Title 32, Chapter 15, or 4 A.A.C. 19, Article 4, the Board may initiate a disciplinary action. Prior to imposition of discipline against a provisional approval, the nursing program is entitled to a hearing conducted in accordance with A.R.S. Title 41, Chapter 6, Article 10 and 4 A.A.C. 19, Article 6 of this Chapter.

History

• Adopted effective February 20, 1980 (Supp. 80-1). Former Section R4-19-17 renumbered and amended as Section R4-19-16 effective July 16, 1984 (Supp. 84-4). Former Section R4-19-17 renumbered as R4-19-207 (Supp. 86-1). New Section adopted effective July 19, 1995 (Supp. 95-3). Amended by final rulemaking at 7 A.A.R. 5349, effective November 8, 2001 (Supp. 01-4). Amended by final rulemaking at 11 A.A.R. 451, effective March 7, 2005 (05-1). Amended by final rulemaking at 19 A.A.R. 1419, effective July 6, 2013 (Supp. 13-2). Amended by final rulemaking at 23 A.A.R. 1420, effective 7/1/2017. Amended by final rulemaking at 25 A.A.R. 919, effective 6/3/2019. Amended by final rulemaking at 26 A.A.R. 3289, effective 12/2/2020. Amended by emergency rulemaking at 30 A.A.R. 66, effective 12/19/2023, exp. 6/16/2024 (Emergency). Amended by emergency rulemaking at 30 A.A.R. 2021, effective 6/17/2024, exp. 12/14/2024(Emergency). Amended by final rulemaking at 30 A.A.R. 3427, effective 12/27/2024.

Ariz. Admin. Code § R4-19-208 Full Approval of a New Nursing Program

A. A nursing program seeking full approval shall submit an electronic application that includes the following information and documentation:

1. Name and address of the parent institution,

2. Date the nursing program graduated its first class of students, and

3. A self-study report that contains evidence the program is in compliance with R4-19-201 through R4-19-206.

B. Following an onsite evaluation conducted according to A.R.S § 41-1009, the Board shall grant full approval for a maximum of five years or the accreditation period for nationally accredited programs governed by R4-19-213, to a nursing program that meets the requirements of this Article and if approval is in the best interest of the public. A nursing program that is denied full approval may request a hearing by filing a written request with the Board within 30 days of service of the Board's order denying the application for full approval. Hearings shall be conducted in accordance with A.R.S. Title 41, Chapter 6, Article 10 and 4 A.A.C. 19, Article 6.

History

• Adopted effective July 19, 1995 (Supp. 95-3). Amended by final rulemaking at 7 A.A.R. 5349, effective November 8, 2001 (Supp. 01-4). Amended by final rulemaking at 11 A.A.R. 451, effective March 7, 2005 (05-1). Amended by final rulemaking at 19 A.A.R. 1419, effective July 6, 2013 (Supp. 13-2). Amended by final rulemaking at 26 A.A.R. 3289, effective 12/2/2020.

Ariz. Admin. Code § R4-19-209 Nursing Program Change

A. A nursing program administrator shall receive approval from the Board before implementing any of the following nursing program changes:

1. Curriculum or program delivery method;

2. Increasing or decreasing the academic credits or units of the program excluding pre-requisite credits;

3. Adding a geographical location of the program;

Changing the level of educational preparation provided;

5. Transferring the nursing program from one parent institution to another; or

6. Establishing different admission, progression or graduation requirements for specific cohorts of the program.

B. The administrator shall submit an electronic copy of the following materials with the request for nursing program changes:

The rationale for the proposed change and the anticipated effect on the program administrator, faculty, students, resources, and facilities;

2. A summary of the differences between the current practice and proposed change;

3. A timetable for implementation of the change; and

4. The methods of evaluation to be used to determine the effect of the change.

C. The Board shall approve a request for a nursing program change if the program meets the requirements of this Section and R4-19-201 through R4-19-206. A nursing program that is denied approval of program changes may request a hearing by filing a written request with the Board within 30 days of service of the Board's order denying the application for program change. Hearings shall be conducted in accordance with A.R.S. Title 41, Chapter 6, Article 10 and 4 A.A.C. 19, Article 6 of this Chapter.

History

• Adopted effective July 19, 1995 (Supp. 95-3). Amended by final rulemaking at 7 A.A.R. 5349, effective November 8, 2001 (Supp. 01-4). Amended by final rulemaking at 11 A.A.R. 451, effective March 7, 2005 (05-1). Amended by final rulemaking at 19 A.A.R. 1419, effective July 6, 2013 (Supp. 13-2). Amended by final rulemaking at 23 A.A.R. 1420, effective 7/1/2017. Amended by final rulemaking at 25 A.A.R. 919, effective 6/3/2019. Amended by final rulemaking at 26 A.A.R. 3289, effective 12/2/2020.

Ariz. Admin. Code § R4-19-210 Renewal of Approval of Nursing Programs Not Accredited by a National Nursing Accrediting Agency

A. An approved nursing program that is not accredited by an approved national nursing accrediting agency shall submit an application packet to the Board at least four months before the expiration of the current approval that includes the following:

1. Name and address of the parent institution,

2. Evidence of current institutional accreditation status under R4-19-201,

3. Evidence that the program has secured clinical sites for its projected enrollment that meet the requirements of R4-19-206,

4. Copy or on-line access to:

a. A current catalog of the parent institution,

b. Current nursing program and institutional student and academic policies, and

c. Institutional and nursing program faculty policies and job descriptions for nursing program faculty, and

5. An electronic copy of a self-study report that contains evidence of compliance with R4-19-201 through R4-19-206.

B. Following an onsite evaluation conducted according to A.R.S. § 41-1009, the Board shall renew program approval for a maximum of five years if the nursing program meets the criteria in R4-19-201 through R4-19-206 and if renewal is in the best interest of the public. The Board shall determine the term of approval that is in the best interest of the public.

C. If the Board denies renewal of approval, the nursing program may request a hearing by filing a written request with the Board within 30 days of service of the Board's order denying the application for renewal of approval. Hearings shall be conducted in accordance with A.R.S. Title 41, Chapter 6, Article 10 and 4 A.A.C. 19, Article 6 of this Chapter.

History

• Adopted effective July 19, 1995 (Supp. 95-3). Amended by final rulemaking at 7 A.A.R. 5349, effective November 8, 2001 (Supp. 01-4). Amended by final rulemaking at 11 A.A.R. 451, effective March 7, 2005 (05-1). Amended by final rulemaking at 19 A.A.R. 1419, effective July 6, 2013 (Supp. 13-2). Amended by final rulemaking at 25 A.A.R. 919, effective 6/3/2019. Amended by final rulemaking at 26 A.A.R. 3289, effective 12/2/2020.

Ariz. Admin. Code § R4-19-211 Unprofessional Conduct in a Nursing Program; Reinstatement or Reissuance

A. A disciplinary action, or denial of approval, may be issued against a nursing, refresher, pilot, or distance learning program for any of the following acts of unprofessional conduct:

1. A pattern of failure to maintain minimum standards of acceptable and prevailing educational or nursing practice, or any such failure related to student or patient health, welfare, or safety;

2. A pattern of deficiencies in compliance with the provisions of this Article, or any such deficiency related to student or patient health, welfare, or safety;

3. Utilization or substitution of students to meet staffing needs in health care facilities;

4. A pattern of non-compliance with the program's or parent institution's mission or goals, program design, objectives, or policies, or any such deficiency related to student or patient health, welfare, or safety;

5. Failure to provide the variety and number of clinical learning opportunities necessary for students to achieve program outcomes or minimal nursing competence;

6. Student enrollments without necessary faculty, facilities, or clinical experiences to achieve program outcomes or minimal nursing competence;

Ongoing or repetitive employment of unqualified faculty or program administrator;

8. Failure to comply with Board requirements within designated time-frames;

9. Fraud or deceit in advertising, promoting or implementing the program;

Material misrepresentation of fact in any application or information submitted to the Board;

11. Failure to allow Board staff to visit the program or conduct an investigation including failure to supply requested investigative documents;

12. Any other evidence that the program's conduct may be a threat to the safety and well-being of students, faculty, patients or potential patients; or

13. Violation of any other state or federal laws, rules, or regulations that may indicate a threat to the safety or well-being of students, faculty, patients or potential patients.

B. If a program's approval was surrendered, rescinded, or denied, the program may reapply for reinstatement or reissuance of approval after a period prescribed by the Board, not to exceed five years. The program must comply with all application requirements in this Article, and further provide evidence of remediation of all violations that led to the rescission. The Board shall review the evidence, and reinstate or reissue approval of the program if the program has demonstrated remediation, complies with all program requirements in A.R.S. Title 32, Chapter 15, and A.A.C. Title 4, Chapter 19, and reinstatement is in the best interests of the public. If reinstatement or reissuance is denied, the may request a hearing by filing a written request with the Board within 30 days of service of the Board's order denying the application for approval. Hearings shall be conducted in accordance with A.R.S. Title 41, Chapter 6, Article 10 and A.A.C. Title 4, Chapter 19, Article 6.

History

• Adopted effective July 19, 1995 (Supp. 95-3). Amended by final rulemaking at 7 A.A.R. 5349, effective November 8, 2001 (Supp. 01-4). Amended by final rulemaking at 11 A.A.R. 451, effective March 7, 2005 (05-1). R4-19-211 renumbered to R4-19-212; New Section R4-19-211 made by final rulemaking at 19 A.A.R. 1419, effective July 6, 2013 (Supp. 13-2). Amended by final rulemaking at 25 A.A.R. 919, effective 6/3/2019.

Ariz. Admin. Code § R4-19-212 [Repealed]

History

• Adopted effective July 19, 1995 (Supp. 95-3). Amended by final rulemaking at 7 A.A.R. 5349, effective November 8, 2001 (Supp. 01-4). Amended by final rulemaking at 11 A.A.R. 451, effective March 7, 2005 (05-1). R4-19-212 renumbered to R4-19-213; New Section R4-19-212 renumbered from R4-19-211 and amended by final rulemaking at 19 A.A.R. 1419, effective July 6, 2013 (Supp. 13-2). Repealed by final rulemaking at 25 A.A.R. 919, effective 6/3/2019.

Ariz. Admin. Code § R4-19-213 Nursing Programs Holding National Program Accreditation; Changes in Accreditation

A. An approved nursing program that is accredited by an approved national nursing accrediting agency shall submit to the Board evidence of initial accreditation including a copy of the site visit report and the official notice of accreditation.

B A. A nationally accredited nursing program or a program seeking national accreditation or re-accreditation shall inform the Board at least 30 days in advance of any pending visit by a nursing program accrediting agency and allow Board staff to attend all portions of the visit.

C B. Following any visit by the accrediting agency, a nursing program shall submit a complete copy of all site visit reports to the Board within 15 days of receipt by the program and notify the Board within 15 days of any change or known pending change in program accreditation status or reporting requirements.

D C. The administrator of a nursing program that loses its accreditation status or allows its accreditation status to lapse shall file an application for renewal of approval under R4-19-210 within 30 days of loss of or lapse in accreditation status.

E D. Under A.R.S. § 32-1644(D) the Board may periodically re-survey a nationally accredited program to determine compliance with this Article and require a self study report. Board site visits may be conducted in conjunction with the national accrediting team.

F E. Unless otherwise notified by the Board following receipt and review of the documents required by subsections (A) and (B), a nationally accredited nursing program continues to retain full-approval status unless the Board rescinds the approval after the program has had an opportunity for a hearing in accordance with A.R.S. Title 41, Chapter 6, Article 10 and 4 A.A.C. 19, Article 6.

History

• Adopted effective July 19, 1995 (Supp. 95-3). Amended by final rulemaking at 7 A.A.R. 5349, effective November 8, 2001 (Supp. 01-4). R4-19-213 renumbered to R4-19-215; New Section R4-19-213 renumbered from R4-19-212 and amended by final rulemaking at 19 A.A.R. 1419, effective July 6, 2013 (Supp. 13-2). Amended by final rulemaking at 25 A.A.R. 919, effective 6/3/2019.

Ariz. Admin. Code § R4-19-214 Pilot Programs for Innovative Approaches in Nursing Education

A. Under A.R.S. § 32-1606(A)(9) a nursing education program, refresher program or a certified nursing assistant program may implement a pilot program for an innovative approach by complying with the provisions of this Section. Education programs approved to implement innovative approaches shall comply with all other applicable provisions of A.R.S. Title 32, Chapter 15 and A.A.C. Title 4, Chapter 19.

B. A program applying for a pilot program shall:

1. Hold full approval in good standing; and

2. Have no discipline in the past two years.

3. Have been compliant with all Board regulations during the past two years.

C. The following written information shall be provided to the Board at least 90 days prior to a Board meeting to seek approval for a pilot program:

1. Identifying information including name of program, address, responsible party and contact information;

2. A brief description of the current program, including accreditation and Board approval status;

3. Identification of the regulation or regulations that the proposed innovative approach would violate without pilot program board approval;

4. Length of time for which the innovative approach is requested;

Description of the innovative approach, including rationale and objectives;

6. Brief explanation of the rationale for the innovative approach at this time;

7 6. Explanation of how the proposed innovation differs from approaches in the current program;

8 7. Available evidence supporting the innovative approach;

9 8. Identification of resources that support the proposed innovative approach;

10 9. Expected impact the innovative approach will have on the program, including administration, students, faculty, and other program resources;

11 10. Plan for implementation and evaluation of the proposed innovation, including timeline,

12. Plan for evaluation of the proposed innovation, including measurable outcomes, method of evaluation, and frequency of evaluation; and

13 11. Additional application information as requested by the Board.

D. The Board shall approve an application for a pilot program that is in the best interests of the public, and meets the following criteria:

1. Eligibility criteria in subsection (B) and application criteria in subsection (C) are met;

2. The innovative approach will not compromise the quality of education or safe practice of students;

3. Resources are sufficient to support the innovative approach;

4. Rationale with available evidence supports the implementation of the innovative approach;

5. Implementation plan is reasonable to achieve the desired outcomes of the innovative approach;

6. Timeline provides for a sufficient period to implement and evaluate the innovative approach; and

7. Plan for periodic evaluation is comprehensive and supported by appropriate methodology.

E. The Board may:

1. Deny the application or request additional information if the program does not meet the criteria in subsections (B) and (C), or otherwise is not in the best interests of the public. The program may request a hearing by filing a written request with the Board within 30 days of service of the Board's order denying an application for a pilot program. Hearings shall be conducted in accordance with A.R.S. Title 41, Chapter 6, and 4 A.A.C. 19, Article 6.

2. Rescind the approval of the innovation, after an opportunity for a hearing in accordance with A.R.S. Title 41, Chapter 6, and 4 A.A.C. 19, Article 6, or require the program to make modifications if:

a. The Board receives substantiated evidence indicating adverse impact on the program, students, faculty, patients, or the public,

b. The program fails to implement or evaluate the innovative approach as presented and approved, or

c. The program fails to maintain eligibility criteria in subsection (B).

F. An education program that is granted approval for an innovation shall maintain eligibility criteria in subsection (B) and submit:

1. Progress reports conforming to the evaluation plan annually or as requested by the Board; and

2. A final evaluation report that conforms to the evaluation plan, detailing and analyzing the outcomes data.

G. If the innovative approach has achieved the desired outcomes and the final evaluation has been submitted, the program may request that the innovative approach be continued.

H. The Board may grant the request to continue approval if the innovative approach has achieved desired outcomes and is in the best interests of the public.

I. If the Board denies the request to continue approval of the pilot program, the program may request a hearing by filing a written request with the Board within 30 days of service of the Board's order denying renewal of the pilot program. Hearings shall be conducted in accordance with A.R.S. Title 41, Chapter 6, and 4 A.A.C. 19, Article 6.

History

• Adopted effective July 19, 1995 (Supp. 95-3). Amended by final rulemaking at 7 A.A.R. 5349, effective November 8, 2001 (Supp. 01-4). Amended by final rulemaking at 11 A.A.R. 451, effective March 7, 2005 (05-1). R4-19-214 renumbered to R4-19-216; New Section R4-19-214 made by final rulemaking at 19 A.A.R. 1419, effective July 6, 2013 (Supp. 13-2). Amended by final rulemaking at 25 A.A.R. 919, effective 6/3/2019.

Ariz. Admin. Code § R4-19-215 Voluntary Termination of a Nursing Program or a Refresher Program

A. The administrator of a nursing program or a refresher program shall notify the Board within 15 days of a decision to voluntarily terminate the program. The administrator shall, at the same time, submit a written plan for terminating the nursing program or refresher program. A program is considered voluntarily terminated when it no longer admits or plans to admit students after current students graduate.

B. The administrator shall ensure that the nursing program or refresher program is maintained, including the nursing faculty, until the last enrolled student is transferred or completes the program. At that time the Board shall remove the program from the current list of approved programs.

C. Within 15 days after the termination of a nursing program or refresher program, the administrator shall notify the Board of the permanent location and availability of all program records.

History

• New Section made by final rulemaking at 11 A.A.R. 451, effective March 7, 2005 (Supp. 05-1). Amended by final rulemaking at 13 A.A.R. 1483, effective June 2, 2007 (Supp. 07-2). R4-19-215 renumbered to R4-19-217; New Section R4-19-215 renumbered from R4-19-213 and amended by final rulemaking at 19 A.A.R. 1419, effective July 6, 2013 (Supp. 13-2). Amended by final rulemaking at 25 A.A.R. 919, effective 6/3/2019.

Ariz. Admin. Code § R4-19-216 Approval of a Refresher Program

A. An applicant for approval of a refresher program for nurses whose licenses have been inactive or expired for five or more years, nurses under Board order to enroll in a refresher program, or nurses who have not met the nursing practice requirements of R4-19-312 shall submit an electronic of a completed application that provides all of the following information and documentation:

Applicant's name, address, e-mail address, telephone number, web site address, if applicable, and fax number;

Proposed starting date for the program;

3. Name and qualifications of all instructors that meet the requirements of subsection (C);

4. Statement describing the facilities, staff, and resources that the applicant will use to conduct the refresher program;

5. A program and participant evaluation plan that includes student evaluation of the course, instructor, and clinical experience;

6. Evidence of a curriculum that meets the requirements of subsection (B);

B. A refresher program for registered and practice nurses shall provide:

1. Didactic instruction sufficient to ensure competent and safe practice to the applicable level of the nursing license, including the following subjects, at a minimum:

a. Nursing process and patient centered care;

b. Pharmacology, medication calculation, and medication administration;

c. Communication and working with inter-professional teams;

d. Critical thinking, clinical decision making and evidence-based practice;

e. Delegation, management, and leadership;

f. Meeting psychosocial and physiological needs of adult clients with medical-surgical conditions. Other populations of care may be added to the content at the program's discretion;

g. Ethics; and

h. Informatics, to include electronic health record documentation.

The program shall provide clinical experiences that, at a minimum:

a. Ensure that each qualified student has a verified clinical placement within six months of course enrollment;

b. Provide program policies for clinical placement in advance of enrollment that specify both the obligations of the school and the student regarding placement;

c. Validate that a student has the necessary didactic and theoretical knowledge to function safely in the specific clinical setting before starting a clinical experience;

d. Ensure that clinical experiences are of the type and duration to meet the course objectives.

3. Laboratory practice hours, at the program's discretion, including simulation experiences in accordance with the clinical objectives of the course, but may not replace clinical experiences.

4. Curriculum and other materials to students and prospective students that, include:

a. An overall program description including student learning objectives;

b. Objectives, content outline, and hours for didactic and clinical experience;

c. Course policies that include but are not limited to admission requirements, passing criteria, cause for dismissal, clinical requirements, grievance process and student responsibilities, cost, and length of the program.

C. Refresher program personnel qualifications and responsibilities:

1. An administrator of a refresher program shall:

a. Hold a graduate degree in nursing or a bachelor of science in nursing degree and a graduate degree in either education or a health-related field, and

b. Be responsible for administering and evaluating the program.

2. A faculty member of a refresher program shall:

a. Hold a minimum of a bachelor of science in nursing degree,

b. Be responsible for implementing the curriculum and supervising clinical experiences either directly or indirectly through the use of clinical preceptors.

3. Licensure requirements for program administrator and faculty: The administrator and faculty members shall hold a current Arizona RN license in good standing or a multi-state privilege under A.R.S., Title 32, Chapter 15.

4. If preceptors are used for clinical experiences, the program shall adhere to the preceptorship requirements of R4-19-206(E).

5. Licensed health care professionals not regulated by the Board may participate in course instruction consistent with their licensure and scope of practice, under the direction of the program administrator or faculty.

D. Program types; bonding:

1. A refresher program may be offered by:

a. An educational institution licensed by the State Board for Private Postsecondary Education;

b. A public post-secondary educational institution;

c. A health care institution licensed by the Arizona Department of Health Services or a health care institution authorized by the Centers for Medicare & Medicaid Services; or

d. A private business that meets the requirements of this Section and all other legal requirements to operate a business in Arizona;

e. A program funded by a local, state or federal governmental agency, such as a program within a technical school or school of nursing.

2. If the refresher program is offered by a private business not licensed by the State Board for Private Postsecondary Education, the program shall meet the following requirements:

a. Hold a minimum of $15,000 of insurance covering any potential or future claims for damages resulting from any aspect of the program or a hold a surety bond from a surety company with a rating of "A minus" or better by either Best's Credit Ratings, Moody's Investor Service, or Standard and Poor's rating service.

b. The program shall ensure that:

i. Bond or insurance distributions are limited to students or former students with a valid claim for instructional or program deficiencies;

ii. The amount of the bond or insurance coverage is sufficient to reimburse the full amount of collected tuition and fees for all students during all enrollment periods of the program; and

iii. The bond or insurance is maintained for an additional 24 months after program closure.

E. The Board shall approve a refresher program that meets the requirements of this Section, if approval is in the best interest of the public, for a maximum term of five years. An applicant who is denied refresher program approval may request a hearing by filing a written request with the Board within 30 days of service of the Board's order denying the application for approval. Hearings shall be conducted in accordance with A.R.S. Title 41, Chapter 6, Article 10 and Article 6 of this Chapter.

F. The refresher program sponsor shall apply for renewal of approval in accordance with subsection (A) not later than 90 days before expiration of the current approval. The sponsor of a refresher program that is denied renewal of approval may request a hearing by filing a written request with the Board within 30 days of service of the Board's order denying the application for renewal of approval. Hearings shall be conducted in accordance with A.R.S. Title 41, Chapter 6, and 4 A.A.C. 19, Article 6 of this Chapter.

G. The sponsor of an approved refresher program shall provide written notification to the Board within 15 days of a participant's completion of the program of the following:

1. Name of the participant and whether the participant successfully completed or failed the program,

2. Participant's license number, and

3. End date of participant's participation in the program.

H. The Board may approve a refresher program application from another U.S. jurisdiction for an individual applicant on a case-by-case basis if the applicant provides verifiable evidence that the refresher program substantially meets the requirements of this Section. The acceptance of the program for an individual applicant does not confer approval status upon the program.

I. Within 30 days, a refresher program shall report to the Board changes in:

1. Name, address, email address, web site address or phone number of the program; or

2. Ownership including adding or deleting an owner.

J. The Board may take disciplinary action against the approval of a refresher program after offering a hearing conducted in accordance with A.R.S. Title 41, Chapter 6, and 4 A.A.C. 19, Article 6 of this Chapter.

History

• New Section R4-19-216 renumbered from R4-19-214 and amended by final rulemaking at 19 A.A.R. 1419, effective July 6, 2013 (Supp. 13-2). Amended by final rulemaking at 23 A.A.R. 1420, effective 7/1/2017. Amended by final rulemaking at 25 A.A.R. 919, effective 6/3/2019. Amended by final rulemaking at 26 A.A.R. 3289, effective 12/2/2020.

Ariz. Admin. Code § R4-19-217 Distance Learning Nursing Programs; Out-of-State Nursing Programs

A. An out-of-state nursing program that is in good standing in another state in the United States and plans to provide distance-based didactic instruction and on-ground clinical instruction in Arizona shall comply with the application requirements of R4-19-207 and R4-19-208. The program shall employ at least one faculty member who is physically present in this state to coordinate the education and clinical experience.

B. Any nursing program that delivers didactic instruction in Arizona by distance learning methods shall ensure that the methods of instruction are compatible with the program curriculum plan and enable a student to meet the goals, competencies, and objectives of the educational program and standards of the Board, A.R.S. Title 32, Chapter 15, and 4 A.A.C. 19.

1. A distance learning nursing program shall establish a means for assessing individual student outcomes, and program outcomes including, at minimum, student learning outcomes, student retention, student satisfaction, and faculty satisfaction.

2. For out-of-state nursing programs, the program shall be within the jurisdiction of and regulated by an equivalent United States nursing regulatory authority in the state from which the program originates, unless also providing clinical experience in Arizona.

3. Didactic faculty members shall be licensed in the state of origination of a distance learning nursing program and in Arizona or hold a multi-state compact license unless exempt under A.R.S. § 32-1631(8). Clinical supervising faculty shall be licensed in the location of the clinical activity.

4. A distance learning nursing program shall provide students with supervised clinical and laboratory experiences so that program objectives are met and didactic learning is validated by supervised, on-ground clinical and laboratory experiences.

5. A distance-learning nursing program shall provide students with adequate access to technology, resources, technical support, and the ability to interact with peers, preceptors, and faculty.

C. A nursing program, located in another state or territory of the United States, that wishes to provide clinical experiences in Arizona under A.R.S. § 32-1631(3), shall obtain Board approval before offering or conducting a clinical session. To obtain approval, the program shall submit a proposal package that contains:

1. A self study, describing the program's compliance with R4-19-201 through R4-19-206; and

2. A statement regarding, the number and type of student placements planned, and written commitment by the clinical facilities to provide the necessary clinical experiences, the name and qualifications of faculty licensed in Arizona and physically present in the facility who will supervise the experience and verification of good standing of the program in the jurisdiction of origin.

D. The Board may require a nursing program approved under this Section to file periodic reports to determine compliance with the provisions of this Article. A program shall submit a report to the Board within 30 days of the date on a written request from the Board or by the due date stated in the request if the due date is after the normal 30-day period.

E. The Board shall approve an application to conduct clinical instruction in Arizona that meets the requirements in A.R.S. Title 32, Chapter 15 and A.A.C. Title 4, Chapter 19, and is in the best interest of the public. An applicant who is denied approval to conduct clinical instruction in Arizona may request a hearing by filing a written request with the Board within 30 days of service of the Board's order denying the application for approval. Hearings shall be conducted in accordance with A.R.S. Title 41, Chapter 6, Article 10 and A.A.C. Title 4, Chapter 19, Article 6.

F. The Board may rescind an approval held by an out-of-state nursing program to conduct clinical instruction in Arizona, in accordance with R4-19-212 .

G F. If the Board finds that a nursing program located and approved in another state or territory of the United States does not meet requirements for nursing programs prescribed in this Article the Board may take other disciplinary action depending on the severity of the offense after offering a hearing conducted in accordance with A.R.S. Title 41, Chapter 6, Article 10 and A.A.C. Title 4, Chapter 19, Article 6.

1. If the Board issues a notice of deficiency and the program fails to correct the deficiency before the expiration of the period of correction, the Board shall rescind approval of the program as prescribed in R4-19-212(B)(1) . 2

1. Students enrolled at the time of rescission of approval shall not be granted licensure unless the applicant meets all applicable licensure requirements.

2. The Board shall ensure that the applicant has completed a curriculum that is equivalent to that of an approved nursing program.

3. If a nursing program provides evidence of compliance with this Article after the rescission of approval, the Board shall review the evidence, determine whether or not the nursing program complies with these standards, and reinstate approval of the program if the program complies with these standards and reinstatement is in the best interest of the public.

History

• New Section R4-19-217 renumbered from R4-19-215 and amended by final rulemaking at 19 A.A.R. 1419, effective July 6, 2013 (Supp. 13-2). Amended by final rulemaking at 20 A.A.R. 1859, effective 9/8/2014. Amended by final rulemaking at 25 A.A.R. 919, effective 6/3/2019.

Article 3 LICENSURE

Ariz. Admin. Code § R4-19-301 Licensure by Examination

A. An applicant for licensure by examination shall:

1. Submit a verified application to the Board on a form furnished by the Board that provides the following information about the applicant:

a. Full legal name and all former names used by the applicant;

b. Address of Record, including declared primary state of residence, e-mail address, and telephone number;

c. Place and date of birth;

d. Ethnic category and marital status, at the applicant's discretion;

e. Social Security number for an applicant who lives or works in the United States;

f. Post-secondary education, including the names and locations of all schools attended, graduation dates, and degrees received, if applicable;

g. Current employer or practice setting, including address, position, and dates of service, if employed or practicing in nursing or health care;

h. Information regarding the applicant's compliance with the practice or education requirements in R4-19-312;

i. Any state, territory, or country in which the applicant holds or has held a registered or practical nursing license and the license number and status of the license, including original state of licensure, if applicable;

j. The date the applicant previously filed an application for licensure in Arizona, if applicable;

k. Responses to questions regarding the applicant's background on the following subjects:

i. Current investigation or pending disciplinary action by a nursing regulatory agency in the United States or its territories;

ii. Action taken on a nursing license by any other state;

iii. Undesignated offenses, felony charges, convictions and plea agreements, including deferred prosecution;

iv. Misdemeanor charges, convictions and plea agreements, including deferred prosecution, that are required to be reported under A.R.S. § 32-3208;

v. Unprofessional conduct as defined in A.R.S. § 32-1601;

vi. Substance use disorder within the last 5 years;

vii. Current participation in an alternative to discipline program in any other state;

l. Explanation and supporting documentation for each affirmative answer to questions regarding the applicant's background; and.

m. Certification in nursing including category, specialty, name of certifying body, date of certification, and expiration date.

2. Submit proof of United States citizenship or alien status as specified in A.R.S. § 41-1080;

3. Submit a completed fingerprint card on a form provided by the Board or prints for the purpose of obtaining a criminal history report under A.R.S. § 32-1606 if the applicant has not submitted a fingerprint card or prints to the Board within the last two years; and

Pay the applicable fees.

B. If an applicant is a graduate of a pre-licensure nursing program in the United States that has been assigned a program code by the National Council of State Boards of Nursing during the period of the applicant's attendance, the applicant shall submit one of the following:

1. If the program is an Arizona-approved program, the transcript required in subsection (B)(2) or a statement signed by a nursing program administrator or designee verifying that:

a. The applicant graduated from or is eligible to graduate from a registered nursing program for a registered nurse applicant; or

b. The applicant graduated from or is eligible to graduate from a practical nursing program or graduated from a registered nursing program and completed Board-prescribed role delineation education for a practical nurse applicant; or

2. If the program is located either in Arizona or in another state or territory and meets educational standards that are substantially comparable to Board standards for educational programs under Article 2 when the applicant completed the program, an official transcript sent directly from one of the following as:

a. Evidence of graduation or eligibility for graduation from a diploma registered nursing program, associate degree registered nursing program, or baccalaureate or higher degree registered nursing program for a registered nurse applicant.

b. Evidence of graduation or eligibility for graduation of a practical nursing program, associate degree registered nursing program, or baccalaureate or higher degree registered nursing program for a practical nurse applicant.

C. If an applicant is a graduate of a pre-licensure international nursing program and lacks items required in subsection (B), the applicant shall comply with subsection (A), submit a self report on the status of any international nursing license, and submit the following:

1. To demonstrate nursing program equivalency, one of the following:

a. If the applicant graduated from a Canadian nursing program, evidence of a passing score on the English language version of either the Canadian Nurses' Association Testing Service, the Canadian Registered Nurse Examination, NCLEX or an equivalent examination;

b. A Certificate or Visa Screen Certificate issued by the Commission on Graduates of Foreign Nursing Schools (CGFNS), or a report from CGFNS that indicates an applicant's program is substantially comparable to a U.S. program; or

c. A report from any other credential evaluation service (CES) approved by the Board.

2. If a graduate of an international pre-licensure nursing program subsequently obtains a degree in nursing from an accredited U.S. nursing program, the requirement for a CES equivalency report may be waived by the Board, however the applicant is not eligible for a multi-state compact license.

3. If an applicant's pre-licensure nursing program provided classroom instruction, textbooks, or clinical experiences in a language other than English, a test of written, oral, and spoken English is required. Clinical experiences are deemed to have been provided in a language other than English if the principal or official language of the country or region where the clinical experience occurred is a language other than English, according to the United States Department of State.

4. An applicant who is required to demonstrate English language proficiency shall ensure that one of the following is submitted to the Board directly from the testing or certifying agency:

a. Evidence of a minimum score of 84 with a minimum speaking score of 26 on the Internet-based Test of English as a Foreign Language (TOEFL),

b. Evidence of a minimum score of 6.5 overall with minimum of 6.0 on each module of the Academic Exam of the International English Language Test Service (IELTS) Examination,

c. Evidence of a minimum score of 55 overall with a minimum score of 50 on each section of the Pearson Test of English Academic exam.

d. A Visa Screen Certificate from CGFNS,

e. A CGFNS Certificate,

f. Evidence of a similar minimum score on another written and spoken English proficiency exam determined by the Board to be equivalent to the other exams in this subsection, or

g. Evidence of employment for a minimum of 960 hours within the past five years as a nurse in a country or territory where the principal language is English, according to the United States Department of State.

D. An applicant for a registered nurse license shall attain one of the following:

A passing score on the NCLEX-RN;

A score of 1600 on the NCLEX-RN, if the examination was taken before July 1988; or

3. A score of not less than 350 on each part of the SBTPE for registered nurses.

E. An applicant for a practical nurse license shall attain:

1. A passing score on the NCLEX-PN;

2. A score of not less than 350 on the NCLEX-PN, if the examination was taken before October 1988; or

3. A score of not less than 350 on the SBTPE for practical nurses.

F. The Board shall grant a license to practice as a registered or practical nurse to any applicant who meets the criteria established in statute and this Article. An applicant who is denied a license by examination may request a hearing by filing a written request with the Board within 30 days of service of the Board's order denying the license. Hearings shall be conducted in accordance with A.R.S. Title 41, Chapter 6, Article 10.

G. If the Board receives an application from a graduate of a nursing program and the program's approval was rescinded under R4-19-212 at any time during the applicant's nursing education, the Board shall ensure that the applicant has completed a basic curriculum that is equivalent to that of a Board-approved nursing program and may do any of the following:

1. Grant licensure, if the program's approval was reinstated during the applicant's period of enrollment and the program provides evidence that the applicant completed a curriculum equivalent to that of a Board-approved nursing program;

2. By order, require successful completion of remedial education while enrolled in a Board approved nursing program which may include clinical experiences, before granting licensure; or

3. Return or deny the application if the education was not equivalent and no remediation is possible.

History

• Former Section II, Part I; Amended effective January 20, 1975 (Supp. 75-1). Amended effective December 7, 1976 (Supp. 76-5). Former Section R4-19-24 repealed, new Section R4-19-24 adopted effective February 20, 1980 (Supp. 80-1). Former Section R4-19-24 repealed, new Section R4-19-24 adopted effective May 9, 1984 (Supp. 84-3). Former Section R4-19-24 renumbered as Section R4-19-301 (Supp. 86-1). Section repealed, new Section adopted effective July 19, 1995 (Supp. 95-3). Amended by final rulemaking at 6 A.A.R. 4819, effective December 7, 2000 (Supp. 00-4). Amended by final rulemaking at 10 A.A.R. 792, effective April 3, 2004 (Supp. 04-1). Amended by final rulemaking at 13 A.A.R. 1483, effective June 2, 2007 (Supp. 07-2). Amended by final rulemaking at 19 A.A.R. 1308, effective July 6, 2013 (Supp. 13-2). Amended by final rulemaking at 23 A.A.R. 1420, effective 7/1/2017. Amended by final rulemaking at 26 A.A.R. 3289, effective 12/2/2020.

Ariz. Admin. Code § R4-19-302 Licensure by Endorsement

A. An applicant for a license by endorsement shall submit all of the information required in R4-19-301(A).

B. In addition to the information required in subsection (A), an applicant for a license by endorsement shall:

1. Submit evidence of a passing examination score in accordance with:

a. R4-19-301(E) for a registered nurse applicant, or

b. R4-19-301(F) for a practical nurse applicant.

2. Submit the following:

a. Evidence of previous or current license in another state or territory of the United States,

b. Information related to the nurse's practice for the purpose of collecting nursing workforce data, and

c. One of the following:

i. Completion of a pre-licensure nursing program that has been assigned a nursing program code by the National Council of State Boards of Nursing (NCSBN) at the time of program completion and the program meets educational standards substantially comparable to Board standards for educational programs in Article 2;

ii. If the applicant completed a pre-licensure nursing program that has been assigned a program code by the NCSBN but the program's approval was rescinded under A.R.S. § 32-1606(B)(8) or removed from the list of approved programs under A.R.S. § 32-1644(D) or R4-19-212 during the applicant's enrollment in the program, proof of completion of the program and completion of any remedial education required by the Board to mitigate the deficiencies in the applicant's initial nursing program;

iii. If the applicant graduated from a U.S. nursing program before 1986 and the applicant was issued an initial license in another state or territory of the United States without being required to obtain additional education or experience, proof both of program completion and initial licensure without additional educational or experiential requirements;

iv. If the applicant graduated from an international nursing program, proof of meeting the requirements in R4-19-301.

v. If the Board finds that the documentation submitted by the applicant does not fulfill one of the requirements in (B)(2)(b)(i) through (iv), but the applicant has submitted verified employer evaluations demonstrating applicant's safe practice as a registered or practical nurse in another state for a minimum of two years full-time during the past three years and applicant otherwise meets licensure requirements, the Board may grant a single-state only license if the Board determines that licensure is in the best interest of the public.

C. The Board shall grant a license to practice as a registered or practical nurse to any applicant who meets the criteria established in statute and this Article. An applicant who is denied a license by endorsement may request a hearing by filing a written request with the Board within 30 days of service of the Board's order denying the license. Hearings shall be conducted in accordance with A.R.S. Title 41, Chapter 6, Article 10.

History

• Former Section II, Part II; Amended effective December 7, 1976 (Supp. 76-5). Former Section R4-19-25 repealed, new Section R4-19-25 adopted effective February 20, 1980 (Supp. 80-1). Former Section R4-19-25 repealed, new Section R4-19-25 adopted effective May 9, 1984 (Supp. 84-3). Former Section R4-19-25 renumbered and amended as Section R4-19-302 effective February 21, 1986 (Supp. 86-1). Section repealed, new Section adopted effective July 19, 1995 (Supp. 95-3). Amended by final rulemaking at 6 A.A.R. 4819, effective December 7, 2000 (Supp. 00-4). Amended by final rulemaking at 10 A.A.R. 792, effective April 3, 2004 (Supp. 04-1). Amended by final rulemaking at 13 A.A.R. 1483, effective June 2, 2007 (Supp. 07-2). Amended by final rulemaking at 19 A.A.R. 1308, effective July 6, 2013 (Supp. 13-2).

Ariz. Admin. Code § R4-19-303 Requirements for Credential Evaluation Service

A. A CES seeking Board approval shall submit documentation to the Board demonstrating that it:

1. Provides a credential evaluation to determine comparability of registered nurse or practical nurse programs in other countries to nursing education in the United States;

2. Evaluates original source documents;

3. Has five or more years of experience in evaluating nursing educational programs or employs personnel that have this experience;

4. Employs staff with expertise in evaluating nursing programs;

5. Has access to resources pertinent to the field of nursing education and the evaluation of nursing programs;

6. Issues a report on each applicant, and supplies the Board with a sample of such a report, regarding the comparability of the applicant's nursing educational program to nursing education in the United States that includes:

a. The current name of the applicant including any names formerly used by the applicant;

b. Source and description of the documents evaluated;

c. Name and nature of the nursing education program, including status of the parent institution;

d. Dates applicant attended;

e. References consulted;

f. A seal or some other security measure;

g. Notification of any falsification or misrepresentation of documents by the applicant;

h. A report on licensure examination results for the applicant, if an exam was required for licensure in the international jurisdiction; and

i. The status of any international nursing licenses held by the applicant.

7. Has a quality control program that includes at a minimum:

a. Standards regarding the use of original documents;

b. Verification of authenticity of documents and translations;

c. Processes and procedures to prevent and detect fraud;

d. Policies for maintaining confidentiality of applicant educational records;

e. Responsiveness to applicants, including ensuring that reports are issued no later than eight weeks from the receipt of an applicant's documents; and

f. Tracking of and notification to the Board of any trends in falsification or misrepresentation of documents;

8. Follows or exceeds the standards of the National Association of Credentialing Services (NACES) or an equivalent organization;

9. Responds to Board requests for information in a timely and thorough manner; and

10. Agrees to notify the Board before any changes in any of the above criteria.

B. If a CES fails to comply with the provisions of subsection (A), the Board may rescind its approval of the CES.

C. The Board shall approve a credential evaluation service that meets the criteria established in this Section. A CES applicant who is denied approval or whose approval is revoked may request a hearing by filing a written request with the Board within 30 days of service of the Board's order denying the approval. Hearings shall be conducted in accordance with A.R.S. Title 41, Chapter 6, Article 10.

History

• Former Section II, Part III; Former Section R4-19-26 repealed, new Section R4-19-26 adopted effective February 20, 1980 (Supp. 80-1). Former Section R4-19-26 renumbered and amended as Section R4-19-27, new Section R4-19-26 adopted effective May 9, 1984 (Supp. 84-3). Former Section R4-19-27 renumbered as Section R4-19-303 (Supp. 86-1). Section repealed, new Section adopted effective July 19, 1995 (Supp. 95-3). Amended by final rulemaking at 5 A.A.R. 1802, effective May 18, 1999 (Supp. 99-2). Amended by final rulemaking at 6 A.A.R. 4819, effective December 7, 2000 (Supp. 00-4). Former Section R4-19-303 renumbered to R4-19-304; new Section R4-19-303 made by final rulemaking at 10 A.A.R. 792, effective April 3, 2004 (Supp. 04-1). Amended by final rulemaking at 19 A.A.R. 1308, effective July 6, 2013 (Supp. 13-2).

Ariz. Admin. Code § R4-19-304 Temporary License

A. Subject to subsection (B), the Board shall issue a temporary license if:

1. An applicant:

a. Is qualified under:

i. A.R.S. § 32-1635 and applies for a temporary registered nursing license, or is qualified under A.R.S. § 32-1640 and applies for a temporary practical nursing license; and

ii. R4-19-301 for applicants for licensure by examination, or is qualified under R4-19-302 for applicants for licensure by endorsement; and

b. Submits an application for a temporary license with the applicable fee required under A.R.S. § 32-1643(A)(9); and

c. Submits an application for a license by endorsement or examination with the applicable fee required under A.R.S. § 32-1643(A).

2. An applicant is seeking a license by examination, meets the requirements of R4-19-312(D), and the Board receives the applicant's fingerprint card or fingerprints; or

3. An applicant is seeking a license by endorsement, meets the requirements in R4-19-312(B), and the applicant submits evidence that the applicant has a current license in good standing in another state or territory of the United States or, if no current license, a previous license in good standing that was not the subject of an investigation or pending discipline; or

4. An applicant who does not meet the practice requirements in R4-19-312(B) or (D), but provides evidence that the applicant has applied for enrollment in a refresher or other competency program approved by the Board, may practice nursing under a temporary license during the clinical portion of the program only.

B. An applicant who has a criminal history, a history of disciplinary action by a regulatory agency, a pending complaint before the Board, or answers affirmatively to any criminal background or disciplinary question in the application is not eligible for a temporary license or extension of a temporary license without Board approval.

C. A temporary license is valid for a maximum of 12 months unless extended for good cause under subsection (D) of this Section.

D. An applicant with a temporary license may apply for and the Board, the Executive Director or the Executive Director's designee may grant an extension of the temporary license period for good cause. Good cause means reasons beyond the control of the temporary licensee, such as unavoidable delays in obtaining information required for licensure.

E. An applicant who receives a temporary license but does not meet the criteria for a regular license within the established period under subsections (C) and (D) is no longer eligible for a temporary license except for the purpose of completing a refresher or other competency program under subsection (A)(4) of this Section.

History

• Former Section II, Part IV; Amended effective January 20, 1975 (Supp. 75-1). Former Section R4-19-27 repealed, new Section R4-19-27 adopted effective February 20, 1980 (Supp. 80-1). Former Section R4-19-27 renumbered and amended as Section R4-19-28. Former Section R4-19-26 renumbered and amended as Section R4-19-27 effective May 9, 1984 (Supp. 84-3). Former Section R4-19-27 renumbered and amended as Section R4-19-304 effective February 21, 1986 (Supp. 86-1). Section repealed, new Section adopted effective July 19, 1995 (Supp. 95-3). Amended by final rulemaking at 6 A.A.R. 4819, effective December 7, 2000 (Supp. 00-4). Former Section R4-19-304 renumbered to R4-19-305; new Section R4-19-304 renumbered from R4-19-303 and amended by final rulemaking at 10 A.A.R. 792, effective April 3, 2004 (Supp. 04-1). Amended by final rulemaking at 19 A.A.R. 1308, effective July 6, 2013 (Supp. 13-2). Amended by final rulemaking at 26 A.A.R. 3289, effective 12/2/2020.

Ariz. Admin. Code § R4-19-305 License Renewal

A. An applicant for renewal of a registered or practical nursing license shall:

1. Submit a verified application to the Board on a form furnished by the Board that provides all of the following information about the applicant:

a. Full legal name, addsress of record, e-mail address, telephone number and declared primary state of residence;

b. A listing of all states in which the applicant is currently licensed, or, since the last renewal, was previously licensed or has been denied licensure;

c. Marital status and ethnic category, at the applicant's discretion;

d. Information regarding qualifications, including:

i. Educational background;

ii. Employment status;

iii. Practice setting; and

iv. Other information related to the nurse's practice for the purpose of collecting nursing workforce data.

e. Responses to questions regarding the applicant's background on the following subjects:

i. Criminal convictions for offenses involving drugs or alcohol since the time of last renewal;

ii. Undesignated offenses and felony charges, convictions and plea agreements including deferred prosecution;

iii. Misdemeanor charges, convictions and plea agreements, including deferred prosecution, that are required to be reported under A.R.S. § 32-3208;

iv. Unprofessional conduct as defined in A.R.S. § 32-1601 since the time of last renewal;

v. Substance use disorder within the last five years;

vi. Current participation in an alternative to discipline program in any other state; and

vii. Disciplinary action or investigation related to the applicant's nursing license by any other state nursing regulatory agency since the last renewal.

f. Explanation and supporting documentation for each affirmative answer to questions regarding the applicant's background;

g. Information related to the applicant's current or most recent nursing practice setting, including position, address, telephone number, and dates of practice;

h. Information regarding the applicant's compliance with the practice or education requirements in R4-19-312;

i. National certification in nursing including specialty, name of certifying body, date of certification, certification number, and expiration date, if applicable; and for an applicant certified as a registered nurse practitioner or clinical nurse specialist the patient population of the certification; and

2. Pay fees for renewal authorized by A.R.S. § 32-1643(A)(6); and

3. Pay an additional fee for late renewal authorized by A.R.S. § 32-1643(A)(7) if the application for renewal is submitted after May 1 of the year of renewal.

B. A license expires on August 1 of the year of renewal indicated on the license.

C. A licensee who fails to submit a renewal application before expiration of a license shall not practice nursing until the Board issues a renewal license.

D. If the applicant holds a license or certificate that has been or is currently revoked, surrendered, denied, suspended or placed on probation in another jurisdiction, the applicant is not eligible to renew or reactivate a license until a review or investigation has been completed and a decision regarding eligibility for renewal or reactivation is made by the Board.

E. The Board shall renew the license of any registered or practical nurse applicant who meets the criteria established in statute and this Article. An applicant who is denied renewal of a license may request a hearing by filing a written request with the Board within 30 days of service of the Board's order denying renewal of the license. Hearings shall be conducted in accordance with A.R.S. Title 41, Chapter 6, Article 10.

History

• Former Section II, Part V; Repealed effective January 20, 1975 (Supp. 75-1). New Section R4-19-28 adopted effective February 20, 1980 (Supp. 80-1). Former Section R4-19-28 renumbered and amended as Section R4-19-29. Former Section R4-19-27 renumbered and amended as Section R4-19-28 effective May 9, 1984 (Supp. 84-3). Former Section R4-19-28 renumbered and repealed as Section R4-19-305 effective February 21, 1986 (Supp. 86-1). New Section adopted effective July 19, 1995 (Supp. 95-3). Amended by final rulemaking at 6 A.A.R. 4819, effective December 7, 2000 (Supp. 00-4). Former Section R4-19-305 renumbered to R4-19-306; new Section R4-19-305 renumbered from R4-19-304 and amended by final rulemaking at 10 A.A.R. 792, effective April 3, 2004 (Supp. 04-1). Amended by final rulemaking at 19 A.A.R. 1308, effective July 6, 2013 (Supp. 13-2). Amended by final rulemaking at 23 A.A.R. 1420, effective 7/1/2017. Amended by final rulemaking at 26 A.A.R. 3289, effective 12/2/2020.

Ariz. Admin. Code § R4-19-306 Inactive License

A. A licensee in good standing may submit to the Board either as a separate written document or as part of the renewal application, a request to transfer to inactive status, or retirement status under A.R.S. §§ 32-1606(A)(10) and 32-1636(E).

B. The Board shall send a written notice to the licensee granting inactive or retirement status or denying the request. A licensee denied a request for transfer to inactive or retirement status may request a hearing by filing a written request with the Board within 30 days of service of the denial of the request. Hearings shall be conducted in accordance with A.R.S. Title 41, Chapter 6, Article 10.

History

• Former Section II, Part VI; Amended effective January 20, 1975 (Supp. 75-1). Amended effective December 7, 1976 (Supp. 76-5). Former Section R4-19-29 repealed, new Section R4-19-29 adopted effective February 20, 1980 (Supp. 80-1). Former Section R4-19-29 renumbered and amended as Section R4-19-30 effective May 9, 1984 (Supp. 84-3). Former Section R4-19-28 renumbered and amended as Section R4-19-29 effective May 9, 1984 (Supp. 84-3). Former Section R4-19-29 renumbered as Section R4-19-306 (Supp. 86-1). Section repealed, new Section adopted effective July 19, 1995 (Supp. 95-3). Amended by final rulemaking at 6 A.A.R. 4819, effective December 7, 2000 (Supp. 00-4). Former Section R4-19-306 renumbered to R4-19-307; new Section R4-19-306 renumbered from R4-19-305 and amended by final rulemaking at 10 A.A.R. 792, effective April 3, 2004 (Supp. 04-1). Amended by final rulemaking at 19 A.A.R. 1308, effective July 6, 2013 (Supp. 13-2).

Ariz. Admin. Code § R4-19-307 [Repealed]

History

• Former Section II, Part VII; Former Section R4-19-30 renumbered and amended as Section R4-19-45, new Section R4-19-30 adopted effective February 20, 1980 (Supp. 80-1). Former Section R4-19-30 renumbered and amended as Section R4-19-31. Former Section R4-19-29 renumbered and amended as R4-19-30 effective May 9, 1984 (Supp. 84-3). Former Section R4-19-29 renumbered and amended as Section R4-19-307 effective February 21, 1986 (Supp. 86-1). Section repealed, new Section adopted effective July 19, 1995 (Supp. 95-3). Amended by final rulemaking at 6 A.A.R. 4819, effective December 7, 2000 (Supp. 00-4). Former Section R4-19-307 renumbered to R4-19-308; new Section R4-19-307 renumbered from R4-19-306 and amended by final rulemaking at 10 A.A.R. 792, effective April 3, 2004 (Supp. 04-1). Amended by final rulemaking at 19 A.A.R. 1308, effective July 6, 2013 (Supp. 13-2). Repealed by final rulemaking at 25 A.A.R. 919, effective 6/3/2019.

Ariz. Admin. Code § R4-19-308 Change of Name or Address

A. A licensee or applicant shall notify the Board, in writing or electronically through the Board website, of any legal change in name within 30 days of the change, and submit a copy of the official document verifying the name change.

B. A licensee or applicant shall notify the Board in writing or electronically through the Board website of any change in address of record, and residential address, if different, within 30 days.

History

• Former Section II, Part VII; Former Section R4-19-31 repealed, new Section R4-19-31 adopted effective February 20, 1980 (Supp. 80-1). Former Section R4-19-31 renumbered and amended as Section R4-19-32. Former Section R4-19-30 renumbered and amended as Section R4-19-31 effective May 9, 1984 (Supp. 84-3). Former Section R4-19-31 renumbered as Section R4-19-308 (Supp. 86-1). Section repealed, new Section adopted effective July 19, 1995 (Supp. 95-3). Amended effective December 3, 1998 (Supp. 98-4). Amended by final rulemaking at 6 A.A.R. 4819, effective December 7, 2000 (Supp. 00-4). Former Section R4-19-308 renumbered to R4-19-309; new Section R4-19-308 renumbered from R4-19-307 and amended by final rulemaking at 10 A.A.R. 792, effective April 3, 2004 (Supp. 04-1). Amended by final rulemaking at 19 A.A.R. 1308, effective July 6, 2013 (Supp. 13-2). Amended by final rulemaking at 26 A.A.R. 3289, effective 12/2/2020.

Ariz. Admin. Code § R4-19-309 School Nurse Certification Requirements

A. An applicant for initial school nurse certification shall

1. hold a current license in good standing or multistate privilege to practice as a registered nurse in Arizona.

2. Submit a verified application to the Board on a form furnished by the Board that provides the following information about the applicant:

a. Full legal name and any former names used by the applicant;

b. Mailing address and telephone number;

c. Registered nurse license number;

d. Social security number;

e. A description of the applicant's educational background, including the number and location of schools attended, the number of years attended, the date of graduation, the type of degree or certificate awarded, and if applicable, evidence that the applicant has satisfied the requirements specified in subsection (B), (C) or (D);

f. Current employer, including address, telephone number, position type, dates of employment, and previous employer if the current employment is less than 12 months;

g. The name of any national certifying organization, specialty area, certification number and date of certification, if applicable; and for an applicant certified in as a nurse practitioner or clinical nurse specialist, the population of the certification;

h. Responses to questions regarding the applicant's background on the following subjects:

i. Current investigation or pending disciplinary action by a nursing regulatory agency in the United States or its territories or current investigation in another state or territory of the United States;

ii. Action taken on a nursing license by any other state;

iii. Undesignated offenses, felony charges, convictions and plea agreements, including deferred prosecution;

iv. Misdemeanor charges, convictions and plea agreements, including deferred prosecution, that are required to be reported under A.R.S. § 32-3208 :

v. Unprofessional conduct as defined in A.R.S. § 32-1601 ;

vi. Substance use disorder within the last five years; and

vii. Current participation in an alternative to discipline program in any other state;

i. Explanation and supporting documentation for each affirmative answer to questions regarding the applicant's background; and

j. E-mail address, ethnic category and marital status at the applicant's discretion.

3. Pay applicable fees.

B. National certification. In addition to the requirements of subsection (A), if an applicant provides evidence of current national certification as a school nurse or school nurse practitioner from an organization that meets the requirements of R4-19-310, the applicant qualifies for Arizona school nurse certification without meeting the requirements in subsection (C) for as long as the national certification remains current. The nurse shall provide evidence of continuing certification upon each renewal under subsection (D).

C. Initial certification

1. In addition to the requirements in subsection (A), the registered nurse applicant shall provide evidence of completion of all the following:

a. Three semester hours in school nurse practice course work;

b. Three semester hours in physical assessment of the school-aged child course work unless the applicant provides evidence of current national certification from an organization that meets the requirements of R4-19-310 as a pediatric nurse practitioner, family nurse practitioner, or pediatric clinical nurse specialist; and

c. Three semester hours in nursing care of the child with special needs.

2. An initial certificate expires six years after the issue date on the certificate.

D. Renewal of certification.

1. If the initial certificate of a school nurse has expired and the applicant, has met the requirements in subsections (B) or (C)(1) of this Section, the applicant is eligible to apply for re-certification. Within the application, the applicant shall provide evidence of completion of one of the following for renewal of certification:

a. Current national certification as a school nurse as specified in subsection (B),

b. A bachelor of science or graduate degree in nursing earned from an accredited institution as specified in R4-19-201(A) within the last six years, or

c. Evidence of completion of a minimum of 90 contact hours of continuing education activity, as defined in R4-19-101, related to school nursing practice and completed within the last six years.

2. Renewal of certification expires six years after the issue date on the certificate.

B. An initial or renewal of certificate expires six years after the issue date on the certificate.

E C. The Board shall grant a school nurse certificate to any applicant who meets the criteria established in statute and this Article. An applicant who is denied a school nurse certificate may request a hearing by filing a written request with the Board within 30 days of service of the Board's order denying the certificate. Hearings shall be conducted in accordance with A.R.S. Title 41, Chapter 6, Article 10.

History

• Former Section II, Part IX; Repealed effective February 20, 1980 (Supp. 80-1). Former Section R4-19-31 renumbered and amended as Section R4-19-32 effective May 9, 1984 (Supp. 84-3). Former Section R4-19-32 renumbered as Section R4-19-309 (Supp. 86-1). Repealed effective July 19, 1995 (Supp. 95-3). New Section made by final rulemaking at 8 A.A.R. 1813, effective March 20, 2002 (Supp. 02-1). Former Section R4-19-309 renumbered to R4-19-311; new Section R4-19-309 renumbered from R4-19-308 and amended by final rulemaking at 10 A.A.R. 792, effective April 3, 2004 (Supp. 04-1). Amended by final rulemaking at 19 A.A.R. 1308, effective July 6, 2013 (Supp. 13-2). Amended by final rulemaking at 25 A.A.R. 919, effective 6/3/2019.

Ariz. Admin. Code § R4-19-310 Certified Registered Nurse

A registered nurse who has been certified by a nursing certification organization accredited by the Accreditation Board for Specialty Nursing Certification, the National Commission for Certifying Agencies, or an equivalent accrediting agency as determined by the Board is deemed certified for the purposes of A.R.S. § 32-1601(4).

History

• New Section made by final rulemaking at 10 A.A.R. 792, effective April 3, 2004 (Supp. 04-1). Amended by final rulemaking at 19 A.A.R. 1308, effective July 6, 2013 (Supp. 13-2).

Ariz. Admin. Code § R4-19-311 Nurse Licensure Compact

The Board shall implement A.R.S. §§ 32-1668 and 32-1669 according to the provisions of the Nurse Licensure Compact Model Rules and Regulations for RNs and LPN/VNs, published by the National Council of State Boards of Nursing, Inc., 111 E. Wacker Dr., Suite 2900, Chicago, IL 60601, www.ncsbn.org, November 13, 2012, and no later amendments or editions, which is incorporated by reference and on file with the Board.

History

• New Section renumbered from R4-19-309 and amended by final rulemaking at 10 A.A.R. 792, effective April 3, 2004 (Supp. 04-1). Amended by final rulemaking at 18 A.A.R. 2485, effective September 11, 2012 (Supp. 12-3). Amended by final rulemaking at 19 A.A.R. 2852, effective September 11, 2013.

Ariz. Admin. Code § R4-19-312 Practice Requirement

A. The Board shall not issue a license or renew the license of an applicant who does not meet the applicable requirements in subsections (B), (C), and (D).

B. An applicant for licensure by endorsement or renewal shall either have completed a post-licensure nursing program or practiced nursing at the applicable level of licensure for a minimum of 960 hours in the five years before the date on which the application is received. This requirement is satisfied if the applicant verifies that the applicant has:

1. Completed a post-licensure nursing education program at a school that is accredited under R4-19-201(A) and obtained a degree, or an advanced practice certificate in nursing within the past five years; or

Practiced for a minimum of 960 hours within the past five years where the nurse:

a. Worked for compensation or as a volunteer, as a licensed nurse in the United States or an international jurisdiction, and performed one or more acts under A.R.S. § 32-1601(20) as an RN if applying for RN renewal or licensure or A.R.S. § 32-1601(16) as an LPN if applying for LPN renewal or licensure; or

b. Held a position for compensation or as a volunteer in the United States or an international jurisdiction that required or recommended, in the job description, the level of licensure being sought or renewed; or

c. Engaged in clinical practice as part of an RN-to-Bachelor of Science in Nursing, Masters, Doctoral or Nurse Practitioner program.

C. Care of family members does not meet the requirements of subsection (B)(2) unless the applicant submits evidence:

That the applicant is providing care as part of a medical foster home; or

2. That the specific care provided by the applicant was:

a. Ordered by another health care provider who is authorized to prescribe and was responsible for the care of the patient,

b. The type of care would typically be authorized by a third-party payer, and

c. The care was documented and reviewed by the health care provider.

D. An applicant for licensure by either examination or endorsement, who does not meet the requirements of subsection (B), shall have completed the clinical portion of a pre-licensure nursing program within two years of the date of licensure.

E. A licensee or applicant who fails to satisfy the requirements of subsection (B) or (D), shall submit evidence of satisfactory completion of a Board-approved refresher or competency program. The Board may issue a temporary license stamped "for refresher course only" to any applicant who meets all requirements of this Article except subsection (B) or (D) and provides evidence of applying for enrollment in a Board-approved refresher or competency program.

History

• New Section made by final rulemaking at 10 A.A.R. 792, effective April 3, 2004 (Supp. 04-1). Pursuant to authority of A.R.S. § 41-1011(C), Laws 2012, Ch. 152, §1, provides for A.R.S. references to be corrected to reflect the renumbering of definitions. Therefore the A.R.S. citations in subsection (B)(2)(a) were updated. Agency request filed July 12, 2012, Office File No. M12-242 (Supp. 12-3). Amended by final rulemaking at 19 A.A.R. 1308, effective July 6, 2013 (Supp. 13-2). Amended by final rulemaking at 23 A.A.R. 1420, effective 7/1/2017.

Ariz. Admin. Code § R4-19-313 Background

A. All applicants convicted of a sexual offense involving a minor or performing a sexual act against the will of another person shall be subject to a Board order under A.R.S. § 32-1664(F) and R4-19-405 unless the individual is precluded from licensure under A.R.S. § 32-1606(B)(17). If the evaluation identifies sexual behaviors of a predatory nature, the Board shall deny licensure or renewal of licensure.

B. All individuals reporting a substance use disorder in the last five years may be subject to a Board order for an evaluation under A.R.S. § 32-1664(F) and R4-19-405 to determine safety to practice.

C. The Board may order the evaluation of other individuals on a case-by-case basis under A.R.S. § 32-1664(F) and R4-19-405.

History

• New Section made by final rulemaking at 19 A.A.R. 1308, effective July 6, 2013 (Supp. 13-2).

Article 4 REGULATION

Ariz. Admin. Code § R4-19-401 Standards Related to Licensed Practical Nurse Scope of Practice

A. A licensed practical nurse shall engage in practical nursing as defined in A.R.S. § 32-1601 only under the supervision of a registered nurse or licensed physician.

B. A LPN's nursing practice is limited to those activities for which the LPN has been prepared through basic practical nursing education in accordance with A.R.S. § 32-1637(1) and those additional skills that are obtained through subsequent nursing education and within the scope of practice of a LPN as determined by the Board.

C. A LPN shall:

1. Practice within the legal boundaries of practical nursing within the scope of practice authorized by A.R.S. Title 32, Chapter 15 and 4 A.A.C.19;

Demonstrate honesty and integrity;

3. Base nursing decisions on nursing knowledge and skills, the needs of clients, and licensed practical nursing standards;

4. Accept responsibility for individual nursing actions, decisions, and behavior in the course of practical nursing practice.

Maintain competence through ongoing learning and application of knowledge in practical nursing practice.

Protect confidential information unless obligated by law to disclose the information;

7. Report unprofessional conduct, as defined in A.R.S. § 32-1601(22) and further specified in R4-19-403 and R4-19-814, to the Board;

8. Respect a client's rights, concerns, decisions, and dignity;

9. Maintain professional boundaries; and

10. Respect a client's property and the property of others.

D. In participating in the nursing process and implementing client care across the lifespan, a LPN shall:

1. Contribute to the assessment of the health status of clients by:

a. Recognizing client characteristics that may affect the client's health status;

b. Gathering and recording assessment data;

c. Demonstrating attentiveness by observing, monitoring, and reporting signs, symptoms, and changes in client condition in an ongoing manner to the supervising registered nurse or physician;

Contribute to the development and modification of the plan of care by:

a. Planning episodic nursing care for a client whose condition is stable or predictable;

b. Assisting the registered nurse or supervising physician in identification of client needs and goals; and

c. Determining priorities of care together with the supervising registered nurse or physician;

3. Implement aspects of a client's care consistent with the LPN scope of practice in a timely and accurate manner including:

a. Following nurse and physician orders and seeking clarification of orders when needed;

b. Administering treatments, medications, and procedures;

c. Attending to client and family concerns or requests;

d. Providing health information to clients as directed by the supervising RN or physician or according to an established educational plan;

e. Promoting a safe client environment;

f. Communicating relevant and timely client information with other health team members regarding:

i. Client status and progress,

ii. Client response or lack of response to therapies,

iii. Significant changes in client condition, and

iv. Client needs and special requests, and

g. Documenting the nursing care the LPN provided;

4. Contribute to evaluation of the plan of care by:

a. Gathering, observing, recording, and communicating client responses to nursing interventions; and

b. Modifying the plan of care in collaboration with a registered nurse based on an analysis of client responses.

E. A LPN assigns and delegates nursing activities. The LPN shall:

1. Assign nursing care within the LPN scope of practice to other LPNs;

Delegate nursing tasks to unlicensed assistive personnel (UAPs). In maintaining accountability for the delegation, the LPN shall ensure that the:

a. UAP has the education, legal authority, and demonstrated competency to perform the delegated task;

b. Tasks delegated are consistent with the UAP's job description and can be safely performed according to clear, exact, and unchanging directions;

c. Results of the task are reasonably predictable;

d. Task does not require assessment, interpretation, or independent decision making during its performance or at completion;

e. Selected client and circumstances of the delegation are such that delegation of the task poses minimal risk to the client and the consequences of performing the task improperly are not life-threatening;

f. LPN provides clear directions and guidelines regarding the delegated task or, for routine tasks on stable clients, verifies that the UAP follows each written facility policy or procedure when performing the delegated task;

g. LPN provides supervision and feedback to the UAP; and

h. LPN observes and communicates the outcomes of the delegated task.

History

• Former Section III, Part II; Amended effective February 20, 1980 (Supp. 80-1). Former Section R4-19-42 renumbered as Section R4-19-401 (Supp. 86-1). Section repealed, new Section adopted effective July 19, 1995 (Supp. 95-3). Amended by final rulemaking at 14 A.A.R. 4621, effective January 31, 2009 (Supp. 08-4). Subsection (C)(7) amended at request of Board, Office File No. M11-423, filed November 18, 2011 (Supp. 11-4). Pursuant to authority of A.R.S. § 41-1011(C), Laws 2012, Ch. 152, § 1, provides for A.R.S. references to be corrected to reflect the renumbering of definitions. Therefore the A.R.S. citation in subsection (C)(7) was updated. Agency request filed July 12, 2012, Office File No. M12-242 (Supp. 12-3).

Ariz. Admin. Code § R4-19-402 Standards Related to Registered Nurse Scope of Practice

A. A registered nurse (RN) shall perform only those nursing activities for which the RN has been prepared through basic registered nursing education and those additional skills which are obtained through subsequent nursing education and within the scope of practice of an RN as determined by the Board.

B. A RN shall:

1. Practice within the legal boundaries of registered nursing within the scope of practice authorized by A.R.S. Title 32, Chapter 15 and 4 A.A.C. 19;

2. Demonstrate honesty and integrity;

3. Base nursing decisions on nursing knowledge and skills, the needs of clients, and registered nursing standards;

4. Accept responsibility for individual nursing actions, decisions, and behavior in the course of registered nursing practice;

5. Maintain competence through ongoing learning and application of knowledge in registered nursing practice;

6. Protect confidential information unless obligated by law to disclose the information;

7. Report unprofessional conduct, as defined in A.R.S. § 32-1601(22) and further specified in R4-19-403 and R4-19-814, to the Board;

8. Respect a client's rights, concerns, decisions, and dignity;

9. Maintain professional boundaries;

10. Respect a client's property and the property of others; and

11. Advocate on behalf of a client to promote the client's best interest.

C. In utilizing the nursing process to plan and implement nursing care for clients across the life-span, a RN shall:

1. Conduct a nursing assessment of a client in which the nurse:

a. Recognizes client characteristics that may affect the client's health status;

b. Gathers or reviews comprehensive subjective and objective data and detects changes or missing information;

c. Applies nursing knowledge in the integration of the biological, psychological, and social aspects of the client's condition; and

d. Demonstrates attentiveness by providing ongoing client surveillance and monitoring;

2. Use critical thinking and nursing judgment to analyze client assessment data to:

a. Make independent nursing decisions and formulate nursing diagnoses; and

b. Determine the clinical implications of client signs, symptoms, and changes, as either expected, unexpected, or emergent situations;

Based on assessment and analysis of client data, plan strategies of nursing care and nursing interventions in which the nurse;

a. Identifies client needs and goals;

b. Formulates strategies to meet identified client needs and goals;

c. Modifies defined strategies to be consistent with the client's overall health care plan; and

d. Prioritizes strategies based on client needs and goals;

Provide nursing care within the RN scope of practice in which the nurse:

a. Administers prescribed aspects of care including treatments, therapies, and medications;

b. Clarifies health care provider orders when needed;

c. Implements independent nursing activities consistent with the RN scope of practice;

d. Institutes preventive measures to protect client, others, and self;

e. Intervenes on behalf of a client when problems are identified;

f. Promotes a safe client environment;

g. Attends to client concerns or requests;

h. Communicates client information to health team members including:

i. Client concerns and special needs;

ii. Client status and progress;

iii. Client response or lack of response to interventions; and

iv. Significant changes in client condition; and

i. Documents the nursing care the RN has provided;

5. Evaluate the impact of nursing care including the:

a. Client's response to interventions;

b. Need for alternative interventions;

c. Need to communicate and consult with other health team members; and

d. Need to revise the plan of care;

6. Provide comprehensive nursing and health care education in which the RN:

a. Assesses and analyzes educational needs of learners;

b. Plans educational programs based on learning needs and teaching-learning principles;

c. Ensures implementation of an educational plan either directly or by delegating selected aspects of the education to other qualified persons; and

d. Evaluates the education to meet the identified goals;

D. A RN assigns and delegates nursing activities. The RN shall:

1. Assign nursing care within the RN scope of practice to other RNs;

2. Assign nursing care to a LPN within the LPN scope of practice based on the RN's assessment of the client and the LPN's ability;

3. Supervise, monitor, and evaluate the care assigned to a LPN; and

4. Delegate nursing tasks to UAPs. In maintaining accountability for the delegation, an RN shall ensure that the:

a. UAP has the education, legal authority, and demonstrated competency to perform the delegated task;

b. Tasks delegated are consistent with the UAP's job description and can be safely performed according to clear, exact, and unchanging directions;

c. Results of the task are reasonably predictable;

d. Task does not require assessment, interpretation, or independent decision making during its performance or at completion;

e. Selected client and circumstances of the delegation are such that delegation of the task poses minimal risk to the client and the consequences of performing the task improperly are not life-threatening;

f. RN provides clear directions and guidelines regarding the delegated task or, for routine tasks on stable clients, verifies that the UAP follows each written facility policy or procedure when performing the delegated task;

g. RN provides supervision and feedback to the UAP; and

h. RN observes and communicates the outcomes of the delegated task.

History

• Former Section III, Part I; Amended effective February 20, 1980 (Supp. 80-1). Former Section R4-19-43 renumbered as Section R4-19-402 (Supp. 86-1). Section repealed, new Section adopted effective July 19, 1995 (Supp. 95-3). Section repealed, new Section made by final rulemaking at 14 A.A.R. 4621, effective January 31, 2009 (Supp. 08-4). Subsection (B)(7) amended at request of Board, Office File No. M11-423, filed November 18, 2011 (Supp. 11-4). Pursuant to authority of A.R.S. § 41-1011(C), Laws 2012, Ch. 152, § 1, provides for A.R.S. references to be corrected to reflect the renumbering of definitions. Therefore the A.R.S. citation in subsection (B)(7) was updated. Agency request filed July 12, 2012, Office File No. M12-242 (Supp. 12-3).

Ariz. Admin. Code § R4-19-403 Unprofessional Conduct

For purposes of A.R.S. § 32-1601(24)(d), any conduct or practice that is or might be harmful or dangerous to the health of a patient or the public includes one or more of the following:

1. A pattern of failure to maintain minimum standards of acceptable and prevailing nursing practice;

2. Intentionally or negligently causing physical or emotional injury;

Failing to maintain professional boundaries or engaging in a dual relationship with a patient, resident, or any family member of a patient or resident;

4. Engaging in sexual conduct with a patient, resident, or any family member of a patient or resident who does not have a pre-existing relationship with the nurse, or any conduct in the work place that a reasonable person would interpret as sexual;

5. Abandoning or neglecting a patient who requires immediate nursing care without making reasonable arrangement for continuation of care;

6. Removing a patient's life support system without appropriate medical or legal authorization;

7. Failing to maintain for a patient record that accurately reflects the nursing assessment, care, treatment, and other nursing services provided to the patient;

8. Falsifying or making a materially incorrect, inconsistent, or unintelligible entry in any record:

a. Regarding a patient, health care facility, school, institution, or other work place location; or

b. Pertaining to obtaining, possessing, or administering any controlled substance as defined in the federal Uniform Controlled Substances Act, 21 U.S.C. 801 et seq., or Arizona's Uniform Controlled Substances Act, A.R.S. Title 36, Chapter 27;

9. Failing to take appropriate action to safeguard a patient's welfare or follow policies and procedures of the nurse's employer designed to safeguard the patient;

10. Failing to take action in a health care setting to protect a patient whose safety or welfare is at risk from incompetent health care practice, or to report the incompetent health care practice to employment or licensing authorities;

11. Failing to report to the Board a licensed nurse whose work history includes conduct, or a pattern of conduct, that leads to or may lead to an adverse patient outcome;

12. Assuming patient care responsibilities that the nurse lacks the education to perform, for which the nurse has failed to maintain nursing competence, or that are outside the scope of practice of the nurse;

13. Failing to supervise a person to whom nursing functions are delegated;

14. Delegating services that require nursing judgment to an unauthorized person;

15. Removing, without authorization, any money, property, or personal possessions, or requesting payment for services not performed from a patient, employer, co-worker, or member of the public.

16. Removing, without authorization, a narcotic, drug, controlled substance, supply, equipment, or medical record from any health care facility, school, institution, or other work place location;

17. A pattern of using or being under the influence of alcohol, drugs, or a similar substance to the extent that judgment may be impaired and nursing practice detrimentally affected, or while on duty in any health care facility, school, institution, or other work location;

18. Obtaining, possessing, administering, or using any narcotic, controlled substance, or illegal drug in violation of any federal or state criminal law, or in violation of the policy of any health care facility, school, institution, or other work location at which the nurse practices;

19. Providing or administering any controlled substance or prescription-only drug for other than accepted therapeutic or research purposes;

20. Engaging in fraud, misrepresentation, or deceit in taking a licensing examination or on an initial or renewal application for a license or certificate;

21. Impersonating a nurse licensed or certified under this Chapter;

Permitting or allowing another person to use the nurse's license for any purpose;

23. Advertising the practice of nursing with untruthful or misleading statements;

24. Practicing nursing without a current license or while the license is suspended, or practicing as a nurse practitioner without current national certification, if required pursuant to R4-19-505;

25. Failing to:

a. Furnish in writing a full and complete explanation of a matter reported pursuant to A.R.S. § 32-1664, or

b. Respond to a subpoena issued by the Board;

26. Making a written false or inaccurate statement to the Board or the Board's designee in the course of an investigation;

Making a false or misleading statement on a nursing or health care related employment or credential application concerning previous employment, employment experience, education, or credentials;

28. If a licensee or applicant is charged with a felony or a misdemeanor involving conduct that may affect patient safety, failing to notify the Board in writing, as required under A.R.S. § 32-3208, within 10 days of being charged. The licensee or applicant shall include the following in the notification:

a. Name, address, telephone number, social security number, and license number, if applicable;

b. Date of the charge; and

c. Nature of the offense;

29. Failing to notify the Board, in writing, of a conviction for a felony or an undesignated offense within 10 days of the conviction. The nurse or applicant shall include the following in the notification:

a. Name, address, telephone number, social security number, and license number, if applicable;

b. Date of the conviction; and

c. Nature of the offense;

30. For a registered nurse granted prescribing privileges, any act prohibited under R4-19-511(D); or

31. Practicing in any other manner that gives the Board reasonable cause to believe the health of a patient or the public may be harmed.

History

• Adopted effective February 20, 1980 (Supp. 80-1). Former Section R4-19-44 repealed, new Section R4-19-44 adopted effective May 9, 1984 (Supp. 84-3). Amended by adding Paragraphs 18 through 22 effective July 16, 1984 (Supp. 84-4). Former Section R4-19-44 renumbered and amended as Section R4-19-403 effective February 21, 1986 (Supp. 86-1). Section repealed, new Section adopted effective July 19, 1995 (Supp. 95-3). Amended by final rulemaking at 11 A.A.R. 3804, effective November 12, 2005 (Supp. 05-3). Amended by final rulemaking at 14 A.A.R. 4621, effective January 31, 2009 (Supp. 08-4). Antiquated statute reference in opening subsection revised at the request of Board under A.R.S. § 41-1011(C), Office File No. M11-189, filed May 16, 2011 (Supp. 11-2). Pursuant to authority of A.R.S. § 41-1011(C), Laws 2012, Ch. 152, § 1, provides for A.R.S. references to be corrected to reflect the renumbering of definitions. Therefore the A.R.S. citation in the opening subsection was updated. Agency request filed July 12, 2012, Office File No. M12-242 (Supp. 12-3). Amended by final rulemaking at 25 A.A.R. 919, effective 6/3/2019.

Ariz. Admin. Code § R4-19-404 Re-issuance or Subsequent Issuance of License

A. The Board may restore a license to a nurse whose license has been suspended after the period of suspension if the licensee provides written evidence that all requirements or conditions prescribed or ordered in the consent agreement or Board order for suspension have been met to the satisfaction of the Board. The Board may place conditions or limitations on the restored license. The license of a nurse who fails to provide such evidence of fulfilling the requirements or conditions prescribed by the Board shall remain on suspended status until such submission and acceptance by the Board.

B. A person whose nursing license is denied, revoked, or voluntarily surrendered under A.R.S. § 32-1663 may apply to the Board to issue or re-issue the license:

1. Five years from the date of denial or revocation, or

2. In accordance with the terms of a voluntary surrender agreement.

C. A person who applies for issuance or re-issuance of a license under the conditions of subsection (B) is subject to the following terms and conditions:

1. The person shall submit a written application for issuance or re-issuance of the license that contains substantial evidence that the basis for surrendering, denying, or revoking the license has been removed and that the issuance or re-issuance of the license will not be a threat to public health or safety.

2. Safe practice.

a. Under A.R.S. § 32-1664(F), the Board for reasonable cause may require a combination of mental, physical, nursing competency, psychological, or psychiatric evaluations, or any combination of evaluations, reports, and affidavits that the Board considers necessary to determine the person's competence and conduct to safely practice nursing.

b. Under A.R.S. 32-1664(K) the Board may issue subpoenas and compel the attendance of witnesses and the production of records and documentary evidence relevant to the person's ability to safely practice nursing.

3. After receipt of the application, the information required under subsection (C)(2), and the completion of an investigation, the Board shall place the application on the agenda of a regularly scheduled Board meeting.

4. After consideration of the application and any information required under subsection (C)(2),the Board may:

a. Grant the license with or without conditions or limitations;

b. If other licensure requirements have been met, grant, with or without conditions, a temporary license for the sole purpose of allowing the applicant to successfully complete an approved nurse refresher course; or

c. Deny the license if the Board determines that licensure might be harmful or dangerous to the health of a patient or the public.

5. If the Board orders a refresher course described in subsection (C)(4)(b) the Board shall consider the applicant's performance in the approved refresher course and any other evidence, if available, of the applicant's safety to practice, and either deny the license under subsection (C)(4)(c) or grant the license with or without conditions or limitations.

6. An applicant who is denied issuance or re-issuance of a license shall have 30 days from the date of issuance of the notice of denial from the Board to file a written request for hearing with the Board. Hearings shall be conducted in accordance with A.R.S. Title 41, Chapter 6, Article 10 and 4 A.A.C. 19, Article 6.

History

• Former Section R4-19-30 renumbered and amended as Section R4-19-45 effective February 20, 1980 (Supp. 80-1). Former Section R4-19-45 renumbered as Section R4-19-404 (Supp. 86-1). Section repealed, new Section adopted effective July 19, 1995 (Supp. 95-3). Amended by final rulemaking at 14 A.A.R. 4621, effective January 31, 2009 (Supp. 08-4).

Ariz. Admin. Code § R4-19-405 Board-ordered Evaluations

A. Under A.R.S. § 32-1664(F), the Board may order a licensee or CNA certificate-holder to undergo an evaluation by an independent qualified evaluator for the purposes of determining the licensee's or certificate holder's safety and competence to practice. Evaluations may be in the areas of:

1. Nursing knowledge or skills or both;

2. Mental functioning, including but not limited to neuropsychological evaluation, and other cognition evaluations;

3. Medical status including but not limited to medical review of drug screen results, chronic pain evaluation, physical examination, and biological testing;

4. Psychiatric or psychological status including but not limited to substance abuse evaluation, boundary or sexual misconduct evaluations, and psychological testing; or

5. Other similar evaluations that the Board determines are necessary to evaluate a licensee or certificate holder's ability to safely practice.

B. Before making the decision to order the evaluation, the Board shall review the allegations and investigative findings.

C. The Board retains the discretion to use an evaluator based on the evaluator's licensure history, the Board's past experience with the evaluator, and the quality of the evaluation provided. Before conducting a Board-ordered evaluation, a potential evaluator shall submit documentation that the evaluator:

Possesses expertise and educational credentials in the area that the Board has ordered an evaluation;

2. Holds a license or certificate in good standing with a licensing or certifying board located in the United States and discloses any past licensure disciplinary actions and criminal history;

Will provide equipment and environmental conditions necessary to conduct a valid evaluation;

4. Has no current or past treatment, collegial, or social relationship with the licensee or certificate holder, any family member of the licensee or certificate holder, or the licensee's or certificate holder's legal counsel;

5. Will not enter into a treatment relationship with the licensee or certificate holder unless the relationship is unavoidable due to geographical location or the specific expertise of the evaluator; and

6. Agrees to keep information provided by the Board under subsection (D) confidential as evidenced by a signed confidentiality agreement provided by the Board.

D. Upon receipt of the evaluator's signed confidentiality agreement, the Board may provide confidential investigative information and documents to the evaluator for the purpose of disclosing the reason for the evaluation, the focus of the evaluation, and the conduct causing the Board to order the evaluation including:

1. The complaint and all information that has been received during the investigation of the complaint. Documents may include but are not limited to employment records, medical records, arrest records, conviction and sentencing records, excluding FBI fingerprint results, drug screen results, pharmacy profiles, witness statements, past licensure history, and a summary of information obtained during investigative interviews; and

2. The specific questions for which the Board is seeking answers; and

E. The evaluator shall provide the following information to the Board:

1. A professional report that is objective, thorough, timely, accurate, and defensible;

2. Evaluation findings including diagnosis if appropriate and assessment of ability to practice safely;

3. Recommendations for further evaluation, treatment, and remediation; and

Suggestions for assuring safe practice and compliance with treatment and remediation recommendations, if any.

History

• Adopted effective February 20, 1980 (Supp. 80-1). Former Section R4-19-46 renumbered and amended as Section R4-19-405 effective February 21, 1986 (Supp. 86-1). Repealed effective July 19, 1995 (Supp. 95-3). New Section made by final rulemaking at 14 A.A.R. 4621, effective January 31, 2009 (Supp. 08-4).

Article 5 ADVANCED PRACTICE REGISTERED NURSING

Ariz. Admin. Code § R4-19-501 Roles and Population Foci of Advanced Practice Registered Nursing (APRN); Certification Programs

A. The Board recognizes the following APRN roles;

Registered nurse practitioner (RNP) in a population focus;

2. Clinical Nurse Specialist (CNS) in a population focus;

3. Certified Registered Nurse Anesthetist (CRNA);

4. Certified Nurse Midwife (CNM).

B. RNPs and CNSs shall practice within one or more population foci, consistent with their education and certification. Population foci include:

Family-individual across the life span;

2. Adult-gerontology primary or acute care;

3. Neonatal;

4. Pediatric primary or acute care;

5. Women's health-gender related;

6. Psychiatric-mental health;

7. For Certified Nurse Midwives, women's health gender related including childbirth and neonatal care;

8 7. Other foci that have been recognized by the Board previously and new foci that meet the following conditions:

a. There is an accredited educational program and a national certifying process that meets the requirements of subsection (C); and

b. The focus is broad enough for an educational program to be developed that prepares a registered nurse to function both within the scope of practice of the role and population focus.

C. Certified Nurse Midwives shall practice within a population focus consistent with their education, specifically women's health gender-related care, including childbirth and neonatal care.

C D. The Board shall accept advanced practice certifications from programs that meet the following qualifications:

1. The certification program:

a. Is accredited by the National Commission for Certifying Agencies, the Accreditation Board for Specialty Nursing Certification, or an equivalent organization as determined by the Board;

b. Establishes educational requirements for certification that are consistent with the requirements in R4-19-505;

c. Has an application process and credential review that requires an applicant to submit original source documentation of the applicant's education and clinical practice in the advanced practice role and population focus, if applicable, for which certification is granted; and

d. Is national in the scope of its credentialing.

2. The certification program uses an examination as a basis for certification in the advanced practice role and population focus, as applicable that meets all of the following criteria:

a. The examination is based upon job analysis studies conducted using standard methodologies acceptable to the testing community both initially and every five years;

b. The examination assesses entry-level practice in the advanced practice role and population focus, if applicable;

c. The examination assesses the knowledge, skills, and abilities essential for the delivery of safe and effective advanced nursing care to clients;

d. Examination items are reviewed for content validity, cultural sensitivity, and correct scoring using an established mechanism, both before first use and periodically; items are reviewed for currency at least every three years;

e. The examination is evaluated for psychometric performance and conforms to psychometric standards that are routinely utilized for other types of high-stakes testing;

f. The passing standard is established using accepted psychometric methods and is re-evaluated periodically;

g. Examination security is maintained through established procedures;

h. A re-take policy is in place; and

i. Conditions for taking the certification examination are consistent with standards of the testing community;

3. Certification is issued upon passing the examination and meeting all other certification requirements;

4. The certification program periodically provides for re-certification that includes review of qualifications and continued competence;

5. The certification program provides timely communication to the Board regarding licensee or applicant certification status, changes in an individual's certification status, exam results and changes in the certification program, including qualifications, test plan, and scope of practice; and

6. The certification program has an evaluation process to provide quality assurance in its certificate program.

D E. The Board shall determine whether a certification program meets the requirements of this Section. The following certification programs meet the requirements of this Section as of the effective date of this rulemaking:

1. For RNP, and CNM (consistent with R4-19-501(C) and (D)):

a. American Academy of Nurse Practitioner certification programs;

i. Adult nurse practitioner,

ii. Family nurse practitioner,

iii. Gerontologic nurse practitioner,

iv. Adult health-gerontological nurse practitioner.

b. American Nurses Credentialing Center certification programs:

i. Acute care nurse practitioner (adult/gerontology),

ii. Adult nurse practitioner,

iii. Family nurse practitioner,

iv. Gerontological nurse practitioner,

v. Pediatric nurse practitioner,

vi. Adult psychiatric and mental health nurse practitioner,

vii. Family psychiatric and mental health nurse practitioner,

viii. Adult health-gerontological nurse practitioner,

c. Pediatric Nursing Certification Board certification programs:

i. Pediatric nurse practitioner primary care,

ii. Pediatric nurse practitioner acute care,

d. National Certification Corporation for Obstetric, Gynecological, and Neonatal Nursing Specialties certification programs;

i. Women's health nurse practitioner,

ii. Neonatal nurse practitioner,

e. For a nurse-midwife, the American Midwifery Certification Board certification program in nurse midwifery,

f. AACN Certification Corporation certification programs:

i. Adult acute care nurse practitioner,

ii. Adult-gerontology acute care nurse practitioner,

2. For CNS:

a. AACN Certification Corporation certification programs:

i. Adult acute and critical care CNS,

ii. Pediatric acute and critical care CNS,

iii. Neonatal acute and critical care CNS,

b. American Nurses Credentialing Center certification:

i. Adult psychiatric-mental health CNS,

ii. Family psychiatric-mental health CNS,

iii. Gerontological CNS,

iv. Adult health CNS,

v. Pediatric CNS.

3. For CRNA, the National Board of Certification and Recertification for Nurse Anesthetists.

E F. The Board shall approve a certification program that meets the criteria established in this Section. An entity that seeks approval of a certification program and is denied approval may request a hearing by filing a written request with the Board within 30 days of service of the Board's order denying the approval. Hearings shall be conducted in accordance with A.R.S. Title 41, Chapter 6, Article 10.

History

• Former Section IV, Part I. Former Section R4-19-53 renumbered as Section R4-19-501 (Supp. 86-1). Former Section R4-19-501 renumbered to R4-19-502, new Section R4-19-501 adopted effective November 18, 1994 (Supp. 94-4). Amended effective November 25, 1996 (Supp. 96-4). Amended by final rulemaking at 7 A.A.R. 3213, effective July 12, 2001 (Supp. 01-3). Amended by final rulemaking at 11 A.A.R. 3804, effective November 12, 2005 (05-3). Amended by final rulemaking at 19 A.A.R. 1438, effective July 6, 2013 (Supp. 13-2). Amended by final rulemaking at 26 A.A.R. 3289, effective 12/2/2020.

Ariz. Admin. Code § R4-19-502 Requirements for APRN Programs

A. An educational institution or other entity that offers an APRN program in this state for RNP, CNM, or CNS roles shall ensure that the program:

1. Is offered by or affiliated with a college or university that is accredited under A.R.S. § 32-1644;

2. For new programs, the college or university offering the program has at least one additional nationally accredited nursing program as defined in R4-19-101 or otherwise provides substantial evidence of the ability to attain national APRN program accreditation for all graduating cohorts;

3. Is a formal educational program, that is part of a masters or doctoral program or a post-masters program in nursing with a concentration in an advanced practice registered nursing role and population focus under R4-19-501;

4. Is nationally accredited, or has achieved candidacy status for national accreditation by an approved national nursing accrediting agency as defined in R4-19-101;

5. Offers a curriculum that covers the scope of practice for both the role of advanced practice as specified in A.R.S. § 32-1601 and the population focus including;

a. Three separate graduate level courses in:

i. Advanced physiology and pathophysiology, including general principles across the lifespan;

ii. Advanced health assessment, which includes assessment of all human systems, advanced assessment techniques, concepts and approaches;

iii. Advanced pharmacology, which includes pharmacodynamics, pharmacokinetics and pharmacotherapeutics of all broad category agents;

b. Diagnosis and management of diseases across practice settings including diseases representative of all systems;

c. Preparation that provides a basic understanding of the principles for decision making in the identified role;

d. Preparation in the core competencies for the identified APRN role including legal, ethical and professional responsibilities; and

e. Role preparation in an identified population focus under R4-19-501.

6. Verifies that each student has an unencumbered license to practice as an RN in the state of clinical practice;

7. Includes a minimum of 500 hours of faculty supervised clinical practice (programs that prepare students for more than one role or population focus shall have 500 hours of clinical practice in each role and population focus);

8. Notifies the Board of any changes in hours of clinical practice, accreditation status, denial or deferral of accreditation or program administrator and responds to Board requests for information;

9. Has financial resources sufficient to support accreditation standards and the educational goals of the program;

Establishes academic, professional, and conduct standards that determine admission to the program, progression in the program, and graduation from the program that are consistent with sound educational practices and recognized standards of professional conduct;

11. Establishes provisions for advanced placement for individuals holding a graduate degree in nursing who are seeking education in an APRN role and population focus, provided that advanced placement students master the same APRN competencies as students in the graduate-level APRN program; and

12. Provides the Board an application for approval under the provisions of R4-19-209(B) before making changes to the:

a. Scope of the program, or

b. Level of educational preparation provided.

B. A CNS, CNM, or RNP program shall appoint the following personnel:

1. An APRN program administrator who:

a. Holds a current unencumbered RN license or multi-state privilege to practice in Arizona and a current unencumbered APRN certificate issued by the Board;

b. Holds an earned doctorate in nursing or health-related field if appointed after the effective date of this Section;

c. Has at least two years clinical experience as an APRN; and

d. Holds current national certification as an APRN.

2. A lead faculty member who is educated and certified both nationally and by the Board in the same role and population focus to coordinate the educational component for the role and population focus in the advanced practice registered nursing program.

3. Nursing faculty to teach any APRN course that includes a clinical learning experience who have the following qualifications:

a. A current unencumbered RN license or multi-state privilege to practice registered nursing in Arizona;

b. A current unencumbered Arizona APRN certificate,

c. A graduate degree in nursing or a health related field in the population focus,

d. Two years of APRN clinical experience, and

e. Current knowledge, competence and certification as an APRN in the role and population focus consistent with teaching responsibilities.

4. Adjunct or part-time clinical faculty employed solely to supervise clinical nursing experiences shall meet all of the faculty qualifications for the APRN program they are teaching.

5. Interdisciplinary faculty who teach non-clinical courses shall have advanced preparation in the areas of course content.

6. Clinical preceptors may be used to enhance faculty-directed clinical learning experiences, but not to replace faculty. A clinical preceptor shall be approved by program administration or faculty and:

a. Hold a current unencumbered license or multistate privilege to practice as a registered nurse or physician in the state in which the preceptor practices or, if employed by the federal government, holds a current unencumbered RN or physician license in the United States;

b. Have at least one year clinical experience as a physician or an advanced practice nurse

c. Practice in a population focus comparable to that of the APRN program;

d. For nurse preceptors, have at least one of the following:

i. Current national certification in the advanced practice role and population focus of the course or program in which the student is enrolled;

ii. Current Board certification in the advanced practice role and population focus of the course or program in which the student is enrolled; or

iii. If an advanced practice preceptor cannot be found who meets the requirements of subsection (B)(6)(d)(i) or (ii), educational and experiential qualifications that will enable the preceptor to precept students in the program, as determined by the nursing program and approved by the Board.

C. An entity that offers a CRNA program in Arizona shall maintain full national program accreditation with no limitations from the Council on Accreditation of Nurse Anesthesia Educational Programs or an equivalent agency approved by the Board. The program shall notify the Board of all program accreditation actions within 30 days of official notification by the accrediting agency.

History

• Former Section IV, Part II; Amended effective February 20, 1980 (Supp. 80-1). Former Section R4-19-54 repealed, new Section R4-19-54 adopted effective July 20, 1981 (Supp. 81-4). Former Section R4-19-54 renumbered as Section R4-19-502 (Supp. 86-1). Section repealed, new Section R4-19-502 renumbered from R4-19-501 and Section heading amended effective November 18, 1994 (Supp. 94-4). Section repealed, new Section R4-19-502 adopted effective November 25, 1996 (Supp. 96-4). Amended by final rulemaking at 11 A.A.R. 3804, effective November 12, 2005 (05-3). Amended by final rulemaking at 19 A.A.R. 1438, effective July 6, 2013 (Supp. 13-2). Amended by final rulemaking at 26 A.A.R. 3289, effective 12/2/2020.

Ariz. Admin. Code § R4-19-503 Application for Approval of an Advanced Practice Registered Nursing Program; Approval by Board; Provisional Approval by Executive Director

A. An administrator of an educational institution that proposes to offer a CNS, CNM, or RNP program shall submit an application that includes all of the following information to the Board:

1. Role, population focus that meets the criteria in R4-19-501 program administrator and lead faculty member as required in R4-19-502(B);

2. Name, address, and evidence verifying institutional accreditation status of the affiliated educational institution and program accreditation status of current nursing programs offered by the educational institution;

3. The mission, goals, and objectives of the program consistent with generally accepted standards for advanced practice education in the role and population focus of the program;

4. List of the required courses, and a description, measurable objectives, and content outline for each required course consistent with curricular requirements in R4-19-502;

5. A proposed time schedule for implementation of the program and attaining national accreditation;

6. The total hours allotted for both didactic instruction and supervised clinical practicum in the program;

7. A program proposal that provides evidence of sufficient financial resources, clinical opportunities and available faculty and preceptors for the proposed enrollment and planned expansion;

8. A self-study that provides evidence of compliance with R4-19-502;

B. An entity that wishes to offer a CRNA program shall submit evidence of current accreditation by the Council on Accreditation of Nurse Anesthesia Education Programs or an equivalent organization.

C. The Board shall approve an advanced practice registered nursing program if approval is in the best interest of the public and the program meets the requirements of this Article. The Board may grant approval for a period of two years or less to an advanced practice nursing program where the program meets all the requirements of this Article except for accreditation by a national nursing accrediting agency, based on the program's presentation of evidence that it has applied for accreditation and meets accreditation standards.

D. An educational institution or entity that is denied approval of an advanced practice registered nursing program may request a hearing by filing a written request with the Board within 30 days of service of the Board's order denying its application for approval. Hearings shall be conducted in accordance with A.R.S. Title 41, Chapter 6, Article 10 and 4 A.A.C. 19, Article 6.

E. Approval of an advanced practice registered nursing program expires 12 months from the date of approval if a class of students is not admitted within that time.

F. An advanced practice registered nursing program that has submitted an application according to this Section that meets the threshold requirements of the Nurse Practice Act, may receive a 90 day provisional approval from the Board, through Executive Director's delegated authority, prior to application review by the Board, as described in this Section. A program denied provisional approval may request a hearing, as described in subsection (D) of this Section.

History

• Former Section IV, Part III; Amended effective Nov. 17, 1978 (Supp. 78-6). Amended effective February 20, 1980 (Supp. 80-1). Amended by adding subsection (F) effective July 20, 1981 (Supp. 81-4). Amended by adding subsection (G) effective September 15, 1982 (Supp. 82-5). Former Section R4-19-55 renumbered as Section R4-19-503 (Supp. 86-1). Former Section R4-19-503 repealed, new Section adopted effective November 18, 1994 (Supp. 94-4). Former Section R4-19-503 renumbered to Section R4-19-504; new Section R4-19-503 adopted effective November 25, 1996 (Supp. 86-1). Amended by final rulemaking at 11 A.A.R. 3804, effective November 12, 2005 (05-3). Amended by final rulemaking at 19 A.A.R. 1438, effective July 6, 2013 (Supp. 13-2). Amended by final rulemaking at 26 A.A.R. 3289, effective 12/2/2020.

Ariz. Admin. Code § R4-19-504 Notice of Deficiency; Unprofessional APRN Program Conduct

A. The Board may periodically survey an advanced practice registered nursing program under its jurisdiction to determine whether criteria for approval are being met.

B. The Board shall, upon determining that an advanced practice registered nursing program is not in compliance with this Article, provide to the program administrator a written notice of deficiencies that establishes a reasonable time, based upon the number and severity of deficiencies, to correct the deficiencies. The time for correction may not exceed 18 months.

1. The program administrator shall, within 30 days from the date of service of the notice of deficiencies, consult with the Board or designated Board representative and, after consultation, file a plan to correct each of the identified deficiencies.

2. The program administrator may, within 30 days from the date of service of the notice of deficiencies, submit a written request for a hearing before the Board to appeal the Board's determination of deficiencies. Hearings shall be conducted in accordance with A.R.S. Title 41, Chapter 6, Article 10 and 4 A.A.C. 19, Article 6.

3. If the Board's determination is not appealed or is upheld upon appeal, the Board may conduct periodic evaluations of the program during the time of correction to determine whether the deficiencies have been corrected.

C. The Board shall, following a Board-conducted survey and report, rescind the approval or limit the ability of a program to admit students if the program fails to comply with R4-19-502 within the time set by the Board in the notice of deficiencies provided to the program administrator.

1. The Board shall serve the program administrator with a written notice of proposed rescission of approval or limitation of admission of students that states the grounds for the rescission or limitation. The program administrator has 30 days to submit a written request for a hearing to show cause why approval should not be rescinded or admissions limited. Hearings shall be conducted in accordance with A.R.S. Title 41, Chapter 6, Article 10 and 4 A.A.C. 19, Article 6.

2. Upon the effective date of a decision to rescind program approval, the affected advanced practice registered nursing program shall immediately cease operation and be removed from the official approved-status listing. An advanced practice registered nursing program that is ordered to cease operations shall assist currently enrolled students to transfer to an approved nursing program.

D. A disciplinary action, denial of approval, or notice of deficiency may be issued against an RNP or CNS nursing program for any of the following acts of unprofessional conduct:

1. Failure to maintain minimum standards of acceptable and prevailing educational practice;

2. For a program that was served with a notice of deficiencies within the preceding three years and timely corrected the noticed deficiencies, subsequent noncompliance with the standards in this Article;

3. Utilization of students to meet staffing needs in health care facilities;

4. Non-compliance with the program or parent institution mission or goals, program design, objectives, or policies;

5. Failure to provide the variety and number of clinical learning opportunities necessary for students to achieve program outcomes or minimal competence;

6. Student enrollments without adequate faculty, facilities, or clinical experiences;

7. Ongoing or repetitive employment of unqualified faculty;

8. Failure to comply with Board requirements within designated time-frames;

9. Fraud or deceit in advertising, promoting or implementing a nursing program;

10. Material misrepresentation of fact by the program in any advertisement, application or information submitted to the Board;

11. Failure to allow Board staff to visit the program or conduct an investigation;

12. Any other evidence that gives the Board reasonable cause to believe the program's conduct may be a threat to the safety and well-being of students, faculty or potential patients.

History

• Former R4-19-504 renumbered to R4-19-505; new R4-19-504 made by final rulemaking at 11 A.A.R. 3804, effective November 12, 2005 (05-3). Amended by final rulemaking at 19 A.A.R. 1438, effective July 6, 2013 (Supp. 13-2). Amended by final rulemaking at 26 A.A.R. 3289, effective 12/2/2020.

Ariz. Admin. Code § R4-19-505 Requirements for Initial APRN Certification

A. An applicant for certification as an advanced practice registered nurse, shall:

Hold a current Arizona registered nurse (RN) license in good standing or an RN license in good standing from a compact party state with multistate privileges, and not be a participant in an alternative to discipline program in any jurisdiction; and

2. Submit a verified application to the Board on a form provided by the Board that provides all of the following:

a. Full legal name and all former names used by the applicant;

b. Current address of record, including primary state of residence and telephone number;

c. Place and date of birth:

d. RN license number, application for RN license, or copy of a multistate compact RN license;

e. Social security number for an applicant who lives or works in the United States;

f. Current e-mail address;

g. Educational background, including the name and location of basic nursing program, the institution that awarded the highest degree held and any and all advanced practice registered nursing education programs or schools attended including the number of years attended, the length of each program, the date of graduation or completion, and the type of degree or certificate awarded;

h. Role and population focus, as applicable for which the applicant is applying;

i. Current employer or practice setting, including address, position, and dates of service, if employed or practicing in nursing or health care;

j. Evidence of national certification or recertification as an advanced practice registered nurse in the role and population focus, if applicable, of the application and by a certification program that meets the requirements of R4-19-501(C). The applicant shall include the name of the certifying organization, population focus, certification number, date of certification, and expiration date;

k. For applicants holding a multistate compact RN license in a state other than Arizona:

i. State of original licensure and license number;

ii. State of current compact RN license, license number and expiration date;

iii. Date of taking RN licensure exam and name of exam;

iv. Whether the applicant ever submitted an application for and was granted an Arizona license and, if applicable, the date of Arizona licensure;

v. Other information related to the nurse's practice for the purpose of collecting nursing workforce data; and

vi. State of licensure and license number of all RN licenses held,

l. Responses regarding the applicant's background on the following subjects:

i. Current investigation or pending disciplinary action by a nursing regulatory agency in the United States or its territories;

ii. Undesignated offense and felony charges, convictions and plea agreements including deferred prosecution;

iii. Misdemeanor charges, convictions, and plea agreements, including deferred prosecution, that are required to be reported under A.R.S. § 32-3208;

iv. Actions taken on a nursing license by any other state;

v. Unprofessional conduct as defined in A.R.S. § 32-1601;

vi. Substance use disorder within the last five years;

vii. Current participation in an alternative to discipline program in any other state; and

m. Information that the applicant meets the criteria in R4-19-506(A) or (C).

3. Submit a fingerprint card on a form provided by the Board or prints if the applicant has not submitted fingerprints to the Board within the last two years.

4. Submit an official transcript from an institution accredited under A.R.S. § 32-1644 either sent directly from the institution or obtained from a Board-approved database that provides evidence of:

a. A graduate degree with a major in nursing for RNP, CNM, and CNS Applicants, or

b. A graduate degree associated with a CRNA program for a CRNA applicant.

5. The applicant shall cause the program to provide the Board with evidence of completion of an APRN program in the role and population focus of the application through submission of an official letter or other official program document sent either directly from the program, or from a Board-approved data base. The APRN program shall meet one of the following criteria during the period of the applicant's attendance in the program:

a. The program was part of a graduate degree, or post-masters program at an institution accredited under A.R.S. § 32-1644; or

b. The program was approved or recognized in the U.S jurisdiction of program location for the purpose granting APRN licen-sure or certification.

6. For an applicant who completed an advanced practice or graduate program in a foreign jurisdiction, submit an evaluation from the Commission on Graduates of Foreign Nursing Schools or a Board-approved credential evaluation service that indicates the applicant's program is comparable to a U.S. graduate nursing or APRN program.

7. Submit the required fee.

B. If the applicant satisfies all other requirements, the Board shall continue to certify:

1. An RNP or CNM without a graduate degree with a major in nursing if the applicant:

a. Meets all other requirements for certification; and

b. Ensures that the U.S. jurisdiction of an applicant's previous RNP or CNM licensure or certification submits evidence of the applicant's certification or licensure in the nurse practitioner role and population focus that either is current or was current at least six months before the application was received by the Board, and was originally issued:

i. Before January 1, 2001, if the RNP or CNM applicant lacks a graduate degree; or

ii. Before November 13, 2005 if the RNP's or CNM's graduate degree is in a health-related area other than nursing.

2. An RNP, CNM, or CNS applicant without evidence of national certification who received initial advanced practice certification or licensure in another state not later than July 1, 2004 and provides evidence, directly from the jurisdiction, that the certification or licensure is current.

3. A CNS applicant without evidence of completion of a CNS program who received initial certification or advanced practice licensure in this or another state not later than November 13, 2005 and provides evidence, directly from the jurisdiction, that the certificate or license is current.

4. A CRNA who completed a CRNA program before the effective date of this Section without evidence of a graduate degree.

5. A CNS applicant who completed a women's health clinical nurse specialist program that was part of a graduate degree in nursing program under subsection (A), without evidence of national certification upon submission of the following:

a. A description of the applicant's scope of practice that is consistent with A.R.S. § 32-1601(7);

b. One of the following:

i. A letter from a faculty member who supervised the applicant during the graduate program attesting to the applicant's competence to practice within the defined scope of practice;

ii. A letter from a current supervisor verifying the applicant's competence in the defined scope of practice; or

iii. A letter from a physician, RNP, CNM, or CNS who has worked with the applicant within the past two years attesting to the applicant's competence in the defined scope of practice; and

c. A form verifying that the applicant has practiced a minimum of 500 hours in the population focus within the past two years, which may include clinical practice time in a CNS program.

C. The Board shall issue a certificate to practice as an RNP, CNM, or CNS in a population focus, or as a registered nurse anesthetist, to a registered nurse who meets the criteria in this Section. An applicant who is denied a certificate may request a hearing by filing a written request with the Board within 30 days of service of the Board's order denying certification. Hearings shall be conducted in accordance with A.R.S. Title 41, Chapter 6, Article 10 and 4 A.A.C. 19, Article 6 of this Chapter.

History

• Adopted effective February 20, 1980 (Supp. 80-1). Former Section R4-19-56 repealed, new Section R4-19-56 adopted effective July 16, 1984 (Supp. 84-4). Former Section R4-19-56 renumbered as Section R4-19-504 (Supp. 86-1). Former Section R4-19-504 renumbered to R4-19-505, new Section R4-19-504 adopted effective November 18, 1994 (Supp. 94-4). Former Section R4-19-504 renumbered to Section R4-10-505; new Section R4-19-504 renumbered from R4-19-503 and amended effective November 25, 1996 (Supp. 96-4). Amended effective January 10, 1997 (Supp. 97-1). Amended by final rulemaking at 5 A.A.R. 3911, effective September 28, 1999 (Supp. 99-3). Former R4-19-505 renumbered to R4-19-508; new R4-19-505 renumbered from R4-19-504 and amended by final rulemaking at 11 A.A.R. 3804, effective November 12, 2005 (Supp. 05-3). Amended by final rulemaking at 13 A.A.R. 1483, effective June 2, 2007 (Supp. 07-2). Pursuant to authority of A.R.S. § 41-1011(C), Laws 2012, Ch. 152, § 1, provides for A.R.S. references to be corrected to reflect the renumbering of definitions. Therefore the A.R.S. citation in subsection (A)(7)(a) was updated. Agency request filed July 12, 2012, Office File No. M12-242 (Supp. 12-3). Amended by final rulemaking at 19 A.A.R. 1438, effective July 6, 2013 (Supp. 13-2). Amended by final rulemaking at 25 A.A.R. 919, effective 6/3/2019. Amended by final rulemaking at 26 A.A.R. 3289, effective 12/2/2020.

Ariz. Admin. Code § R4-19-506 Expiration of APRN Certificate; Practice Requirement; Renewal

A. An advanced practice certificate issued after July 1, 2004, expires when the certificate holder's RN license expires, or when national certification expires, whichever occurs first. Certificates issued on or before July 1, 2004, or those issued without proof of national certification under R4-19-505(B)(5) and (B)(2) do not expire unless the RN license expires under A.R.S. § 32-1642 or the nurse has not practiced advanced practice nursing at the applicable level of certification for a minimum of 960 hours in the five years before the date the application is received. This requirement is satisfied if the applicant verifies that the applicant has:

Completed an advanced practice nursing education program within the past five years; or

2. Practiced for a minimum of 960 hours within the past five years where the nurse:

a. Worked for compensation or as a volunteer, as an APRN and performed one or more acts under A.R.S. § 32-1601(7) for a CNS, A.R.S. § 32-1601(20) for an RNP, A.R.S. § 32-1601(5) for a CNM, or A.R.S. § 32-1634.04 for a CRNA; or

b. Held a position for compensation or as a volunteer that required, preferred or recommended, in the job description, the level of advanced practice certification being sought or renewed.

B. A registered nurse requesting renewal of an APRN certificate issued after July 1, 2004 shall provide evidence of current national certification or recertification under R4-19-505(A)(2)(j). This provision does not apply to a CNS granted a waiver of certification.

C. An APRN who does not satisfy the practice requirement of subsection (A) shall complete coursework or continuing education activities at the graduate or advanced practice level that include, at minimum, 45 contact hours of advanced pharmacology and 45 contact hours in a subject or subjects related to the role and population focus of certification. Upon completion of the coursework, the nurse shall engage in a period of precepted clinical practice as specified in this subsection;

1. Precepted clinical practice shall be directly supervised by an APRN in the same role and population focus as the certification being renewed or a physician who engages in practice with the same population focus as the certification being renewed.

2. Practice hours completed during the time-frame specified below may be applied to reduce the number of precepted clinical practice hours, except that in no case shall the hours be reduced by more than half the requirement. The nurse shall complete hours according to the following schedule:

a. 300 hours if the applicant has practiced less than 960 hours in only the last five years;

b. 600 hours if the applicant has not practiced 960 hours in the last five years, but has practiced at least 960 hours in the last six years;

c. 1000 hours if the applicant has not practiced at least 960 hours in the last six years, but has practiced 960 hours in the last seven to 10 years; or

d. If the nurse has not practiced 960 hours of advanced practice nursing in the role and population focus being renewed in more than 10 years, complete a program of study as recommended by an approved advanced practice nursing program that includes, at minimum, 500 hours of faculty supervised clinical practice in the role and population focus of certification. An applicant who qualifies for any option in subsection (C)(2)(a) through (c) may complete the requirements of this subsection to satisfy the practice requirement.

D. An applicant who, in addition to not meeting the requirements for continued APRN certification, does not meet the requirements for RN renewal, shall fulfill all RN renewal requirements before satisfying the requirements of this Section.

E. The Board shall renew a certificate to practice as a registered nurse practitioner in a population focus, a clinical nurse specialist in a population focus, or a registered nurse anesthetist for a registered nurse who meets the criteria in this Section. An applicant who is denied renewal of a certificate may request a hearing by filing a written request with the Board within 30 days of service of the Board's order denying renewal of certification. Hearings shall be conducted in accordance with A.R.S. Title 41, Chapter 6, Article 10 and 4 A.A.C. 19, Article 6 of this Chapter.

History

• Section R4-19-506 renumbered from R4-19-505 effective November 18, 1994 (Supp. 94-4). Former Section R4-19-506 renumbered to R4-19-510, new Section R4-19-506 adopted effective November 25, 1996 (Supp. 96-4). Former R4-19-506 renumbered to R4-19-510; new Section R4-19-506 made by final rulemaking at 11 A.A.R. 3804, effective November 12, 2005 (Supp. 05-3). Amended by final rulemaking at 13 A.A.R. 1483, effective June 2, 2007 (Supp. 07-2). Pursuant to authority of A.R.S. § 41-1011(C), Laws 2012, Ch. 152, § 1, provides for A.R.S. references to be corrected to reflect the renumbering of definitions. Therefore the A.R.S. citations in subsection (A)(2)(a) were updated. Agency request filed July 12, 2012, Office File No. M12-242 (Supp. 12-3). Amended by final rulemaking at 19 A.A.R. 1438, effective July 6, 2013 (Supp. 13-2). Amended by final rulemaking at 25 A.A.R. 919, effective 6/3/2019. Amended by final rulemaking at 26 A.A.R. 3289, effective 12/2/2020.

Ariz. Admin. Code § R4-19-507 Temporary Advanced Practice Certificate; Temporary Prescribing and Dispensing Authority

A. Based on the registered nurse's qualifications, the Board may issue a temporary certificate to practice as a registered nurse practitioner RNP, CNM, or a clinical nurse specialist CNS in a population focus or a registered nurse anesthetist. A registered nurse who is applying for a temporary certificate shall:

1. Apply for certification as an APRN;

2. Submit an application for a temporary certificate;

Demonstrate authorization to practice as a registered nurse in Arizona on either a permanent or temporary Arizona license in good standing or a multistate compact privilege;

Meet all requirements of R4-19-505 or meet the requirements of R4-19-505 with the exception of national certification for RNP, CNM, and CNS applicants unless exempt under R4-19-505(B); and

5. Submit evidence that the applicant:

a. Has applied for and is eligible to take an approved national advanced practice certification exam in the role and population focus of the application;

b. Has requested that the certification program transmit all exam results directly to the Board; or

c. For a CRNA, holds national certification according to R4-19-501.

B. If an applicant fails to meet criteria for national advanced practice certification or has failed a certification exam, the applicant is not eligible for a temporary certificate.

C. The Board may issue temporary prescribing and dispensing authority for RNP, CNM, or CNS applicants, if the applicant:

1. Meets all application requirements for temporary certification in this Section,

2. Applies for and meets all requirements for prescribing and dispensing authority under R4-19-511,

3. Has been certified or licensed as an RNP, CNM, or CNS with prescribing and dispensing authority in the same role and population focus in another state or territory of the United States,

4. Either holds current national certification as an RNP, CNM, or CNS in the population focus of the application or is exempt from national certification under R4-19-505(B), and

5. Meets the practice requirement of R4-19-506(A)(2).

D. Temporary certification as an APRN and temporary prescribing and dispensing authority expire in six months and may be renewed for an additional six months for good cause. Good cause means reasons beyond the control of the temporary certificate holder such as unavoidable delays in obtaining information required for certification.

E. Notwithstanding subsection (D), the Board shall withdraw a temporary APRN certificate and temporary prescribing and dispensing authority under any one of the following conditions. The temporary certificate holder:

1. Does not meet requirements for RN licensure in this state or the RN license is suspended or revoked,

2. Fails to renew the RN license upon expiration,

3. Loses the multistate compact privilege,

4. Fails the national certifying examination, fails to maintain current national certification, as required by R4-19-505, or

5. Violates a statute or rule of the Board.

F. An applicant who is denied a temporary certificate or temporary prescribing and dispensing authority may request a hearing by filing a written request with the Board within 30 days of service of the Board's order denying the temporary certification or authority. Hearings shall be conducted in accordance with A.R.S. Title 41, Chapter 6, Article 10 and 4 A.A.C. 19, Article 6 of this Chapter.

History

• Adopted effective November 25, 1996 (Supp. 96-4). Amended by final rulemaking at 5 A.A.R. 4300, effective October 18, 1999 (Supp. 99-4). Section repealed; new Section made by final rulemaking at 11 A.A.R. 3804, effective November 12, 2005 (Supp. 05-3). Amended by final rulemaking at 13 A.A.R. 1483, effective June 2, 2007 (Supp. 07-2). Amended by final rulemaking at 19 A.A.R. 1438, effective July 6, 2013 (Supp. 13-2). Amended by final rulemaking at 25 A.A.R. 919, effective 6/3/2019. Amended by final rulemaking at 26 A.A.R. 3289, effective 12/2/2020.

Ariz. Admin. Code § R4-19-508 Standards Related to RNP, CNM, and CNS Scope of Practice

A. An RNP, CNM, or CNS shall refer a patient to a physician or another health care provider if the referral will protect the health and welfare of the patient and consult with a physician and other health care providers if a situation or condition occurs in a patient that is beyond the RNP's, CNM's, or CNS's knowledge and experience.

B. In addition to the scope of practice permitted a registered nurse, the additional certification of an RNP, CNM, and CNS, under A.R.S. §§ 32-1601(5), (9), and (20), as applicable, and 32-1606(B)(12), permits the RNP, CNM, and CNS to perform the following acts within the limits of the population focus of certification:

Examine a patient and establish a medical diagnosis by client history, physical examination, and other criteria.

For a patient who requires the services of a health care facility:

a. Admit the patient to the facility,

b. Manage the care the patient receives in the facility, and

c. Discharge the patient from the facility.

3. Order and interpret laboratory, radiographic, and other diagnostic tests, and perform those tests that the RNP, CNM, or CNS is qualified to perform.

4. Prescribe, order, administer and dispense therapeutic measures including pharmacologic agents and devices if authorized under R4-19-511, and non-pharmacological interventions including, but not limited to, durable medical equipment, nutrition, home health care, hospice, physical therapy and occupational therapy. (For the CNS, all prescribing is restricted according to A.R.S. § 32-1651. )

5. Identify, develop, implement, and evaluate a plan of care for a patient to promote, maintain, and restore health.

6. Perform therapeutic procedures that the RNP, CNM, or CNS is qualified to perform.

7. Delegate therapeutic measures to qualified assistive personnel including medical assistants under R4-19-509.

8. Perform additional acts that the RNP, CNM, or CNS is qualified to perform and that are generally recognized as being within the role and population focus of certification.

C. An RNP, CNM, or CNS shall only provide health care services including prescribing and dispensing within the RNP's, CNM's, or CNS's population focus and role and for which the RNP, CNM, or CNS is educationally prepared and for which competency has been established and maintained. Educational preparation means academic coursework or continuing education activities that include both theory and supervised clinical practice.

History

• Adopted effective February 25, 1987 (Supp. 87-1). Former Section R4-19-505 renumbered to R4-19-506, new Section R4-19-505 renumbered from R4-19-504 effective November 18, 1994 (Supp. 94-4). Former Section R4-19-505 repealed, new Section R4-19-505 renumbered from R4-19-504 and amended effective November 25, 1996 (Supp. 96-4). Amended by final rulemaking at 5 A.A.R. 4300, effective October 18, 1999 (Supp. 99-4). Former R4-19-508 renumbered to R4-19-513; new R4-19-508 renumbered from R4-19-505 and amended by final rulemaking at 11 A.A.R. 3804, effective November 12, 2005 (Supp. 05-3). Amended by final rulemaking at 13 A.A.R. 1483, effective June 2, 2007 (Supp. 07-2). Pursuant to authority of A.R.S. § 41-1011(C), Laws 2012, Ch. 152, §1, provides for A.R.S. references to be corrected to reflect the renumbering of definitions. Therefore one of the A.R.S. citations in subsection (B) was updated. Agency request filed July 12, 2012, Office File No. M12-242 (Supp. 12-3). Amended by final rulemaking at 19 A.A.R. 1438, effective July 6, 2013 (Supp. 13-2). Amended by final rulemaking at 26 A.A.R. 3289, effective 12/2/2020.

Ariz. Admin. Code § R4-19-509 Delegation to Medical Assistants

A. Under A.R.S. §§ 32-1456 and 32-1601(19)(d)(vii), an RNP may delegate patient care to a medical assistant in an office or outpatient setting. The RNP shall verify that a medical assistant to whom the RNP delegates meets at least one of the following qualifications:

1. Completed an approved medical assistant training program as defined in A.A.C. R4-16-101(3);

2. If a graduate of an unapproved medical assistant training program, passed the medical assistant examination administered by either the American Association of Medical Assistants or the American Medical Technologists;

Completed an unapproved medical assistant training program and was employed as a medical assistant on a continuous basis since completion of the program before February 2, 2000;

4. Was directly supervised by the same registered nurse practitioner for at least 2000 hours before February 2, 2000; or

5. Completed a medical services training program of the Armed Forces of the United States.

B. An RNP may delegate the following acts to a medical assistant who is under the direct supervision of the RNP and demonstrates competency in the performance of the act:

1. Obtain vital signs;

2. Perform venipuncture and draw blood;

3. Perform capillary puncture;

4. Perform pulmonary function testing;

5. Perform electrocardiography;

6. Perform patient screening using established protocols;

7. Perform dosage calculations as applicable to written orders;

8. Apply pharmacology principles to prepare and administer oral, inhalant, topical, otic, optic, rectal, vaginal and parenteral medications (excluding intravenous medications);

9. Maintain medication and immunization records;

10. Assist provider with patient care;

11. Perform Clinical Laboratory Improvement Amendments (CLIA) waived hematology, chemistry, urinalysis, microbiological and immunology testing;

12. Screen test results;

13. Obtain specimens for microbiological testing;

14. Obtain patient history;

15. Instruct patients according to their needs to promote health maintenance and disease prevention;

16. Prepare a patient for procedures or treatments;

Document patient care and education;

18. Perform first aid procedures;

19. Perform whirlpool treatments;

20. Perform diathermy treatments;

21. Perform electronic galvation stimulation treatments;

22. Perform ultrasound therapy;

23. Perform massage therapy (subject to regulation by massage therapy board);

24. Apply traction treatments;

25. Apply Transcutaneous Nerve Stimulation unit treatments;

26. Apply hot and cold pack treatments; and

Administer small volume nebulizer treatments.

History

• Adopted effective November 25, 1996 (Supp. 96-4). Section repealed by final rulemaking at 5 A.A.R. 4300, effective October 18, 1999 (Supp. 99-4). New Section made by final rulemaking at 11 A.A.R. 3804, effective November 12, 2005 (Supp. 05-3). Amended by final rulemaking at 14 A.A.R. 4621, effective January 31, 2009 (Supp. 08-4). Pursuant to authority of A.R.S. § 41-1011(C), Laws 2012, Ch. 152, § 1, provides for A.R.S. references to be corrected to reflect the renumbering of definitions. Therefore one of the A.R.S. citations in subsection (A) was updated. Agency request filed July 12, 2012, Office File No. M12-242 (Supp. 12-3). Amended by final rulemaking at 19 A.A.R. 1438, effective July 6, 2013 (Supp. 13-2).

Ariz. Admin. Code § R4-19-510 Expired

History

• Section renumbered from R4-19-506 and amended effective November 25, 1996 (Supp. 96-4). Section repealed made by final rulemaking at 10 A.A.R. 792, effective April 3, 2004 (Supp. 04-1). Section R4-19-510 renumbered from R4-19-506 and amended by final rulemaking at 11 A.A.R. 3804, effective November 12, 2005 (Supp. 05-3). Section expired under A.R.S. § 41-1056(E) at 17 A.A.R. 1093, effective March 24, 2011 (Supp. 11-2).

Ariz. Admin. Code § R4-19-511 Prescribing and Dispensing Authority; Prohibited Acts

A. The Board shall authorize an RNP, CNM, or CNS to prescribe and dispense (P&D) drugs and devices within the RNP's, CNM's, or CNS's population focus only if the RNP, CNM, or CNS does all of the following:

1. Obtains authorization by the Board to practice as an RNP, CNM, or CNS;

2. Applies for prescribing and dispensing privileges on the application for RNP, CNM, or CNS certification;

3. Submits a completed verified application on a form provided by the Board that contains all of the following information:

a. Name, address, e-mail address and home telephone number;

b. Arizona registered nurse license number, or copy of compact license;

c. RNP, CNM, or CNS population focus;

d. RNP, CNM, or CNS certification number issued by the Board; and

e. Business address and telephone number;

4. Submits evidence of a minimum of 45 contact hours of education within the three years immediately preceding the application, covering one or both of the following topics consistent with the population focus of education and certification:

a. Pharmacology, or

b. Clinical management of drug therapy, and

5. Submits the required fee.

B. An applicant who is denied P & D authority may request a hearing by filing a written request with the Board within 30 days of service of the Board's order denying the P & D authority. Board hearings shall comply with A.R.S. Title 41, Chapter 6, Article 10, and 4 A.A.C. 19, Article 6, of this Chapter.

C. An RNP, CNM, or CNS shall not prescribe or dispense drugs or devices without Board authority or in a manner inconsistent with law. The Board may impose an administrative or civil penalty for each violation, suspend the RNP's, CNM's, or CNS's P & D authority, or impose other sanctions under A.R.S. § 32-1606(C). In determining the appropriate sanction, the Board shall consider factors such as the number of violations, the severity of each violation, and the potential for or existence of patient harm.

D. In addition to acts listed under R4-19-403, for an RNP, CNM, or CNS who prescribes or dispenses a drug or device, a practice that is or might be harmful to the health of a patient or the public, includes one or more of the following:

Prescribing a controlled substance to oneself, a member of the RNP's, CNM's, or CNS's family or any other person with whom the RNP, CNM, or CNS has a relationship that may affect the RNP's, CNM's, or CNS's ability to use independent, objective and sound judgment when prescribing;

2. Providing any controlled substance or prescription-only drug or device for other than accepted therapeutic purposes;

3. Delegating the prescribing and dispensing of drugs or devices to any other person;

4. Prescribing for a patient that is not in the RNP's, CNM's, or CNS's population focus of education and certification except as authorized in subsection (D)(5)(d); and

5. Prescribing, dispensing, or furnishing a prescription drug or a prescription-only device to a person unless the RNP, CNM, or CNS has examined the person and established a professional relationship, except when engaging in one or more of the following:

a. Providing temporary patient care on behalf of the patient's regular treating and licensed health care professional;

b. Providing care in an emergency medical situation where immediate medical care or hospitalization is required by a person for the preservation or health, life, or limb;

c. Furnishing a prescription drug to prepare a patient for a medical examination; or

d. Prescribing antimicrobials to a person who is believed to be at substantial risk as a contact of a patient who has been examined and diagnosed with a communicable disease by the prescribing RNP, CNM, or CNS even if the contact is not in the population focus of the RNP's, CNM's, or CNS's certification.

6. Prescribing or dispensing any controlled substance or prescription-only drug or device in a manner that is inconsistent with other state or federal requirements.

E. An RNP, CNM, or CNS shall not dispense a Schedule II Controlled Substance that is an opioid, except for an opioid that is for medication assisted treatment for substance use disorders.

F. A CNS's prescribing is additionally limited according to A.R.S. § 32-1651.

G. A CRNA may apply for and obtain a prescribing-only certificate upon successful completion of all application requirements that are applicable to prescribing, as listed for other APRNs, and follow the same prescribing restrictions and administrative processes, as described in subsections (A)-(D), of this Section; and consistent with A.R.S. § 32-1634.04, and all other applicable laws.

History

• Adopted effective November 25, 1996 (Supp. 96-4). Section repealed; new Section made by final rulemaking at 11 A.A.R. 3804, effective November 12, 2005 (Supp. 05-3). Amended by final rulemaking at 19 A.A.R. 1438, effective July 6, 2013 (Supp. 13-2). Amended by final rulemaking at 23 A.A.R. 1420, effective 7/1/2017. Amended by final rulemaking at 25 A.A.R. 919, effective 6/3/2019. Amended by final rulemaking at 26 A.A.R. 3289, effective 12/2/2020.

Ariz. Admin. Code § R4-19-512 Prescribing Drugs and Devices

A. An RNP, CNM, or CNS granted P & D authority by the Board may, within restrictions provided by law and applicable to each certificate:

1. Prescribe drugs and devices;

2. Provide for refill of prescription-only drugs and devices for one year from the date of the prescription.

B. An RNP, CNM, or CNS with P & D authority who wishes to prescribe a controlled substance shall obtain a DEA registration number before prescribing a controlled substance, and shall file the DEA registration number with the Board.

C. An RNP, CNM, or CNS with a DEA registration number may prescribe, but may not exceed the limitations of each certification:

1. A Schedule II controlled substance as defined in the federal Controlled Substances Act, 21 U.S.C. § 801 et seq., or Arizona's Uniform Controlled Substances Act, A.R.S. Title 36, Chapter 27, but shall not prescribe refills of the prescription, and shall follow all other restrictions provided by law;

2. A Schedule III or IV controlled substance, as defined in the federal Controlled Substances Act or Arizona's Uniform Controlled Substances Act, and may prescribe a maximum of five refills in six months; and

A Schedule V controlled substance, as defined in the federal Controlled Substances Act or Arizona's Uniform Controlled Substances Act, and may prescribe refills for a maximum of one year.

D. An RNP, CNM, or CNS whose DEA registration is revoked or expires shall not prescribe controlled substances. An RNP, CNM, or CNS whose DEA registration is revoked or limited shall report the action to the Board within 10 days of the revocation or limitation.

E. In all outpatient settings or at the time of hospital discharge, an RNP, CNM, or CNS with P & D authority, who prescribed medication to a patient, shall personally provide the patient or the patient's representative with the name of the drug, directions for use, and any special instructions, precautions, or storage requirements necessary for safe and effective use of the drug if any of the following occurs:

1. A new drug is prescribed or there is a change in the dose, form, or direction for use in a previously prescribed drug;

2. In the RNP's, CNM's, or CNS's professional judgment, these instructions are warranted; or

3. The patient or patient's representative requests instruction.

F. An RNP, CNM, or CNS with P & D authority shall ensure that all prescription orders contain the following:

1. The RNP's, CNM's, or CNS's name, address, telephone number, and population focus;

2. The prescription date;

3. The name of the patient and either the address of the patient or a blank for the address if the prescription is not being dispensed by the RNP, CNM, or CNS;

4. The full name of the drug, strength, dosage form, and directions for use;

5. The letters "DAW", "dispense as written", "do not substitute", "medically necessary" or any similar statement on the face of the prescription form if intending to prevent substitution of the drug;

6. The RNP's, CNM's, or CNS's DEA registration number, if applicable; and

7. The RNP's, CNM's, or CNS's signature.

History

• Former R4-19-512 renumbered to R4-19-514; new R4-19-512 made by final rulemaking at 11 A.A.R. 3804, effective November 12, 2005 (05-3). Amended by final rulemaking at 19 A.A.R. 1438, effective July 6, 2013 (Supp. 13-2). Amended by final rulemaking at 26 A.A.R. 3289, effective 12/2/2020.

Ariz. Admin. Code § R4-19-513 Dispensing Drugs and Devices

A. An RNP, CNM, or CNS granted prescribing and dispensing authority by the Board may, within restrictions provided by law and applicable to each certificate:

Dispense drugs and devices to patients;

2. Dispense samples of drugs packaged for individual use without a prescription order or additional labeling;

3. Only dispense drugs and devices obtained directly from a pharmacy, manufacturer, wholesaler, or distributor; and

4. Allow other personnel to assist in the delivery of medications provided that the RNP, CNM, or CNS retains responsibility and accountability for the dispensing process.

B. If dispensing a drug or device, an RNP, CNM, or CNS with dispensing authority shall:

1. Ensure that the patient has a written prescription that complies with R4-19-512(F) and contains the address of the patient and inform the patient that the prescription may be filled by the prescribing RNP, CNM, or CNS or by a pharmacy of the patient's choice;

2. Affix a prescription number to each prescription that is dispensed;

3. Ensure that all original prescriptions are preserved for a minimum of seven years and make the original prescriptions available at all times for inspection by the Board of Nursing, Board of Pharmacy, and law enforcement officers in performance of their duties; and

4. Report the dispensing of controlled substances to the Board of Pharmacy's Controlled Substance Prescription Monitoring Program according to A.R.S. § 36-2608.

C. An RNP, CNM, or CNS practicing in a public health facility operated by this state or a county or in a qualifying community health center under A.R.S. § 32-1921(D) and (F) may dispense drugs or devices to patients without a written prescription if the public health facility or the qualifying community health center adheres to all storage, labeling, safety, and recordkeeping rules of the Board of Pharmacy.

D. An RNP, CNM, or CNS who dispenses a drug shall ensure that a label is affixed that contains all of the following information:

1. Dispensing RNP's, CNM's, or CNS's name and population focus;

Address and telephone number of the location from which the drug is dispensed;

3. Date dispensed;

4. Patient's name and address;

5. Name and strength of the drug, quantity in the container, directions for use, and any cautionary statements necessary for the safe and effective use of the drug;

6. Manufacturer and lot number; and

7. Prescription order number.

E. An RNP, CNM, or CNS who dispenses a drug or device shall ensure that the following information about the drug or device is entered into the patient's medical record:

1. Name of the drug, strength, quantity, directions for use, and number of refills;

2. Date dispensed;

3. Therapeutic reason;

4. Manufacturer and lot number; and

5. Prescription order number.

F. An RNP, CNM, or CNS with dispensing authority shall:

1. Keep all drugs in a locked cabinet or room in an area that is not accessible to patients;

2. If dispensing a controlled substance:

a. Control access by a written policy that specifies:

i. Those persons allowed access, and

ii. Procedures to report immediately the discovery of a shortage or illegal removal of drugs to a local law enforcement agency and provide that agency and the DEA with a written report within seven days of the discovery.

b. Maintain and make available to the Board upon request an ongoing inventory and record of:

i. A Schedule II controlled substance, as defined in the federal Controlled Substances Act or Arizona's Uniform Controlled Substances Act, separately from all other records, and a prescription for a Schedule II controlled substance in a separate prescription file; and

ii. A Schedule III, IV, or V controlled substance, as defined in the federal Controlled Substances Act or Arizona's Uniform Controlled Substances Act, in a form that is readily retrievable from other records.

G. If a prescription order is refilled, an RNP, CNM, or CNS with P & D authority shall record the following information on the back of the prescription order or in the patient's medical record:

1. Date refilled,

2. Quantity dispensed if different from the full amount of the original prescription,

3. RNP's, CNM's, or CNS's name or identifiable initials, and

Manufacturer and lot number.

H. Under the supervision of an RNP, CNM, or CNS with P & D authority, other personnel may:

1. Receive and record a prescription refill request from a patient or a patient's representative;

2. Receive and record a verbal refill authorization from the RNP including:

a. The RNP's, CNM's, or CNS's name;

b. Date of refill;

c. Name, directions for use, and quantity of drug; and

d. Manufacturer and lot number;

3. Prepare and affix a prescription label; and

4. Prepare a drug or device for delivery, provided that the dispensing RNP, CNM, or CNS:

a. Inspects the drug or device and initials the label before issuing to the patient to ensure compliance with the prescription; and

b. Ensures that the patient is informed of the name of the drug or device, directions for use, precautions, and storage requirements.

History

• Adopted effective November 25, 1996 (Supp. 96-4). Amended by final rulemaking at 5 A.A.R. 4300, effective October 18, 1999 (Supp. 99-4). Former R4-19-513 renumbered to R4-19-515; new R4-19-513 renumbered from R4-19-508 and amended by final rulemaking at 11 A.A.R. 3804, effective November 12, 2005 (Supp. 05-3). Amended by final rulemaking at 19 A.A.R. 1438, effective July 6, 2013 (Supp. 13-2). Amended by final rulemaking at 26 A.A.R. 3289, effective 12/2/2020.

Ariz. Admin. Code § R4-19-514 Standards Related to Clinical Nurse Specialist Scope of Practice

In addition to the functions of a registered nurse, a CNS, according to A.R.S. § 32-1601(7), may perform one or more of the following for an individual, family, or group within the population focus of certification and for which competency has been maintained:

1. Conduct an advanced assessment, analysis, and evaluation of a patient's complex health needs;

2. Establish primary and differential health status diagnoses;

3. Direct health care as an advanced clinician;

4. Develop, implement, and evaluate a treatment plan according to a patient's need for specialized nursing care;

5. Establish nursing standing orders, algorithms, and practice guidelines related to interventions and specific plans of care;

Manage health care according to written protocols;

7. Facilitate system changes on a multidisciplinary level to assist a health care facility and improve patient outcomes cost-effectively;

Consult with the public and professionals in health care, business, and industry in the areas of research, case management, education, and administration;

9. Perform psychotherapy if certified as a clinical nurse specialist in psychiatric and mental health nursing;

Prescribe, order, administer, and dispense therapeutic measures including pharmacologic agents and devices if authorized under R4-19-511, and within the limitations of A.R.S. § 32-1651; and

11. Perform additional acts that the clinical nurse specialist is qualified to perform.

History

• Adopted effective November 25, 1996 (Supp. 96-4). Section R4-19-514 renumbered from R4-19-512 and amended by final rulemaking at 11 A.A.R. 3804, effective November 12, 2005 (Supp. 05-3). Pursuant to authority of A.R.S. § 41-1011(C), Laws 2012, Ch. 152, §1, provides for A.R.S. references to be corrected to reflect the renumbering of definitions. Therefore the A.R.S. citation in the opening subsection was updated. Agency request filed July 12, 2012, Office File No. M12-242 (Supp. 12-3). Amended by final rulemaking at 19 A.A.R. 1438, effective July 6, 2013 (Supp. 13-2). Amended by final rulemaking at 26 A.A.R. 3289, effective 12/2/2020.

Ariz. Admin. Code § R4-19-515 Repealed

History

• Section adopted by final rulemaking at 6 A.A.R. 335, effective December 20, 1999 (Supp. 99-4). Section R4-19-515 renumbered from R4-19-513 by final rulemaking at 11 A.A.R. 3804, effective November 12, 2005 (Supp. 05-3). Repealed by final rulemaking at 18 A.A.R. 2140, effective August 8, 2012 (Supp. 12-3).

Ariz. Admin. Code § R4-19-516 Repealed

History

• New Section made by final rulemaking at 11 A.A.R. 3804, effective November 12, 2005 (Supp. 05-3). Repealed by final rulemaking at 18 A.A.R. 2140, effective August 8, 2012 (Supp. 12-3).

Article 6 RULES OF PRACTICE AND PROCEDURE

Ariz. Admin. Code § R4-19-601 Expired

History

• Adopted effective October 10, 1996 (Supp. 96-4). Section expired under A.R.S. § 41-1056(E) at 8 A.A.R. 618, effective December 31, 2001 (Supp. 02-1). Section R4-19-601 renumbered from R4-19-602 and amended by final rulemaking at 9 A.A.R. 1288, effective June 3, 2003 (Supp. 03-2). Section expired under A.R.S. § 41-1056(E) at 17 A.A.R. 2692, effective August 31, 2011 (Supp. 11-4).

Ariz. Admin. Code § R4-19-602 Letter of Concern

A letter of concern issued by the Board is not an appealable agency action as defined in A.R.S. § 41-1092.

History

• Adopted effective October 10, 1996 (Supp. 96-4). Former Section R4-19-602 renumbered to R4-19-601; new Section R4-19-602 made by final rulemaking at 9 A.A.R. 1288, effective June 3, 2003 (Supp. 03-2).

Ariz. Admin. Code § R4-19-603 Representation

Any person subject to a hearing may participate in the hearing and may be represented by legal counsel. The Board shall not pay for the person's legal counsel.

History

• Adopted effective October 10, 1996 (Supp. 96-4). Former Section R4-19-603 repealed; new Section R4-19-603 renumbered from R4-19-604 and amended by final rulemaking at 9 A.A.R. 1288, effective June 3, 2003 (Supp. 03-2).

Ariz. Admin. Code § R4-19-604 Notice of Hearing; Response

A. The Board, in consultation with the Office of Administrative Hearings, as necessary shall prepare and serve a written notice of hearing on all parties under A.R.S. § 41-1092.05.

B. In addition to the notice requirements in A.R.S. § 41-1092.05(D), the Board shall include the following in the notice:

1. The full name, address, and license number, if any, of the licensee, certificate holder, program, or applicant;

2. The name, address of record, and telephone number of the Board's executive director or Board designee if the hearing is to be conducted by the Board;

3. A statement that a hearing will proceed without a party's presence if a party fails to attend or participate in the hearing;

4. The names and addresses of record of persons to whom notice is being given, including the Attorney General representing the state at the hearing; and

5. Any other matters relevant to the proceedings.

C. The party named in the notice of hearing shall file a written response under A.R.S. § 32-1664 within 30 days after service of the notice of hearing. The response shall contain:

1. The party's name, address, and telephone number;

2. Whether the party has legal representation and, if so, the name and address of the attorney;

3. A response to the allegations contained in the notice of hearing; and

4. Any other matters relevant to the proceedings.

History

• Adopted effective October 10, 1996 (Supp. 96-4). Former Section R4-19-604 renumbered to R4-19-603; new Section R4-19-604 renumbered from R4-19-605 and amended by final rulemaking at 9 A.A.R. 1288, effective June 3, 2003 (Supp. 03-2). Amended by final rulemaking at 26 A.A.R. 3289, effective 12/2/2020.

Ariz. Admin. Code § R4-19-605 Expired

History

• Adopted effective October 10, 1996 (Supp. 96-4). Former Section R4-19-605 renumbered to R4-19-604; new Section R4-19-605 renumbered from R4-19-606 and amended by final rulemaking at 9 A.A.R. 1288, effective June 3, 2003 (Supp. 03-2). Section expired under A.R.S. § 41-1056(E) at 17 A.A.R. 2692, effective August 31, 2011 (Supp. 11-4).

Ariz. Admin. Code § R4-19-606 Expired

History

• Adopted effective October 10, 1996 (Supp. 96-4). Former Section R4-19-606 renumbered to R4-19-605; new Section R4-19-606 renumbered from R4-19-607 and amended by final rulemaking at 9 A.A.R. 1288, effective June 3, 2003 (Supp. 03-2). Section expired under A.R.S. § 41-1056(E) at 17 A.A.R. 2692, effective August 31, 2011 (Supp. 11-4).

Ariz. Admin. Code § R4-19-607 Recommended Decision

The Administrative Law Judge who conducts the hearing shall make a recommended decision under A.R.S. § 41-1092.08. The Board shall immediately transmit a copy of the recommended decision to each party. Each party may file a memorandum of objections for consideration at the next Board meeting that contains the reasons why the recommended decision is in error or requires correction, and includes appropriate citations to the record, statutes, or rules in support of each objection.

History

• Adopted effective October 10, 1996 (Supp. 96-4). Former Section R4-19-607 renumbered to R4-19-606; new Section R4-19-607 renumbered from R4-19-612 and amended by final rulemaking at 9 A.A.R. 1288, effective June 3, 2003 (Supp. 03-2).

Ariz. Admin. Code § R4-19-608 Rehearing or Review of Decision

A. A party may file a motion for rehearing or review of a decision under A.R.S. §§ 41-1092.09 and 32-1665.

B. The Board may grant a rehearing or review of the decision for any of the following causes materially affecting the moving party's rights:

1. Irregularity in the administrative proceedings of the Board or the administrative law judge, or any order, or abuse of discretion, which deprived the moving party of a fair hearing;

2. Misconduct of the Board, the administrative law judge, or the prevailing party;

3. Accident or surprise that could not have been prevented by ordinary prudence;

4. Newly discovered material evidence that could not, with reasonable diligence, have been discovered and produced at the original hearing;

5. Excessive or insufficient penalties;

6. Error in the admission or exclusion of evidence or other errors of law occurring during the pendency of the proceeding or at the administrative hearing; or

7. The decision is not justified by the evidence or is contrary to law.

C. Upon the Board's receipt of a motion for rehearing or review, the Board may affirm or modify the decision or grant a rehearing to all or any of the parties on all or part of the issues for any of the reasons in subsection (B). An order granting a rehearing shall specify with particularity the grounds for the order. Any rehearing shall cover only those specified matters.

D. Within the time limits of A.R.S. § 41-1092.09, the Board may order a rehearing or review on its own initiative for any of the reasons in subsection (B). The Board shall specify the grounds for the rehearing or review in the order.

E. When a motion for rehearing is based upon affidavits, they shall be served with the motion. An opposing party may, within 15 days of such service, serve opposing affidavits.

History

• Adopted effective October 10, 1996 (Supp. 96-4). Section expired under A.R.S. § 41-1056(E) at 8 A.A.R. 491, effective December 31, 2001 (Supp. 02-1). Section R4-19-608 renumbered from R4-19-614 and amended by final rulemaking at 9 A.A.R. 1288, effective June 3, 2003 (Supp. 03-2).

Ariz. Admin. Code § R4-19-609 Effectiveness of Orders

A. Except as provided in subsection (B), a decision is final upon expiration of the time for filing a request for rehearing or review or upon denial of such a request, whichever is later. If the Board grants a rehearing or review, the decision is stayed until another order is issued.

B. If it finds that the public health, safety, or welfare imperatively requires emergency action, the Board may proceed under A.R.S. § 41-1092.11(B), ordering summary suspension of a license while other proceedings are pending. If the Board orders a summary suspension, a party shall exhaust the party's administrative remedies by filing a motion for rehearing or review under A.R.S. § 41-1092.09(B) before seeking judicial review of the decision.

History

• Adopted effective October 10, 1996 (Supp. 96-4). Section expired under A.R.S. § 41-1056(E) at 8 A.A.R. 491, effective December 31, 2001 (Supp. 02-1). Section R4-19-609 renumbered from R4-19-615 and amended by final rulemaking at 9 A.A.R. 1288, effective June 3, 2003 (Supp. 03-2).

Ariz. Admin. Code § R4-19-610 Expired

History

• Adopted effective October 10, 1996 (Supp. 96-4). Section expired under A.R.S. § 41-1056(E) at 8 A.A.R. 491, effective December 31, 2001 (Supp. 02-1).

Ariz. Admin. Code § R4-19-611 Expired

History

• Adopted effective October 10, 1996 (Supp. 96-4). Section expired under A.R.S. § 41-1056(E) at 8 A.A.R. 491, effective December 31, 2001 (Supp. 02-1).

Ariz. Admin. Code § R4-19-612 Renumbered

History

• Adopted effective October 10, 1996 (Supp. 96-4). Section renumbered to R4-19-607 by final rulemaking at 9 A.A.R. 1288, effective June 3, 2003 (Supp. 03-2).

Ariz. Admin. Code § R4-19-613 Expired

History

• Adopted effective October 10, 1996 (Supp. 96-4). Section expired under A.R.S. § 41-1056(E) at 8 A.A.R. 491, effective December 31, 2001 (Supp. 02-1).

Ariz. Admin. Code § R4-19-614 Renumbered

History

• Adopted effective October 10, 1996 (Supp. 96-4). Section renumbered to R4-19-608 by final rulemaking at 9 A.A.R. 1288, effective June 3, 2003 (Supp. 03-2).

Ariz. Admin. Code § R4-19-615 Renumbered

History

• Adopted effective October 10, 1996 (Supp. 96-4). Section renumbered to R4-19-609 by final rulemaking at 9 A.A.R. 1288, effective June 3, 2003 (Supp. 03-2).

Article 7 PUBLIC PARTICIPATION PROCEDURES

Ariz. Admin. Code § R4-19-701 Expired

History

• Adopted effective October 10, 1996 (Supp. 96-4). Amended by final rulemaking at 9 A.A.R. 1288, effective June 3, 2003 (Supp. 03-2). Section expired under A.R.S. § 41-1056(E) at 17 A.A.R. 2692, effective August 31, 2011 (Supp. 11-4).

Ariz. Admin. Code § R4-19-702 Petition for Rulemaking; Review of Agency Practice or Substantive Policy Statement; Objection to Rule Based upon Economic, Small Business, or Consumer Impact

A person may petition the Board, requesting the making of a final rule, or a review of an existing agency practice or substantive policy statement that the petitioner alleges to constitute a rule under A.R.S. § 41-1033, or objecting to a rule under A.R.S. § 41-1056.01, by filing a petition which contains the following:

1. The name, current address, and telephone number of the person submitting the petition.

2. For the making of a new rule, the specific language of the proposed rule.

For amendment of a current rule, the Arizona Administrative Code (A.A.C.) Section number, the Section heading, and the specific language of the current rule, with any language to be deleted stricken through but legible, and any new language underlined.

4. For repeal of a current rule, the A.A.C. Section number and Section heading proposed for repeal.

5. The reasons the rule should be made, specifically stating in reference to an existing rule, why the rule is inadequate, unreasonable, unduly burdensome, or otherwise not acceptable. The petitioner may provide additional supporting information including:

a. Any statistical data or other justification, with clear references to attached exhibits;

b. An identification of any person or segment of the public that would be affected and how they would be affected; and

c. If the petitioner is a public agency, a summary of relevant issues raised in any public hearing, or written comments offered by the public.

6. For a review of an existing agency practice or substantive policy statement alleged to constitute a rule, the reasons the existing agency practice or substantive policy statement constitutes a rule and the proposed action requested of the Board.

7. For an objection to a rule based upon the economic, small business, or consumer impact, evidence of any of the following grounds:

a. The actual economic, small business, or consumer impact significantly exceeded the impact estimated in the economic, small business, and consumer impact statement submitted during the making of the rule.

b. The actual economic, small business, or consumer impact was not estimated in the economic, small business, and consumer impact statement submitted during the making of the rule and that actual impact imposes a significant burden on persons subject to the rule.

c. The Board did not select the alternative that imposes the least burden and costs to persons regulated by the rule, including paperwork and other compliance costs, necessary to achieve the underlying regulatory objective.

8. The signature of the person submitting the petition.

History

• Adopted effective October 10, 1996 (Supp. 96-4). Amended by final rulemaking at 9 A.A.R. 1288, effective June 3, 2003 (Supp. 03-2). Amended by final rulemaking at 19 A.A.R. 1419, effective July 6, 2013 (Supp. 13-2).

Ariz. Admin. Code § R4-19-703 Oral Proceedings

A. The Board shall schedule an oral proceeding on all rulemakings and publish the notice as prescribed in A.R.S. § 41-1023. A Board member, the executive director, or a Board staff member shall serve as presiding officer at an oral proceeding.

B. The Board shall record all oral proceedings either by an electronic recording device or stenographically, and any resulting cassette tapes or transcripts, registers, and all written comments received shall become part of the official record.

C. The presiding officer shall conduct an oral proceeding according to A.R.S. § 41-1023; and

1. Request each person in attendance register;

2. Obtain the following information from any person who intends to speak:

a. Name and whether the person represents another;

b. Position with regard to the proposed rule; and

c. Approximate length of time needed to speak;

3. Open the proceeding by identifying the subject matter of the rules under consideration and the purpose of the proceeding;

4. Present the agenda;

5. Ensure that a Board representative explains the background and general content of the proposed rules;

6. Limit comments to a reasonable period, and prevent undue repetition of comments;

7. Announce the address for written public comments and the date and time for the close of record; and

8. Close the proceeding if there are no persons in attendance within 15 minutes after the posted meeting time.

History

• Adopted effective October 10, 1996 (Supp. 96-4). Former Section R4-19-703 repealed; new Section R4-19-703 renumbered from R4-19-704 and amended by final rulemaking at 9 A.A.R. 1288, effective June 3, 2003 (Supp. 03-2).

Ariz. Admin. Code § R4-19-704 Petition for Altered Effective Date

A. A person wishing to alter the effective date of a rule shall file a written petition that contains:

1. The name, current address, and telephone number of the person submitting the petition;

2. Identification of the proposed rule;

3. If the person is petitioning for an immediate effective date, a demonstration that the immediate date is necessary for one or more of the reasons in A.R.S. § 41-1032(A);

4. If the person is petitioning for a later effective date, more than 60 days after filing of the rule, a demonstration under A.R.S. § 41-1032(B) that good cause exists for, and the public interest will not be harmed by, the later effective date; and

5. The signature of the person submitting the petition.

B. The Board shall make a decision and notify the petitioner of the decision within 60 days of receipt of the petition.

History

• Adopted effective October 10, 1996 (Supp. 96-4). Former Section R4-19-704 renumbered to R4-19-703; new Section R4-19-704 renumbered from R4-19-705 and amended by final rulemaking at 9 A.A.R. 1288, effective June 3, 2003 (Supp. 03-2).

Ariz. Admin. Code § R4-19-705 Written Criticism of an Existing Rule

A. Any person may file with the Board a written criticism of an existing rule that contains:

1. The rule addressed, and

2. The reason the existing rule is inadequate, unduly burdensome, unreasonable, or improper.

B. The Board shall acknowledge receipt of any criticism within 10 working days and shall place the criticism in the official record for review by the Board under A.R.S. § 41-1056.

History

• Adopted effective October 10, 1996 (Supp. 96-4). Former Section R4-19-705 renumbered to R4-19-704; new Section R4-19-705 renumbered from R4-19-706 and amended by final rulemaking at 9 A.A.R. 1288, effective June 3, 2003 (Supp. 03-2).

Ariz. Admin. Code § R4-19-706 Renumbered

History

• Adopted effective October 10, 1996 (Supp. 96-4). Renumbered to R4-19-705 by final rulemaking at 9 A.A.R. 1288, effective June 3, 2003 (Supp. 03-2).

Article 8 CERTIFIED AND LICENSED NURSING ASSISTANTS AND CERTIFIED MEDICATION ASSISTANTS

Ariz. Admin. Code § R4-19-801 Common Standards for Nursing Assistant (NA) and Certified Medication Assistant (CMA) Training Programs

A. Program Administrative Responsibilities

1. Any person or entity offering a training program under this Article shall, before accepting tuition from prospective students, and at all times thereafter, provide program personnel including a coordinator and instructors, as applicable, who meet the requirements of this Article.

2. If at any time, a person or entity offering a training program cannot provide a qualified instructor for its students, it shall immediately cease instruction and, if the training program cannot provide a qualified instructor within 5 business days, the training program shall offer all enrolled students a refund of all tuition and fees the students have paid to the program.

3. A training program shall obtain and maintain Board approval or re-approval as specified in this Article and A.R.S § 32-1650.01(B) before advertising the program, accepting any tuition, fees, or other funds from prospective students, or enrolling students.

4. A training program that uses external clinical facilities shall execute a written agreement with each external clinical facility.

A training program that requires students to pay tuition for the program shall:

a. Make all program costs readily accessible on the school's website with effective dates,

b. Publically post any increases in costs on the school's website 30 days in advance of the increase;

c. Include in the cost calculation and public posting, all fees directly paid to the program including but not limited to tuition, lab fee, clinical fee, enrollment fee, insurance, books, uniform, health screening, credit card fee and state competency exam fee; and

d. Provide a description of all program costs to the student that are not directly paid to the program.

6. Before collecting any tuition or fees from a student, a training program shall notify each prospective student of Board requirements for certification and licensure including:

a. Legal presence in the United States; and

b. For licensure, criminal background check requirements, and ineligibility under A.R.S. § 32-1606(B)(15) and (16).

7. Within the first 14 days of the program and before 50% of program instruction occurs, a training program shall transmit to the Board-approved test vendor, accurate and complete information regarding each enrolled student for the purposes of tracking program enrollment, attrition and completion. Upon receipt of accurate completion information, the vendor shall issue a certificate of completion to the program for each successful graduate.

8. A training program shall provide the Board, or its designee, access to all training program records, students and staff at any time, including during an announced or unannounced visit. A program's refusal to provide such access is grounds for withdrawal of Board approval.

9. A training program shall provide each student with an opportunity to anonymously and confidentially evaluate the course instructor, curriculum, classroom environment, clinical instructor, clinical setting, textbook and resources of the program;

10. A training program shall provide and implement a plan to evaluate the program that includes the frequency of evaluation, the person responsible, the evaluative criteria, the results of the evaluation and actions taken to improve the program. The program shall evaluate the following elements at a minimum every two years:

a. Student evaluations consistent with subsection (A)(9);

b. First-time pass rates on the written and manual skills certification exams for each admission cohort;

c. Student attrition rates for each admission cohort;

d. Resolution of student complaints and grievances in the past two years; and

e. Review and revision of program policies.

11. A training program shall submit written documentation and information to the Board regarding the following program changes within 30 days of instituting the change:

a. For a change or addition of an instructor or coordinator, the name, RN license number, and documentation that the coordinator or instructor meets the applicable requirements of R4-19-802(B) and (C) for NA programs and R4-19-803(B) for CMA programs;

b. For a change in classroom location, the previous and new location, and a description of the new classroom;

c. For a change in a clinical facility, the name and address of the new facility and a copy of the signed clinical contract;

d. For a change in the name or ownership of the training program, the former name or owners and the new name or owners; and

e. For a decrease in hours of the program, a written revised curriculum document that clearly highlights new content, strikes out deleted content and includes revised hours of instruction, as applicable.

B. Policies and Procedures

1. A training program shall promulgate and enforce written policies and procedures that comply with state and federal requirements, and are consistent with the policies and procedures of the parent institution, if any. The program shall provide effective and review dates for each policy or procedure.

2. A training program shall provide a copy of its policies and procedures to each student on or before the first day the student begins the program.

3. The program shall promulgate and enforce the following policies with accompanying procedures:

a. Admission requirements including:

i. Criminal background, health and drug screening either required by the program or necessary to place a student in a clinical agency; and

ii. English language, reading and math skills necessary to comprehend course materials and perform duties safely.

b. Student attendance policy, ensuring that a student receives the hours and types of instruction as reported to the Board in the program's most recent application to the Board and as required in this Article. If absences are permitted, the program shall ensure that each absence is remediated by providing and requiring the student to complete learning activities that are equivalent to the missed curriculum topics, clinical experience or skill both in substance and in classroom or clinical time.

c. A final examination policy that includes the following provisions;

i. Require that its students score a minimum 75% correct answers on a comprehensive secure final examination with no more than one re-take. The program may allow an additional re-take following documented, focused remediation based on past test performance. Any re-take examination must contain different items than the failed exam, address all course competencies, and be documented with score, date administered and proctor in the student record; and

ii. Require that each student demonstrate, to program faculty, satisfactory performance of each practical skill as prescribed in the curriculum before performance of that skill on patients or residents without the instructor's presence, direct observation, and supervision.

d. Student record maintenance policies consistent with subsection (D) including the retention period, the location of records and the procedure for students to access to their records.

e. Clinical supervision policies consistent with clinical supervision provisions of this Section, and:

i. R4-19-802(C) and (D) for NA programs, or

ii. R4-19-803(B) and (C) for CMA programs;

f. Student conduct policies for expected and unacceptable conduct in both classroom and clinical settings;

g. Dismissal and withdrawal policies;

h. Student grievance policy that includes a chain of command for grade disputes and ensures that students have the right to contest program actions and provide evidence in support of their best interests including the right to a third party review by a person or committee that has no stake in the outcome of the grievance;

i. Program progression and completion criteria.

C. Classroom and clinical instruction

1. During clinical training sessions, a training program shall ensure that each student is identified as a student by a name badge or another means readily observable to staff, patients, and residents.

2. A training program shall not utilize, or allow the clinical facility to utilize, students as staff during clinical training sessions.

3. A training program shall provide a clean, comfortable, distraction-free learning environment for didactic teaching and skill practice.

4. A training program shall provide, in either electronic or paper format, a written curriculum to each student on or before the first day of class that includes a course description, course hours including times of instruction and total course hours, instructor information, passing requirements, course goals, and a topical schedule containing date, time and topic for each class session.

5. For each unit or class session the program shall provide, to its students, written:

a. Measurable learner-centered objectives,

b. An outline of the material to be taught, and

c. The learning activities or reading assignment.

6. A training program shall utilize an electronic or paper textbook corresponding to the course curriculum that has been published within the previous five years. Unless granted specific permission by the publisher, a training program shall not utilize copies of published materials in lieu of an actual textbook.

7. A training program shall provide, to all program instructors and enrolled students, access to the following instructional and educational resources:

a. Reference materials, corresponding to the level of the curriculum; and

b. Equipment and supplies necessary to practice skills.

8. A training program instructor shall:

a. Plan each learning experience;

b. Ensure that the curriculum meets the requirements of this Section;

c. Prepare written course goals, lesson objectives, class content and learning activities;

d. Schedule and achieve course goals and objectives by the end of the course; and

e. Require satisfactory performance of all critical elements of each skill under R4-19-802(H) for nursing assistant and R4-19-803(D)(4) for medication assistant before allowing a student to perform the skill on a patient or resident without the instructor's presence at the bedside.

9. A qualified RN instructor shall be present at all times and during all scheduled classroom, skills laboratory and clinical sessions. In no instance shall a nursing assistant or other unqualified person provide any instruction, reinforcement, evaluation or independent activities in the classroom or skills laboratory.

10. A qualified RN instructor shall supervise any student who provides care to patients or residents by:

a. Remaining in the clinical facility and focusing attention on student learning needs during all student clinical experiences;

b. Providing the instructor's current and valid contact information to students and facility staff during the instructor's scheduled teaching periods;

c. Observing each student performing tasks taught in the training program;

d. Documenting each student's performance each day, consistent with course skills and clinical objectives;

e. During the clinical session, engaging exclusively in activities related to the supervision of students; and

f. Reviewing all student documentation.

D. Records

1. A training program shall maintain the following program records either electronically or in paper form for a minimum of three years for NA programs and five years for CMA programs:

a. Curriculum and course schedule for each admission cohort;

b. Results of state-approved written and manual skills testing;

c. Documentation of program evaluation under subsection (A)(10);

d. A copy of any Board reports, applications, or correspondence, related to the program; and

e. A copy of all clinical contracts, if using outside clinical agencies.

2. A training program shall maintain the following student records either electronically or in paper form for a minimum of three years for NA programs and five years for CMA programs:

a. A record of each student's legal name, date of birth, address, telephone number, e-mail address and Social Security number, if available;

b. A completed skill checklist containing documentation of student level of competency performing the skills in R4-19-802(F) for nursing assistant, and in R4-19-803(D)(4) for medication assistants;

c. An accurate attendance record, which describes any make-up class sessions and reflects whether the student completed the required number of hours in the course;

d. Scores for each test, quiz, or exam and whether such test, quiz, or exam was retaken; and

e. For NA programs only, a copy of a document providing proof of legal presence in the United States as specified in A.R.S. § 41-1080 to be remitted to the Board's designated testing vendor in order to facilitate timely placement of program graduates on a nursing assistant registry.

E. Certifying Exam Passing Standard: A training program and each site of a consolidated program under R4-19-802(E) shall attain, at a minimum, an annual first-time passing rate on the manual skill and written certifying examinations that is equal to the Arizona average pass rate for all candidates on each examination minus 20 percentage points. The Board may waive this requirement for programs with less than five students taking the exam during the year. The Board shall issue a notice of deficiency under R4-19-805 to any program with five or more students taking the exam that fails to achieve the minimum passing standard in any calendar year.

F. Distance Learning; Innovative Programs

1. A training program may be offered using real-time interactive distance technologies such as interactive television and web based conferencing if the program meets the requirements of this Article.

2. Before a training program may offer, advertise, or recruit students for an on-line, innovative or other non-traditional program, the program shall submit an application for innovative applications in education under R4-19-214 and receive Board approval.

G. Site visits: A training program shall permit the Board, and its designee, including another state agency, to conduct an onsite scheduled evaluation for initial Board approval and renewal of approval in accordance with R4-19-804 and announced or unannounced site visits at any other time the Board deems necessary.

History

• New Section adopted by final rulemaking at 6 A.A.R. 757, effective February 4, 2000 (Supp. 00-1). Amended by final rulemaking at 11 A.A.R. 4254, effective December 5, 2005 (Supp. 05-4). New section made by final rulemaking at 20 A.A.R. 1859, effective 9/8/2014. Amended by exempt rulemaking at 22 A.A.R. 1900, effective 7/1/2016. Amended by final rulemaking at 23 A.A.R. 1420, effective 7/1/2017. Amended by final rulemaking at 25 A.A.R. 919, effective 6/3/2019.

Ariz. Admin. Code § R4-19-802 Nursing Assistant (NA) Program Requirements

A. Organization and Administration

1. A nursing assistant program may be offered by:

a. An educational institution licensed by the State Board for Private Postsecondary Education,

b. A public educational institution or a program funded by a local, state or federal governmental agency,

c. A health care institution licensed by the Arizona Department of Health Services or a federally authorized health care institution,

d. A private business that meets the requirements of this Article and all other legal requirements to operate a business in Arizona.

2. If a nursing assistant program is offered by a private business, the program shall meet the following requirements.

a. Hold insurance covering any potential or future claims for damages resulting from any aspect of the program or a hold a surety bond from a surety company with a financial strength rating of "A minus" or better by Best's Credit Ratings, Moody's Investors Service, Standard and Poor's rating service or another comparable rating service as determined by the Board in the amount of a minimum of $15,000. The program shall ensure that:

i. Bond or insurance distributions are limited to students or former students with a valid claim for instructional or program deficiencies;

ii. The amount of the bond or insurance is sufficient to reimburse the full amount of collected tuition and fees for all students during all enrollment periods of the program; and

iii. The bond or insurance is maintained for an additional 24 months after program closure; and

b. Upon initial use and remodeling, provide the Board with a fire inspection report from the Office of the State Fire Marshall or the local authority with jurisdiction, indicating that each program classroom and skill lab location is in compliance with the applicable fire code.

Programs approved by the Board before the effective date of this Section shall comply with subsection (A)(2) within one year of the effective date. If a program does not charge tuition or fees, the bond requirement is waived.

4. A Medicare or Medicaid certified long-term care facility-based nursing assistant program shall not require a student to pay a fee for any portion of the program including the initial attempt on the state competency exam.

5. In addition to the policies required in R4-19-801(B), the Board may approve a nursing assistant program to offer an advanced placement option to a student with a background in health care. A nursing assistant program wishing to offer an advance placement option shall submit their advanced placement policy to the Board and receive approval before implementing the policy. The program shall include, at a minimum, the following provisions in its policy:

a. Advanced placement is limited to students with at least one year full-time employment in the direct provision of health care within the past five years or students who have successfully completed course work that included direct patient care experiences in allied health, medicine or nursing in the past five years.

b. The program, at a minimum, shall require an advanced placement student to meet the same outcomes as regular students on all examinations and skill performance demonstrations.

c. The program shall require an advanced placement student to successfully accomplish all clinical objectives during a minimum of 16 hours of clinical practice under the direct supervision and observation of a qualified instructor and in a long-term care facility.

d. Upon successful completion of advanced placement and any other program requirements, the program shall credit the graduate with the same number of didactic, laboratory and clinical hours as the regular graduate.

B. Program coordinator qualifications and responsibilities

1. Program coordinator qualifications include:

a. Holding a current, registered nurse license that is active and in good standing or multistate privilege to practice as an RN under A.R.S. Title 32, Chapter 15; and

b. Possessing at least two years of nursing experience at least one year of which is in the provision of long-term care facility services.

2. A director of nursing in a health care facility may assume the role of a program coordinator for a nursing assistant training program that is housed in the facility but shall not function as a program instructor.

3. A program coordinator's responsibilities include:

a. Supervising and evaluating the program;

b. Ensuring that instructors meet Board qualifications and there are sufficient instructors to provide for a clinical ratio not to exceed 10 students per instructor;

c. Ensuring that the program meets the requirements of this Article; and

d. Ensuring that the program meets federal requirements regarding clinical facilities under 42 CFR 483.151.

4. Other than the director of nursing in a long-term care facility, a program coordinator may also serve as a program instructor.

C. Program instructor qualifications and duties

Program instructor qualifications include:

a. Holding a current, registered nurse license that is active and in good standing under A.R.S. Title 32, Chapter 15 and provide documentation of a minimum of one year full time or 1500 hours employment providing direct care as a registered nurse in any setting; and

b. At a minimum, one of the following:

i. Successful completion of a three semester credit course on adult teaching and learning concepts offered by an accredited post-secondary educational institution,

ii. Completion of a 40 hour continuing education program in adult teaching and learning concepts that was awarded continuing education credit by an accredited organization,

iii. One year of full-time or 1500 hours experience teaching adults as a faculty member or clinical educator, or

iv. One year of full time or 1500 hours experience supervising nursing assistants, either in addition to or concurrent with the one year of experience required in subsection (C)(1)(a).

2. In addition to the program instruction requirements in R4-19-801(C), a nursing assistant program instructor shall provide on-site supervision for each student placed in a health care facility not to exceed 10 students per instructor;

D. Clinical and classroom hour requirements and resources

1. A nursing assistant training program shall ensure each graduate receives a minimum of 120 hours of total instruction consisting of:

a. Instructor-led teaching in a classroom setting for a minimum of 40 hours;

b. Instructor-supervised skills practice and testing in a laboratory setting for a minimum of 20 hours; and

c. Instructor-supervised clinical experiences for a minimum of 40 hours, consistent with the goals of the program. Clinical requirements include the following:

i. The program shall provide students with clinical orientation to any clinical setting utilized.

ii. The program shall provide a minimum of 20 hours of direct resident care in a long-term care facility licensed by the Department of Health Services, except as provided in subsection (iv). Direct resident care does not include orientation and clinical pre and post conferences.

iii. If another health care facility is used for additional required hours, the program shall ensure that the facility provides opportunities for students to apply nursing assistant skills similar to those provided to long-term care residents.

iv. If a long-term care facility licensed by the Department of Health Services is not available within 50 miles of the training program's classroom, the program may provide the required clinical hours in a facility or unit that cares for residents or patients similar to those residing in a long-term care facility.

d. To meet the 120 hour minimum program hour requirement, a NA program shall designate an additional 20 hours to classroom, skill or clinical instruction based upon the educational needs of the program's students and program resources.

2. A nursing assistant training program shall ensure that equipment and supplies are in functional condition and sufficient in number for each enrolled student to practice required skills. At a minimum, the program shall provide:

a. Hospital-type bed, over-bed table, linens, linen protectors, pillows, privacy curtain, call-light and nightstand;

b. Thermometers, stethoscopes, including a teaching stethoscope, aneroid blood pressure cuffs, and a scale;

c. Realistic skill training equipment, such as a manikin or model, that provides opportunity for practice and demonstration of perineal care;

d. Personal care supplies including wash basin, towels, washcloths, emesis basin, rinse-free wash, tooth brushes, disposable toothettes, dentures, razor, shaving cream, emery board, orange stick, comb, shampoo, hair brush, and lotion;

e. Clothes for dressing residents including undergarments, socks, hospital gowns, shirts, pants and shoes or non-skid slippers;

f. Elimination equipment including fracture bed pans, bed pans, urinals, ostomy supplies, adult briefs, specimen cups, graduate cylinder, and catheter supplies;

g. Aseptic and protective equipment including running water, sink, soap, paper towels, clean disposable gloves, surgical masks, particulate respirator mask for demonstration purposes, gowns, hair protectors and shoe protectors;

h. Restorative equipment including wheelchair, gait belt, walker, anti-embolic hose, adaptive equipment, and cane;

i. Feeding supplies including cups, glasses, dishes, straws, standard utensils, adaptive utensils and clothing protectors;

j. Clean dressings, bandages and binders; and

k. Documentation forms.

E. Consolidated Programs

1. A nursing assistant program may request, in writing, to consolidate more than one site of a program under one program approval for convenience of administration. The site of a program is where didactic instruction occurs. The Board may approve the request for a consolidated program if all the following conditions are met:

a. The program is not based in a long-term care facility;

b. The program does not offer an innovative program as defined in R4-19-214 at any consolidated site;

c. A single RN administrator has authority and responsibility for all sites including hiring, retention and evaluation of all program personnel;

d. Curriculum and policies are identical for all sites;

e. Instructional delivery methods are substantially similar at all sites;

f. Didactic, lab practice and clinical hours are identical for all sites;

g. The program presents sufficient evidence that all sites have comparable resources, including classroom, skill lab, clinical facilities and staff. Evidence may include pictures, videos, documentation of equipment purchase and instructor resumes;

h. The program provides an application to the Board a minimum of 30 days before consolidation of the program or use of the new site;

i. The site is fully staffed before accepting students;

j. The program evaluates each site separately under R4-19-801(A)(9);

k. The program arranges for the test vendor to provide a separate program number for each site;

2. There have been no substantiated complaints against the program or failure to follow the provisions of this Article in the past two years.

The program shall notify the Board if a site is closed or has not been used in two years.

4. A program that has been Board-approved as a consolidated program may request to add additional sites 30 days in advance of site utilization. The Board may approve the new site if the site meets the criteria in subsection (E)(1).

5. The Board may deny a request to consolidate programs or add a site if the requirements of this section are not met. Denial of such a request is not a disciplinary action and does not affect the program's approval status.

The Board shall not renew or visit any site that was not used in the previous approval period.

F. Curriculum: a nursing assistant training program shall provide classroom and clinical instruction regarding each of the following subjects:

1. Communication, interpersonal skills, and documentation;

2. Infection control;

3. Safety and emergency procedures, including abdominal thrusts for foreign body airway obstruction and cardiopulmonary resuscitation;

Patient or resident independence;

5. Patient or resident rights, including the right to:

a. Confidentiality;

b. Privacy;

c. Be free from abuse, mistreatment, and neglect;

d. Make personal choices;

e. Obtain assistance in resolving grievances and disputes;

f. Security of a patient's or resident's personal property; and

g. Be free from restraints;

Recognizing and reporting abuse, mistreatment or neglect to a supervisor;

7. Basic nursing assistant skills, including:

a. Taking vital signs, height, and weight using standing, wheelchair and bed scales;

b. Maintaining a patient's or resident's environment;

c. Observing and reporting pain;

d. Assisting with diagnostic tests including obtaining specimens;

e. Providing care for patients or residents with drains and tubes including catheters and feeding tubes;

f. Recognizing and reporting abnormal patient or resident physical, psychological, or mental changes to a supervisor;

g. Applying clean bandages;

h. Providing peri-operative care; and

i. Assisting in admitting, transferring, or discharging patients or residents.

8. Personal care skills, including:

a. Bathing, skin care, and dressing;

b. Oral and denture care;

c. Shampoo and hair care;

d. Fingernail care;

e. Toileting, perineal, and ostomy care;

f. Feeding and hydration, including proper feeding techniques and use of assistive devices in feeding; and

9. Age specific, mental health, and social service needs, including:

a. Modifying the nursing assistant's behavior in response to patient or resident behavior,

b. Demonstrating an awareness of the developmental tasks and physiologic changes associated with the aging process,

c. Responding to patient or resident behavior,

d. Allowing the resident or patient to make personal choices and providing and reinforcing other behavior consistent with the individual's dignity,

e. Providing culturally sensitive care,

f. Caring for the dying patient or resident, and

g. Using the patient's or resident's family as a source of emotional support for the resident or patient;

Care of the cognitively impaired patient or resident including;

a. Understanding and addressing the unique needs and behaviors of patients or residents with dementia or other cognitive impairment,

b. Communicating with cognitively impaired patients or residents,

c. Reducing the effects of cognitive impairment, and

d. Appropriate responses to the behavior of cognitively impaired individuals.

11. Skills for basic restorative services, including:

a. Body mechanics;

b. Resident self-care;

c. Assistive devices used in transferring, ambulating and dressing;

d. Range of motion exercises;

e. Bowel and bladder training;

f. Care and use of prosthetic and orthotic devices; and

g. Turning and positioning a resident in bed, transferring a resident between bed and chair and positioning a resident in a chair.

12. Health care team member skills including the role of the nursing assistant and others on the health care team, time management and prioritizing work; and

13. Legal aspects of nursing assistant practice, including:

a. Requirements for licensure and registry placement and renewal.

b. Delegation of nursing tasks,

c. Ethics,

d. Advance directives and do-not-resuscitate orders, and

e. Standards of conduct under R4-19-814.

14. Body structure and function, together with common diseases and conditions.

G. Curriculum sequence: A nursing assistant training program shall provide a student with a minimum of 16 hours instruction in the subjects identified in subsections (F)(1) through (F)(6) before allowing a student to care for patients or residents.

H. Skills: A nursing assistant instructor shall verify and document that the following skills are satisfactorily performed by each student before allowing the student to perform the skill on a patient or resident without the instructor present:

1. Hand hygiene, gloving and gowning; and

2. Skills in subsection (F)(7), (8) and (11)(a), (c), (d), (f), and (g).

I. One-year approval: following receipt and review of a complete initial application as specified in R4-19-804 the Board may approve the program for a period that does not exceed one year, if requirements are met, without a site visit.

J. A Medicare or Medicaid certified long-term care facility-based program shall provide in its initial and each renewal application, a signed, sworn, and notarized document, executed by the program coordinator, affirming that the program does not require a nursing assistant student to pay a fee for any portion of the program including the initial attempt on the state competency exam.

History

• New Section adopted by final rulemaking at 6 A.A.R. 757, effective February 4, 2000 (Supp. 00-1). Amended by final rulemaking at 11 A.A.R. 4254, effective December 5, 2005 (Supp. 05-4). New section made by final rulemaking at 20 A.A.R. 1859, effective 9/8/2014. Amended by exempt rulemaking at 22 A.A.R. 1900, effective 7/1/2016. Amended by final rulemaking at 23 A.A.R. 1420, effective 7/1/2017. Amended by final rulemaking at 25 A.A.R. 919, effective 6/3/2019.

Ariz. Admin. Code § R4-19-803 Certified Medication Assistant Program Requirements

A.Organization and Administration: A certified medication assistant (CMA) program may only be offered by those entities

identified in A.R.S § 32-1650.01(A).

B.Instructor qualifications and duties

1. A medication assistant program instructor shall:

a. Hold a current, registered nurse license that is active and in good standing or multistate privilege to practice as an RN under A.R.S. Title 32, Chapter 15;

b. Possess at least two years or 3,000 hours of direct care nursing experience; and

c. Have administered medications to residents of a long-term care facility for a minimum of 40 hours.

2. Duties of a medication assistant instructor include, but are not limited to:

a. Ensuring that the program meets the requirements of this Article;

b. Planning each learning experience;

c. Teaching a curriculum that meets the requirements of this Section;

d. Implementing student and program evaluation policies that meet or exceed the requirements R4-19-801(A)(9) and (10);

e. Administering not less than three secure unit examinations and one comprehensive final exam consistent with the course curriculum and the requirements of R4-19-801(B)(3)(c) and;

f. Requiring each student to demonstrate satisfactory performance of all critical elements of each skill in subsection (D)(4) before allowing a student to perform the skill on a patient or resident without the instructor's presence and direct observation;

g. Being physically present and attentive to students in the classroom and clinical setting at all times during all sessions;

3. A program instructor shall supervise only one student for the first 12 hours of each student's clinical experience; no more than three students for the next 12 hours of each student's clinical experience; and no more than five students for the next 16 hours of each student's clinical experience;

C.Clinical and classroom hour requirements and resources

1. A medication assistant training program shall ensure each graduate received a minimum of 100 hours of total instruction consisting of:

a. Instructor-led didactic instruction for a minimum of 45 hours;

b. Instructor supervised skill practice and testing for a minimum of 15 hours;

c. Instructor supervised medication administration for a minimum of 40 hours in a long-term care facility licensed by the Department of Health Services.

2. A medication assistant program shall ensure that equipment and supplies are in functional condition and sufficient in number for each enrolled student to practice required skills in subsection (D)(3) and (D)(4). At a minimum, the program shall provide the following:

a. A medication cart similar to one used in the clinical practice facility;

b. Simulated medications and packaging consistent with resident medications;

c. Pill crushers, pill splitters, medication cups and hand hygiene supplies;

d. Medication administration record forms; and

e. Current drug references, calculator and any other equipment used to administer medications safely.

D.Curriculum: a medication assistant training program shall provide classroom and clinical instruction in each of the following subjects.

1. Role of certified medication assistant (CMA) in Arizona including allowable acts, conditions, delegation and restrictions;

Principles of medication administration including:

a. Terminology,

b. Laws affecting drug administration,

c. Drug references,

d. Medication action,

e. Medication administration across the human lifespan,

f. Dosage calculation,

g. Medication safety,

h. Asepsis, and

i. Documentation.

3. Medication properties, uses, adverse effects, administration and care implications for the following types of medications:

a. Vitamins, minerals, and herbs,

b. Antimicrobials,

c. Eye and ear medications,

d. Skin medications,

e. Cardiovascular medications,

f. Respiratory medications,

g. Gastrointestinal medications,

h. Urinary system medications and medications to attain fluid balance,

i. Endocrine/reproductive medications,

j. Musculoskeletal medications,

k. Nervous system/sensory system medications and

l. Psychotropic medications.

Medication administration theory and skill practice in administration of:

a. Oral tablets, capsules, and solutions;

b. Ear drops, eye drops and eye ointments;

c. Topical lotions, ointments and solutions;

d. Rectal suppositories; and

e. Nasal drops and sprays.

5. Any other topics deemed by the program or the Board as necessary and pertinent to the safe administration of medications.

History

• New Section adopted by final rulemaking at 6 A.A.R. 757, effective February 4, 2000 (Supp. 00-1). Amended by final rulemaking at 11 A.A.R. 4254, effective December 5, 2005 (Supp. 05-4). New section made by final rulemaking at 20 A.A.R. 1859, effective 9/8/2014.

Ariz. Admin. Code § R4-19-804 Initial Approval and Re-Approval of Training Programs

A. An applicant for initial training program approval shall submit an application packet to the Board at least 90 days before the expected starting date of the program. An applicant shall submit application documents in an electronic format.

B. The Board may impose disciplinary action including denial on any training program that has advertised, conducted classes, recruited or collected money from potential students before receiving Board approval or after expiration of approval except for completing instruction to students who enrolled before the expiration date.

C. A program applying for initial approval shall include all of the following in their application packet:

1. Name, address, web address, telephone number, e-mail address and fax number of the program;

2. Identity of all program owners or sponsoring institutions;

3. Name, license number, telephone number, e-mail address and qualifications of the program coordinator as required in R4-19-802;

4. Name, license number, telephone number, e-mail address and qualifications of each program instructor including clinical instructors as required in either R4-19-802 for NA programs or R4-19-803 for CMA programs;

5. Name, telephone number, e-mail address and qualifications any person with administrative oversight of the training program, such as an owner, supervisor or director;

6. Accreditation status of the training program, if any, including the name of the accrediting body and date of last review;

Name, address, telephone number and contact person, for all health care institutions which will be clinical sites for the program;

8. Medicare certification status of all clinical sites, if any;

9. Evidence of program compliance with this Article including all of the following:

a. Program description that includes the length of the program, number of hours of clinical, laboratory and classroom instruction, and program goals consistent with federal, state, and if applicable, private postsecondary requirements;

b. A list and description of classroom facilities, equipment, and instructional tools the program will provide;

c. Written curriculum and course schedule according to the provisions of this Article;

d. A copy of the documentation that the program will use to verify student attendance, instructor presence and skills;

e. Copy of signed, current clinical contracts;

f. The title, author, name, year of publication, and publisher of all textbooks the program will require students to use;

g. A copy of course policies and any other materials that demonstrate compliance with this Article and the statutory requirements in Title 32, Chapter 15;

h. A plan to evaluate the program that meets requirements in R4-19-801(A)(10);

i. An implementation plan including start date and a description of how the program will provide oversight to ensure all requirements of this Article are met;

j. A self-assessment checklist of the application contents and their location in the application, on a form provided by the Board; and

k. Other requirements as requested consistent with R4-19-802 for nursing assistant programs and R4-19-803 for medication assistant programs.

D. Re-approval of Training Programs

1. A training program applying for re-approval shall submit an electronic application and accompanying materials to the Board before expiration of the current approval. A program or site of a consolidated program that did not hold any classes in the previous approval period is not eligible for renewal of approval.

2. The program shall include the following with the renewal application:

a. A program description and course goals;

b. Name, license number, and qualifications of current program personnel;

c. A copy of the current curriculum which meets the applicable requirements in either R4-19-802 or R4-19-803;

d. The dates of each program offering, number of students who have completed the program, and the results of the state-approved written and manual skills tests, including first-time pass rates since the last program review;

e. A copy of current program policies, consistent with R4-19-801;

f. Any change in resources, contracts, or clinical facilities since the previous approval or changes that were not previously reported to the Board;

g. The program evaluation plan with findings regarding required evaluation elements under R4-19-801(A)(10);

h. The title, author, year of publication, and publisher of the textbook used by the program;

i. Copies of the redacted records of one program graduate;

j. The total number of enrolled students and graduates for each year since the last approval;

k. The total number of persons taking the state-approved exam in the past two years; if the number is less than 10, a comprehensive plan to increase program enrollment;

l. A self-assessment checklist of the application contents and their location in the application, on a form provided by the Board; and

m. Other requirements as requested consistent with R4-19-802 for nursing assistant programs and R4-19-803 for medication assistant programs.

E. Upon determination of administrative completeness of either an initial or renewal application, the Board, through its authorized representative, shall schedule and conduct a site visit of a NA program, unless one year only approval is granted on an initial application. The Board may conduct a site visit of a CMA program. Site visits are for the purpose of verifying compliance with this Article. Site visits may be conducted in person or through the use of distance technology.

F. Following an evaluation of the program application and a site visit, if applicable, the Board may approve or renew the approval of the program for two years for a nursing assistant program and up to four years for a medication assistant program, if the program renewal application and site visit findings, as applicable, meet the requirements of this Article, and A.R.S. Title 32, Chapter 15 and renewal is in the best interest of the public. If the program does not meet these requirements, the Board may issue a notice of deficiency under R4-19-805 or take disciplinary action.

G. A program may request an administrative hearing by filing a written request with the Board within 30 days of service of the Board's order denying the application for program approval or renewal of approval. Hearings shall be conducted in accordance with A.R.S. Title 41, Chapter 6, Article 10 and 4 A.A.C. 19, Article 6.

H. The owner, operator, administrator or coordinator of a program that is denied approval or renewal of approval shall not be eligible to conduct, own or operate a new or existing program for a period of two years from the date of denial.

History

• New Section adopted by final rulemaking at 6 A.A.R. 757, effective February 4, 2000 (Supp. 00-1). Amended by final rulemaking at 11 A.A.R. 4254, effective December 5, 2005 (Supp. 05-4). New section made by final rulemaking at 20 A.A.R. 1859, effective 9/8/2014. Amended by exempt rulemaking at 22 A.A.R. 1900, effective 7/1/2016. Amended by final rulemaking at 26 A.A.R. 3289, effective 12/2/2020.

Ariz. Admin. Code § R4-19-805 Deficiencies and Rescission of Program Approval, Unprofessional Program Conduct, Voluntary Termination, Disciplinary Action, and Reinstatement

A. Deficiencies and rescission of approval

1. Upon determining that a training program has not complied with this Article, the Board s may issue a written notice of deficiency to the program. The Board shall establish a reasonable period of time, based upon the number and severity of deficiencies, for correction of the deficiencies. Under no circumstances, however, shall the period for correction of deficiencies exceed six months .

a. Within ten days from the date that the notice of deficiency is served, the program shall submit a plan of correction to the Board.

b. The Board, through its authorized representative, may approve the plan of correction or require modifications to the plan if the plan does not adequately address the deficiencies.

c. The Board may conduct periodic evaluations and site visits during the period of correction to ascertain the program's progress toward correcting the deficiencies.

d. The Board shall evaluate the program's compliance, at a regularly scheduled Board meeting following the period of correction to determine whether the program has corrected the deficiencies.

2. The Board may rescind the approval of a training program or take other disciplinary action under A.R.S. § 32-1663, based on the number and severity of violations if the program engages in any of the following:

a. Failure to submit a plan of correction to the Board within ten days of service of a notice of deficiency.

b. Failure to comply with the requirements of this Article within the period set by the Board in the notice of deficiency;

c. Noncompliance with federal, state, or, if applicable, private postsecondary requirements;

d. Failure to permit a scheduled or unannounced Board site visit or failure to allow a Board representative access to program documents, staff or students during a site visit or investigation;

e. Loaning or transferring Board program approval to another entity or facility, including a facility with the same ownership;

f. Offering, advertising, recruiting, or enrolling students in a training program before Board approval is granted;

g. Conducting a training program after expiration of Board approval without filing an application for renewal of approval before the expiration date;

h. For a long-term care based nursing assistant program, charging for any portion of the program;

i. Committing an act of unprofessional program conduct.

B.Unprofessional program conduct. A notice of deficiency or a disciplinary action including denial of approval or rescission of approval may be issued against a training program for any of the following acts of unprofessional conduct:

1. Failing to maintain minimum standards of acceptable and prevailing educational practice;

2. Any violation of this Article;

3. Utilization of students as labor rather than for educational purposes in a health care facility;

4. Failing to follow the program's or parent institution's mission or goals, program design, objectives, or policies;

5. Failing to provide the classroom, laboratory or clinical teaching hours required by this Article or described in the program description;

6. Enrolling students in a program without adequate faculty, facilities, or clinical experiences, as required by this Article;

7. Permitting unqualified persons to supervise teaching-learning experiences in any portion of the program;

8. Failing to comply with Board requirements within designated timeframes;

9. Engaging in fraud, misrepresentation or deceit in advertising, recruiting, promoting or implementing the program;

10. Making a false, inaccurate or misleading statement to the Board or the Board's designee in the course of an investigation, or on any application or information submitted to the Board or on the program's public website;

11. Failing to supervise students in the clinical setting in accordance with this Article or allowing more than the maximum students per clinical instructor prescribed in this Article;

12. Engaging in any other conduct that gives the Board reasonable cause to believe the program's conduct may be a threat to the safety or welfare of students, faculty, patients or the public.

13. Failing to:

a. Furnish in writing a full and complete explanation of a matter reported pursuant to A.R.S. § 32-1664, or

b. Respond to a subpoena issued by the Board;

Failing to take appropriate action to safeguard a patient's or resident's welfare or follow policies and procedures of the program or clinical site designed to safeguard the patient or resident;

15. Failing to promptly provide make-up classroom, laboratory, or clinical hours, with adequate notice to students, equivalent educational content, and reasonable scheduling, when shortages of hours were caused by the program or program instructors;

16. Failing to promptly remove, or adequately discipline or train, program instructors whose conduct violates this Article or may be a threat to the safety or welfare of students, patients, residents, or the public.

17. Engaging in retaliatory, threatening, or intimidating conduct toward current, prospective or former program students, instructors, other staff, or the public, who make complaints about any aspect of the program to program staff or the Board.

C.3.Disciplinary Action. If the Board issues disciplinary action against the approval of a nursing assistant or medication assistant training program, the program may request a hearing by filing a written request with the Board within 30 days of service of the Board's order . Hearings shall be conducted in accordance with A.R.S. Title 41, Chapter 6, Article 10, and 4 A.A.C. 19, Article 6.

4. If the Board rescinds approval of a nursing assistant training program, the program shall not seek reinstatement for two years from the date of the rescission.

B D.Voluntary termination

1. If a training program is voluntarily terminating before renewal, the program shall submit a written notice of termination to the Board.

2. The program coordinator shall continue the training program, including retaining necessary instructors, until the last student is transferred or has completed the training program.

3. Within 15 days after the termination of a training program, the administrator or a program representative shall notify the Board in writing of the permanent location and availability of all program records.

4. A program that fails to renew its approval with the Board shall be considered voluntarily terminated unless there is a complaint against the program.

E. Re-issuance of approval

1. If the Board revokes the approval of a training program, the owner, administrator or coordinator of the revoked program may apply for re-issuance of program approval after a period of two years by complying with the requirements of this Article. The owner, administrator and coordinator of a program that had its approval revoked shall not own, administer or coordinate a training program for a period of two years from the date of program revocation.

2. If the Board, in lieu of revocation, accepts a voluntarily surrender of a program's approval, the program's owner, administrator or coordinator may apply for reissuance of the program's approval after a period of two years. The owner, administrator and coordinator of a program that voluntarily surrendered its approval shall not own, administer or coordinate a training program for a period of two years from the date of the surrender of approval.

2. 3. A training program owner, administrator or coordinator whose program approval was voluntarily surrendered or that had its approval rescinded or revoked shall submit a complete reissuance application packet in writing that contains all of the information and documentation required of programs applying for initial approval . In addition, the program shall provide substantial evidence that the basis for revocation or voluntary surrender no longer exist and that reissuance of program approval is in the best interest of the public.

3. 4. The Board may reissue approval to a training program that meets the requirements of this Article. A program that is denied reissu-ance of approval may request a hearing by filing a written request with the Board within 30 days of service of the Board's order denying reissuance. Hearings shall be conducted in accordance with A.R.S. Title 41, Chapter 6, Article 10 and 4 A.A.C. 19, Article 6.

History

• New Section adopted by final rulemaking at 6 A.A.R. 757, effective February 4, 2000 (Supp. 00-1). Amended by final rulemaking at 11 A.A.R. 4254, effective December 5, 2005 (Supp. 05-4). Amended by final rulemaking at 20 A.A.R. 1859, effective 9/8/2014.

Ariz. Admin. Code § R4-19-806 Initial Nursing Assistant Licensure (LNA) and Medication Assistant Certification

A. An applicant for initial licensed nursing assistant (LNA) licensure or CMA certification shall submit the following to the Board:

1. A verified application on a form furnished by the Board that provides the following information about the applicant:

a. Full legal name and any and all former names used by the applicant;

b. Current address of record, including county of residence, e-mail address and telephone number;

c. Place and date of birth;

d. Social Security number;

e. Ethnic category and marital status at the applicant's discretion;

f. Educational background, including the name of the training program attended, and date of graduation and for medication assistant, proof of high school or equivalent education completion as required in A.R.S. § 32-1650-02(A)(4);

g. Current employer, including address and telephone number, type of position, and dates of employment, if employed in health care;

h. A list of all states in which the applicant is or has been included on a nursing assistant registry or been licensed or certified as a nursing or medication assistant and the license or certificate number, if any;

i. For medication assistant, proof of LNA licensure and 960 hours or 6 months full time employment as a CNA or LNA in the past year, as required in A.R.S. § 32-1650.02;

j. Responses to questions regarding the applicant's background on the following subjects:

i. Current investigation or pending disciplinary action by a nursing, nursing assistant or medication assistant regulatory agency in the United States or its territories;

ii. Action taken on a nursing assistant or medication assistant license, certification or registry designation in any other state;

iii. Felony conviction or conviction of an undesignated or other similar offense and the date of absolute discharge of sentence;

iv. Unprofessional conduct as defined in A.R.S. § 32-1601;

v. Explanation and supporting documentation for each affirmative answer to questions regarding the applicant's background;

2. Proof of satisfactory completion of a nursing assistant or medication assistant training program that meets the requirements of this Article;

3. Proof of United States citizenship or alien status as specified in A.R.S. § 41-1080;

4. For LNA applicants, one or more fingerprint cards or fingerprints;

5. For CMA applicants, one or more fingerprint cards or fingerprints, as required by A.R.S. § 32-1606(B)(15) if a fingerprint background report has not been received by the Board in the past two years; and

6. Applicable fees under A.R.S. § 32-1643 and R4-19-808.

B. An applicant for licensure as a nursing assistant shall submit a passing score on a Board-approved nursing assistant examination and provide one of the following criteria:

1. Proof that the applicant has completed a Board-approved nursing assistant training program within the past two years:

2. Proof that the applicant has completed a nursing assistant training program approved in another state or territory of the United States consisting of at least 120 hours within the past two years;

Proof that the applicant has completed a nursing assistant program approved in another state or territory of the United States of at least 75 hours of instruction in the past two years and proof of working as a nursing assistant for an additional number of hours in the past two years that together with the hours of instruction, equal at least 120 hours;

4. Proof that the applicant either holds a nursing license in good standing in the U.S. or territories, has graduated from an approved nursing program, or otherwise meets educational requirements for a registered or practical nursing license in Arizona;

5. Documentation sent directly from the program that the applicant successfully completed a nursing course or courses as part of an RN or LPN program approved in either this or another state in the last 2 years that included:

a. Didactic content regarding long-term care clients; and

b. Forty hours of instructor-supervised direct patient care in a long-term care or comparable facility; or

6. Documentation of a minimum of 100 hours of military health care training, as evidenced by military records, and proof of working in health care within the past 2 years.

C. An applicant for medication assistant shall meet the qualifications of A.R.S. §§ 32-1650.02 and 32-1650.03. An applicant who wishes to use part of a nursing program in lieu of completion of a Board approved medication assistant training program under A.R.S. § 32-1650.02 shall submit the following:

1. An official transcript from a Board approved nursing program showing a grade of C or higher in a 45 hour or 3 semester credit, or equivalent, pharmacology course; and

2. A document signed by both the applicant's clinical instructor and the nursing program administrator verifying that the applicant completed 40 hours of supervised medication administration in a long-term care facility.

D. Certifying Exam

1. A LNA applicant shall take and pass both portions of the certifying exam within 2 years:

a. Of program completion for graduates of nursing assistant programs approved in Arizona or another state, or

b. Of the date of the first test for all other applicants.

2. A CMA applicant shall take and pass both portions of the certifying exam within one year:

a. Of program completion for graduates of Board-approved programs, or

b. Of the date of the first test for all other applicants.

3. An applicant may re-take the failed portion or portions of a certifying exam, under conditions prescribed in written policy by the exam vendor, until a passing score is achieved or their time expires under subsections (D)(1) or (2).

E. An applicant who does not take or pass an examination within the time period specified in subsection (D) shall enroll in and successfully complete a Board approved training program in the certification category before being permitted to retake an examination.

F. The Board may license a nursing assistant or certify a medication assistant applicant who meets the applicable criteria in this Article and A.R.S. Title 32, Chapter 15 if licensure or certification is in the best interest of the public.

G. An applicant who is denied licensure or certification may request a hearing by filing a written request with the Board within 30 days of service of the Board's order denying the application for certification. Hearings shall be conducted in accordance with A.R.S. Title 41, Chapter 6, Article 10 and 4 A.A.C. 19, Article 6.

H. Medication assistant certification expires when nursing assistant licensure expires.

History

• New Section adopted by final rulemaking at 6 A.A.R. 757, effective February 4, 2000 (Supp. 00-1). Amended by final rulemaking at 11 A.A.R. 4254, effective December 5, 2005 (Supp. 05-4). Amended by final rulemaking at 20 A.A.R. 1859, effective 9/8/2014. Amended by exempt rulemaking at 22 A.A.R. 1900, effective 7/1/2016. Amended by final rulemaking at 26 A.A.R. 3289, effective 12/2/2020.

Ariz. Admin. Code § R4-19-807 Nursing Assistant Licensure and Medication Assistant Certification by Endorsement

A. An applicant for LNA or CMA by endorsement shall submit all of the information, documentation, and fees required in R4-19-806.

B. An applicant who has been employed for less than one year shall list all employers during the past two years.

C. An applicant for nursing assistant licensure by endorsement shall meet the training program criteria in R4-19-806(B). An applicant for medication assistant endorsement shall, in addition, provide evidence satisfactory completion of a training program that meets the requirements of A.R.S. § 32-1650.04 and pass a competency examination as prescribed in A.R.S. § 32-1650.03.

D. In addition to the other requirements of this Section, an applicant for licensure or certification by endorsement shall provide evidence that the applicant:

1. Is or has been, within the last 2 years, listed as active on a nursing assistant register or a substantially equivalent register by another state or territory of the United States with no substantiated complaints or discipline; and

2. For nursing assistant, meets one or more of the following criteria:

a.

b. Regardless of job title or description, performed nursing assistant activities for a minimum of 160 hours for an employer or as part of a nursing or allied health program in the past two years; or

c. b. Has completed a nursing assistant training program and passed the required examination within the past two years.

In addition to the above requirements, for medication assistant certification, meets the practice requirements of A.R.S. § 32-1650.04 and pays applicable fees under R4-19-808.

E. The Board may license a nursing assistant or certify a medication assistant applicant who meets the applicable criteria in this Article if certification is in the best interest of the public.

F. An applicant who is denied licensure or certification may request a hearing by filing a written request with the Board within 30 days of service of the Board's order denying the application for licensure or certification. Hearings shall be conducted in accordance with A.R.S. Title 41, Chapter 6, Article 10 and 4 A.A.C. 19, Article 6.

History

• New Section adopted by final rulemaking at 6 A.A.R. 757, effective February 4, 2000 (Supp. 00-1). Amended by final rulemaking at 11 A.A.R. 4254, effective December 5, 2005 (Supp. 05-4). Amended by final rulemaking at 20 A.A.R. 1859, effective 9/8/2014. Amended by exempt rulemaking at 22 A.A.R. 1900, effective 7/1/2016.

Ariz. Admin. Code § R4-19-808 Fees Related to Certified Medication Assistant

A. The Board shall collect the following fees related medication assistant certification:

1. Initial application for certification by exam, $50.00.

2. Fingerprint processing, $50.00.

5 3. Application for CMA certification by endorsement, $50.00.

B.If an individual or entity submits a dishonored check, draft order or note, the Board may collect, from the provider of the instrument, the amount allowed under A.R.S. § 44-6852.

History

• New Section adopted by final rulemaking at 6 A.A.R. 757, effective February 4, 2000 (Supp. 00-1). Amended by final rulemaking at 8 A.A.R. 5004, effective November 15, 2002 (Supp. 02-4). Amended by final rulemaking at 11 A.A.R. 4254, effective December 5, 2005 (Supp. 05-4). New section made by final rulemaking at 20 A.A.R. 1859, effective 9/8/2014. Amended by exempt rulemaking at 22 A.A.R. 1900, effective 7/1/2016.

Ariz. Admin. Code § R4-19-809 Nursing Assistant Licensure and Medication Assistant Certificate Renewal

A. An applicant for renewal of a LNA license or a CMA certificate shall:

1. Submit a verified application to the Board on a form furnished by the Board that provides all of the following information about the applicant:

a. Full legal name, address of record including county of residence, e-mail address and telephone number;

b. Marital status and ethnicity at the applicant's discretion;

c. Current health care employer including name, address, telephone number, dates of employment and type of setting;

d. If the applicant fails to meet the practice requirements in subsections (A)(2) for nursing assistant or (A)(3) for medication assistant renewal, documentation that the applicant has completed a Board-approved training program for the licensure or certification sought and passed both the written and manual skills portions of the competency examination within the past two years;

e. Responses to questions that address the applicant's background:

i. Any investigation or disciplinary action by a nursing regulatory agency or nursing assistant regulatory agency in the United States or its territories not previously disclosed by the applicant to the Board;

ii. Felony conviction or conviction of undesignated offense and date of absolute discharge of sentence since licensed, certified or last renewed, and

iii. Unprofessional conduct committed by the applicant as defined in A.R.S. § 32-1601 since the time of last renewal and not previously disclosed by the applicant to the Board;

iv. Any disciplinary action or investigation related to the applicant's nursing or nursing assistant license or medication assistant certificate, nursing assistant certificate or registry listing by any other state regulatory agency since issuance of the license or certificate, or since last renewal and not previously disclosed to the Board.

v. Explanation and supporting documentation for each affirmative answer to questions regarding the applicant's background;

f. For LNA renewal, employment as a nursing assistant, performing nursing assistant tasks for an employer or the applicant's performance of nursing assistant activities as part of a nursing or allied health program for a minimum of 160 hours every two years since the last license or certificate was issued, or

g. For CMA renewal, employment as a medication assistant for a minimum of 160 hours within the last 2 years, and h. Pay applicable fees according to A.R.S. § 32-1643 and R4-19-808.

B. An applicant's license or certificate expires every two years on the last day of the applicant's birth month. If an applicant fails to timely renew the license or certificate, the applicant shall;

1. Not work or practice as an LNA or CMA until the Board issues a renewal license or certificate; and

2. Pay any late fee imposed by the Board.

C. If an applicant's license or certificate was, or is currently, revoked, surrendered, denied, suspended or placed on probation in another jurisdiction, the applicant is not eligible to renew or reactivate the applicant's Arizona license or certificate until a review or investigation has been completed and a decision made by the Board.

D. The Board may renew an LNA license and CMA certificate of an applicant who meets the criteria established in statute and this Article. An applicant who is denied renewal of a license or certificate may request a hearing by filing a written request with the Board within 30 days of service of the Board's order denying renewal of the license or certificate. Hearings shall be conducted in accordance with A.R.S. Title 41, Chapter 6, Article 10 and 4 A.A.C. 19, Article 6 of this Chapter.

History

• New Section adopted by final rulemaking at 6 A.A.R. 757, effective February 4, 2000 (Supp. 00-1). Amended by final rulemaking at 11 A.A.R. 4254, effective December 5, 2005 (Supp. 05-4). Amended by final rulemaking at 20 A.A.R. 1859, effective 9/8/2014. Amended by exempt rulemaking at 22 A.A.R. 1900, effective 7/1/2016. Amended by final rulemaking at 25 A.A.R. 919, effective 6/3/2019. Amended by final rulemaking at 26 A.A.R. 3289, effective 12/2/2020.

Ariz. Admin. Code § R4-19-810 Certified Nursing Assistant Registry; Licensed Nursing Assistant Registry

A. The Board shall maintain a Certified Nursing Assistant (CNA) Registry and a Licensed Nursing Assistant (LNA) Registry. All individuals listed in either Registry shall provide proof to the Board, either directly or through the Board's test vendor, of legal presence in the United States as specified in A.R.S. § 41-1080. Both Registries meet the requirements of A.R.S. § 32-1606(B)(11).

1. To be placed on the CNA Registry, an applicant shall either:

a. Have successfully completed an approved nursing assistant training program and passed the nursing assistant written and manual skills competency evaluation within the past two years; or

b. For endorsement, be listed on another state's nursing assistant registry.

2. To renew CNA Registry status under A.R.S. § 32-1642(E), an applicant shall submit an application that includes verified statements establishing:

a. Whether applicant has performed nursing assistant or nursing related services for at least eight hours within the past 24 months. An applicant must complete this work requirement to be eligible for renewal.

b. Whether the applicant's listing on any registry in any other state includes documented findings of abuse, neglect or misappropriation of property.

3. The Executive Director shall include the following information in the CNA Registry for each registered individual:

a. Full legal name and any other names used;

b. Address of record;

c. County of residence;

d. The date of initial placement on the registry;

e. Dates and results of both the written and manual skills portions of the nursing assistant competency examination;

6 f. Date of expiration of current registration, if applicable;

7 g. Any substantiated complaints of abuse, neglect or misappropriation of property; and

8 h. Registry status such as active or expired as applicable.

B. An LNA applicant who meets the qualifications under subsection (A)(1) and the licensure requirements of this Article shall be placed on an LNA Registry. The Executive Director shall include the following information in the LNA Registry for each licensed individual:

1. Information contained in subsection (A)(3);

2. Existence of pending investigation, if applicable;

3 2. Status of the license and any Board actions on the license, such as active, denied, expired, or revoked, as applicable.

C. The Executive Director shall include the following information in the applicable Registry for an individual if the Board, or the United States Department of Health and Human Services (HHS) finds that the individual has violated relevant law. For a finding by the Board or HHS, the Executive Director shall include:

a 1. The finding, including the date of the decision, and a reference to each statute, rule, or regulation violated; and

b 2. The sanction, if any, including the date of action and the duration of action, if time-limited.

2. For a finding by the Arizona Department of Health Services, the Executive Director shall include:

a. The allegation;

b. Documentation of the investigation, including the:

i. Nature of allegation, and

ii. Description of evidence supporting the finding;

c. Date of hearing, if any, or the date that the complaint was substantiated;

d. Statement disputing the allegation, if any;

e. The finding, including the date of the decision and a reference to each statute or rule violated; and

f. The sanction, including the dates of action and the duration of the sanction, if time-limited.

History

• New Section adopted by final rulemaking at 6 A.A.R. 757, effective February 4, 2000 (Supp. 00-1). Amended by final rulemaking at 11 A.A.R. 4254, effective December 5, 2005 (Supp. 05-4). Amended by final rulemaking at 20 A.A.R. 1859, effective 9/8/2014. Amended by exempt rulemaking at 22 A.A.R. 1900, effective 7/1/2016. Amended by final rulemaking at 25 A.A.R. 919, effective 6/3/2019.

Ariz. Admin. Code § R4-19-811 [Repealed]

History

• New Section adopted by final rulemaking at 6 A.A.R. 757, effective February 4, 2000 (Supp. 00-1). Amended by final rulemaking at 20 A.A.R. 1859, effective 9/8/2014. Amended by exempt rulemaking at 22 A.A.R. 1900, effective 7/1/2016. Repealed by final rulemaking at 25 A.A.R. 919, effective 6/3/2019.

Ariz. Admin. Code § R4-19-812 Change of Name or Address

A. An applicant, CNA, LNA, or CMA certificate holder shall notify the Board, in writing or electronically through the Board's website of any legal name change within 30 days of the change, and submit a copy of the official document verifying the name change.

B. An applicant, CNA, LNA, or CMA certificate holder shall notify the Board in writing or electronically through the Board's website of any change of address within 30 days of the address change.

History

• New Section adopted by final rulemaking at 6 A.A.R. 757, effective February 4, 2000 (Supp. 00-1). Amended by final rulemaking at 11 A.A.R. 4254, effective December 5, 2005 (Supp. 05-4). Amended by final rulemaking at 20 A.A.R. 1859, effective 9/8/2014. Amended by exempt rulemaking at 22 A.A.R. 1900, effective 7/1/2016.

Ariz. Admin. Code § R4-19-813 Performance of Nursing Assistant Tasks; Performance of Medication Assistant Tasks

A. A CNA or LNA may perform the following tasks as delegated by a licensed nurse:

1. Tasks for which the nursing assistant has been trained through the curriculum identified in R4-19-802, and

2. Tasks learned through in service or educational training if the task meets the following criteria and the nursing assistant has demonstrated competence performing the task:

a. The task can be safely performed according to clear, exact, and unchanging directions;

b. The task poses minimal risk to the patient or resident and the consequences of performing the task improperly are not life-threatening or irreversible;

c. The results of the task are reasonably predictable; and

d. Assessment, interpretation, or decision-making is not required during the performance or at the completion of the task.

B. A licensed nursing assistant who is also certified as a medication assistant under A.R.S. § 32-1650.02 may administer medications under the conditions imposed by A.R.S. § § 32-1650 through 32-1650.07.

C. A licensed nursing assistant under this Article shall:

1. Recognize the limits of the licensee's personal knowledge, skills, and abilities;

2. Comply with laws relevant to nursing assistant and medication assistant practice;

3. Inform the registered nurse, licensed practical nurse, or another person authorized to delegate the task about the licensee's ability to perform the task before accepting the assignment;

4. Accept delegation, instruction, and supervision from a licensed nurse or another person authorized to delegate a task;

5. Not perform any task that requires a judgment based on nursing knowledge;

5. 6. Acknowledge responsibility for personal actions necessary to complete an accepted assigned task;

6. 7. Follow the plan of care, if available;

7. 8. Observe, report, and record signs, symptoms, and changes in the patient or resident's condition in an ongoing and timely manner; and

8. 9. Retain responsibility for all assigned tasks without delegating any tasks to another person.

History

• New Section adopted by final rulemaking at 6 A.A.R. 757, effective February 4, 2000 (Supp. 00-1). Amended by final rulemaking at 11 A.A.R. 4254, effective December 5, 2005 (Supp. 05-4). Amended by final rulemaking at 20 A.A.R. 1859, effective 9/8/2014. Amended by exempt rulemaking at 22 A.A.R. 1900, effective 7/1/2016.

Ariz. Admin. Code § R4-19-814 Standards of Conduct for Licensed Nursing Assistants and Certified Medication Assistants

For purposes of A.R.S. § 32-1601(22)(d), a practice or conduct that is or might be harmful or dangerous to the health of a patient or the public and constitutes a basis for disciplinary action on a LNA license and a CMA certificate includes the following:

1. Failing to maintain professional boundaries or engaging in a dual relationship with a patient, resident, or any member of the patient's or resident's family;

2. Engaging in sexual conduct with a patient, resident, or any member of the patient's or resident's family who does not have a pre-existing relationship with the licensee or any conduct while on duty or in the presence of a patient or resident that a reasonable person would interpret as sexual;

3. Leaving an assignment or abandoning a patient or resident who requires care without properly notifying the immediate supervisor;

4. Failing to accurately and timely document care and treatment provided to a patient or resident, including, for a CMA, medications administered or not administered;

5. Falsifying or making a materially incorrect entry in a health care record;

6. Failing to follow an employer's policies and procedures, designed to safeguard the patient or resident;

7. Failing to take action to protect a patient or resident whose safety or welfare is at risk from potential or actual incompetent health care practice, or to report the practice to the immediate supervisor or a facility administrator;

8. Failing to report signs, symptoms, and changes in patient or resident conditions to the immediate supervisor in an ongoing and timely manner;

Violating the rights or dignity of a patient or resident;

10. Violating a patient or resident's right of privacy by disclosing confidential information or knowledge concerning the patient or resident, unless disclosure is otherwise required by law;

11. Neglecting or abusing a patient or resident physically, verbally, emotionally, or financially;

12. Failing to immediately report to a supervisor and the Board any observed or suspected abuse or neglect, including a resident or patient's report of abuse or neglect;

12. 13. Soliciting, or borrowing, property or money from a patient or resident, or any member of the patient's or resident's family, or the patient's or resident's guardian;

14. Soliciting or engaging in the sale of goods or services unrelated to the licensee's health care assignment with a patient or resident, or any member of the patient or resident's immediate family, or guardians;

13.15. Removing, without authorization, any money, property, or personal possessions, or requesting payment for services not performed from a patient, resident, employer, co-worker, or member of the public.

14. 16. Repeated use or being under the influence of alcohol, medication, or any other substance to the extent that judgment may be impaired and practice detrimentally affected or while on duty in any work setting;

17. Accepting or performing patient or resident care tasks that the licensee lacks the education, competence or legal authority to perform;

16. 18. Removing, without authorization, narcotics, drugs, supplies, equipment, or medical records from any work setting;

17. 19. Obtaining, possessing, using, or selling any narcotic, controlled substance, or illegal drug in violation of any employer policy or any federal or state law;

20. Permitting or assisting another person to use the licensee's license or CMA certificate holder's certificate or identity for any purpose;

21. Making untruthful or misleading statements in advertisements of the individual's practice as a licensed nursing assistant or certified medication assistant;

22. Offering or providing licensed nursing assistant or certified medication assistant services for compensation without a designated registered nurse supervisor;

21. 23.Threatening, harassing, or exploiting an individual;

22. 24. Using violent or abusive behavior in any work setting;

23. 25. Failing to cooperate with the Board during an investigation by:

a. Not furnishing in writing a complete explanation of a matter reported under A.R.S. § 32-1664;

b. Not responding to a subpoena or written request for information issued by the Board;

c. Not completing and returning a Board-issued questionnaire within 30 days; or

d. Not informing the Board of a change of address or phone number within 10 days of each change;

26. Cheating on the competency exam or providing false information on an initial or renewal application for licensure or certification;

25. 27. Making a false or inaccurate statement to the Board or the Board's designee during the course of an investigation;

26. 28. Making a false or misleading statement on a nursing assistant, medication assistant or health care related employment or credential application ;

27. 29. If an applicant, licensee or CMA certificate holder is charged with a felony or a misdemeanor, involving conduct that may affect patient safety, failing to notify the Board, in writing, within 10 working days of being charged under A.R.S. § 32-3208. The applicant, licensee or CMA certificate holder shall include the following in the notification:

a. Name, current address, telephone number, Social Security number, and license and certificate number, if applicable;

b. Date of the charge; and

c. Nature of the offense;

28. 30. Failing to notify the Board, in writing, of a conviction for a felony or an undesignated offense within 10 days of the conviction. The applicant, licensee or CMA certificate holder shall include the following in the notification:

a. Name, current address, telephone number, Social Security number, and license and CMA certificate number, if applicable;

b. Date of the conviction;

c. Nature of the offense;

31. For a medication assistant, performance of any acts associated with medication administration not specifically authorized by A.R.S. § 32-1650 et.seq; and

29. 32. Practicing in any other manner that gives the Board reasonable cause to believe that the health of a patient, resident, or the public may be harmed.

Violation of any other state or federal laws, rules or regulations.

History

• New Section adopted by final rulemaking at 6 A.A.R. 757, effective February 4, 2000 (Supp. 00-1). Amended by final rulemaking at 11 A.A.R. 4254, effective December 5, 2005 (Supp. 05-4). Amended by final rulemaking at 14 A.A.R. 4621, effective January 31, 2009 (Supp. 08-4). Antiquated statute reference in opening subsection revised at the request of Board under A.R.S. § 41-1011(C), Office File No. M11-189, filed May 16, 2011 (Supp. 11-2). Pursuant to authority of A.R.S. § 41-1011(C), Laws 2012, Ch. 152, §1, provides for A.R.S. references to be corrected to reflect the renumbering of definitions. Therefore the A.R.S. citation in the opening subsection was updated. Agency request filed July 12, 2012, Office File No. M12-242 (Supp. 12-3). Amended by final rulemaking at 20 A.A.R. 1859, effective 9/8/2014. Amended by exempt rulemaking at 22 A.A.R. 1900, effective 7/1/2016.

Ariz. Admin. Code § R4-19-815 Reissuance or Subsequent Issuance of a Nursing Assistant License or Medication Assistant Certificate

A. A person whose LNA license or CMA certificate was denied, revoked, or voluntarily surrendered according to A.R.S. § 32-1663 may apply to the Board to issue or re-issue the license or certificate:

1. Five years from the date of denial or revocation, or

2. In accordance with the terms of a voluntary surrender agreement.

B. A person who applies for issuance or re-issuance of a license or certificate under the conditions of subsection (A) is subject to the following terms and conditions:

1. The applicant shall submit a written application for issuance or re-issuance of the license or certificate that contains substantial evidence that the basis for surrendering, denying, or revoking the license or certificate has been removed and that the issuance or re-issuance of the license or certificate will not be a threat to public health or safety.

2. Safe practice:

a. According to A.R.S. § 32-1664(F), the Board for reasonable cause may require a combination of mental, physical, nursing competency, psychological, or psychiatric evaluations, or any combination of evaluations, reports, and affidavits that the Board considers necessary to determine the person's competence and conduct to safely practice as an LNA or CMA.

b. The Board may require the applicant to be tested for competency, or retake and successfully complete a Board approved training program and pass the required examination, all at the applicant's expense.

C. The Board shall consider the application, and may designate a time for the applicant to address the Board at a regularly scheduled meeting.

D. After considering the application, the Board may:

Grant certification or licensure, with or without conditions or limitations, or

2. Deny the application.

E. An applicant who is denied issuance or re-issuance of LNA licensure or CMA certification may request a hearing by filing a written request with the Board within 30 days of service of the Board's order. Hearings shall be conducted in accordance with A.R.S. Title 41, Chapter 6, Article 10 and 4 A.A.C. 19, Article 6, of this Chapter.

History

• New Section adopted by final rulemaking at 6 A.A.R. 757, effective February 4, 2000 (Supp. 00-1). Amended by final rulemaking at 20 A.A.R. 1859, effective 9/8/2014. Amended by exempt rulemaking at 22 A.A.R. 1900, effective 7/1/2016. Amended by final rulemaking at 25 A.A.R. 919, effective 6/3/2019. Amended by final rulemaking at 26 A.A.R. 3289, effective 12/2/2020.

Article 9 LICENSED HEALTH AIDE

Ariz. Admin. Code § R4-19-901 Standards for Licensed Health Aide (LHA) Training Programs

A. Organization and Administration: An LHA program may be offered only by an entity:

Approved by Board;

2. Approved by the Arizona Department of Health Services as a Medicare-certified home health agency service provider; and

That meets the requirements of A.R.S. § 36-2939.

B. Instructor qualifications. An LHA instructor shall:

1. Hold a current, registered nurse license that is active and in good standing or multistate privilege to practice as an RN under A.R.S. Title 32, Chapter 15;

2. Possess at least two years of direct care nursing experience in pediatrics or medical/surgical care including medication administration, tracheostomy care, and enteral care and therapy for persons under 21 years of age.

C. Curriculum : An LHA program shall provide a basic curriculum that includes: nursing assistant skills, medication administration, tracheostomy care; and enteral care and therapy for persons under 21 years of age.

D. Competency Examination: An LHA program shall provide to the Board for approval a competency examination that includes a written portion and successful performance of the following skills for persons under 21 years of age, and specific to the LHA's singular patient:

Nursing assistant skills,

Medication administration,

Tracheostomy care, and

4. Enteral care and therapy.

E. Training requirements: The LHA program shall train and evaluate the LHA, both in writing and performance of LHA skills, as to the applicable, required competencies related to the healthcare needs of the individual patient for whom the LHA provides care; and provide ongoing assessments as to safety of LHA when performing LHA tasks.

F. Program Certificate Requirements: Upon satisfactory completion of the basic curriculum, the LHA program shall issue a program certificate to those students who demonstrate the skills and ability to safely administer care to the individual patient for whom they provide care.

History

• Adopted by exempt rulemaking at 28 A.A.R. 111, effective 1/2/2022.

Ariz. Admin. Code § R4-19-902 Initial Approval and Renewal of Approval of LHA Training Programs

A. An applicant for initial training program approval shall submit an electronic application packet to the Board at least 90 days before the expected starting date of the program.

B. A program applying for initial approval shall include all of the following in its application packet:

1. Name, address, web address, telephone number, e-mail address and fax number of the program;

2. Identity of all program owners or sponsoring institutions;

Evidence of program compliance with all of the following:

a. Program description that includes the length of the program, number of hours of instruction;

b. A copy of the documentation that the program will use to verify student knowledge and skills;

c. A copy of course policies and any other materials that demonstrate compliance with R4-19-901;

C. A program seeking renewal of its approval shall submit an application for renewal containing the information required in this Section at least 90 days prior to the expiration of its current approval.

D. LHA program approvals and renewals shall be for a period of four years.

History

• Adopted by exempt rulemaking at 28 A.A.R. 111, effective 1/2/2022.

Ariz. Admin. Code § R4-19-903 Rescission of Program Approval, Unprofessional Program Conduct, Voluntary Termination, Disciplinary Action, and Reinstatement

A. The Board may take disciplinary action against an LHA program, including rescinding program approval, for any of the following acts of unprofessional conduct:

Failing to comply with Board requirements within designated timeframes;

2. Making a false, inaccurate or misleading statement to the Board or the Board's designee in the course of an investigation, or on any application or information submitted to the Board or on the program's public website;

3. Engaging in any other conduct that gives the Board reasonable cause to believe the program's conduct may be a threat to the safety or welfare of students, instructors, patients or the public.

4. Failing to:

a. Furnish in writing a full and complete explanation of a matter reported pursuant to A.R.S. § 32-1664, or

b. Respond to a subpoena issued by the Board;

5. Failing to promptly remove, or adequately discipline or train, program instructors whose conduct violates this Article or may be a threat to the safety or welfare of students, patients, or the public.

B. Disciplinary Action

An LHA program may request a hearing prior to the imposition of any disciplinary action by the Board by filing a written request with the Board within 30 days of service of the Board's notice of charges. Hearings shall be conducted in accordance with A.R.S. Title 41, Chapter 6, Article 10, and 4 A.A.C. 19, Article 6.

C. Voluntary termination

1. An LHA program that seeks to voluntarily terminate the program before its next renewal shall submit a written notice of termination to the Board.

2. The program shall continue the training program, including retaining necessary instructors, until the last enrolled student has transferred or completed the training program.

3. Within 15 days after the termination of a training program, a program representative shall notify the Board in writing of the permanent location and availability of all program records.

4. A program that fails to renew its approval with the Board shall be considered voluntarily terminated unless there is a complaint against the program.

History

• Adopted by exempt rulemaking at 28 A.A.R. 111, effective 1/2/2022.

Ariz. Admin. Code § R4-19-904 Licensed Health Aide (LHA) Licensure, Renewals, and Patient Safety Referral

A. An applicant for initial licensed health aide (LHA) licensure shall submit the following to the Board:

1. A verified application on a form furnished by the Board that provides the following information about the applicant:

a. Full legal name and any and all former names used by the applicant;

b. Current address of record, including county of residence, e-mail address and telephone number;

c. Place and date of birth;

d. Social Security number;

e. Relationship to the patient that meets the definition of "family member" in R4-19-101;

f. Patient age and enrollment status in Arizona Long Term Care System ("ALTCS").

2. Proof of satisfactory completion of an LHA training program that meets the requirements of this Article within the past two years;

3. Proof the applicant has satisfactorily completed an LHA competency examination approved by the Board.

4. Proof of United States citizenship or alien status as specified in A.R.S. § 41-1080; and

5. Applicable fees under A.R.S. § 32-1643.

B. An applicant who is denied licensure or certification may request a hearing by filing a written request with the Board within 30 days of service of the Board's order denying the application for certification. Hearings shall be conducted in accordance with A.R.S. Title 41, Chapter 6, Article 10 and 4 A.A.C. 19, Article 6.

C. An applicant's license expires every four years. If an applicant fails to timely renew the license, the applicant shall not work as an LHA until the board issues a renewal license. To renew LHA licensure, an applicant shall:

1. Pay applicable fees pursuant to A.R.S. § 32-1643;

2. Submit proof that Applicant's patient still meets the age and eligibility requirements of A.R.S. § 36-2939;

3. Submit a statement on a form provided by the Board and completed by the applicant's home health agency employer or support coordinator confirming that applicant has adequately maintained the skills and knowledge required for safe LHA care of the applicant's patient.

D. The Board shall maintain a list, published on its website, of all LHA licensees.

E. The Board shall submit a safety referral for any LHA for whom the Board has concerns regarding potential patient neglect or abuse to the Arizona Department of Economic Security.

History

• Adopted by exempt rulemaking at 28 A.A.R. 111, effective 1/2/2022.

Chapter 20 BOARD OF DISPENSING OPTICIANS

Article 1 GENERAL

Ariz. Admin. Code § R4-20-101 Definitions

The following definitions apply in this Chapter unless otherwise specified:

1. "ABO" means the American Board of Opticianry.

2. "Applicant" means an individual requesting an initial or renewal license from the Board.

3. "Application packet" means the forms and additional information the Board requires to be submitted by an applicant or on the applicant's behalf.

4. "Comity" means the procedure for granting an Arizona license to an applicant who is already licensed as a dispensing optician in another state of the United States.

5. "Days" means calendar days.

6. "Laboratory experience" means work directly involved in the process of producing optical devices and does not include work that is strictly clerical.

7. "License" means a written authorization issued by the Board to practice as a dispensing optician or operate an optical establishment in Arizona.

8. "NCLE" means the National Contact Lens Examiners.

9. "Nationally recognized body on opticianry accreditation" means the Commission on Opticianry Accreditation.

10. "Optical devices" means eyeglasses, contact lenses, prosthetic eyes, low-vision aids, other eyewear, and eyewear appurtenances or parts.

11. "Optometrist" means a person currently licensed in any state of the United States in the practice of the profession of optometry as defined in A.R.S. § 32-1701.

12. "Physician" means a person currently licensed in any state of the United States to practice allopathic or osteopathic medicine.

13. "Work week" means the period of time beginning on Sunday at 12:00 a.m. and ending the following Saturday at 11:59 p.m.

History

• Former Rule II. Amended effective December 14, 1979 (Supp. 79-6). Amended Subsections (A) and (D) effective April 2, 1981 (Supp. 81-2). Former Section R4-20-102 repealed, new Section R4-20-102 adopted effective October 24, 1983 (Supp. 83-5). Amended Subsection (B) effective August 29, 1985 (Supp. 85-4). Former Section R4-20-101 repealed, Section R4-20-102 amended and renumbered as Section R4-20-101 effective September 18, 1987 (Supp. 87-3). Amended by final rulemaking at 5 A.A.R. 418, effective January 15, 1999 (Supp. 99-1). Amended by final rulemaking at 6 A.A.R. 1978, effective May 10, 2000 (Supp. 00-2). Amended by final rulemaking at 11 A.A.R. 3660, effective November 15, 2005 (Supp. 05-3).

Ariz. Admin. Code § R4-20-102 Application for a Dispensing Optician's License by Examination

At least 30 days before a regularly scheduled board meeting date, an applicant for a dispensing optician's license by examination shall submit to the Board an application packet that contains:

1. An application form provided by the Board, signed and dated by the applicant, that contains:

a. The applicant's name, Social Security number, address, and telephone number;

b. The name and address of the applicant's employer at the time of application, if applicable;

c. If demonstrating technical skill and training under A.R.S. § 32-1683(5)(b), the name and address of each dispensing optician, physician, or optometrist for whom the applicant served as an apprentice for three of the six years immediately preceding the application date, and the beginning and ending dates of each apprenticeship;

d. If demonstrating technical skill and training under A.R.S. § 32-1683(5)(c), the name and address of the school from which the applicant graduated, dates of attendance, date of graduation, degree received, and the name and address of each dispensing optician for whom the applicant served as a dispensing optician apprentice for one of the six years immediately preceding the application date and the beginning and ending dates of service. The applicant shall submit a photocopy of the applicant's diploma from the optical dispensing school;

e. If demonstrating technical skill and training under A.R.S. § 32-1683(5)(c) received during military service, the name and address of the school from which the applicant graduated, dates of attendance, date of graduation, and degree received, the location and name of the duty station at which the applicant has worked for three of the six years immediately preceding the application date and the beginning and ending dates of service.

f. If demonstrating technical skill and training under A.R.S. § 32-1683(5)(d), the name and address of each dispensing optician, physician, or optometrist for whom the applicant has worked for three of the six years immediately preceding the application date and the beginning and ending dates of employment;

g. A statement of whether the applicant has ever been convicted of a felony or of a misdemeanor involving moral turpitude in any state;

h. A statement of whether the applicant has ever had an application for a professional license denied or had a license suspended or revoked in any state; and

i. A sworn statement by the applicant verifying the truthfulness of the information provided by the applicant;

2. A photocopy of the applicant's:

a. High school diploma or general educational diploma issued in any state; or

b. Transcripts from a high school or college; or

c. Evidence of a college degree or admission to any college in any state;

3. Verification of passing both spectacle and contact lens written and practical examinations in opticianry administered by a nationally recognized body as evidenced by an original notice of examination results or a copy of the original certificate of passage issued by the organization that prepared the examination;

4. A letter attesting to good moral character from each of three individuals who are not family members, who have known the applicant for two years immediately before the date of the application, and support the applicant's licensure;

5. A letter from each physician, optometrist, or dispensing optician named in subsection (1)(c), (d), or (e) that contains:

a. The individual's printed name, address, and telephone number; and

b. A statement that the applicant has either served as an apprentice or been employed as a dispensing optician by the physician, optometrist, or dispensing optician for the time required in subsection (1)(c), (d), or (e);

6. A photograph of the applicant taken not more than six months before the date of application; and

7. The fee required in R4-20-112.

History

• Former Rule III. Amended effective August 9, 1977 (Supp. 77-4). Amended effective August 7, 1978 (Supp. 78-4). Amended effective December 14, 1979 (Supp. 79-6). Former Section R4-20-103 repealed, new Section R4-20-103 adopted effective October 24, 1983 (Supp. 83-5). Former Section R4-20-103 amended and renumbered as Section R4-20-102 effective September 18, 1987 (Supp. 87-3). Amended effective September 13, 1989 (Supp. 89-3). Section R4-20-102 repealed, new Section adopted by final rulemaking at 5 A.A.R. 423, effective January 15, 1999 (Supp. 99-1). Amended by final rulemaking at 11 A.A.R. 3660, effective November 15, 2005 (Supp. 05-3). Amended by final rulemaking at 19 A.A.R. 584, effective May 5, 2013 (Supp. 13-1). Amended by final rulemaking at 24 A.A.R. 3418, effective 12/4/2018. Amended by final rulemaking at 27 A.A.R. 2727, effective 11/4/2021.

Ariz. Admin. Code § R4-20-103 [Repealed]

History

• Adopted effective August 9, 1977 (Supp. 77-4). Amended effective December 14, 1979 (Supp. 79-6). Amended Subsection (E) effective April 2, 1981 (Supp. 81-2). Former Section R4-20-104 repealed, new Section R4-20-104 adopted effective October 24, 1983 (Supp. 83-5). Former Section R4-20-104 amended and renumbered as Section R4-20-103 effective September 18, 1987 (Supp. 87-3). Amended September 13, 1989 (Supp. 89-3). Amended by final rulemaking at 11 A.A.R. 3660, effective November 15, 2005 (Supp. 05-3). Repealed by final rulemaking at 24 A.A.R. 3418, effective 12/4/2018.

Ariz. Admin. Code § R4-20-104 [Repealed]

History

• Adopted effective August 9, 1977 (Supp. 77-4). Former Section R4-20-105 repealed, new Section R4-20-105 adopted effective October 24, 1983 (Supp. 83-5). Former Section R4-20-105 amended and renumbered as Section R4-20-104 effective September 18, 1987 (Supp. 87-3). Amended September 13, 1989 (Supp. 89-3). Amended effective July 22, 1994 (Supp. 94-3). Amended by final rulemaking at 6 A.A.R. 1978, effective May 10, 2000 (Supp. 00-2). Amended by final rulemaking at 11 A.A.R. 3660, effective November 15, 2005 (Supp. 05-3). Repealed by final rulemaking at 24 A.A.R. 3418, effective 12/4/2018.

Ariz. Admin. Code § R4-20-105 [Repealed]

History

• Adopted effective August 9, 1977 (Supp. 77-4). Former Section R4-20-106 repealed, new Section R4-20-106 adopted effective October 24, 1983 (Supp. 83-5). Former Section R4-20-106 amended and renumbered as Section R4-20-105 effective September 18, 1987 (Supp. 87-3). Amended effective September 13, 1989 (Supp. 89-3). Amended effective July 22, 1994 (Supp. 94-3). Amended by final rulemaking at 11 A.A.R. 3660, effective November 15, 2005 (Supp. 05-3). Repealed by final rulemaking at 24 A.A.R. 3418, effective 12/4/2018.

Ariz. Admin. Code § R4-20-106 [Repealed]

History

• Adopted effective March 20, 1978 (Supp. 78-2). Amended effective August 7, 1978 (Supp. 78-4). Former Section R4-20-107 repealed, new Section R4-20-107 adopted effective October 24, 1983 (Supp. 83-5). Former Section R4-20-107 amended and renumbered as Section R4-20-106 effective September 18, 1987 (Supp. 87-3). Amended effective September 13, 1989 (Supp. 89-3). Amended effective July 22, 1994 (Supp. 94-3). Amended by final rulemaking at 11 A.A.R. 3660, effective November 15, 2005 (Supp. 05-3). Repealed by final rulemaking at 24 A.A.R. 3418, effective 12/4/2018.

Ariz. Admin. Code § R4-20-107 Application for a Dispensing Optician's License by Comity

An applicant for a dispensing optician's license by comity shall submit an application packet to the Board that contains:

1. An application form provided by the Board, signed and dated by the applicant that contains:

a. The applicant's name, Social Security number, address, and telephone number;

b. The applicant is dispensing optician license number and the state and date of licensure;

c. A statement of whether the applicant has ever been convicted of a felony or of a misdemeanor involving moral turpitude in any state;

d. A statement of whether the applicant has ever been denied a license or had a license suspended or revoked in any state; and

e. A sworn statement by the applicant verifying the truthfulness of the information provided by the applicant;

2. A photocopy of the unexpired license and a written statement, signed by an officer of the Board that issued the license, that states the license is in good standing, and that the license is valid to dispense both eyeglasses and contact lenses;

3. A photograph of the applicant taken not more than six months before the date of application; and

4. The fee required in R4-20-112.

History

• Adopted effective August 7, 1978 (Supp. 78-4). Former Section R4-20-108 repealed, new Section R4-20-108 adopted effective October 24, 1983 (Supp. 83-5). Former Section R4-20-108 amended and renumbered as Section R4-20-107 effective September 18, 1987 (Supp. 87-3). Amended effective September 13, 1989 (Supp. 89-3). Section R4-20-107 repealed, new Section adopted by final rulemaking at 5 A.A.R. 423, effective January 15, 1999 (Supp. 99-1). Amended by final rulemaking at 11 A.A.R. 3660, effective November 15, 2005 (Supp. 05-3). Amended by final rulemaking at 24 A.A.R. 3418, effective 12/4/2018. Amended by final rulemaking at 27 A.A.R. 2727, effective 11/4/2021.

Ariz. Admin. Code § R4-20-108 Repealed

History

• Adopted effective October 24, 1983 (Supp. 83-5). Former Section R4-20-109 amended and renumbered as Section R4-20-108 effective September 18, 1987 (Supp. 87-3). Amended effective September 13, 1989 (Supp. 89-3). Section R4-20-108 repealed by final rulemaking at 5 A.A.R. 423, effective January 15, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-20-109 Renewal of Dispensing Optician's License; Late Renewal; Reinstatement

A. No later than December 31 of each year, an applicant for renewal of a dispensing optician's license shall submit to the Board the fee required by R4-20-112, proof of continuing education credits required by R4-20-120, and an application form, provided by the Board, signed and dated by the applicant, that contains:

1. The applicant's name, Social Security number, address, and telephone number;

2. The name, address, telephone number, and Arizona license number of the optical establishment at which the applicant is currently practicing as a dispensing optician; and

3. A statement that the information contained on the renewal application is correct.

B. A licensee who submits a renewal application and renewal fee after December 31 but before January 31 of the following year shall pay the late fee in R4-20-112.

C. A licensee who fails to submit a renewal application before January 31 following a license expiration of December 31, and who wishes to reinstate the license, shall:

1. Submit a reinstatement application within one year of license expiration;

Pay the renewal fee and the late fee in R4-20-112;

3. Achieve a passing grade on the practical examination, unless the applicant has successfully completed the practical examination in the five-year period immediately preceding the license expiration.

History

• Adopted effective April 2, 1981 (Supp. 81-2). Former Section R4-20-110 repealed, new Section R4-20-110 adopted effective October 24, 1983 (Supp. 83-5). Former Section R4-20-110 amended and renumbered as Section R4-20-109 effective September 18, 1987 (Supp. 87-3). Section R4-20-109 repealed, new Section adopted by final rulemaking at 5 A.A.R. 423, effective January 15, 1999 (Supp. 99-1). Amended by final rulemaking at 11 A.A.R. 3660, effective November 15, 2005 (Supp. 05-3). Amended by final rulemaking at 19 A.A.R. 584, effective May 5, 2013 (Supp. 13-1). Amended by final rulemaking at 24 A.A.R. 3418, effective 12/4/2018.

Ariz. Admin. Code § R4-20-110 Application for an Optical Establishment License; Qualifications

A. Any person, corporation, company, partnership, firm, association or society operating an optical establishment, except those exempt under A.R.S. § 32-1691, shall obtain an optical establishment license.

B. An applicant for an optical establishment license shall submit an application packet to the Board that contains:

1. An application form provided by the Board, signed and dated by the applicant, that contains:

a. The applicant's name, establishment name, establishment address, and telephone number.

i. If a sole proprietorship, the individual owning the optical establishment;

ii. If a corporation, each individual owning 20% or more of the voting stock in the corporation;

iii. If a partnership, the managing partner and a general partner;

iv. If a limited liability company, the designated manager, or if no manager is designated, any two members of the limited liability company;

b. The hours the establishment will be open to the public for business;

c. If applicable, the name, business address, and telephone number of each licensed optical establishment currently being operated by the applicant in Arizona;

dc. If a corporation, the name of the statutory agent, the corporation's officers, and the state of incorporation; and

ed. The name and license number of each licensed dispensing optician who is scheduled to work at the establishment on a full-time basis, consisting of 32 hours or more per week;

2. If a corporation, the articles of incorporation; and

3. The fee required in R4-20-112.

C. To be licensed, an optical establishment shall employ at least one dispensing optician licensed by the Board, for at least 32 hours or more per week.

History

• Adopted effective October 24, 1983 (Supp. 83-5). Former Section R4-20-111 amended and renumbered as Section R4-20-110 effective September 18, 1987 (Supp. 87-3). Repealed effective September 13, 1989 (Supp. 89-3). New Section R4-20-110 adopted by final rulemaking at 5 A.A.R. 423, effective January 15, 1999 (Supp. 99-1). Amended by final rulemaking at 11 A.A.R. 3660, effective November 15, 2005 (Supp. 05-3). Amended by final rulemaking at 14 A.A.R. 3668, effective November 8, 2008 (Supp. 08-3). Amended by final rulemaking at 24 A.A.R. 3418, effective 12/4/2018. Amended by final rulemaking at 27 A.A.R. 2727, effective 11/4/2021.

Ariz. Admin. Code § R4-20-111 Time-frames for License Approvals

A. The overall time-frame described in A.R.S. § 41-1072(2) for each type of approval granted by the Board is set forth in Table 1. The applicant and the Executive Director of the Board may agree in writing to extend the substantive review and overall time-frame. The substantive review time-frame may not be extended by more than 25% of the overall time-frame.

B. The administrative completeness review time-frame described in A.R.S. § 41-1072(1) for each type of approval granted by the Board is set forth in Table 1.

1. The administrative completeness review time-frame begins:

a. For approval to take a dispensing optician examination or for an optical establishment license, when the Board receives an application packet.

b. For approval or denial of a license by examination when the applicant takes the dispensing optician examination.

c. For a license by comity, when the Board receives an application packet.

2. If the application packet is incomplete, the Board shall send to the applicant a written notice specifying the missing document or incomplete information. The administrative completeness review time-frame and the overall time-frame are suspended from the postmark date of the notice until the date the Board receives a complete application packet from the applicant.

3. If an application packet is complete, the Board shall send a written notice of administrative completeness to the applicant.

4. If the Board grants a license or approval during the time provided to assess administrative completeness, the Board shall not issue a separate written notice of administrative completeness.

C. The substantive review time-frame described in A.R.S. § 41-1072(3) is set forth in Table 1 and begins on the postmark date of the notice of administrative completeness.

1. During the substantive review time-frame, the Board may make one comprehensive written request for additional information or documentation. The time-frame for the Board to complete the substantive review is suspended from the postmark date of the comprehensive written request for additional information or documentation until the Board receives the additional information or documentation.

2. The Board shall send a written notice approving the applicant to take an examination or granting a license to an applicant who meets the qualifications in A.R.S. §§ 32-1681 through 32-1684 and 32-1687.

3. The Board shall send a written notice of denial to an applicant who fails to meet the qualifications in A.R.S. §§ 32-1681 through 32-1684 and 32-1687.

D. The Board shall consider an application withdrawn if within 360 days from the application submission date the applicant fails to:

1. Supply the missing information under subsection (B)(2) or (C)(1); or

2. Take the dispensing optician examination.

E. An applicant who does not want an application withdrawn may request a denial in writing within 360 days from the application submission date.

F. If a time-frame's last day falls on a Saturday, Sunday, or an official state holiday, the next business day shall be considered the time-frame's last day.

History

• Adopted effective October 24, 1983 (Supp. 83-5). Former Section R4-20-112 amended and renumbered as Section R4-20-111 effective September 18, 1987 (Supp. 87-3). Amended effective September 13, 1989 (Supp. 89-3). Section R4-20-111 repealed, new Section adopted by final rulemaking at 5 A.A.R. 423, effective January 15, 1999 (Supp. 99-1). Amended by final rulemaking at 11 A.A.R. 3660, effective November 15, 2005 (Supp. 05-3).

Ariz. Admin. Code § R4-20-112 Fees

A. Dispensing optician fees, which are non-refundable, unless A.R.S. § 41-1077 applies, are as follows:

1. License issuance fee: $100

2. Renewal of dispensing optician license: $135

3. License renewal late fee: $100

B. Optical establishment license fees are as follows:

1. License application fee: $100

2. License issuance fee: $100

3. Renewal of optical establishment license: $135

License renewal late fee: $100

C. Fees for copies of public records are:

1. Duplicate optician license: $25

2. Duplicate establishment license: $25

3. Dispensing Optician Statutes and rules: $10

4. Directories:

a. Commercial use: $2.50 per page

b. Non-commercial use: $1.00 per page

5. Labels:

a. Commercial use: $ .30 per name

b. Non-commercial use: $ .10 per name

6. All other records: $ .50 per page

History

• Adopted effective October 24, 1983 (Supp. 83-5). Former Section R4-20-113 amended and renumbered as Section R4-20-112 effective September 18, 1987 (Supp. 87-3). Amended effective April 22, 1988 (Supp. 88-2). Amended effective May 26, 1989 (Supp. 89-2). Amended by final rulemaking at 6 A.A.R. 1978, effective May 10, 2000 (Supp. 00-2). Amended by final rulemaking at 11 A.A.R. 3163 effective August 3, 2005; amended by final rulemaking at 11 A.A.R. 3660, effective November 15, 2005 (Supp. 05-3). Amended by final rulemaking at 24 A.A.R. 3418, effective 12/4/2018. Amended by final rulemaking at 27 A.A.R. 2727, effective 11/4/2021.

Ariz. Admin. Code § R4-20-113 Display of Licenses; Non-transferability

A. A licensee shall display all licenses in a conspicuous place. If a license is renewed, the licensee shall display the evidence of renewal in public view.

B. Optical establishment and dispensing optician licenses are not transferable.

C. A licensee shall return an optical establishment license to the Board upon transfer of ownership or going out of business.

History

• Adopted effective October 24, 1983 (Supp. 83-5). Former Section R4-20-114 amended and renumbered as Section R4-20-113 effective September 18, 1987 (Supp. 87-3). Amended effective September 13, 1989 (Supp. 89-3). Amended by final rulemaking at 11 A.A.R. 3660, effective November 15, 2005 (Supp. 05-3). Amended by final rulemaking at 24 A.A.R. 3418, effective 12/4/2018.

Ariz. Admin. Code § R4-20-114 Notice of Change of Status

A. An optical establishment licensee and dispensing optician licensee shall notify the Board of any change in the information provided to the Board concerning license application or its renewal, including any change in name, address, work location, establishment ownership or the name, address or home telephone number of each dispensing optician working at the establishment.

B. This notice shall be in writing and made within 30 days of change of status.

C. For purposes of this Section, a change of establishment ownership means:

1. The transfer of a controlling interest in the optical establishment business from one person to another;

2. The addition or termination of a general partner; or

3. The transfer or agreement to transfer a block of 20% or more of the outstanding voting stock of a corporation or association or the transfer or agreement to transfer any amount of voting stock that would give the transferee control of a majority of outstanding voting stock. For purposes of this subsection, "voting stock" means any interest or system whereby the operation of a corporation is controlled by its owners or trustees.

History

• Adopted effective October 24, 1983 (Supp. 83-5). Former Section R4-20-115 amended and renumbered as Section R4-20-114 effective September 18, 1987 (Supp. 87-3). Amended effective September 13, 1989 (Supp. 89-3). Amended by final rulemaking at 11 A.A.R. 3660, effective November 15, 2005 (Supp. 05-3).

Ariz. Admin. Code § R4-20-115 Renewal of Optical Establishment License; Late Renewal; Re-application

A. No later than June 30 of each year, an applicant for renewal of an optical establishment license shall submit to the Board the fee required by R4-20-112 and an application form, provided by the Board that contains:

The name, address, and telephone number of the optical establishment;

2. The name and license number of each dispensing optician who is scheduled to work 32 hours or more each week at the optical establishment; and

3. The applicant's signature and title.

B. A licensee who submits a renewal application and renewal fee after June 30 but before July 31 of the renewal year shall pay the late fee in R4-20-112.

C. A licensee who fails to submit a renewal application before July 31 following a license expiration of June 30, and who wishes to re-apply for an establishment license, shall submit an original application, and pay the application fee and license fee in R4-20-112.

History

• Adopted effective October 24, 1983 (Supp. 83-5). Former Section R4-20-116 repealed and reserved as Section R4-20-115 effective September 18, 1987 (Supp. 87-3). Section R4-20-115 amended by final rulemaking at 5 A.A.R. 423, effective January 15, 1999 (Supp. 99-1). Amended by final rulemaking at 11 A.A.R. 3660, effective November 15, 2005 (Supp. 05-3). Amended by final rulemaking at 24 A.A.R. 3418, effective 12/4/2018.

Ariz. Admin. Code § R4-20-116 Rehearing or Review of Decision

A. Except as provided in subsection (G), a party in a contested case before the Board who is aggrieved by a decision rendered in the case may file with the Board not later than 30 days after service of the decision, a written motion for rehearing or review of the decision specifying the particular grounds for the rehearing or review. For purposes of this Subsection a decision is deemed to be served when personally delivered or mailed by certified mail to the party at the party's last known residence or place of business.

B. A party may amend a motion for rehearing or review at any time before it is ruled upon by the Board. Any other party may file a response within 15 days after service of the motion or amended motion. The Board may require the filing of written brief upon the issues raised in the motion and may provide for oral argument.

C. A rehearing or review of the decision may be granted for any of the following causes materially affecting the moving party's rights:

Irregularity in the administrative proceedings of the Board, the Board's informal interviewing officer or the prevailing party, or any order or abuse of discretion that deprived the moving party of a fair hearing or interview;

2. Misconduct of the Board or the prevailing party;

Accident or surprise that could not have been prevented by ordinary prudence;

4. Newly discovered material evidence that could not with reasonable diligence have been discovered and produced at the original hearing;

5. Excessive or insufficient penalties;

6. Error in the admission or rejection of evidence or other errors of law occurring at the administrative hearing; or

7. The decision is not justified by the evidence or is contrary to law.

D. The Board may affirm or modify the decision or grant a rehearing or review to all or any of the parties and on all or part of the issues for any of the reasons in subsection (C). An order granting a rehearing or review shall specify with particularity the grounds on which the rehearing or review is granted, and the rehearing or review shall cover only those matters specified.

E. Not later than 10 days after a decision is rendered, the Board may on its own initiative order a rehearing or review of its decision for any reason for which the Board might have granted a rehearing or review on motion of a party. After giving the parties or the parties' counsel notice and an opportunity to be heard on the matter, the Board may grant a motion for rehearing or review for a reason not stated in the motion.

F. When a motion for rehearing or review is based upon affidavits, the moving party shall serve the affidavits with the motion. An opposing party may within 10 days after service, serve opposing affidavits. The Board may extend the period for an additional 20 days for good cause shown or by written stipulation of the parties. The Board may permit reply affidavits.

G. If in a decision the Board makes specific findings that the immediate effectiveness of the decision is necessary for the immediate preservation of the public peace, health or safety and that a rehearing or review of the decision is impracticable, unnecessary or contrary to the public interest, the Board may issue the decision as a final decision without an opportunity for a rehearing or review. If a decision is issued as a final decision without an opportunity for rehearing or review, a party shall make application for judicial review of the decision within the time limits permitted for applications for judicial review of the Board's final decisions.

H. For purposes of this Section the terms "contested case" and "party" have the same meaning as in A.R.S. § 41-1001 and "appealable agency action" has the same meaning as in A.R.S. § 41-1092.

History

• Adopted effective October 24, 1983 (Supp. 83-5). Former Section R4-20-117 amended and renumbered as R4-20-116 effective September 18, 1987 (Supp. 87-3). Amended effective September 13, 1989 (Supp. 89-3). Amended effective July 22, 1994 (Supp. 94-3). Amended by final rulemaking at 11 A.A.R. 3660, effective November 15, 2005 (Supp. 05-3).

Ariz. Admin. Code § R4-20-117 Scope of Practice

A. The scope of practice of a dispensing optician means the activities described in A.R.S. § 32-1671(3).

B. The dispensing optician shall fill a refill of a contact lens prescription prior to its expiration date with no more than the sufficient quantity of replacement contact lenses needed through the expiration date.

History

• Adopted effective September 18, 1987 (Supp. 87-3). Amended by final rulemaking at 11 A.A.R. 3660, effective November 15, 2005 (Supp. 05-3). Amended by final rulemaking at 13 A.A.R. 1216, effective May 5, 2007 (Supp. 07-1).

Ariz. Admin. Code § R4-20-118 Unprofessional Conduct

In addition to actions specified in A.R.S. § 32-1696, unprofessional conduct in the practice of optical dispensing includes the following:

1. Substandard care as specified in R4-20-119;

2. Failing to maintain a copy or record of the customer's prescription and failing to prepare and maintain a record of optical devices dispensed for at least three years. The record of optical devices dispensed shall include the brand, style, and size of the frame, if any, and the style, material, source, and all other information necessary to accurately reproduce each lens. The record shall be separate from optometrists' or physicians' records;

3. Failing or refusing to make a copy of a prescription or record described in subsection (2) promptly available to the customer who is the subject of the prescription or record, the customer's designated representative, the customer's prescribing practitioner, or the Board or its investigator, when requested. Notwithstanding this provision, a dispensing optician need not make the record of contact lenses dispensed on a trial basis available to the customer;

4. Failing or refusing to take corrective action or investigate a customer complaint concerning the manufacture or fit of eyeglasses, contact lenses, or other optical devices dispensed at the establishment by which the dispensing optician is employed if there is a substantial basis for the complaint;

5. Failure of any person, corporation, company, partnership, firm, association or society to maintain an active optical establishment license as required by R4-20-110; and

6. Failure to comply with a Board order.

History

• Adopted effective September 18, 1987 (Supp. 87-3). Amended effective July 22, 1994 (Supp. 94-3). Amended by final rulemaking at 11 A.A.R. 3660, effective November 15, 2005 (Supp. 05-3). Amended by final rulemaking at 14 A.A.R. 3668, effective November 8, 2008 (Supp. 08-3). Amended by final rulemaking at 19 A.A.R. 584, effective May 5, 2013 (Supp. 13-1).

Ariz. Admin. Code § R4-20-119 Substandard Care

A. It is substandard care for a dispensing optician:

1. To dispense improperly manufactured eyeglasses or contact lenses. If a complaint indicates that eyeglasses or contact lenses dispensed by a dispensing optician or other employee of an optical establishment may have been improperly manufactured, the Board shall be guided in its determination of the facts by referring to the standards incorporated by reference in subsection (B) with regard to the individual parameters listed in the standards and considering patient wear, care, and usage;

2. When interpreting written prescriptions:

a. To fail to follow standards incorporated by reference in subsection (B) in determining lens powers due to differences in vertex distances, base curvatures, special lens requirements, and facial fitting problems; or

b. To fail to comply with special instructions of the vision practitioner or optometrist shown on the prescription without the full knowledge and consent of the customer, the physician, or optometrist; or

c. To fill prescriptions beyond the expiration date indicated on the prescription;

3. To fail to follow manufacturer's guidelines regarding usual and customary lens thickness of eyewear;

4. To intentionally or negligently injure a customer during the course of optical dispensing; or

5. To fail to give the customer appropriate instructions on the care, handling, and wearing of an optical device.

B. The following standards published by the American National Standards Institute, Inc., (ANSI), 1819 L Street, NW, Suite 600, Washington, DC 20036, are incorporated by reference, and no further editions or amendments and are on file with the Board:

1. ANSI Z80.1 2015, "Prescription Ophthalmic Lenses-Recommendations."

2. ANSI - Z80.20 2016, "Contact Lenses-Standard Terminology, Tolerances, Measurements And Physiochemical Properties."

3. ANSI Z80.5-2004, "Requirements for Ophthalmic Frames."

4. 3. ANSI Z87.1- 2015, "Occupational and Educational Personal Eye and Face Protection Devices."

5. 4. ANSI Z80.9 2015, "Optical Devices for Low Vision."

History

• Adopted effective September 18, 1987 (Supp. 87-3). Amended effective July 22, 1994 (Supp. 94-3). Amended by final rulemaking at 11 A.A.R. 3660, effective November 15, 2005 (Supp. 05-3). Amended by final rulemaking at 19 A.A.R. 584, effective May 5, 2013 (Supp. 13-1). Amended by final rulemaking at 24 A.A.R. 3418, effective 12/4/2018.

Ariz. Admin. Code § R4-20-120 Continuing Education; Hours Required; Reporting

A. A person licensed as a dispensing optician shall complete no fewer than 12 hours of continuing education that is approved by the Board for credit.

1. For the initial period of licensure for an applicant who obtains initial licensure between January 1 and June 30, continuing education credits are due by December 31 of the second full calendar year of licensure.

2. For the initial period of licensure for an applicant who obtains initial licensure between July 1 and December 31, continuing education credits are due by December 31 of the third full calendar year of licensure.

3. Continuing education credits for every subsequent period of licensure are due every three years thereafter at the time of licensure renewal.

B. Each licensee shall submit documentation to the Board verifying that the licensee has completed 12 hours or more of continuing education, within each three-year period. The licensee shall provide documentation that identifies the courses and the number of credit hours completed and include the following:

1. If the course is from a school approved by the Commission on Opticianry Accreditation or college-accredited course, proof of course completion and the number of credits earned.

2. If the course is part of an event, a certificate of completion issued by the sponsor which identifies each part completed.

3. If the course is a home-study course, a certificate of completion issued by the sponsor and the number of credits earned.

4. For any other course, a certificate of completion issued by the sponsor or presenter and the number of credits earned.

5. If the licensee cannot obtain the above documentation, any other documents, affidavits, or testimony which provides assurance that the licensee has completed the requirements.

C. Of the 12 hours of continuing education, each licensee shall obtain at least:

1. Four hours in eyeglass fitting and dispensing;

2. Three hours in contact lens fitting and dispensing;

3. One hour in state or national opticianry standards.

D. Hours will be measured as follows: one credit hour will be assigned for each 50 minutes of a single session.

E. The Board shall discipline any licensee who submits false information for continuing education documentation.

F. A licensee shall not apply any hours accrued during one reporting period to any subsequent reporting period.

History

• Adopted effective July 22, 1994 (Supp. 94-3). Amended by final rulemaking at 11 A.A.R. 3660, effective November 15, 2005 (Supp. 05-3). Amended by final rulemaking at 26 A.A.R. 202, effective 1/14/2020.

Ariz. Admin. Code § R4-20-121 Continuing Education; Approval of Courses

ABO and NCLE courses are approved by the Board for continuing education credit. Other individuals or organizations seeking approval of a continuing education course for credit shall apply to the Board 45 days before the date the course is offered. The application shall contain the following information on the course:

1. Title and description of course content;

2. Time, date, and place;

3. Number of credit hours;

4. Name of the sponsor and presenter; and

5. Brief curriculum vitae of the presenter.

History

• Adopted effective July 22, 1994 (Supp. 94-3). Amended by final rulemaking at 11 A.A.R. 3660, effective November 15, 2005 (Supp. 05-3).

Ariz. Admin. Code § R4-20-122 Agency Record; Directory of Substantive Policy Statements

The official rulemaking record for each rulemaking and a directory of substantive policy statements is located in the office of the Board and may be reviewed Monday through Friday, 8:00 a.m. to 5:00 p.m., except state holidays.

History

• New Section made by final rulemaking at 11 A.A.R. 3660, effective November 15, 2005 (05-3).

Ariz. Admin. Code § R4-20-123 [Repealed]

History

• New Section made by final rulemaking at 11 A.A.R. 3660, effective November 15, 2005 (05-3). Repealed by final rulemaking at 24 A.A.R. 3418, effective 12/4/2018.

Ariz. Admin. Code § R4-20-124 [Repealed]

History

• New Section made by final rulemaking at 11 A.A.R. 3660, effective November 15, 2005 (05-3). Repealed by final rulemaking at 24 A.A.R. 3418, effective 12/4/2018.

Ariz. Admin. Code § R4-20-125 [Repealed]

History

• New Section made by final rulemaking at 11 A.A.R. 3660, effective November 15, 2005 (05-3). Repealed by final rulemaking at 24 A.A.R. 3418, effective 12/4/2018.

Ariz. Admin. Code § R4-20-126 [Repealed]

History

• New Section made by final rulemaking at 11 A.A.R. 3660, effective November 15, 2005 (05-3). Repealed by final rulemaking at 24 A.A.R. 3418, effective 12/4/2018.

Chapter 21 BOARD OF OPTOMETRY

Article 1 GENERAL PROVISIONS

Ariz. Admin. Code § R4-21-101 Definitions

In addition to the definitions in A.R.S. § 32-1701, the following apply to this Chapter:

"Accredited" means approved by the ACOE.

"ACCME" means Accreditation Council for Continuing Medical Education

"ACOE" means the Accreditation Council on Optometric Education.

"Active license" means a license that is current and has not expired.

"Advertisement" means a written, oral, or electronic communication that an ordinary person would perceive is designed to influence, directly or indirectly, a decision regarding ophthalmic goods or optometric services.

"Applicant" means:

An individual who applies to the Board under A.R.S. §§ 32-1722 or 32-1723 and A.A.C. R4-21-201 or R4-21-202 for a license to practice the profession of optometry, but has not been granted the license;

A licensee who applies under A.R.S. § 32-1726 and R4-21-205 for license renewal;

A licensee who applies under A.R.S. § 32-1728 and R4-21-208 for a pharmaceutical agent number;

A licensee or provider of Continuing Education that applies for approval of a Continuing Education under R4-21-210

"Application package" means the forms, documents, and fees that the Board requires an applicant to submit or have submitted on the applicant's behalf.

"Approved Continuing Education" means a planned educational experience relevant to the practice of the profession of optometry that the Board determines meets the criteria at R4-21-210.

"ARBO" means the Association of Regulatory Boards of Optometry.

"Audit" means the selection of licensees and process of reviewing documents for verification of satisfactory completion of Continuing Education requirements during a specified time period.

"CPR" means Cardiopulmonary Resuscitation.

"CELMO" means the Council on Endorsed Licensure Mobility for Optometrists.

"Certificate of special qualification" means a document that specifies whether the holder, who was licensed by the Board before July 1, 2000, and has not completed a course of study approved by the Board, may prescribe, administer, and dispense a pharmaceutical agent and if so, whether the holder may prescribe, administer, and dispense:

A topical diagnostic pharmaceutical agent only, or

Topical diagnostic and topical therapeutic pharmaceutical agents.

"Continuing Education" means planned, organized learning acts designed to maintain, improve, or expand a licensee's knowledge and skills in order for the licensee to develop new knowledge and skills relevant to the enhancement of practice, education, or theory development to improve the safety and welfare of the public.

"Continuing Education Report" means an online education report used to electronically track Continuing Education hours taken by a licensee.

"COPE" means the Council on Optometric Practitioner Education.

"Course of study" as used in A.R.S. § 32-1722, means education approved by the Board under R4-21-207 that qualifies an optometrist to prescribe, administer, and dispense topical diagnostic, topical therapeutic, and oral pharmaceutical agents.

"DEA" means The Drug Enforcement Administration

"Drug Enforcement Administration" means the Drug Enforcement Administration in the Department of Justice.

"DEA Controlled Substance Registration" means registration required and permitted by 21 U.S.C. 823 of the Controlled Substances Act.

"Injectable Epinephrine" means an intramuscular dose of epinephrine used for emergency treatment of an allergic reaction and delivered by a spring-loaded syringe.

"Good cause" means a reason that is substantial enough to afford a legal excuse.

"Hour of Continuing Education" means no less than 50 minutes of learning in one hour of time.

"Incompetence," as used in A.R.S. § 32-1701(8), means lack of professional skill, fidelity, or physical or mental fitness, or substandard examination or treatment while practicing the profession of optometry.

"Low vision" means chronic impairment to vision that significantly interferes with daily routine activities and cannot be adequately corrected with medical, surgical, or therapeutic means or conventional eyewear or contact lenses.

"Low-vision rehabilitation" means use of optical and non-optical devices, adaptive techniques, and community resources to assist an individual to compensate for low vision in performing daily routine activities.

"Negligence," as used in A.R.S. § 32-1701(8), means conduct that falls below the standard of care for the protection of patients and the public against unreasonable risk of harm and that is a departure from the conduct expected of a reasonably prudent licensee under the circumstances.

"OE Tracker" means the ARBO Online Education Tracker used to electronically track Continuing Education hours taken by a licensee.

"Opiate" or "Opioid" means any drug or other substance having an addiction-forming or addiction-sustaining liability similar to morphine or being capable of conversion into a drug having such addiction-forming or addiction-sustaining liability.

"Oral pharmaceutical agent," as used in A.R.S. § 32-1728, means an ingested prescription or non-prescription substance used to examine, diagnose, or treat disease of the eye and its adnexa.

"Party" has the same meaning as prescribed in A.R.S. § 41-1001.

"Plano lenses" means contact lenses that have cosmetic function only.

"Practice management" means the study of management of the affairs of optometric practice.

"Self-instructed media" means educational material in a printed, audio, video, electronic or distance learning format.

"Topical diagnostic pharmaceutical agent," as used in A.R.S. § 32-1728, means an externally applied prescription or non-prescription substance used to examine and diagnose disease and conditions of the eye and its adnexa.

"Topical therapeutic pharmaceutical agent," as used in A.R.S. § 32-1728, means an externally applied prescription or non-prescription substance used to treat disease of the eye and its adnexa.

"Vision rehabilitation" means an individualized course of treatment and education prescribed to improve conditions of the human eye or adnexa or develop compensatory approaches. Vision rehabilitation is designed to help individuals learn, relearn, or reinforce specific vision skills, including eye movement control, focusing control, eye coordination, and the teamwork of the two eyes. Vision rehabilitation includes, but is not limited to optical, non-optical, electronic, or other assistive treatments.

History

• Former Rule Section 1. Former Section R4-21-01 repealed, new Section R4-21-101 adopted effective February 7, 1986 (Supp. 86-1). Amended effective April 1, 1991 (Supp. 91-2). Amended effective November 5, 1998 (Supp. 98-4). Amended by final rulemaking at 6 A.A.R. 3812, effective September 13, 2000 (Supp. 00-3). Amended by final rulemaking at 11 A.A.R. 1864, effective May 3, 2005 (Supp. 05-2). Amended by final rulemaking at 14 A.A.R. 12, effective February 2, 2008 (Supp. 07-4). Amended by final rulemaking at 22 A.A.R. 328, effective 3/28/2016. Amended by final rulemaking at 25 A.A.R. 431, effective 4/5/2019.

Ariz. Admin. Code § R4-21-102 Fees and Other Charges

A. The Board shall collect the fees established by A.R.S. § 32-1727.

B. Under the authority provided at A.R.S. § 32-1727, the Board establishes and shall collect the following fees:

1. License issuance fee of $450, which is prorated from date of issuance to date of renewal;

2. Biennial license renewal fee of $450; and

3. Late renewal fee of $200.

C. Under the authority provided at A.R.S. § 32-1773(B), the Board establishes and shall collect a fee of $500 for registration or biennial registration renewal as a nonresident dispenser of contact lenses.

D. C. Except as provided in subsection (C)(3), a person requesting a public record shall pay the following for searches and copies of Board records under A.R.S. §§ 39-121.01 or 39-121.03:

1. Noncommercial copy:

a. 5¢ per name and address for directory listings or 15¢ each if printed on labels, and

b. 25¢ per page for other records;

2. Commercial copy:

a. 25¢ per name and address for directory listings or 35¢ each if printed on labels, and

b. 50¢ per page for other records; and

3. The Board waives the charges listed in subsections (C)(1) and (C)(2) for a government agency.

E. D.The Board establishes and shall collect the following charges for the services specified:

1. Written or certified license verification: $10; and

2. Duplicate or replacement renewal receipt: $10.

History

• Former Rule Section 2. Former Section R4-21-02 repealed, new Section R4-21-102 adopted effective February 7, 1986 (Supp. 86-1). Amended effective November 5, 1998 (Supp. 98-4). Section repealed by final rulemaking at 11 A.A.R. 1864, effective May 3, 2005 (Supp. 05-2). Section R4-21-102 renumbered from R4-21-103 and amended by final rulemaking at 14 A.A.R. 12, effective February 2, 2008 (Supp. 07-4). Amended by final rulemaking at 22 A.A.R. 328, effective 3/28/2016.

Ariz. Admin. Code § R4-21-103 Time-frames for Board Action

A. For each type of license, certificate, or approval issued by the Board, the overall time frame described in A.R.S. § 41-1072(2) is listed in Table 1.

B. For each type of license, certificate, or approval issued by the Board, the administrative completeness review time frame described in A.R.S. § 41-1072(1) is listed in Table 1 and begins on the date the Board receives an application package.

If an application package is not administratively complete, the Board shall send a deficiency notice to the applicant that specifies each piece of information or document needed to complete the application package. Within the time provided in Table 1 for response to a deficiency notice, beginning on the postmark date of the deficiency notice, the applicant shall submit to the Board the missing information or document specified in the deficiency notice. The time frame for the Board to finish the administrative completeness review is suspended from the date the Board mails the deficiency notice to the applicant until the date the Board receives the missing information or document.

2. If an application package is administratively complete, the Board shall send a written notice of administrative completeness to the applicant.

3. If an application package is not completed with the time provided to respond to the deficiency notice, the Board shall send a written notice to the applicant informing the applicant that the Board considers the application withdrawn.

C. For each type of license, certificate, or approval issued by the Board, the substantive review time frame described in A.R.S. § 41-1072(3) is listed in Table 1 and begins on the date the Board sends written notice of administrative completeness to the applicant.

1. During the substantive review time frame, the Board may make one comprehensive written request for additional information. Within the time provided in Table 1 for response to a comprehensive written request for additional information, beginning on the postmark date of the comprehensive written request for additional information, the applicant shall submit to the Board the requested additional information. The time frame for the Board to finish the substantive review is suspended from the date the Board mails the comprehensive written request for additional information to the applicant until the Board receives the additional information.

2. If, under A.R.S. § 32-1722(C), the Board determines that a hearing is needed to obtain information on the character of an applicant, the Board shall include a notice of the hearing in its comprehensive written request for additional information.

3. If the applicant fails to provide the additional information within the time provided to respond to a comprehensive written request for additional information, the Board shall send a written notice to the applicant informing the applicant that the Board considers the application withdrawn.

D. An applicant may, pursuant to A.R.S. § 41-1075(B), receive an extension of up to twenty-five percent of the overall time frame to respond under subsection (B)(3) or (C)(3) by sending a request for extension of time to the Board before expiration of the time to respond. The time frame for the Board to act remains suspended during any extension of time. If the applicant fails to provide the requested information during the extension of time, the Board shall send a written notice to the applicant informing the applicant that the Board considers the application withdrawn.

E. Within the overall time frame listed in the Table 1, the Board shall:

1. Deny a license, certificate, or approval to an applicant if the Board determines that the applicant does not meet all of the substantive criteria required by statute and this Chapter; or

2. Grant a license, certificate, or approval to an applicant if the Board determines that the applicant meets all of the substantive criteria required by statute and this Chapter.

F. If the Board denies a license, certificate, or approval under subsection (E)(1), the Board shall provide a written notice of denial to the applicant that explains:

1. The reason for the denial, with citations to supporting statutes or rules;

The applicant's right to seek a fair hearing to appeal the denial;

3. The time for appealing the denial; and

4. The right to request an informal settlement conference.

G. In computing any period prescribed in this Section, the day of the act, event, or default after which the designated period begins to run is not included. The period begins on the date of personal service, date shown as received on a certified mail receipt, or postmark date. The last day of the period is included unless it falls on a Saturday, Sunday, or state holiday in which case, the period ends on the next business day.

History

• Former Section 3. Amended effective December 27, 1979 (Supp. 79-6). Former Section R4-21-03 renumbered without change as Section R4-21-211, former Section R4-21-06 renumbered without change as Section R4-21-103 effective February 7, 1986 (Supp. 86-1). Amended subsection (A) effective June 20, 1989 (Supp. 89-2). Amended effective September 14, 1998 (Supp. 98-3). Amended effective November 5, 1998 (Supp. 98-4). Amended by final rulemaking at 11 A.A.R. 1864, effective May 3, 2005 (Supp. 05-2). Former R4-21-103 renumbered to R4-21-102; new R4-21-103 renumbered from R4-21-203 and amended by final rulemaking at 14 A.A.R. 12, effective February 2, 2008 (Supp. 07-4). Amended by final rulemaking at 22 A.A.R. 328, effective 3/28/2016.

Article 2 LICENSING PROVISIONS

Ariz. Admin. Code § R4-21-201 Licensure by Examination

A. An individual is eligible to apply for licensure by examination if the individual graduated from an accredited optometry program but is not eligible for licensure by endorsement under R4-21-202(A).

B. To apply for licensure by examination, an individual who is eligible under subsection (A) shall submit an application form, which is available from the Board, and provide the following information about the applicant:

1. Full legal name;

2. Other names ever used, if any, and if applicable, a copy of the court document or marriage license resulting in a name change;

Social Security number;

4. Mailing address;

5. E-mail address, if any;

6. Residential, business, and mobile telephone numbers, if applicable;

7. Date and place of birth;

8. Residential addresses for the past five years;

9. Educational background including the name and address of, dates of attendance at, and date of graduation from:

a. An accredited optometry program,

b. A pre-optometric school or undergraduate educational institution, and

c. High school, and

d c. Other post-secondary schools attended, if any;

10. Experience in the practice of the profession of optometry including the business form and location of the practice;

11. Work experience or occupation, other than the practice of the profession of optometry, for the past five years;

12. List of the states in which the applicant is professionally licensed including the name of the state, type of professional license, date issued, and expiration date;

13. List of the states in which the applicant was but no longer is professionally licensed including the name of the state, type of professional license, date issued, and reason the license is no longer valid;

Statement of whether the applicant:

a. Has ever been denied the right to take an examination for optometric licensure by any state or jurisdiction and if so, the name of the state or jurisdiction, date, and reason for the denial;

b. Has ever been denied an optometric license or renewal in any state or jurisdiction and if so, the name of the state or jurisdiction, date, and reason for the denial;

c. Has ever had a license or certificate of registration to practice the profession of optometry suspended or revoked by any optometric licensing agency and if so, the name of the optometric licensing agency, date, reason for the suspension or revocation, and current status;

d. Has ever had an investigation conducted or has an investigation pending by an optometric regulatory agency of any state or jurisdiction and if so, name of the optometric regulatory agency and state or jurisdiction, date, reason for the investigation, and current status;

e. Has ever had a disciplinary action instituted against the applicant by any optometric licensing agency and if so, the name of the optometric licensing agency, date, nature of the disciplinary action, reason for the disciplinary action, and current status;

f. Has ever been convicted of, pled guilty or no contest to, or entered into diversion in lieu of prosecution for any criminal offense in any jurisdiction of the United States or foreign country and if so, name of the jurisdiction, date, offense charged, offense for which convicted, pled guilty, or no contest, and current status;

g. Is currently, or has ever been addicted to narcotic substances or habitually abused alcohol within the last 10 years. If so, dates during which the addiction or abuse occurred, steps taken to address the addiction or abuse, current status, and a statement as to why the addiction or abuse does not amount to unprofessional conduct.

h. Is presently addicted to narcotic substances or habitually abuses alcohol and if so, why the addiction or abuse does not amount to unprofessional conduct; and

15. Dated and sworn signature of the applicant verifying that the information provided is true to the best of the applicant's knowledge, information, and belief.

C. In addition to submitting the application form required under subsection (B), an applicant shall submit or have submitted on the applicant's behalf:

A passport-quality photograph of the applicant's head and shoulders that is taken within six months of the date of application and signed by the applicant in ink across the lower portion of the front side;

2. A full set of readable fingerprints taken by a criminal justice agency for the purpose of obtaining a state and federal criminal records check;

3. To process the fingerprints; a cashier's check or money order payable to the Arizona Department of Public Safety in the amount listed on the application for licensure;

4. The application fee required under A.R.S. § 32-1727;

5. A copy of the scores obtained by the applicant on Parts I, II, and III of the National Board of Examiners in Optometry examination less than ten years before the date of the application;

6. A passing score obtained by the applicant on the jurisprudence examination described at R4-21-203;

7. An official transcript submitted directly to the Board by the educational institution with an accredited optometry program from which the applicant graduated with a degree in optometry;

8. An official transcript submitted directly to the Board by the educational institution at which the applicant took pre-optometry or undergraduate courses;

9. A self-query from the National Practitioner Data Bank-Healthcare Integrity and Protection Data Bank made within three months before the date of application; and

10. A copy of the front and back of a current CPR card issued to the applicant.

History

• Adopted effective February 7, 1986 (Supp. 86-1). Amended effective April 1, 1991 (Supp. 91-2). Amended effective November 5, 1998 (Supp. 98-4). Amended by final rulemaking at 6 A.A.R. 3812, effective September 13, 2000 (Supp. 00-3). Amended by final rulemaking at 11 A.A.R. 1864, effective May 3, 2005 (Supp. 05-2). Amended by final rulemaking at 14 A.A.R. 12, effective February 2, 2008 (Supp. 07-4). Amended by final rulemaking at 16 A.A.R. 2383, effective November 16, 2010 (Supp. 10-4). Amended by final rulemaking at 22 A.A.R. 328, effective 3/28/2016.

Ariz. Admin. Code § R4-21-202 Licensure by Endorsement

A. An individual is eligible to apply for licensure by endorsement if the individual:

1. Graduated from an accredited optometry program;

2. Is licensed to practice the profession of optometry in another state that has licensing requirements that the Board determines meet or exceed Arizona's requirements;

3. Has engaged in the practice of the profession of optometry continuously in the other state or military for at least four of the five years before the date of application; and

4. Has not had a license to practice the profession of optometry suspended or revoked by any licensing jurisdiction for a cause that is a ground for suspension or revocation of a license in Arizona.

B. To apply for licensure by endorsement, an individual who is eligible under subsection (A) shall submit the application form described in R4-21-201(B).

C. In addition to complying with subsection (B), an applicant for licensure by endorsement shall submit or have submitted on the applicant's behalf:

1. The materials required under R4-21-201(C)(1) through (C)(4) and (C)(6) through (C)(10);

2. A state board certification and license verification form, which is submitted directly to the Board from the state that issued the license on which the applicant's endorsement application is based, indicating:

a. Name and title of the individual completing the verification form;

b. Applicant's optometry license number in the state;

c. Date on which the applicant was issued an optometry license by the state;

d. A statement of whether the applicant:

i. Has been licensed in the state for at least four of the last five years;

ii. Is certified to use topical diagnostic, topical therapeutic, or oral pharmaceutical agents and if so, the date on which the certification was obtained;

iii. Is currently in good standing in the state;

iv. Is known to be licensed to practice the profession of optometry in another state and if so, the name of the other state;

v. Has been subject to any disciplinary action and if so, the date, nature of, and reason for the disciplinary action; and

vi. Is subject to any pending investigation or complaint and if so, the nature of the investigation or complaint; and

e. The dated, notarized signature of the individual completing the verification form; and

3. A letter on official letterhead, in substantially the form provided by the Board, from a representative of the accredited optometry program at the educational institution from which the applicant graduated, providing details that demonstrate the applicant's education meets the standards at R4-21-207; and

4. If the applicant does not meet the requirements listed in R4-21-201 or R4-21-202(A)(2), a current certificate issued by the CELMO or its successor organization.

History

• Adopted effective February 7, 1986 (Supp. 86-1). Amended effective April 1, 1991 (Supp. 91-2). Section R4-21-202 repealed; new Section R4-21-202 renumbered from R4-21-204 and amended effective November 5, 1998 (Supp. 98-4). Amended by final rulemaking at 11 A.A.R. 1864, effective May 3, 2005 (Supp. 05-2). Former R4-21-202 renumbered to R4-21-203; new R4-21-202 made by final rulemaking at 14 A.A.R. 12, effective February 2, 2008 (Supp. 07-4). Amended by final rulemaking at 22 A.A.R. 328, effective 3/28/2016.

Ariz. Admin. Code § R4-21-203 Jurisprudence Examination

A. To be licensed, an applicant shall obtain a score of at least 75% on a jurisprudence examination that assesses knowledge of Arizona's statutes and rules relating to the practice of optometry in Arizona.

B. An applicant may take the jurisprudence examination up to six months prior to submitting an application for licensure or after submitting to the Board the application form required under R4-21-201(B) or R4-21-202(B).

C. The jurisprudence exam may be taken in person at the Arizona State Board of Optometry offices, through the National Board of Examiners in Optometry, or at a proctored testing center approved by the Board.

C.D. An applicant who fails the jurisprudence examination may retake the examination one time within. the deficiency time frame of the related application for licensure listed in Table 1.

D.E. The Board shall further consider an applicant who fails the jurisprudence examination a second time only if the applicant:

1. Waits at least six months from the date of the second taking of the jurisprudence examination;

2. Submits a new application form under R4-21-201(B) or R4-21-202(B);

3. Submits a full set of readable fingerprints taken by a criminal justice agency for the purpose of obtaining a state and federal criminal records check; and a cashier's check or money order payable to the Arizona Department of Public Safety in the amount listed on the application for licensure;

Submits a passport-quality photograph of the applicant's head and shoulders that is taken within six months of the date of the new application and signed by the applicant in ink across the lower portion of the front side;

5. Submits a self-query from the National Practitioner Data Bank-Healthcare Integrity and Protection Data Bank made within three months before the date of the new application; and

6. Submits the application fee required under A.R.S. § 32-1727.

History

• Adopted effective February 7, 1986 (Supp. 86-1). Amended effective April 1, 1991 (Supp. 91-2). Section R4-21-203 repealed; new Section R4-21-203 adopted effective November 5, 1998 (Supp. 98-4). Amended by final rulemaking at 6 A.A.R. 3812, effective September 13, 2000 (Supp. 00-3). Amended by final rulemaking at 11 A.A.R. 1864, effective May 3, 2005 (Supp. 05-2). Former R4-21-203 renumbered to R4-21-103; new R4-21-203 renumbered from R4-21-202 and amended by final rulemaking at 14 A.A.R. 12, effective February 2, 2008 (Supp. 07-4). Amended by final rulemaking at 22 A.A.R. 328, effective 3/28/2016.

Ariz. Admin. Code § R4-21-204 License Issuance

A. When the Board determines that an applicant meets all of the substantive criteria required by statute and this Chapter, the Board shall send the applicant a written notice informing the applicant that the Board shall issue the applicant a license when the applicant pays the license issuance fee required under R4-21-102(B).

B. Under A.R.S. § 32-1725, if an applicant fails to pay the license issuance fee within 60 days after receiving notice under subsection (A), the Board considers the application withdrawn. An individual whose application is withdrawn can be further considered for licensing only by complying with R4-21-201 or R4-21-202.

History

• Adopted effective February 7, 1986 (Supp. 86-1). Amended effective April 1, 1991 (Supp. 91-2). Section R4-21-204 renumbered to R4-21-202; new Section R4-21-204 adopted effective November 5, 1998 (Supp. 98-4). Amended by final rulemaking at 6 A.A.R. 3812, effective September 13, 2000 (Supp. 00-3). Amended by final rulemaking at 11 A.A.R. 1864, effective May 3, 2005 (Supp. 05-2). Former R4-21-204 renumbered to R4-21-205; new R4-21-204 made by final rulemaking at 14 A.A.R. 12, effective February 2, 2008 (Supp. 07-4).

Ariz. Admin. Code § R4-21-205 License Renewal

A. To continue practicing the profession of optometry in Arizona, a licensee shall renew the licensee's license and certificate of special qualification, if applicable, on or before the date on which the license and certificate expire. Timely renewal is a licensee's responsibility. As a courtesy, the Board may provide a licensee with notice that the licensee's license is going to expire. Failure to obtain notice of the need to renew is not good cause for failing to renew.

B. To renew a license and, if applicable, certificate of special qualification, a licensee shall submit to the Board a license renewal application and provide the following information:

1. Whether the licensee wants to renew the licensee's license and, if applicable, certificate of special qualification;

2. The licensee's current public mailing address, telephone and fax numbers;

3. The licensee's current residential address, e-mail address, and residential or mobile telephone numbers;

4. The licensee's current permanent and temporary practice addresses and telephone and fax numbers;

5. A statement of whether the licensee:

a. Has practiced the profession of optometry within the last two years;

b. Has been denied the right to take an examination for optometric licensure by any state or jurisdiction within the preceding two years and if so, the name of the state or jurisdiction, date, and reason for the denial;

c. Has been denied an optometric license or renewal in any state or jurisdiction within the preceding two years and if so, the name of the state or jurisdiction, date, and reason for denial;

d. Has had a license or certificate of registration to practice the profession of optometry suspended or revoked by any optometric regulatory agency within the preceding two years and if so, the name of the optometric regulatory agency, date, action taken, reason for the action, and current status;

e. Has had disciplinary action instituted against the licensee by any optometric regulatory agency within the preceding two years and if so, the name of the optometric regulatory agency, date, nature of the disciplinary action, reason for the disciplinary action, and current status;

f. Has had an investigation conducted within the preceding two years or has an investigation pending by an optometric regulatory agency of any state or jurisdiction and if so, name of the optometric regulatory agency and the state or jurisdiction, date, reason for the investigation, and current status;

g. Has been convicted of, pled guilty or no contest to, or entered into diversion in lieu of prosecution for any criminal offense in any jurisdiction of the United States or foreign country within the preceding two years, and if so, the name of the jurisdiction, date, offense charged, offense for which convicted, pled guilty, or no contest, and current status;

h. Is currently, or has been addicted to narcotic substances or habitually abused alcohol within the preceding two years. If so, dates during which the addiction or abuse occurred, steps taken to address the addiction or abuse, current statu, and a statement as to why the addiction or abuse does not amount to unprofessional conduct.

i. Is presently addicted to narcotic substances or habitually abuses alcohol and if so, why the addiction or abuse does not amount to unprofessional conduct;

j.i. Has had the authority to prescribe, dispense, or administer pharmaceutical agents limited, restricted, modified, denied, surrendered, or revoked by a federal or state agency within the preceding two years and if so, name of agency taking action, nature of action taken, date, reason for action, and current status; and

k.j. Is in compliance with the provisions of A.R.S. § 32-3211;

6. The following information about each approved Continuing Education course attended by the licensee during the preceding two years:

a. Name of Continuing Education provider,

b. Title,

c. COPE course identification number, if any

c.d. Date(s) of attendance, and

d.e. Number of hours of attendance; and

7. The licensee's dated signature affirming that the information provided is true and correct.

C. In addition to the license renewal application required under subsection (B), a licensee shall submit to the Board:

1. The license renewal fee listed at R4-21-102(B); and

2. The certificate of special qualification fee required under A.R.S. § 32-1727 if the licensee has a certificate of special qualification; or

3. Written documentation that the licensee is currently certified in CPR if the licensee has a pharmaceutical agent number.

D. A licensee who fails to renew the licensee's license and, if applicable, certificate of special qualification within 30 days after the date of expiration, may apply for late renewal by complying with subsections (B) and (C) within four months after the date of expiration and paying the late renewal fee listed at R4-21-102(B).

E. A licensee who fails to renew timely and fails to comply with subsection (D) shall not engage in the practice of the profession of optometry. The holder of a license that is not renewed within four months after the date of expiration may apply under R4-21-206 for license reinstatement but is not eligible for license renewal.

F. If a licensee timely applies for license renewal or complies with subsection (D), the licensee's license and, if applicable, certificate of special qualification remain in effect until the license renewal is granted or denied.

History

• Adopted effective February 7, 1986 (Supp. 86-1). Amended effective April 1, 1991 (Supp. 91-2). Section R4-21-205 renumbered to R4-21-207; new Section R4-21-205 adopted effective November 5, 1998 (Supp. 98-4). Amended by final rulemaking at 6 A.A.R. 3812, effective September 13, 2000 (Supp. 00-3). Amended by final rulemaking at 11 A.A.R. 1864, effective May 3, 2005 (Supp. 05-2). Former R4-21-205 renumbered to R4-21-207; new R4-21-205 renumbered from R4-21-204 and amended by final rulemaking at 14 A.A.R. 12, effective February 2, 2008 (Supp. 07-4). Amended by final rulemaking at 22 A.A.R. 328, effective 3/28/2016.

Ariz. Admin. Code § R4-21-205.1 Cardiopulmonary Resuscitation ("CPR") Requirements

1. A CPR course shall be as recommended by the American Heart Association, the American Red Cross, or the National Safety Council and shall include an exam of the materials presented in the course;

2. A CPR certification card or other documentation with an expiration date received from the CPR course provider shall be presented to the Board as proof of CPR certification.

3. Failure to maintain current CPR certification shall result in immediate loss of the licensee's Pharmaceutical Agent certification. The Pharmaceutical Agent certification shall not be reinstated until written documentation that the CPR certification deficiency has been met and proof of completion is presented to the Board; and

4. Any licensee whose Pharmaceutical Agent certification is suspended due to expiration of their CPR certification shall not prescribe utilizing the Pharmaceutical Agent certification. Upon submission of proof of current CPR certification to the Board, the Pharmaceutical Agent certification shall be immediately reinstated.

History

• Adopted by final rulemaking at 22 A.A.R. 328, effective 3/28/2016.

Ariz. Admin. Code § R4-21-206 License Reinstatement; Application for Licensure Following License Expiration

A. Reinstatement following license expiration. Under A.R.S. § 32-1726, if an individual holds a license that has been expired at least four months but less than five years, the individual may apply to the Board to have the license and, if applicable, certificate of special qualification reinstated. To have an expired license reinstated, the former licensee shall:

1. Submit the renewal form described in R4-21-205(B);

2. Submit the renewal fee listed in R4-21-102(B) for each biennial period that the license was not renewed;

3. Submit, if applicable, the fee for a certificate of special qualification listed at A.R.S. § 32-1727 for each biennial period that the license was not renewed;

4. Submit the late renewal fee listed in R4-21-102(B) for each biennial period that the license was not renewed;

5. Submit a $50 penalty fee for each year or portion of a year that the license was not renewed; and

6. Submit written documentation that the former licensee is currently certified in cardiopulmonary resuscitation if the former licensee had a pharmaceutical agent number.

B. Reinstatement following license suspension. If an individual holds a license that was suspended by the Board following a disciplinary proceeding and if the individual timely renewed the suspended license under R4-21-205, the individual may apply to the Board to have the license and, if applicable, certificate of special qualification reinstated. To have a suspended license reinstated, the suspended licensee shall submit evidence of completing all terms of suspension imposed by the Board.

C. Application for new license following license expiration. If an individual holds a license that has been expired for five years or more, the individual may apply for a new license:

1. Under R4-21-202 if the individual has continuously practiced the profession of optometry in another state or the military for at least four of the last five years, or

2. Under R4-21-201 if the individual is not qualified to apply for a new license under subsection (C)(1).

History

• Adopted effective November 5, 1998 (Supp. 98-4). Amended by final rulemaking at 6 A.A.R. 3812, effective September 13, 2000 (Supp. 00-3). Amended by final rulemaking at 11 A.A.R. 1864, effective May 3, 2005 (Supp. 05-2). Former R4-21-206 renumbered to R4-21-208; new R4-21-206 made by final rulemaking at 14 A.A.R. 12, effective February 2, 2008 (Supp. 07-4). Amended by final rulemaking at 22 A.A.R. 328, effective 3/28/2016.

Ariz. Admin. Code § R4-21-207 Course of Study Approval

The Board approves a course of study that:

1. Includes didactic and clinical training in:

a. Examining, diagnosing, and treating conditions of the human eye and its adnexa; and

b. Prescribing dispensing, and administering pharmaceutical agents;

2. Includes at least 120 hours of training, at least 12 of which address prescribing, dispensing, and administering oral pharmaceutical agents; and

3. Is provided by an educational institution with an accredited optometry program.

History

• Former Section R4-21-08 renumbered without change as Section R4-21-207 effective February 7, 1986 (Supp. 86-1). Amended effective April 1, 1991 (Supp. 91-2). Section R4-21-207 renumbered to R4-21-208; new Section R4-21-207 renumbered from R4-21-205 and amended effective November 5, 1998 (Supp. 98-4). Amended by final rulemaking at 6 A.A.R. 3812, effective September 13, 2000 (Supp. 00-3). Amended by final rulemaking at 11 A.A.R. 1864, effective May 3, 2005 (Supp. 05-2). Former R4-21-207 renumbered to R4-21-301; new R4-21-207 renumbered from R4-21-205 and amended by final rulemaking at 14 A.A.R. 12, effective February 2, 2008 (Supp. 07-4).

Ariz. Admin. Code § R4-21-208 Certificate of Special Qualification; Pharmaceutical Agent Number

A. The Board shall issue a certificate of special qualification that allows a licensee to prescribe, administer, and dispense topical diagnostic and therapeutic pharmaceutical agents or only topical diagnostic pharmaceutical agents if the licensee:

1. Was licensed by the Board before July 1, 2000;

2. Held a comparable certificate of special qualification issued by the Board before July 1, 2000; and

3. Pays the fee prescribed at A.R.S. § 32-1727.

B. The Board shall issue a certificate of special qualification that indicates a licensee shall not prescribe, administer, or dispense a pharmaceutical agent if the licensee:

1. Was licensed by the Board before July 1, 2000,

2. Did not hold a certificate of special qualification issued by the Board before July 1, 2000, and

3. Pays the fee prescribed at A.R.S. § 32-1727.

C. A licensee who holds a certificate of special qualification issued under subsection (A) or (B) may apply to the Board for a pharmaceutical agent number that indicates the licensee is authorized to prescribe, administer, or dispense topical diagnostic, topical therapeutic, and oral pharmaceutical agents. To apply for a pharmaceutical agent number, a licensee who holds a certificate of special qualification issued under subsection (A) or (B) shall:

1. Submit to the Board an application, using a form that is available from the Board, and provide the following information:

a. Name of licensee;

b. Social Security number;

c. Mailing address;

d. Telephone and fax numbers at the address listed under subsection (C)(1)(c);

e. License number;

f. Number of certificate of special qualification for diagnostic pharmaceutical agents, if any;

g. Number of certificate of special qualification for therapeutic pharmaceutical agents, if any;

h. Residential address;

i. Telephone number at the address listed under subsection (C)(1)(h);

j. Name of the course of study approved under R4-21-207 that the licensee completed and date of completion; and

k. Applicant's dated signature affirming that the information provided is true and correct; and

2. Have a representative of the educational institution at which the licensee completed the approved course of study submit to the Board evidence that the course of study is approved and the licensee completed all course requirements; and

3. Submit written documentation that the licensee is currently certified in CPR.

D. The Board shall issue a pharmaceutical agent number that indicates a licensee is authorized to prescribe, administer, or dispense topical diagnostic, topical therapeutic, and oral pharmaceutical agents if the licensee is initially licensed by the Board under R4-21-201 or R4-21-202 after June 30, 2000.

History

• Adopted effective February 7, 1986 (Supp. 86-1). Amended effective April 1, 1991 (Supp. 91-2). Section R4-21-208 renumbered to R4-21-209; new Section R4-21-208 renumbered from R4-21-207 and amended effective November 5, 1998 (Supp. 98-4). Amended by final rulemaking at 6 A.A.R. 3812, effective September 13, 2000 (Supp. 00-3). Amended by final rulemaking at 11 A.A.R. 1864, effective May 3, 2005 (Supp. 05-2). Former R4-21-208 renumbered to R4-21-209; new R4-21-208 renumbered from R4-21-206 and amended by final rulemaking at 14 A.A.R. 12, effective February 2, 2008 (Supp. 07-4). Amended by final rulemaking at 22 A.A.R. 328, effective 3/28/2016.

Ariz. Admin. Code § R4-21-209 Continuing Education Requirement

A. A licensee shall complete 32 hours of approved Continuing Education during each biennial license renewal period. The licensee shall ensure that in each biennial license renewal period:

1. At least eight hours of the approved Continuing Education is in the area of diagnosis, treatment, and management of disease of the human eye and its adnexa and pharmaceutical use appropriate to the authority held by the licensee;

2. For licensees holding a current DEA Registration, at least three hours of the approved Continuing Education shall be obtained in the area of opioid-related, substance use disorder-related or addiction-related Continuing Education.

2 3. No more than 12 hours of the approved Continuing Education shall be obtained through self-instructed media. All self-instructed media shall be COPE or ACCME approved.

3 4. No more than four hours of the approved Continuing Education are in the area of practice management;

4 5. No more than one hour of approved Continuing Education is claimed for each day of instruction in a course of study approved under R4-21-207 to a maximum of four hours; and

5 6. No more than four hours of approved Continuing Education are claimed for publishing or presenting a paper, report, or book that deals with current developments, skills, procedures, or treatments related to the practice of the profession of optometry.

6 7. No more than one (1) hour of Continuing Education requirements shall be claimed for obtaining CPR certification.

B. If a licensee obtains more than 32 hours of approved Continuing Education during a biennial renewal period, the licensee shall not claim the extra hours of approved Continuing Education during a subsequent biennial renewal period.

C. During the biennial renewal period in which a licensee is first licensed, the licensee shall obtain a prorated number of hours of approved Continuing Education for each month remaining in the biennial renewal period. The hours shall be calculated at four hours per quarter of a year to include the quarter in which the application for licensure is approved by the Board.

D. A licensee shall not claim as approved Continuing Education any educational program or course completed before being licensed in Arizona.

E. A licensee shall obtain a certificate or other evidence of attendance from the provider of each approved Continuing Education attended that includes the following:

1. Name of the licensee,

2. License number of the licensee,

3. Name of the approved Continuing Education,

4. Name of the Continuing Education provider,

Date, time, and location of the approved Continuing Education, and

6. Number of hours of approved Continuing Education and number of hours relating to practice management.

F. For the purpose of license renewal, Continuing Education shall be verified through the ARBO OE Tracker or other comparable program, using the licensee's individual Continuing Education report.

G. A licensee shall maintain the report or other evidence of attendance described in subsection (E) for at least two years from the date of attendance.

H. A licensee shall submit to the Board a copy of the report obtained during a biennial renewal period as proof of attendance at Continuing Education courses.

History

• Adopted effective February 7, 1986 (Supp. 86-1). Section R4-21-209 renumbered to R4-21-307 effective April 1, 1991 (Supp. 91-2). New Section R4-21-209 renumbered from R4-21-208 and amended effective November 5, 1998 (Supp. 98-4). Amended by final rulemaking at 11 A.A.R. 1864, effective May 3, 2005 (Supp. 05-2). Former R4-21-209 renumbered to R4-21-212; new R4-21-209 renumbered from R4-21-208 and amended by final rulemaking at 14 A.A.R. 12, effective February 2, 2008 (Supp. 07-4). Amended by final rulemaking at 22 A.A.R. 328, effective 3/28/2016. Amended by final rulemaking at 25 A.A.R. 431, effective 4/5/2019.

Ariz. Admin. Code § R4-21-210 Approval of Continuing Education

A. The Board approves the following as Continuing Education:

1. An internship, residency, or fellowship attended at an educational institution with an accredited optometry program; and

2. An educational program designed to provide understanding of current developments, procedures, or treatments, or improve skills related to the practice of the profession of optometry and:

a. Provided by an educational institution with an accredited optometry program; or

b. Sponsored or approved by the Association of Schools and Colleges of Optometry, The Council on Optometric Practitioner Education, Accreditation Council for Continuing Medical Education or a local, regional, or national optometric association.

3. Any opioid-related course that is approved by the Arizona State Board of Optometry, Arizona State Board of Pharmacy, Arizona Board of Osteopathic Examiners, Arizona Medical Board or the Arizona State Board of Nursing.

B. To obtain approval of a Continuing Education that is not approved under subsection (A), the provider of the Continuing Education or a licensee shall, before providing or participating in the Continuing Education:

1. Submit an application for approval, using a form that is available from the Board, and provide the following information:

a. Name of applicant,

b. Address and telephone number of applicant,

c. Provider of the Continuing Education,

d. Name and telephone number of a contact person with the Continuing Education provider,

e. Name of the Continuing Education,

f. Date and location of the Continuing Education,

g. Manner in which potential participants will be notified that the Continuing Education is available,

h. Number of hours of the Continuing Education and the number of hours that relate to practice management,

i. Name of instructor of the Continuing Education, and

j. Dated signature of the applicant;

2. Submit a curriculum vitae for the instructor of the Continuing Education; and

3. Submit a syllabus of the Continuing Education that identifies learning objectives, teaching methods, and content.

C. The provider of an approved Continuing Education shall provide each participant with a certificate or other evidence of attendance that meets the standards at R4-21-209(E).

D. The Board shall approve a Continuing Education if the application required under subsection (B) is submitted and the Board determines that the Continuing Education is designed to provide understanding of current developments, procedures, or treatments, or improve skills related to the practice of the profession of optometry.

History

• Former Section R4-21-02 renumbered without change as Section R4-21-210 effective February 7, 1986 (Supp. 86-1). Repealed effective April 1, 1991 (Supp. 91-2). New Section adopted by final rulemaking at 6 A.A.R. 3812, effective September 13, 2000 (Supp. 00-3). Repealed by final rulemaking at 11 A.A.R. 1864, effective May 3, 2005 (Supp. 05-2). New Section made by final rulemaking at 14 A.A.R. 12, effective February 2, 2008 (Supp. 07-4). Amended by final rulemaking at 22 A.A.R. 328, effective 3/28/2016. Amended by final rulemaking at 25 A.A.R. 431, effective 4/5/2019.

Ariz. Admin. Code § R4-21-211 Audit of Compliance with Continuing Education Requirement

A. At the time of license renewal, the Board shall audit Continuing Education hours to determine compliance with R4-21-209.

B. To perform an audit, the Board shall use the information entered into the ARBO OE Tracker software or other comparable Board approved program to perform its audit. The Board shall consider a licensee's Continuing Education requirement met if the licensee has recorded the required number of Continuing Education credits into the OE tracker.

C. At the time of license renewal, each licensee shall certify to the Board, through a Continuing Education report, completion of the Continuing Education required for license renewal. In the event that Continuing Education credits are not able to be recorded in the report, a licensee may submit to the Board certificates of attendance for those hours only to meet the Continuing Education requirement. A licensee may not renew the license until required Continuing Education hours are submitted.

History

• Former Section R4-21-03 renumbered without change as Section R4-21-211 effective February 7, 1986 (Supp. 86-1). Repealed effective April 1, 1991 (Supp. 91-2). New Section made by final rulemaking at 14 A.A.R. 12, effective February 2, 2008 (Supp. 07-4). Amended by final rulemaking at 22 A.A.R. 328, effective 3/28/2016. Amended by final rulemaking at 25 A.A.R. 431, effective 4/5/2019.

Ariz. Admin. Code § R4-21-212 Waiver of or Extension of Time to Complete Continuing Education Requirement

A. To obtain a waiver of some or all of the hours of approved continuing education required during a biennial renewal period, a licensee shall submit a written request to the Board that:

1. Specifies the number of hours of approved continuing education that the licensee requests the Board to waive, and

2. Documents that the licensee suffered a serious or disabling illness or other good cause that prevented the licensee from complying with the continuing education requirement.

B. The Board shall grant a waiver within seven days after receiving the request if the Board determines that the licensee demonstrated good cause.

C. To obtain an extension of time to complete the continuing education requirement, a licensee shall submit to the Board a written request that includes the following:

1. Ending date of the requested extension,

2. Continuing education completed during the biennial renewal period and the documentation required under R4-21-209(E),

3. Proof of registration for additional approved continuing education that is sufficient to enable the licensee to fulfill the continuing education requirement before the end of the requested extension, and

4. Licensee's attestation that the continuing education obtained under the extension will be reported only to fulfill the current renewal requirement and will not be reported on a subsequent license renewal application.

D. The Board shall grant an extension of time within seven days after receiving a request for an extension of time if the request:

1. Specifies an ending date no later than four months after the date of license expiration, and

2. Includes the required documentation and attestation.

History

• Former Section R4-21-04 renumbered without change as Section R4-21-212 effective February 7, 1986 (Supp. 86-1). Repealed effective April 1, 1991 (Supp. 91-2). New R4-21-212 renumbered from R4-21-209 and amended by final rulemaking at 14 A.A.R. 12, effective February 2, 2008 (Supp. 07-4).

Ariz. Admin. Code § R4-21-213 [Repealed]

History

• New Section made by final rulemaking at 14 A.A.R. 12, effective February 2, 2008 (Supp. 07-4). Repealed by final rulemaking at 22 A.A.R. 328, effective 3/28/2016.

Article 3 STANDARDS; RECORDKEEPING; REHEARING OR REVIEW OF BOARD DECISION

Ariz. Admin. Code § R4-21-301 Display of License; Surrender of License

A. License display. A licensee shall display the Board-issued license at each location at which the licensee practices the profession of optometry and in a manner that makes the license visible to the public.

B. License surrender. Upon order by the Board, a licensee shall surrender to the Board all copies of the license and, if applicable, certificate of special qualification issued to the licensee.

History

• Adopted effective April 1, 1991 (Supp. 91-2). Amended effective November 5, 1998 (Supp. 98-4). Amended by final rulemaking at 11 A.A.R. 1864, effective May 3, 2005 (Supp. 05-2). Section repealed; new R4-21-301 renumbered from R4-21-207 and amended by final rulemaking at 14 A.A.R. 12, effective February 2, 2008 (Supp. 07-4).

Ariz. Admin. Code § R4-21-302 Advertising

A. A licensee shall not knowingly make, publish, or use an advertisement that contains a false, fraudulent, deceptive, or misleading representation.

B. A licensee may advertise that the licensee has a practice limited in some way if the licensee does not use the term "specialist" or any derivative of the term "specialist."

C. A licensee shall ensure that the content of an advertisement or directory that includes the name and address of the licensee is accurate.

D. An advertisement for health care services that includes a licensee's name shall identify the title and type of license the licensee holds.

History

• Adopted effective April 1, 1991 (Supp. 91-2). Amended effective November 5, 1998 (Supp. 98-4). Amended by final rulemaking at 11 A.A.R. 1864, effective May 3, 2005 (Supp. 05-2). Amended by final rulemaking at 14 A.A.R. 12, effective February 2, 2008 (Supp. 07-4). Amended by final rulemaking at 22 A.A.R. 328, effective 3/28/2016.

Ariz. Admin. Code § R4-21-303 Affirmative Disclosures Required

A. A licensee shall ensure that an advertisement for or by the licensee clearly indicates within the advertisement:

1. Whether spectacle lenses or contact lenses advertised are single vision, multi-focal, or other;

2. Whether the price advertised for spectacles includes both the frame and lenses;

3. Whether the price advertised includes an eye examination;

4. Whether the price advertised for contact lenses includes all dispensing fees, follow-up care, and a contact lens accessory kit and if an accessory kit is included, the specific features of the kit;

Whether restrictions are imposed upon delivery, if delivery time is advertised;

6. The refund policy if refunds are advertised; and

7. A statement that other restrictions apply if there are other restrictions.

B. A licensee shall inform a patient of all professional fees before providing treatment.

C. A licensee who refers a patient to a facility in which the licensee or a member of the licensee's family has an ownership or employment interest shall advise the patient of the interest at the time of referral.

D. A licensee who charges a patient a fee for a warranty or a service or ophthalmic-goods-replacement agreement, shall:

1. Give the patient a written copy of the warranty or service or ophthalmic-goods-replacement agreement;

2. Ensure that the warranty or service or ophthalmic-goods-replacement agreement explains the coverage included and any limitation;

3. Document compliance with subsection (D)(1) by making a written entry on the patient's record; and

4. Place a copy of the warranty or service or ophthalmic-goods-replacement agreement, signed by the patient, in the patient's record.

History

• Adopted effective April 1, 1991 (Supp. 91-2). Amended effective November 5, 1998 (Supp. 98-4). Amended by final rulemaking at 11 A.A.R. 1864, effective May 3, 2005 (Supp. 05-2). Amended by final rulemaking at 14 A.A.R. 12, effective February 2, 2008 (Supp. 07-4).

Ariz. Admin. Code § R4-21-304 Vision Examination Standards

A licensee shall conduct an eye examination in accordance with the standards of care prevalent in the community and consistent with current industry practice.

History

• Adopted effective April 1, 1991 (Supp. 91-2). Amended effective November 5, 1998 (Supp. 98-4). Amended by final rulemaking at 6 A.A.R. 3812, effective September 13, 2000 (Supp. 00-3). Amended by final rulemaking at 11 A.A.R. 1864, effective May 3, 2005 (Supp. 05-2). Former R4-21-304 renumbered to R4-21-305; new R4-21-304 made by final rulemaking at 14 A.A.R. 12, effective February 2, 2008 (Supp. 07-4).

Ariz. Admin. Code § R4-21-305 Recordkeeping

A. A licensee shall create and maintain a complete and legible record of each examination including all findings. A licensee shall ensure that a patient record is maintained for at least six years after the licensee's last contact with the patient and includes:

1. Patient's name and contact information;

2. Date on which an entry is made in the patient's record;

3. Identification of the person making the entry in the patient's record;

Complete health history;

5. Visual acuity of each eye: entering and best corrected;

6. Ocular health examination;

7. Assessment of intraocular and extra-ocular muscle function;

8. Objective or subjective refraction of the eyes;

9. Diagnosis, treatment, and disposition;

10. Type and dosage of each use of a pharmaceutical agent;

11. Final optometric prescription given, if any;

12. Corrective procedure program prescribed, if any; and

Signature of licensee providing diagnosis, treatment, and disposition.

B. A licensee may create and maintain any record required under A.R.S. Title 32, Chapter 16 or this Chapter in electronic format. A licensee may convert any record maintained under A.R.S. Title 32, Chapter 16 or this Chapter to electronic format. A licensee who converts a record to electronic format shall ensure that the record contains all the information required under A.R.S. Title 32, Chapter 16 and this Chapter.

C. A licensee who discontinues practice for any reason shall arrange for a patient's record to be available to the patient for six years from the date the licensee discontinues practice. Before discontinuing practice, a licensee shall notify the Board of the location at which patient records from the practice will be maintained.

D. A licensee who acquires the patient records of a licensee who discontinued practice, either with or without succeeding to the practice of the other licensee, shall ensure that the records are available to the patients for six years after the licensee from whom the records were acquired discontinued practice.

E. A licensee shall provide a tangible or electronic copy of a patient's record within five business days after receiving a written request from the patient. The licensee shall provide the copy to any person designated by the patient. The licensee may charge a fee to cover the costs of providing the copy. The licensee shall maintain a record of providing the copy for six years.

F. Regardless of the form in which a licensee creates and maintains patient records, the licensee shall comply with all laws regarding security, confidentiality, maintenance and release of the records.

History

• Adopted effective April 1, 1991 (Supp. 91-2). Amended effective November 5, 1998 (Supp. 98-4). Amended by final rulemaking at 11 A.A.R. 1864, effective May 3, 2005 (Supp. 05-2). Former R4-21-305 renumbered to R4-21-306; new R4-21-305 renumbered from R4-21-304 and amended by final rulemaking at 14 A.A.R. 12, effective February 2, 2008 (Supp. 07-4). Amended by final rulemaking at 22 A.A.R. 328, effective 3/28/2016.

Ariz. Admin. Code § R4-21-306 Optometric Prescription Standards; Release to Patients

A. When a licensee completes an eye examination and generates an optometric prescription, the licensee shall provide the patient with a copy of the optometric prescription without charging a fee other than the examination fee.

B. A licensee shall ensure that an optometric prescription written by the licensee includes:

1. For ophthalmic lenses other than contact lenses:

a. Name of the patient;

b. Refractive power of the lenses;

c. Interpupillary distance;

d.c. Printed name, office address, telephone number, and signature of the licensee; and

e.d. Date of the examination and expiration date of the prescription;

2. For contact lenses, including plano lenses:

a. Name of the patient;

b. For a patient who has not completed a trial period appropriate under the circumstances and desires to have a prescription, the information required for the patient to purchase trial lenses at another optical establishment or location;

c. For a patient who has completed a trial period appropriate under the circumstances for the lenses prescribed, all information necessary to reproduce the contact lenses accurately;

d. Printed name, office address, telephone number, license number, and signature of the licensee;

e. Date of the examination and the issue and expiration date of the prescription; and

f. Information regarding the prescribed contact lenses:

i. Refractive power;

ii. Base curve or other appropriate designation;

iii. Diameter, if appropriate;

iv. Tint, if applicable;

v. Material, manufacturer, or both; and

vi. In the case of private-label contact lenses, manufacturer, trade name, and, if applicable, trade name of equivalent brand name; and

3. For pharmaceutical agents:

a. Name and address of the patient;

b. Date the prescription is issued;

c. Name, strength, and quantity of the pharmaceutical agent prescribed;

d. Directions for use of the pharmaceutical agent prescribed;

e. Name, office address, and telephone number of the prescribing licensee;

f. When prescribing controlled substances, the DEA number of the prescribing licensee;

g. Two adjacent signature lines with the following printed words:

i. "Dispense as written" under the left signature line, and

ii. "Substitution permissible" under the right signature line; and

h. Original signature of the prescribing licensee on one of the signature lines; and

4. Additional information that the licensee considers necessary.

C. A licensee who dispenses or directs the dispensing of ophthalmic materials shall ensure that a prescription is filled accurately.

D. A licensee shall be available to verify that a prescription written by the licensee but filled by another provider of ophthalmic goods is accurately filled. The licensee may charge a fee for verifying the accuracy or quality of ophthalmic goods dispensed by another provider.

E. A licensee shall not:

1. Require purchase of contact lenses from the prescriber or from another person as a condition of providing a copy of the prescription;

2. Require a payment in addition to, or as part of, the fee for an eye examination, fitting, and evaluation as a condition of providing a copy of a prescription or verification of a prescription;

3. Require the patient to sign a waiver or release as a condition of verifying or releasing a prescription.

History

• Adopted effective February 7, 1986 (Supp. 86-1). Amended effective April 1, 1991 (Supp. 91-2). Section R4-21-306 renumbered to R4-21-307; new Section R4-21-306 adopted effective November 5, 1998 (Supp. 98-4). Amended by final rulemaking at 11 A.A.R. 1864, effective May 3, 2005 (Supp. 05-2). Former R4-21-306 renumbered to R4-21-307; new R4-21-306 renumbered from R4-21-305 and amended by final rulemaking at 14 A.A.R. 12, effective February 2, 2008 (Supp. 07-4). Amended by final rulemaking at 22 A.A.R. 328, effective 3/28/2016.

Ariz. Admin. Code § R4-21-307 Vision Rehabilitation

A. A licensee may use any objective or subjective method other than surgery to diagnose or treat any visual, muscular, neurological, or anatomical anomaly of the eye.

B. A licensee may use any instrument or device to train the visual system or correct any abnormal condition of the eye.

History

• Adopted effective February 7, 1986 (Supp. 86-1). Section R4-21-307 renumbered from R4-21-209 effective April 1, 1991 (Supp. 91-2). Section R4-21-307 renumbered to R4-21-308; new Section R4-21-307 renumbered from R4-21-306 and amended effective November 5, 1998 (Supp. 98-4). Repealed by final rulemaking at 11 A.A.R. 1864, effective May 3, 2005 (Supp. 05-2). New R4-21-307 renumbered from R4-21-306 and amended by final rulemaking at 14 A.A.R. 12, effective February 2, 2008 (Supp. 07-4).

Ariz. Admin. Code § R4-21-308 Anaphylactic-related Supplies

A. If a patient to whom a licensee administers a pharmaceutical agent experiences an anaphylactic reaction, the licensee may, as provided by A.R.S. § 32-1706(F), use injectable epinephrine to counteract the anaphylactic reaction.

B. A licensee who maintains injectable epinephrine at the licensee's practice location shall also maintain the following medically necessary supportive equipment and supplies:

1. Diphenhydramine in injectable, capsule or tablet, and syrup forms;

Syringes for injecting diphenhydramine;

3. Wristwatch with a second hand;

4. Sphygmomanometer with both adult and extra-large cuffs;

Stethoscope;

6. Adult-size pocket mask with one-way valve;

7. Tongue depressors; and

Telephone.

History

• Section R4-21-308 renumbered from R4-21-307 and amended effective November 5, 1998 (Supp. 98-4). Amended by final rulemaking at 11 A.A.R. 1864, effective May 3, 2005 (Supp. 05-2). Former R4-21-308 renumbered to R4-21-309; new R4-21-308 made by final rulemaking at 14 A.A.R. 12, effective February 2, 2008 (Supp. 07-4). Amended by final rulemaking at 22 A.A.R. 328, effective 3/28/2016.

Ariz. Admin. Code § R4-21-309 Rehearing or Review of Board Decision

A. The Board shall provide for a rehearing and review of its decisions under A.R.S. Title 41, Chapter 6, Article 10 and the rules established by the Office of Administrative Hearings.

B. Except as provided in subsection (H), a party is required to file a motion for rehearing or review of a decision of the Board to exhaust the party's administrative remedies.

C. A party may amend a motion for rehearing or review at any time before the Board rules on the motion.

D. The Board may grant a rehearing or review for any of the following reasons materially affecting a party's rights:

1. Irregularity in the proceedings of the Board or any order or abuse of discretion that deprived the moving party of a fair hearing;

2. Misconduct of the Board, its staff, or the administrative law judge;

3. Accident or surprise that could not have been prevented by ordinary prudence;

4. Newly discovered material evidence that could not, with reasonable diligence, have been discovered and produced at the hearing;

5. Excessive or insufficient penalties;

6. Error in the admission or rejection of evidence or other errors of law occurring at the hearing or in the course of the proceedings; and

7. The findings of fact or decision is not justified by the evidence or is contrary to law.

E. The Board may affirm or modify a decision or grant a rehearing or review to all or some of the parties on all or some of the issues for any of the reasons listed in subsection (D). An order modifying a decision or granting a rehearing or review shall specify with particularity the grounds for the order. If a rehearing or review is granted, the rehearing or review shall cover only the matters specified in the order.

F. Not later than 30 days after the date of a decision and after giving the parties notice and an opportunity to be heard, the Board may, on its own initiative, order a rehearing or review of its decision for any reason it might have granted a rehearing or review on motion of a party. The Board may grant a motion for rehearing or review, timely served, for a reason not stated in the motion. An order granting a rehearing or review shall specify with particularity the grounds on which the rehearing or review is granted.

G. When a motion for rehearing is based upon affidavits, they shall be served with the motion. An opposing party may, within 15 days after service, serve opposing affidavits. This period may be extended by the Board for a maximum of 20 days for good cause or by written stipulation of the parties. Reply affidavits may be permitted.

H. If, in a particular decision, the Board makes a specific finding that the immediate effectiveness of the decision is necessary for preservation of the public peace, health, or safety and that a rehearing or review of the decision is impracticable, unnecessary, or contrary to the public interest, the Board may issue the decision as a final decision without opportunity for a rehearing or review.

History

• Section R4-21-309 renumbered from R4-21-308 and amended by final rulemaking at 14 A.A.R. 12, effective February 2, 2008 (Supp. 07-4). Amended by final rulemaking at 22 A.A.R. 328, effective 3/28/2016.

Article 4 REPEALED

Ariz. Admin. Code § R4-21-401 Repealed

History

• Adopted effective November 5, 1998 (Supp. 98-4). Repealed by final rulemaking at 11 A.A.R. 1864, effective May 3, 2005 (Supp. 05-2).

Ariz. Admin. Code § R4-21-402 Repealed

History

• Adopted effective November 5, 1998 (Supp. 98-4). Repealed by final rulemaking at 11 A.A.R. 1864, effective May 3, 2005 (Supp. 05-2).

Ariz. Admin. Code § R4-21-403 Repealed

History

• Adopted effective November 5, 1998 (Supp. 98-4). Repealed by final rulemaking at 11 A.A.R. 1864, effective May 3, 2005 (Supp. 05-2).

Ariz. Admin. Code § R4-21-404 Repealed

History

• Adopted effective November 5, 1998 (Supp. 98-4). Repealed by final rulemaking at 11 A.A.R. 1864, effective May 3, 2005 (Supp. 05-2).

Ariz. Admin. Code § R4-21-405 Repealed

History

• Adopted effective November 5, 1998 (Supp. 98-4). Repealed by final rulemaking at 11 A.A.R. 1864, effective May 3, 2005 (Supp. 05-2).

Ariz. Admin. Code § R4-21-406 Repealed

History

• Adopted effective November 5, 1998 (Supp. 98-4). Repealed by final rulemaking at 11 A.A.R. 1864, effective May 3, 2005 (Supp. 05-2).

Article 5 REPEALED

Ariz. Admin. Code § R4-21-501 Repealed

History

• New Section made by final rulemaking at 11 A.A.R. 1864, effective May 3, 2005 (Supp. 05-2). Section repealed by final rulemaking at 14 A.A.R. 12, effective February 2, 2008 (Supp. 07-4).

Ariz. Admin. Code § R4-21-502 Repealed

History

• New Section made by final rulemaking at 11 A.A.R. 1864, effective May 3, 2005 (Supp. 05-2). Section repealed by final rulemaking at 14 A.A.R. 12, effective February 2, 2008 (Supp. 07-4).

Ariz. Admin. Code § R4-21-503 Repealed

History

• New Section made by final rulemaking at 11 A.A.R. 1864, effective May 3, 2005 (Supp. 05-2). Section repealed by final rulemaking at 14 A.A.R. 12, effective February 2, 2008 (Supp. 07-4).

Ariz. Admin. Code § R4-21-504 Repealed

History

• New Section made by final rulemaking at 11 A.A.R. 1864, effective May 3, 2005 (Supp. 05-2). Section repealed by final rulemaking at 14 A.A.R. 12, effective February 2, 2008 (Supp. 07-4).

Chapter 22 BOARD OF OSTEOPATHIC EXAMINERS IN MEDICINE AND SURGERY

Article 1 GENERAL PROVISIONS

Ariz. Admin. Code § R4-22-101 Definitions

In addition to the definitions in A.R.S. § 32-1800, in this Chapter:

"ABHES" means Accrediting Bureau of Health Education Schools.

"ABMS" means American Board of Medical Specialties.

"ACCME" means the Accreditation Council for Continuing Medical Education.

"ACGME" means the Accreditation Council on Graduate Medical Education.

"AOA" means the American Osteopathic Association.

"AOIA" means the American Osteopathic Information Association.

"Approved internship," "approved preceptorship," and "approved residency" mean training accredited by the AOA or ACGME.

"CAAHEP" means Commission on Accreditation of Allied Health Education Programs.

"CME" means continuing medical education.

"COMLEX" means Comprehensive Osteopathic Medical Licensing Examination.

"Continuing medical education" means a course, program, or other training that the Board approves for license renewal.

"Controlled substance" means a drug, substance, or immediate precursor, identified, defined, or listed in A.R.S. Title 36, Chapter 27, Article 2.

"FCVS" means Federal Credentials Verification Service.

"Licensee" means an individual who holds a current license issued under A.R.S. Title 32, Chapter 17.

"MAP" means Monitored Aftercare Program.

"NBME" means the National Board of Medical Examiners.

"NBOME" means the National Board of Osteopathic Medical Examiners.

Post-graduate training program" means an approved internship or residency.

"USMLE" means United States Medical Licensing Examination.

History

• Former Rule 1. Former Section R4-22-01 repealed, new Section R4-22-101 adopted effective June 29, 1987 (Supp. 87-2). Former Section R4-22-101 renumbered to R4-22-109, new Section R4-22-101 adopted effective May 3, 1993 (Supp. 93-2). Section expired under A.R.S. § 41-1056(E) at 11 A.A.R. 583, effective November 30, 2004 (Supp. 05-1). New Section made by final rulemaking at 12 A.A.R. 2765, effective September 9, 2006 (Supp. 06-3). Amended by final rulemaking at 20 A.A.R. 2654, effective 11/8/2014.

Ariz. Admin. Code § R4-22-102 Fees and Charges

A. Under the specific authority provided by A.R.S. §§ 32-1826(A) and 32-1871(A)(5), the Board establishes and shall collect the following fees for the Board's licensing activities:

1. Application for license to practice osteopathic medicine, $400;

2. Application for a temporary license to practice osteopathic medicine, $250;

3. Issuance of initial license, $180 (prorated);

4. Biennial renewal of license, $636 plus the penalty and reimbursement fees specified in A.R.S. § 32-1826(B), if applicable;

5. Locum tenens registration, $300;

6. Annual registration of an approved internship, residency, or clinical fellowship program or short-term residency program, $50;

7. Teaching license, $318;

8. Five-day educational teaching permit, $106; and

9. Annual registration to dispense drugs and devices, $240 (initial registration fee is prorated).

B. Under the specific authority provided by A.R.S. § 36-3606(A)(3), the Board establishes and shall collect Annual Registration as an out-of-state health care provider of telehealth services, $300.

B.C. Under the specific authority provided by A.R.S. § 32-1826(C), the Board establishes and shall collect the following charges for services provided by the Board:

1. Verifying a license to practice osteopathic medicine issued by the Board and copy of licensee's complaint history, $10;

2. Issuing a duplicate license, $10;

Processing fingerprints for a state and federal criminal records check, $50;

4. Providing a list of physicians licensed by the Board, $25.00 if for non-commercial use or $100 if for commercial use;

5. Copying records, documents, letters, minutes, applications, and files, 25¢ per page;

6. Copying an audio tape, $35.00; and

7. Providing information in a digital medium not requiring programming, $100.

C.D. Except as provided under A.R.S. § 41-1077, the fees listed in subsections (A) and (B) are not refundable.

History

• Adopted effective January 24, 1984 (Supp. 84-1). Section R4-22-02 repealed effective June 29, 1987 (Supp. 87-2). New Section R4-22-102 adopted effective August 7, 1992 (Supp. 92-3). Amended by final rulemaking at 20 A.A.R. 2654, effective 11/8/2014. Amended by final rulemaking at 25 A.A.R. 1793, effective 8/31/2019. Amended by final exempt rulemaking at 27 A.A.R. 660, effective 3/1/2022.

Ariz. Admin. Code § R4-22-103 Submitting Documents to the Board

An individual who wants the Board to consider a document at a meeting or hearing shall submit the document to the Board at least 15 days before the meeting or hearing or at another time as directed by the Board.

History

• Former Section R4-22-04 repealed, new Section R4-22-103 adopted effective June 29, 1987 (Supp. 87-2). Amended by final rulemaking at 10 A.A.R. 2793, effective August 7, 2004 (Supp. 04-2). New Section made by final rulemaking at 20 A.A.R. 2654, effective 11/8/2014.

Ariz. Admin. Code § R4-22-104 Licensing Time frames

A. The overall time frame described in A.R.S. § 41-1072(2) for each type of license issued by the Board is listed in Table 1. An applicant and the Executive Director of the Board may agree in writing to extend the substantive review and overall time frames by no more than 25 percent of the overall time frame listed in Table 1.

B. The administrative completeness review time frame described in A.R.S. § 41-1072(1) for each type of license issued by the Board is listed in Table 1. The administrative completeness review time frame for a particular license begins on the date the Board receives an application package for that license.

1. If the application package is incomplete, the Board shall send to the applicant a written notice specifying the missing document or incomplete information. The administrative completeness review and overall time frames are suspended from the postmark date on the notice until the date the Board receives the missing document or incomplete information.

2. If the application package is complete, the Board shall send to the applicant a written notice of administrative completeness.

3. If the Board grants or denies a license during the administrative completeness review time frame, the Board shall not issue a separate written notice of administrative completeness.

C. The substantive review time frame described in A.R.S. § 41-1072(3) for each type of license issued by the Board is listed in Table 1. The substantive review time frame begins on the postmark date of the Board's notice of administrative completeness.

1. During the substantive review time frame, the Board may make one comprehensive written request for additional information or documentation. The substantive review and overall time frames are suspended from the postmark date on the comprehensive written request for additional information or documentation until the Board receives the additional information or documentation. The Board and applicant may agree in writing to allow the Board to submit supplemental requests for additional information.

2. The Board shall send a written notice of approval to an applicant who meets the requirements of A.R.S. Title 32, Chapter 17 and this Chapter.

3. The Board shall send a written notice of denial to an applicant who fails to meet the requirements of A.R.S. Title 32, Chapter 17 or this Chapter.

D. The Board shall administratively close an applicant's file if the applicant fails to submit the information or documentation required under subsection (B)(1) or (C)(1) within 360 days from the date on which the application package was originally submitted. If an individual whose file is administratively closed wishes to be licensed, the individual shall file another application package and pay the application fee.

E. The Board shall grant or deny the following licenses within seven days after receipt of an application:

1. Ninety-day extension of locum tenens registration ,

2. Waiver of continuing education requirements for a particular period ,

3. Extension of time to complete continuing education requirements ,

Five-day educational training permit ,

5. Extension of one-year renewable training permit, and

6. Renewal of retired status.

F. In computing any time frame prescribed in this Section, the day of the act or event that begins the time frame is not included. The computation includes intermediate Saturdays, Sundays, and official state holidays. If the last day of a time frame falls on a Saturday, Sunday, or official state holiday, the next business day is the time frame's last day.

History

• Former Rule 4. Amended effective May 2, 1978 (Supp. 78-3). Former Section R4-22-05 repealed, new Section R4-22-104 adopted effective June 29, 1987 (Supp. 87-2). Amended by final rulemaking at 20 A.A.R. 2655, effective 11/8/2014. Amended by final rulemaking at 23 A.A.R. 763, effective 5/12/2017.

Ariz. Admin. Code § R4-22-105 Equivalents to an Approved Internship or Residency

For purposes of A.R.S. § 32-1822, the equivalent of an approved internship or approved residency is any of the following:

1. One or more years of a fellowship training program approved by the AOA or the ACGME; or

2. A current certification by the AOA in an osteopathic medical specialty

3. For those who were awarded a Doctor of Osteopathy degree in 1946 or earlier, a minimum of 10 years of continuous active practice of osteopathic medicine and surgery immediately before applying for licensure.

History

• Former Rule 8. Amended by adding subsection (D) effective January 24, 1984 (Supp. 84-1). Former Section R4-22-08 amended and renumbered as Section R4-22-105 effective June 29, 1987 (Supp. 87-2). Section repealed by final rulemaking at 10 A.A.R. 2793, effective August 7, 2004 (Supp. 04-2). Amended by final rulemaking at 20 A.A.R. 2655, effective 11/8/2014.

Ariz. Admin. Code § R4-22-106 Specialist Designation

A. The Board approves specialty boards recognized by the:

1. American Osteopathic Association Bureau of Osteopathic Specialists and listed in the Handbook of the Bureau of Osteopathic Specialists (BOS), revised March 2013, available from the AOA at 142 E. Ontario Street, Chicago, IL 60611, 800-621-1773, or www.osteopathic.org; and

2. American Board of Medical Specialties (ABMS) and listed in the ABMS Guide to Medical Specialties, 2013, available from the ABMS at 222 N. LaSalle Street, Suite 1500, Chicago, IL 60601, 312-436-2600, or www.abms.org.

B. The Board incorporates the materials listed in subsection (A) by reference. The materials include no future editions or amendments. The Board shall make the materials available at the Board office and on its web site.

History

• Adopted effective May 8, 1978 (Supp. 78-3). Former Section R4-22-11 amended and renumbered as Section R4-22-106 effective June 29, 1987 (Supp. 87-2). Amended by final rulemaking at 10 A.A.R. 2793, effective August 7, 2004 (Supp. 04-2). Amended by final rulemaking at 20 A.A.R. 2655, effective 11/8/2014.

Ariz. Admin. Code § R4-22-107 Petition for Rulemaking or Review

A. A person may petition the Board under A.R.S. § 41-1033 for either a:

1. Rulemaking action relating to a Board rule, including making a new rule or amending or repealing an existing rule; or

2. Review of an existing Board practice or substantive policy statement alleged to constitute a rule.

B. A person shall submit to the Board a written petition including the following information:

1. Name, address, e-mail address, and telephone and fax numbers of the person submitting the petition;

2. Name of any person represented by the person submitting the petition;

If requesting a rulemaking action:

a. Statement of the rulemaking action sought, including the A.A.C. citation of all existing rules, and the specific language of a new rule or rule amendment; and

b. Reasons for the rulemaking action, including an explanation of why the existing rule is inadequate, unreasonable, unduly burdensome, or unlawful;

4. If requesting a review of an existing practice or a substantive policy statement:

a. Subject matter of the existing practice or substantive policy statement, and

b. Reasons why the existing practice or substantive policy statement constitutes a rule; and

5. Dated signature of the person submitting the petition.

C. A person may submit supporting information with a petition.

D. A person may submit a petition and any supporting information by e-mail, hand delivery, or the U.S. Postal Service.

E. The Board shall send the person submitting a petition a written response within 60 days of the date the Board receives the petition.

History

• Adopted effective August 7, 1992 (Supp. 92-3). Amended by final rulemaking at 20 A.A.R. 2655, effective 11/8/2014.

Ariz. Admin. Code § R4-22-108 Rehearing or Review of Decision

A. The Board shall provide for a rehearing and review of its decisions under A.R.S. Title 41, Chapter 6, Article 10 and rules established by the Office of Administrative Hearings.

B. A Except as provided in subsection (I), a party is required to file a motion for rehearing or review of a decision of the Board to exhaust the party's administrative remedies.

C. A party may amend a motion for rehearing or review at any time before the Board rules on the motion.

D. The Board may grant a rehearing or review for any of the following reasons materially affecting a party's rights:

1. Irregularity in the proceedings of the Board, or any order or abuse of discretion, that deprived the moving party of a fair hearing;

2. Misconduct of the Board, its staff, an administrative law judge, or the prevailing party;

3. Accident or surprise that could not have been prevented by ordinary prudence;

4. Newly discovered material evidence that could not, with reasonable diligence, have been discovered and produced at the hearing;

5. Excessive penalty;

6. Error in the admission or rejection of evidence or other errors of law occurring at the hearing or during the progress of the proceedings;

7. The Board's decision is a result of passion or prejudice; or

8. The findings of fact or decision is not justified by the evidence or is contrary to law.

E. The Board may affirm or modify a decision or grant a rehearing to all or any of the parties on all or part of the issues for any of the reasons in subsection (D). An order modifying a decision or granting a rehearing shall specify with particularity the grounds for the order.

F. When a motion for rehearing or review is based upon affidavits, the affidavits shall be served with the motion. An opposing party may, within 15 days after service, serve opposing affidavits.

G. Not later than 10 days after the date of a decision, after giving parties notice and an opportunity to be heard, the Board may grant a rehearing or review on its own initiative for any reason for which it might have granted relief on motion of a party. The Board may grant a motion for rehearing or review, timely served, for a reason not stated in the motion.

H. If a rehearing is granted, the Board shall hold the rehearing within 60 days after the issue date on the order granting the rehearing.

I. The Board may extend all time limits listed in this Section upon a showing of good cause. A party demonstrates good cause by showing that the grounds for the party's motion or other action could not have been known in time, using reasonable diligence, and:

1. A ruling on the motion will further administrative convenience, expedition, or economy; or

2. If the Board makes a specific finding that a particular decision needs to be effective immediately to preserve the public peace, health, or safety and that a review or rehearing of the decision is impracticable, unnecessary, or contrary to the public interest, the Board shall issue the decision as a final decision without an opportunity for rehearing or review.

J. A party that has exhausted the party's administrative remedies may appeal a final order of the Board under A.R.S. Title 12, Chapter 7, Article 6.

History

• Adopted effective August 7, 1992 (Supp. 92-3). Amended by final rulemaking at 18 A.A.R. 2488, effective November 10, 2012 (Supp. 12-3). Amended by final rulemaking at 20 A.A.R. 2655, effective 11/8/2014.

Ariz. Admin. Code § R4-22-109 Renumbered

History

• Former Rule 1. Former Section R4-22-01 repealed, new Section R4-22-101 adopted effective June 29, 1987 (Supp. 87-2). Renumbered from R4-22-101 effective May 3, 1993 (Supp. 93-2). Former R4-22-109 renumbered to R4-22-207 by final rulemaking at 12 A.A.R. 2765, effective September 9, 2006 (Supp. 06-3).

Ariz. Admin. Code § R4-22-110 Renumbered

History

• Adopted effective May 3, 1993 (Supp. 93-2). Amended by final rulemaking at 10 A.A.R. 2793, effective August 7, 2004 (Supp. 04-2). Renumbered by final rulemaking at 20 A.A.R. 2655, effective 11/8/2014.

Ariz. Admin. Code § R4-22-111 Renumbered

History

• Adopted effective May 3, 1993 (Supp. 93-2). Amended by final rulemaking at 10 A.A.R. 2793, effective August 7, 2004 (Supp. 04-2). Renumbered by final rulemaking at 20 A.A.R. 2655, effective 11/8/2014.

Ariz. Admin. Code § R4-22-112 Renumbered

History

• Adopted effective May 3, 1993 (Supp. 93-2). Amended by final rulemaking at 10 A.A.R. 2793, effective August 7, 2004 (Supp. 04-2). Renumbered by final rulemaking at 20 A.A.R. 2655, effective 11/8/2014.

Ariz. Admin. Code § R4-22-113 Repealed

History

• Adopted effective May 3, 1993 (Supp. 93-2). Section repealed by final rulemaking at 10 A.A.R. 2793, effective August 7, 2004 (Supp. 04-2).

Ariz. Admin. Code § R4-22-114 Repealed

History

• Adopted effective May 3, 1993 (Supp. 93-2). Section repealed by final rulemaking at 10 A.A.R. 2793, effective August 7, 2004 (Supp. 04-2).

Ariz. Admin. Code § R4-22-115 Renumbered

History

• Adopted effective May 3, 1993 (Supp. 93-2). Renumbered by final rulemaking at 20 A.A.R. 2655, effective 11/8/2014.

Article 2 LICENSING

Ariz. Admin. Code § R4-22-201 Application Required

An individual or entity that seeks a license or other approval from the Board shall complete and submit an application form prescribed by the Board. The Board has prescribed the following application forms, which are available from the Board office or web site:

1. License,

2. Temporary license,

2. 3. License renewal,

3. 4. Locum tenens registration,

4. 5. Initial registration to dispense,

5. 6. Registration to dispense renewal,

6. 7. Renewable one-year post-graduate training permit,

7. 8. Renewal of post-graduate training permit,

8.9. Short-term training permit,

9.10. Two-year teaching license, and

10. 11. Approval of an educational program for medical assistants.

History

• New Section made by final rulemaking at 20 A.A.R. 2655, effective 11/8/2014. Amended by final rulemaking at 25 A.A.R. 1793, effective 8/31/2019.

Ariz. Admin. Code § R4-22-202 Determining Qualification for Licensure

A. To obtain a license, an applicant shall submit:

1. The application form specified in R4-22-201;

2. The proof required under A.R.S. § 32-1822(A);

3. A list of all Board-certified specializations, the certifying entity, and a copy of each certification or letter verifying specialization;

A list of each health care facility or employer at which the applicant obtained practice experience. If the applicant has not passed an examination approved under R4-22-203 within the last seven years, the Board may obtain verification of practice experience from the health care facilities or employers listed for the last seven years;

5. A malpractice claim or suit questionnaire for each instance of medical malpractice in which there was an award, settlement, or payment;

6. A full set of fingerprints and the charge specified in R4-22-102(B);

7. A passport-size picture taken within the last 60 days; and

8. The application fee required under R4-22-102(A).

B. In addition to the materials required under subsection (A), an applicant shall have the following information submitted directly to the Board by the specified entity:

1. Professional Education Verification form or an official transcript submitted by the osteopathic college from which the applicant graduated;

Verification of Postgraduate Training form submitted by each postgraduate facility or program at which the applicant trained;

4. 3. Verification of passing an examination approved under R4-22-203 submitted by the examining entity; and

4. Verification of licensure form submitted by every state in which the applicant is or has been licensed as an osteo-pathic physician.

C. If an applicant has established a credentials portfolio with the FCVS or AOIA, the applicant may request that the FCVS forward to the Board some or all of the materials required under subsection (B).

D. The Board shall conduct a substantive review of the information submitted under subsections (A) and (B) and determine whether the applicant is qualified for licensure by virtue of:

1. Possessing the knowledge and skills necessary to practice medicine safely and skillfully;

2. Demonstrating a history of professional conduct; and

3. Possessing the physical, mental, and emotional fitness to practice medicine.

E. If the substantive review referenced in subsection (D) does not yield sufficient information for the Board to determine whether an applicant is qualified for licensure, the Board shall request that the applicant appear before the Board for an interview.

1. The Board shall conduct an application interview in the same manner as an informal hearing conducted under A.R.S. § 32-1855 and shall accord the applicant the same rights as a respondent.

2. In conjunction with an application interview, the Executive Director or Board may require that the applicant, at the applicant's expense:

a. Provide additional documentation,

b. Submit to a physical or psychological examination,

c. Submit to a practice assessment evaluation,

d. Pass an approved special purposes competency examination listed in R4-22-203(A)(3), or

e. Fulfill any combination of the requirements listed in subsections (E)(2)(a) through (d).

F. If the substantive review referenced in subsection (D) reveals that an applicant has been subject to disciplinary action or criminal conviction, the Board shall consider the following factors to determine whether the applicant has been rehabilitated from the conduct underlying the disciplinary action or criminal conviction:

1. Nature of the disciplinary or criminal action including charges and final disposition;

2. Whether all terms of court-ordered sentencing or Board-issued order were satisfied;

3. Whether the disciplinary action or criminal conviction was set aside, dismissed with prejudice, or reduced;

4. Whether a diversion program was entered and completed;

5. Whether the circumstances, relationships, or personal attributes that caused or contributed to the underlying conduct changed;

6. Personal and professional references attesting to rehabilitation; and

7. Other information the Board determines demonstrates whether the applicant has been rehabilitated.

History

• New Section made by final rulemaking at 20 A.A.R. 2655, effective 11/8/2014. Amended by final rulemaking at 25 A.A.R. 1793, effective 8/31/2019.

Ariz. Admin. Code § R4-22-203 Examination; Practice Equivalency to an Examination

A. Approved examinations. For the purposes of licensing, the Board approves the following examinations:

1. All levels and parts of the COMLEX required by the NBOME with a passing score determined by the NBOME;

2. All levels and parts of the USMLE required by the NBME with a passing score determined by the NBME; and

3. A special purposes competency examination given by the NBOME or NBME to an applicant at the request of the Board, with a passing score established by the NBOME or NBME.

B. Practice equivalency to an examination. If an applicant has not passed an approved examination within the seven years before the date of application, the Board shall find that the applicant has practice experience equivalent to an approved examination if the applicant submits documentation of all of the following:

1. On the date of application and continuously until the date the applicant is issued or denied a license, the applicant holds:

a. An active license to practice osteopathic medicine issued by another state, or

b. An active permit or temporary license to practice in an approved residency or fellowship;

2. For at least seven of the 10 years immediately before the date of application, the applicant:

a. Was in clinical practice providing direct patient care, or

b. Was in the second or later year of an approved residency or fellowship; and

c. Has completed a certification examination provided by a specialty board under R4-22-106; and

3. Within two years immediately before the date of application, the applicant completed at least 40 hours of approved CME, defined and documented as specified in R4-22-207.

C. Personal interviews. The purpose of the personal interview required by A.R.S. § 32-1822(6) is to investigate the applicant's professional and personal background, to review the applicant's medical knowledge, to determine the applicant's ability to practice medicine in Arizona, and to clarify, explain, or amplify information obtained during the application process.

1. The personal interview may include questions relating to any or all of the following areas:

a. Substantive medical knowledge.

b. Arizona practice issues or problems.

c. Education qualifications.

d. Professional experience.

e. Applicant's moral character and fitness to practice medicine and surgery in Arizona.

2. An applicant must correctly answer 75% of the medical knowledge questions to be considered acceptable for licen-sure.

3. Any adverse information obtained by the Board during the personal interview may be grounds for further investigation or denial of licensure.

D. Time limitations. Each applicant for Arizona Osteopathic licensure must pass the written examination if required, and appear before the Board for the personal interview within one year from the date the application is filed. Failure to do so shall cause the application to lapse. Within six months from the date of successful completion of the personal interview, each applicant for Arizona Osteopathic licensure must complete all requirements for issuance of the license including payment of all fees and completion of an internship. Failure to do so shall cause the application to lapse.

History

• Amended by final rulemaking at 20 A.A.R. 2655, effective 11/8/2014.

Ariz. Admin. Code § R4-22-204 License Issuance; Effective Date of License

A. Within 90 days after an applicant for licensure receives notice from the Board that the applicant is approved, but no later than 360 days after the date on which the application was originally submitted, the approved applicant shall submit to the Board the license issuance fee required by A.R.S. § 32-1826(A) and the following information in writing:

1. Practice address and telephone number,

2. Residential address, and

3. A statement of whether the practice address or residential address should be used by the Board as the address of record.

B. The Board shall issue a license to an approved applicant that is effective on the date the information required under subsection (A) is received.

C. The Board shall administratively close an approved applicant's file if the approved applicant fails to submit the information required within the time specified under subsection (A). If an applicant whose file is administratively closed wishes to be considered further for licensure, the applicant shall reapply by complying with R4-22-202.

History

• New Section made by final rulemaking at 20 A.A.R. 2655, effective 11/8/2014.

Ariz. Admin. Code § R4-22-205 License Renewal

To renew a license, the licensee shall submit to the Board the renewal application required under R4-22-201. Failure to receive notice of the need to renew does not excuse failure to renew timely.

History

• New Section made by final rulemaking at 20 A.A.R. 2655, effective 11/8/2014.

Ariz. Admin. Code § R4-22-206 Procedure for Application to Reenter Practice

A. The procedures in this Section apply only to an osteopathic physician who:

1. Was licensed and practiced as an osteopathic physician in Arizona or another jurisdiction, and

2. Currently is not licensed and practicing as an osteopathic physician in Arizona or another jurisdiction.

B. All applicants to reenter practice shall:

Submit the application required under R4-22-201, including all documents specified in the application; and

2. Pay the fee specified in R4-22-102(A).

C. In addition to complying with subsection (B), an applicant who has been out of practice for less than two years and has no disciplinary history shall submit documentation of completing at least 40 hours of Category 1-A or Category 1 CME in the applicant's intended field of practice within the two years before the date the application to reenter practice is approved.

D. In addition to complying with subsection (B), an applicant who has been out of practice for two or more years and has no disciplinary history shall attend a Board meeting and:

1. Discuss with the Board evidence that the applicant remains competent to practice medicine; and

2. Develop a reentry plan designed to ensure that the applicant is competent to practice medicine. The reentry plan may include any or all of the following, at the discretion of the Board:

a. Taking a competency or specialty examination;

b. Taking continuing education;

c. Completing a practice assessment program;

d. Practicing under supervision or with restrictions; and

e. Submitting to a physical or psychological examination.

E. In addition to complying with subsection (B), an applicant who has been out of practice and has a history of disciplinary action shall attend a Board meeting and:

1. Establish to the Board's satisfaction that the applicant is rehabilitated from the underlying unprofessional conduct. In determining whether the applicant is rehabilitated, the Board shall consider the factors listed in R4-22-202(F); and

2. If the Board determines that the applicant is rehabilitated, take the actions listed in subsection (D) to ensure that the applicant is competent to practice medicine.

History

• New Section made by final rulemaking at 20 A.A.R. 2655, effective 11/8/2014.

Ariz. Admin. Code § R4-22-207 Continuing Medical Education; Waiver; Extension of Time to Complete

A. Under A.R.S. § 32-1825(B), a licensee is required to obtain 40 hours of Board-approved CME in the two years before license renewal. The Board shall approve the CME of a licensee if the CME complies with the following:

1. At least 24 hours are obtained by completing CME classified by the AOA as Category 1A,

2. No more than 16 hours are obtained by completing CME classified as American Medical Association Category 1 approved by an ACCME-accredited CME provider, and

3. At least the number of CME hours specified under A.R.S. § 32-3248.02 address opioid-related, substance use disorder-related, or addiction-related prescribing and are obtained under subsection (A)(1) or (2).

B. A licensee may fulfill 40 hours of the CME requirement for a biennial license renewal period by participating in an approved postgraduate training program or preceptorship during that biennial license renewal period.

C. The Board shall accept the following documentation as evidence of compliance with the CME requirement:

1. For a CME under subsection (A)(1):

a. The AOA printout of the licensee's CME, or

b. A copy of the certificate of attendance from the provider of the CME showing:

i. Licensee's name,

ii. Title of the CME,

iii. Name of the provider of the CME,

iv. Category of the CME,

v. Number of hours in the CME, and

vi. Date of attendance;

2. For a CME under subsection (A)(2):

a. A copy of the certificate of attendance from the provider of the CME showing the information listed in subsection (C)(1)(b); or

b. A specialty board's printout showing a licensee's completion of CME.

3. For a CME under subsection (B), either a letter from the Director of Medical Education or a certificate of completion for the approved postgraduate training program or preceptorship.

D. Waiver of CME requirements. To obtain a waiver under A.R.S. § 32-1825(C) of the CME requirements, a licensee shall submit to the Board a written request that includes the following:

1. The period for which the waiver is requested,

2. CME completed during the current license period and the documentation required under subsection (C), and

3. Reason that a waiver is needed and the applicable documentation:

a. For military service. A copy of current orders or a letter on official letterhead from the licensee's commanding officer;

b. For absence from the United States. A copy of pages from the licensee's passport showing exit and reentry dates;

c. For disability. A letter from the licensee's treating physician stating the nature of the disability; or

d. For circumstances beyond the licensee's control:

i. A letter from the licensee stating the nature of the circumstances, and

ii. Documentation that provides evidence of the circumstances.

E. The Board shall grant a request for waiver of CME requirements that:

1. Is based on a reason listed in subsection (D)(3),

2. Is supported by the documentation required under subsection (D)(3),

3. Is filed no sooner than 60 days before and no later than 30 days after the license renewal date, and

4. Will promote the safe and professional practice of osteopathy in this state.

F. Extension of time to complete CME requirements. To obtain an extension of time under A.R.S. § 32-1825(C) to complete the CME requirements, a licensee shall submit to the Board a written request that includes the following:

1. Ending date of the requested extension,

2. CME completed during the current license period and the documentation required under subsection (C),

3. Proof the licensee is registered for additional CME sufficient to enable the licensee to complete all CME required for license renewal before the end of the requested extension, and

4. Licensee's attestation that the CME obtained under the extension will be reported only to fulfill the current license renewal requirement and will not be reported on a subsequent license renewal application.

G. The Board shall grant a request for an extension that:

1. Specifies an ending date no later than May 1 following the license renewal date,

2. Includes the documentation and attestation required under subsection (F),

Is submitted no sooner than 60 days before and no later than 30 days after the license renewal date, and

4. Will promote the safe and professional practice of osteopathy in this state.

History

• Section R4-22-207 renumbered from R4-22-109 and amended by final rulemaking at 12 A.A.R. 2765, effective September 9, 2006 (Supp. 06-3). Amended by final rulemaking at 20 A.A.R. 2655, effective 11/8/2014. Amended by final rulemaking at 23 A.A.R. 763, effective 5/12/2017. Amended by final rulemaking at 25 A.A.R. 1793, effective 8/31/2019.

Ariz. Admin. Code § R4-22-212 Confidential Program for Treatment and Rehabilitation of Impaired Osteopathic Physicians

A. To protect the public health and safety, a licensee is required by A.R.S. § 32-1822 to be physically, mentally, and emotionally able to practice medicine.

B. If the Board determines that a licensee may be impaired by substance abuse and there is evidence of an imminent danger to the public health and safety, the Board's Executive Director, with the concurrence of investigative staff, the medical consultant, or a Board member, may enter into:

1. A consent agreement with the licensee to restrict the licensee's practice if there is evidence that a restriction of the licensee's practice is needed to mitigate the danger to the public health and safety;

2. A stipulated agreement with the licensee requiring the licensee to complete a Board-approved evaluation and treatment program for abuse or misuse of chemical substances if there is evidence the program would be successful in enabling the licensee to return to practice safely; and

3. A stipulated agreement with the licensee to enter a Monitored Aftercare Program (MAP) if there is evidence the licensee intends to comply with a program for rehabilitation.

History

• New Section made by final rulemaking at 20 A.A.R. 2655, effective 11/8/2014.

Article 3 DISPENSING DRUGS

Ariz. Admin. Code § R4-22-301 Registration to Dispense Required

A. An osteopathic physician shall register with the Board annually if the osteopathic physician:

1. Maintains a supply of controlled substances, as defined in A.R.S. § 32-1901(13), prescription-only drugs, as defined in A.R.S. § 32-1901(76), or prescription-only devices, as defined in A.R.S. § 32-1901(75), excluding manufacturers' samples;

2. Prescribes the items listed in subsection (A)(1) to a patient of the osteopathic physician for use outside the office of the osteopathic physician; and

Obtains payment for the items listed in subsection (A)(1) at a practice location in Arizona.

B. To register with the Board to dispense, an osteopathic physician shall:

1. Submit the form referenced in R4-22-201,

2. Submit a copy of the osteopathic physician's current Drug Enforcement Administration certificate of registration for each location from which the osteopathic physician will dispense a controlled substance, and

3. Pay the fee authorized by A.R.S. § 32-1826(A)(11).

C. An osteopathic physician who is registered with the Board to dispense shall renew the registration by December 31 of each year by complying with subsection (B). If an osteopathic physician submits a timely and complete application to renew a registration to dispense, the osteopathic physician may continue to dispense until the Board approves or denies the renewal application.

D. If an osteopathic physician fails to submit a timely and complete application to renew a registration to dispense, the osteo-pathic physician shall immediately cease dispensing.

1. If the osteopathic physician wishes to resume dispensing, the osteopathic physician shall register with the Board by complying with subsection (B) and shall not dispense until the osteopathic physician receives notice from the Board that the registration is approved.

2. If the osteopathic physician does not wish to resume dispensing, the osteopathic physician shall, as required by A.R.S. § 32-1871(F), submit to the Board an inventory disposal form, which is available from the Board office or on its web site.

History

• New Section made by final rulemaking at 20 A.A.R. 2655, effective 11/8/2014.

Ariz. Admin. Code § R4-22-302 Packaging and Inventory

A. An osteopathic physician shall dispense a controlled substance or prescription-only drug in a prepackaged or light-resistant container with a consumer safety cap that complies with standards specified in the official compendium, as defined at A.R.S. § 32-1901(55), and state and federal law, unless a patient or the patient's representative requests a non-safety cap.

B. An osteopathic physician shall ensure that a dispensed controlled substance or prescription-only drug is labeled with the following information:

1. The name, address, and telephone number of the dispensing osteopathic physician;

2. The date the controlled substance or prescription-only drug is dispensed;

3. The patient's name;

4. The name of the controlled substance or prescription-only drug, strength, dosage, form, name of manufacturer, quantity dispensed, directions for use, and any cautionary statement necessary for the safe and effective used of the controlled substance or prescription-only drug; and

5. A beyond-use date not to exceed one year from the date of dispensing or the manufacturer's expiration date if less than one year.

C. An osteopathic physician shall:

1. Secure all controlled substances in a locked cabinet or room;

2. Control access to the locked cabinet or room by a written procedure that includes, at a minimum:

a. Designation of the persons who have access to the locked cabinet or room, and

b. Procedures for recording requests for access to the locked cabinet or room;

3. Make the written procedure required under subsection (C)(2) available on demand by the Board or its authorized representative for inspection or copying;

4. Store prescription-only drugs so they are not accessible to patients; and

Store controlled substances and prescription-only drugs not requiring refrigeration in an area where the temperature does not exceed 85° F.

D. An osteopathic physician shall maintain a dispensing log for all controlled substances and the prescription-only drug nal-buphine hydrochloride (Nubain) dispensed. The osteopathic physician shall ensure that the dispensing log includes the following information on a separate inventory sheet for each controlled substance or prescription-only drug:

1. Date the drug is dispensed;

2. Patient's name;

3. Name of controlled substance or prescription-only drug, strength, dosage, form, and name of manufacturer;

4. Number of dosage units dispensed;

5. Running total of each controlled substance or prescription-only drug dispensed; and

6. Written signature of the osteopathic physician next to each entry.

E. An osteopathic physician may use a computer to maintain the dispensing log required under subsection (D) if the log is quickly accessible through either on-screen viewing or printing a copy.

F. This Section does not apply to a prepackaged manufacturer sample of a controlled substance or prescription-only drug unless otherwise provided by federal law.

History

• New Section made by final rulemaking at 20 A.A.R. 2655, effective 11/8/2014.

Ariz. Admin. Code § R4-22-303 Prescribing and Dispensing Requirements

A. An osteopathic physician who dispenses a controlled substance, prescription-only drug, or prescription-only device shall record the following information on the patient's medical record:

1. Name, strength, dosage, and form of the controlled substance, prescription-only drug, or prescription-only device dispensed;

2. Quantity or volume dispensed;

3. Date of dispensing;

4. Medical reasons for dispensing; and

5. Number of refills authorized.

B. Before dispensing a controlled substance, prescription-only drug, or prescription-only device, an osteopathic physician shall review the prepared controlled substance, prescription-only drug, or prescription-only device to ensure that:

1. The container label and contents comply with the prescription; and

2. The patient is informed of the name of the controlled substance, prescription-only drug, or prescription-only device, directions for use, precautions, and storage requirements.

C. An osteopathic physician shall purchase all controlled substance, prescription-only drugs, or prescription-only devices dispensed from a manufacturer or distributor approved by the United State Food and Drug Administration or a pharmacy holding a current permit from the Arizona Board of Pharmacy.

D. The individual who prepares a controlled substance, prescription-only drug, or prescription-only device for dispensing shall countersign and date the original prescription form.

History

• New Section made by final rulemaking at 20 A.A.R. 2655, effective 11/8/2014.

Ariz. Admin. Code § R4-22-304 Recordkeeping and Reporting Shortages

A. An osteopathic physician who dispenses a controlled substance or prescription-only drug shall ensure that an original prescription order, as defined in A.R.S. § 32-1901(77), for the controlled substance or prescription-only drug dispensed is dated, consecutively numbered in the order in which originally dispensed, and filed separately from patient medical records. The osteopathic physician shall ensure that original prescription orders are maintained in three separate files, as follows:

1. Schedule II controlled substances, which are listed at A.R.S. § 36-2513;

2. Schedule III, IV, and V controlled substances, which are defined or listed at A.R.S. §§ 36-2514 through 36-2516, and

3. Prescription-only drugs.

B. An osteopathic physician shall ensure that purchase orders and invoices for all dispensed controlled substances and prescription-only drugs are maintained for three years from the date on the purchase order or invoice in three separate files as follows:

1. Schedule II controlled substances;

2. Schedule III, IV, and V controlled substances and nalbuphine; and

3. All other prescription-only drugs.

C. An osteopathic physician who discovers a theft or loss of a controlled substance or dangerous drug, as defined in A.R.S. Title 36, Chapter 27, Article 2, from the physician's office shall:

1. Immediately notify the local law enforcement agency,

2. Provide the local law enforcement agency with a written report, and

3. Send a copy of the report to the U.S. Drug Enforcement Administration and the Board within seven days of the discovery of the theft or loss.

History

• New Section made by final rulemaking at 20 A.A.R. 2655, effective 11/8/2014.

Ariz. Admin. Code § R4-22-305 Inspections; Denial and Revocation

A. An osteopathic physician shall allow the Board or its representative access to the physician's office and the records required under this Article for inspection of compliance with A.R.S. § 32-1871 and this Article.

B. Failure to comply with A.R.S. § 32-1871 and this Article is unprofessional conduct and grounds for revocation of the physician's registration to dispense or denial of renewal of registration to dispense.

C. The Board shall revoke an osteopathic physician's registration to dispense upon the occurrence of the following:

1. Suspending, revoking, surrendering, or canceling the physician's license;

2. Failing to timely renew the physician's license; or

3. Restricting the physician's ability to prescribe or administer medication, including loss or expiration of the physician's Drug Enforcement Administration Certificate of Registration.

D. If the Board denies a registration to dispense to an osteopathic physician, the physician may appeal the decision by filing a written request with the Board no later than 30 days after service of the notice of denial.

History

• New Section made by final rulemaking at 20 A.A.R. 2655, effective 11/8/2014.

Article 4 MEDICAL ASSISTANTS

Ariz. Admin. Code § R4-22-401 Approval of Educational Programs for Medical Assistants

A. For purposes of this Section, a Board-approved medical assistant training program is a program:

1. Accredited by the CAAHEP;

2. Accredited by the ABHES;

3. Accredited by any accrediting agency recognized by the United States Department of Education; or

4. Designed and offered by a licensed osteopathic physician, that meets or exceeds the standards of one of the accredit- ing programs listed in subsections (A)(1) through (A)(3), and the licensed osteopathic physician verifies that those who complete the program have the entry level competencies referenced in R4-22-111 R4-22-402.

B. A person seeking approval of a training program for medical assistants shall submit to the Board the application required under R4-22-201 and verification to the Board that the program meets the requirements in subsection (A).

History

• Amended by final rulemaking at 20 A.A.R. 2655, effective 11/8/2014.

Ariz. Admin. Code § R4-22-402 Medical Assistants - Authorized Procedures

A. A medical assistant may, under the direct supervision of a licensed osteopathic physician, per- form the medical procedures listed in the Commission on Accreditation of Allied Health Education Pro grams' Standards and Guidelines for the Accreditation of Educational Programs in Medical Assisting, revised 2003 2008. This material is incorporated by reference, does not include any later revisions, amendments or editions, is on file with the Board, and may be obtained from the Commission on Accreditation of Allied Health Education Programs, 1361 Park Street, Clearwater, FL 33756, 727-210-2350, or at www.caahep.org.

B. Additionally, a medical assistant working under the direct supervision of an a licensed osteopathic physician may:

1. Perform physical medicine modalities, including administering whirlpool treatments, diathermy treatments, electronic galvanic stimulation treatments, ultrasound therapy, massage therapy, and traction treatments;

2. Apply Transcutaneous Nerve Stimulation units and hot and cold packs;

3. Administer small volume nebulizers.

4. Draw blood;

5. Prepare proper dosages of medication and administer the medication as directed by the physician;

6. Assist in minor surgical procedures;

7. Perform urine analyses, strep screens, and urine pregnancy tests;

8. Perform EKGs; and

9. Take vital signs.

History

• Amended by final rulemaking at 20 A.A.R. 2655, effective 11/8/2014.

Ariz. Admin. Code § R4-22-403 Medical Assistant Training Requirement

A. The licensed osteopathic physician who will provide direct supervision to a medical assistant shall ensure that the medical assistant satisfies one of the following training requirements before the medical assistant is employed:

Completes an approved medical assistant training program,

2. Completes an unapproved medical assistant training program and passes a medical assistant examinatio n adminis- tered by either the American Association of Medical Assistants or the American Medical Technologists, or

3. Completes a medical services training program of the Armed Forces of the United States.

B. This Section does not apply to a person who completed a medical assistant training program before August 7, 2004, and was employed continuously as a medical assistant since completing the program.

History

• Amended by final rulemaking at 20 A.A.R. 2655, effective 11/8/2014.

Article 5 OFFICE-BASED SURGERY

Ariz. Admin. Code § R4-22-501 Definitions

In this Article,

"ACLS" means advanced cardiac life support performed according to certification standards of the American Heart Association.

"Auscultation" means the act of listening to sounds within the human body either directly or through use of a stethoscope or other means.

"BLS" means basic life support performed according to certification standards of the American Heart Association.

"Capnography" means monitoring the concentration of exhaled carbon dioxide of a sedated patient to determine adequacy of the patient's ventilatory function.

"Deep sedation" means a drug-induced depression of consciousness during which a patient:

Cannot be easily aroused, but

Responds purposefully following repeated or painful stimulation, and

May partially lose the ability to maintain ventilatory function.

"Discharge" means a written or electronic documented termination of office-based surgery provided to a patient.

"Emergency" means an immediate threat to the life or health of a patient.

"General anesthesia" means a drug-induced loss of consciousness during which a patient:

Can not be aroused even with painful stimulus; and

May partially or completely lose the ability to maintain ventilatory, neuromuscular, or cardiovascular function or airway.

"Health care professional" means a registered nurse or a registered nurse practitioner, as defined in A.R.S. § 32-1601, physician assistant, as defined in A.R.S. § 32-2501, and any individual authorized to perform surgery under A.R.S. Title 32 who participates in office-based surgery.

"Informed consent" means advising a patient of the:

Purpose for and alternatives to office-based surgery,

Risks associated with office-based surgery, and

Possible benefits and complications from office-based surgery.

"Malignant hyperthermia" means a life-threatening condition in an individual who has a genetic sensitivity to inhalant anesthetics and depolarizing neuromuscular blocking drugs that occurs during or after the administration of an inhalant anesthetic or depolarizing neuromuscular blocking drug.

"Minimal sedation" means a drug-induced state during which:

A patient responds to verbal commands,

Cognitive function and coordination may be impaired, and

A patient's ventilatory and cardiovascular functions are unaffected. "Moderate sedation" means a drug-induced depression of consciousness during which:

A patient responds to verbal commands or light tactile stimulations, and

No interventions are required to maintain ventilatory or cardiovascular function.

"Monitor" means to assess the condition of a patient.

Office-based surgery" means a medical procedure performed by an osteopathic physician in the physician's office or other practice location that is not part of a licensed hospital or licensed ambulatory surgical center while using sedation.

"PALS" means pediatric advanced life support performed according to certification standards of the American Academy of Pediatrics or the American Heart Association.

"Rescue" means to correct adverse physiologic consequences of deeper than intended level of sedation and return the patient to the intended level of sedation.

"Staff member" means an individual who:

Is not a health care professional, and

Assists with office-based surgery under the supervision of the osteopathic physician performing the office-based surgery.

"Transfer" means a physical relocation of a patient from the office or other practice location of an osteopathic physician to a licensed health care institution.

History

• New Section made by final rulemaking at 20 A.A.R. 2655, effective 11/8/2014.

Ariz. Admin. Code § R4-22-502 Health Care Institution License

An osteopathic physician who performs office-based surgery shall obtain a health care institution license as required by the Arizona Department of Health Services under A.R.S. Title 36, Chapter 4 and 9 A.A.C. 10.

History

• New Section made by final rulemaking at 20 A.A.R. 2655, effective 11/8/2014.

Ariz. Admin. Code § R4-22-503 Administrative Provisions

A. An osteopathic physician who performs office-based surgery shall:

1. Establish, document, and implement written policies and procedures that cover:

a. Patients' rights,

b. Informed consent,

c. Care of patients in an emergency, and

d. Transfer of patients to a local accredited or licensed acute-care hospital;

2. Ensure that a staff member who assists with or a health care professional who participates in office-based surgery:

a. Has sufficient education, training, and experience to perform assigned duties;

b. If applicable, has a current license or certification required to perform assigned duties; and

c. Performs only those acts that are within the scope of practice established in the staff member's or health care professional's governing statutes;

3. Ensure that the office or other practice location where office-based surgery is performed has all equipment necessary for:

a. The physician to perform the office-based surgery safely,

b. The physician or health care professional to administer the sedation safely,

c. The physician or health care professional to monitor the use of sedation, and

d. The physician and health care professional administering the sedation to rescue a patient after the sedation is administered if the patient enters into a deeper state of sedation than was intended by the physician;

4. Ensure that a copy of the patients' rights policy is provided to each patient before performing office-based surgery;

5. Obtain informed consent from the patient before performing office-based surgery that:

a. Authorizes the office-based surgery, and

b. Authorizes the office-based surgery to be performed at the specific practice location; and

6. Review all policies and procedures at least every 12 months and update as needed.

B. An osteopathic physician who performs office-based surgery shall comply with:

The local jurisdiction's fire code;

2. The local jurisdiction's building codes for construction and occupancy;

The bio-hazardous waste and hazardous waste standards in 18 A.A.C. 13, Article 14; and

4. The controlled substances administration, supply, and storage standards in 4 A.A.C. 23, Article 5.

History

• New Section made by final rulemaking at 20 A.A.R. 2655, effective 11/8/2014.

Ariz. Admin. Code § R4-22-504 Procedure and Patient Selection

A. An osteopathic physician shall ensure that each office-based surgery performed:

1. Can be performed safely with the equipment, staff members, and health care professionals at the physician's office;

2. Is of duration and degree of complexity that allows a patient to be discharged from the physician's office within 24 hours;

3. Is within the education, training, experience, skills, and licensure of the physician; and

4. Is within the education, training, experience, skills, and licensure of the staff members and health care professionals at the physician's office.

B. An osteopathic physician shall not perform office-based surgery if the patient:

1. Has a medical condition or other condition that indicates the procedure should not be performed in the physician's office, or

2. Will require inpatient services at a hospital.

History

• New Section made by final rulemaking at 20 A.A.R. 2655, effective 11/8/2014.

Ariz. Admin. Code § R4-22-505 Sedation Monitoring Standards

A. An osteopathic physician who performs office-based surgery when minimal sedation is administered to a patient shall ensure from the time sedation is administered until post-sedation monitoring begins that a quantitative method of assessing the patient's oxygenation, such as pulse oximetry, is used.

B. An osteopathic physician who performs office-based surgery when moderate or deep sedation is administered to a patient shall ensure from the time sedation is administered until post-sedation monitoring begins that:

1. A quantitative method of assessing the patient's oxygenation, such as pulse oximetry, is used;

2. The patient's ventilatory function is monitored by any of the following:

a. Direct observation,

b. Auscultation, or

c. Capnography;

3. The patient's circulatory function is monitored by:

a. Having a continuously displayed electrocardiogram,

b. Documenting arterial blood pressure and heart rate at least every five minutes, and

c. Evaluating the patient's cardiovascular function by pulse plethysmography;

4. The patient's temperature is monitored if the physician expects the patient's temperature to fluctuate; and

5. A licensed and qualified health care professional, other than the physician performing the office-based surgery, is:

a. Present throughout the office-based surgery, and

b. Has the sole responsibility of attending to the patient.

History

• New Section made by final rulemaking at 20 A.A.R. 2655, effective 11/8/2014.

Ariz. Admin. Code § R4-22-506 Perioperative Period; Patient Discharge

An osteopathic physician performing office-based surgery shall ensure all of the following:

The physician is physically present in the room where office-based surgery is performed while the office-based surgery is performed;

2. After the office-based surgery is performed and until the patient's post-sedation monitoring is discontinued, a physician is at the physician's office and sufficiently free of other duties to respond to an emergency;

3. If using minimal sedation, the physician or a health care professional certified in ACLS, PALS, or BLS is at the physician's office and sufficiently free of other duties to respond to an emergency until the patient is discharged;

4. If using moderate or deep sedation, the physician or a health care professional certified in ACLS or PALS is at the physician's office and sufficiently free of other duties to respond to an emergency until the patient is discharged;

5. A discharge is documented in the patient's medical record including:

a. The date and time of the patient's discharge, and

b. A description of the patient's medical condition at the time of discharge; and

6. The patient receives discharge instructions and receipt of the discharge instructions is documented in the patient's medical record.

History

• New Section made by final rulemaking at 20 A.A.R. 2655, effective 11/8/2014.

Ariz. Admin. Code § R4-22-507 Emergency Drugs; Equipment and Space Used for Office-based Surgery

A. In addition to the requirements in R4-22-503(A)(3) and R4-22-504(A)(1), an osteopathic physician who performs office-based surgery shall ensure that the physician's office has at a minimum:

The following:

a. A reliable oxygen source with a SaO₂ monitor;

b. Suction;

c. Resuscitation equipment, including a defibrillator;

d. Emergency drugs; and

e. A cardiac monitor;

2. The equipment for patient monitoring according to the standards in R4-22-505;

3. Space large enough to:

a. Allow access to the patient during office-based surgery, recovery, and any emergency;

b. Accommodate all equipment necessary to perform the office-based surgery; and

c. Accommodate all equipment necessary for sedation monitoring;

A source of auxiliary electrical power available in the event of a power failure;

5. Equipment, emergency drugs, and resuscitative capabilities required under this Section for patients less than 18 years of age, if office-based surgery is performed on these patients; and

6. Procedures to minimize the spread of infection.

B. An osteopathic physician who performs office-based surgery shall:

1. Ensure that all equipment used for office-based surgery is maintained, tested, and inspected according to manufacturer specifications; and

2. Maintain documentation of manufacturer-recommended maintenance of all equipment used in office-based surgery.

History

• New Section made by final rulemaking at 20 A.A.R. 2655, effective 11/8/2014.

Ariz. Admin. Code § R4-22-508 Emergency and Transfer Provisions

A. An osteopathic physician who performs office-based surgery shall ensure that a health care professional who participates in or a staff member who assists with office-based surgery receives instruction in the following:

Policy and procedure in cases of emergency,

2. Policy and procedure for office evacuation, and

3. Safe and timely patient transfer.

B. When performing office-based surgery, an osteopathic physician shall not use any drug or agent that may trigger malignant hyperthermia.

History

• New Section made by final rulemaking at 20 A.A.R. 2655, effective 11/8/2014.

Chapter 23 BOARD OF PHARMACY

Article 1 ADMINISTRATION

Ariz. Admin. Code § R4-23-101 General

A. This Chapter applies to all actions and proceedings of the Board and shall be deemed part of the record in any Board action or proceeding without formal introduction of, or reference to the rules. A party to a Board action is deemed to have knowledge of the rules.

1. To each license applicant who submits a completed application packet; and

2. To each permit applicant during the final compliance inspection after the Board approves the permit application.

B. The Board, within its jurisdiction, may, in the interest of justice, excuse the failure of any person to comply with the rules.

C. The Board, within its jurisdiction, may grant an extension of time within which to comply with any rule when it deems the extension to be in the interest of justice.

History

• Former Rules 1.1000, 1.1200, and 1.1300; Amended effective August 23, 1978 (Supp. 78-4). Amended by final rulemaking at 10 A.A.R. 1132, effective May 1, 2004 (Supp. 04-1); Historical Note updated (Supp. 06-2). Amended by final rulemaking at 30 A.A.R. 155, effective 3/4/2024.

Ariz. Admin. Code § R4-23-102 Meetings

A. The Board shall hold not less than four meetings per fiscal year to conduct general business and interview permit and license applicants.

B. A special meeting of the Board may be held at any time subject to the call of the President or a majority of the Board members and in compliance with the notification requirements of A.R.S. § 38-431.02.

History

• Former Rules 1.2100, 1.2200, 1.2300, and 1.2400. Amended by final rulemaking at 7 A.A.R. 2143, effective May 1, 2001 (Supp. 01-2).

Ariz. Admin. Code § R4-23-103 Repealed

History

• Former Rules 1.3100, 1.3200, 1.3300, and 1.3400; Amended subsection (C) effective August 9, 1983 (Supp. 83-4). Section repealed by final rulemaking at 10 A.A.R. 1132, effective May 1, 2004 (Supp. 04-1); Historical Note updated (Supp. 06-2).

Ariz. Admin. Code § R4-23-104 Repealed

History

• Former Rules 1.4011, 1.4110, 1.4120, 1.4200, 1.4210, 1.4220, 1.4300, 1.4400, 1.5500, 1.5600, 1.5700, and 1.4500; Amended effective August 23, 1978 (Supp. 78-5); Amended by deleting subsection (B) and renumbering subsections (C) through (J) as subsections (B) through (I) effective August 9, 1983 (Supp. 83-4). Amended effective February 8, 1991 (Supp. 91-1). Section repealed by final rulemaking at 10 A.A.R. 1132, effective May 1, 2004 (Supp. 04-1); Historical Note updated (Supp. 06-2).

Ariz. Admin. Code § R4-23-105 Repealed

History

• Former Rules 1.5100, 1.5200, 1.5300, and 1.5400; Amended subsection (B) effective August 9, 1983 (Supp. 83-4). Section repealed by final rulemaking at 10 A.A.R. 1132, effective May 1, 2004 (Supp. 04-1); Historical Note updated (Supp. 06-2).

Ariz. Admin. Code § R4-23-106 Repealed

History

• Former Rules 1.5800 and 1.5900. Section repealed by final rulemaking at 10 A.A.R. 1132, effective May 1, 2004 (Supp. 04-1); Historical Note updated (Supp. 06-2).

Ariz. Admin. Code § R4-23-107 Repealed

History

• Former Rules 1.5910, 1.5920, 1.5921, and 1.5922. Section repealed by final rulemaking at 10 A.A.R. 1132, effective May 1, 2004 (Supp. 04-1); Historical Note updated (Supp. 06-2).

Ariz. Admin. Code § R4-23-108 Repealed

History

• Former Rule 1.5930. Section repealed by final rulemaking at 10 A.A.R. 1132, effective May 1, 2004 (Supp. 04-1); Historical Note updated (Supp. 06-2).

Ariz. Admin. Code § R4-23-109 Repealed

History

• Former Rules 1.7100, 1.7200, and 1.7300. Amended effective July 14, 1977 (Supp. 77-4). Amended effective February 8, 1991 (Supp. 91-1). Section repealed by final rulemaking at 10 A.A.R. 1132, effective May 1, 2004 (Supp. 04-1); Historical Note updated (Supp. 06-2).

Ariz. Admin. Code § R4-23-110 Definitions

In addition to definitions in A.R.S. § 32-1901, the following definitions apply to this Chapter:

"Active ingredient" means any component that furnishes pharmacological activity or other direct effect in the diagnosis, cure, mitigation, treatment, or prevention of disease or that affects the structure or any function of the body of man or other animals. The term includes those components that may undergo chemical change in the manufacture of the drug, that are present in the finished drug product in a modified form, and that furnish the specified activity or effect.

"AHCCCS" means the Arizona Health Care Cost Containment System.

"Annual family income" means the combined yearly gross earned income and unearned income of all adult individuals within a family unit.

"Approved course in pharmacy law" means a continuing education activity that addresses practice issues related to state or federal pharmacy statutes, rules, or regulations.

"Approved Provider" means an individual, institution, organization, association, corporation, or agency that is approved by the Accreditation Council for Pharmacy Education (ACPE) in accordance with ACPE's policy and procedures or by the Board as meeting criteria indicative of the ability to provide quality continuing education.

"Assisted living facility" means a residential care institution as defined in A.R.S. § 36-401.

"Authentication of product history" means identifying the purchasing source, the ultimate fate, and any intermediate handling of any component of a radio pharmaceutical or other drug.

"Automated dispensing system" means a mechanical system in a long-term care facility that performs operations or activities, other than compounding or administration, relative to the storage, packaging, counting, labeling, and dispensing of medications, and which collects, controls, and maintains all transaction information.

"Automated storage and distribution system" means a mechanical system that performs operations or activities other than counting, compounding, or administration, relative to the storage, packaging, or distributing of drugs or devices and that collects, controls, and maintains all transaction information.

"Batch" means a specific quantity of drug that has uniform character and quality, within specified limits, and is produced according to a single manufacturing order during the same cycle of manufacture.

"Beyond-use date" means:

A date determined by a pharmacist and placed on a prescription label at the time of dispensing to indicate a time beyond which the contents of the prescription are not recommended to be used; or

A date determined by a pharmacist and placed on a compounded pharmaceutical product's label at the time of preparation as specified in R4-23-410(B)(3)(d), R4-23-410(I)(6)(e), or R4-23-410(J)(1)(d) to indicate a time beyond which the compounded pharmaceutical product is not recommended to be used.

"Biological safety cabinet" means a containment unit suitable for the preparation of low to moderate risk agents when there is a need for protection of the product, personnel, and environment, consistent with National Sanitation Foundation (NSF) standards, published in the National Sanitation Foundation Standard 49, Class II (Laminar Flow) Biohazard Cabinetry, NSF International P. O. Box 130140, Ann Arbor, MI, revised June 1987 edition, (and no future amendments or editions), incorporated by reference and on file with the Board.

"Care-giver" means a person who cares for someone who is sick or disabled or an adult who cares for an infant or child and includes a patient's husband, wife, son, daughter, mother, father, sister, brother, legal guardian, nurse, or medical practitioner.

"Change of ownership," as used in A.R.S. § 32-1901.01(A), means a change of at least 30 percent in voting stock or vested interest that has direct operational oversight.

"Community pharmacy" means any place under the direct supervision of a pharmacist where the practice of pharmacy occurs or where prescription orders are compounded and dispensed other than a hospital pharmacy or a limited service pharmacy.

"Component" means any ingredient used in compounding or manufacturing drugs in dosage form, including an ingredient that may not appear in the finished product.

"Compounding and dispensing counter" means a pharmacy counter working area defined in this Section where a pharmacist, intern, pharmacy technician, or pharmacy technician trainee under the supervision of a pharmacist compounds, mixes, combines, counts, pours, or prepares and packages a prescription medication to dispense an individual prescription order or prepackages a drug for future dispensing.

"Computer system" means an automated data-processing system that uses a programmable electronic device to store, retrieve, and process data.

"Computer system audit" means an accounting method, involving multiple single-drug usage reports and audits, used to determine a computer system's ability to store, retrieve, and process original and refill prescription dispensing information.

"Contact hour" means 50 minutes of participation in a continuing education activity sponsored by an Approved Provider.

"Container" means:

A receptacle, as described in the official compendium or the federal act, that is used in manufacturing or compounding a drug or in distributing, supplying, or dispensing the finished dosage form of a drug; or

A metal receptacle designed to contain liquefied or vaporized compressed medical gas and used in manufacturing, transfilling, distributing, supplying, or dispensing a compressed medical gas.

"Continuing education" means a structured learning process required of a licensee to maintain licensure that includes study in the general areas of socio-economic and legal aspects of health care; the properties and actions of drugs and dosage forms; etiology, characteristics and therapeutics of disease status; or pharmacy practice.

"Continuing education activity" means continuing education obtained through an institute, seminar, lecture, conference, workshop, mediated instruction, programmed learning course, or postgraduate study in an accredited college or school of pharmacy.

"Continuing education unit" or "CEU" means 10 contact hours of participation in a continuing education activity sponsored by an Approved Provider.

"Continuous quality assurance program" or "CQA program" means a planned process designed by a pharmacy permittee to identify, evaluate, and prevent medication errors.

"Correctional facility" has the same meaning as in A.R.S. §§ 13-2501 and 31-341.

"CRT" means a cathode ray tube or other mechanism used to view information produced or stored by a computer system.

"CSPMP" means the Controlled Substances Prescription Monitoring Program established under A.R.S. Title 36, Chapter 28.

"Current good compounding practices" means the minimum standards for methods used in, and facilities or controls used for, compounding a drug to ensure that the drug has the identity and strength and meets the quality and purity characteristics it is represented to possess.

"Current good manufacturing practice" means the minimum standard for methods used in, and facilities or controls used for manufacturing, processing, packing, or holding a drug to ensure that the drug meets the requirements of the federal act as to safety, and has the identity and strength and meets the quality and purity characteristics it is represented to possess.

"Cytotoxic" means a pharmaceutical that is capable of killing living cells.

"Day" means a calendar day unless otherwise specified.

"DEA" means the Drug Enforcement Administration as defined in A.R.S. § 32-1901.

"Declared disaster areas" means areas designated by the governor or by a county, city, or town under A.R.S. § 32-1910 as those areas that have been adversely affected by a natural disaster or terrorist attack and require extraordinary measures to provide adequate, safe, and effective health care for the affected population.

"Delinquent license" means a pharmacist, intern, or pharmacy technician license the Board suspends for failure to renew or pay all required fees on or before the date the renewal is due.

"Dietary supplement or food supplement," as used in A.R.S. § 32-1904(B), means a product (other than tobacco) that:

Is intended to supplement the diet that contains one or more of the following dietary ingredients: a vitamin, mineral, herb or other botanical, amino acid, dietary substance for use by humans to supplement the diet by increasing the total daily intake, or concentrate, metabolite, constituent, extract, or combinations of these ingredients;

Is intended for ingestion in pill, capsule, tablet, or liquid form;

Is not represented for use as a conventional food or as the sole item of a meal or diet; and

Is labeled as a "dietary supplement" or "food supplement."

"Digital signature" has the same meaning as in A.R.S. § 41-132(E).

"Dispensing pharmacist" means a pharmacist who, in the process of dispensing a prescription medication after the complete preparation of the prescription medication and before delivery of the prescription medication to a patient or patient's agent, verifies, checks, and initials the prescription medication label, as required in R4-23-402(A).

"Drug sample" means a unit of a prescription drug that a manufacturer provides free of charge to promote the sale of the drug.

"Durable medical equipment" or "DME" means technologically sophisticated medical equipment that may be used by a patient or consumer in a home or residence. DME may be prescription-only devices as defined in A.R.S. § 32-1901. DME includes:

Air-fluidized beds,

Apnea monitors,

Blood glucose monitors and diabetic testing strips,

Continuous Positive Airway Pressure (CPAP) machines,

Electronic and computerized wheelchairs and seating systems,

Feeding pumps,

Home phototherapy devices,

Hospital beds,

Infusion pumps,

Medical oxygen and oxygen delivery systems excluding compressed medical gases,

Nebulizers,

Respiratory disease management devices,

Sequential compression devices,

Transcutaneous electrical nerve stimulation (TENS) unit, and

Ventilators.

"Earned income" means monetary payments received by an individual as a result of work performed or rental property owned or leased by the individual, including:

Wages,

Commissions and fees,

Salaries and tips,

Profit from self-employment,

Profit from rent received from a tenant or boarder, and

Any other monetary payments received by an individual for work performed or rental of property.

"Electronic signature" has the same meaning as in A.R.S. § 44-7002.

"Eligible patient" means a patient who a pharmacist determines is eligible to receive an immunization using professional judgment after consulting with the patient regarding the patient's current health condition, recent health condition, and allergies.

"Emergency drug supply unit" means those drugs that may be required to meet the immediate and emergency therapeutic needs of long-term care facility residents and hospice inpatient facility patients, and which are not available from any other authorized source in sufficient time to prevent risk of harm to residents or patients.

"Extreme emergency" means the occurrence of a fire, water leak, electrical failure, public disaster, or other catastrophe constituting an imminent threat of physical harm to pharmacy personnel or patrons.

"Family unit" means:

A group of individuals residing together who are related by birth, marriage, or adoption; or

An individual who:

Does not reside with another individual; or

Resides only with another individual or group of individuals to whom the individual is unrelated by birth, marriage, or adoption.

"FDA" means the Food and Drug Administration, a federal agency within the United States Department of Health and Human Services, established to set safety and quality standards for foods, drugs, cosmetics, and other consumer products.

"Health care decision maker" has the same meaning as in A.R.S. § 12-2291.

"Health care institution" has the same meaning as in A.R.S. § 36-401.

"Hospice inpatient facility" means a health care institution licensed under A.R.S. § 36-401 and Article 8 that provides hospice services to a patient requiring inpatient services.

"Immediate notice" means a required notice sent by mail, fax, or electronic mail to the Board Office within 24 hours.

"Immunizations training program" means an immunization training program for pharmacists and interns that meets the requirements of R4-23-411(E).

"Inactive ingredient" means any component other than an "active ingredient" present in a drug.

"Internal test assessment" means performing quality assurance or other procedures necessary to ensure the integrity of a test.

"ISO Class 5 environment" means an atmospheric environment that complies with the ISO/TC209 International Clean room Standards, specifically ANSI/IEST/ISO-14644-1:1999: Cleanrooms and associated controlled environments--Part 1: Classification of air cleanliness, first edition dated May 1, 1999, (and no future amendments or editions), incorporated by reference and on file in the Board office.

"ISO Class 7 environment" means an atmospheric environment that complies with the ISO/TC209 International Clean room Standards, specifically ANSI/IEST/ISO-14644-1:1999: Cleanrooms and associated controlled environments--Part 1: Classification of air cleanliness, first edition dated May 1, 1999, (and no future amendments or editions), incorporated by reference and on file in the Board office.

"Licensed health care professional" means an individual who is licensed and regulated under A.R.S. Title 32, Chapter 7, 11, 13, 14, 15, 16, 17, 18, 25, 29, or 35. "Limited-service correctional pharmacy" means a limited-service pharmacy, as defined in A.R.S. § 32-1901, that:

Holds a current Board permit under A.R.S. § 32-1931;

Is located in a correctional facility; and

Uses pharmacists, interns, and support personnel to compound, produce, dispense, and distribute drugs.

"Limited-service long-term care pharmacy" means a limited-service pharmacy, as defined in A.R.S. § 32-1901, that holds a current Board-issued permit and dispenses prescription medication or prescription-only devices to patients in long-term care facilities.

"Limited-service mail-order pharmacy" means a limited-service pharmacy, as defined in A.R.S. § 32-1901, that holds a current Board permit under A.R.S. § 32-1931 and dispenses a majority of its prescription medication or prescription-only devices by mailing or delivering the prescription medication or prescription-only device to an individual by the United States mail, a common or contract carrier, or a delivery service.

"Limited-service nuclear pharmacy" means a limited-service pharmacy, as defined in A.R.S. § 32-1901, that holds a current Board permit under A.R.S. § 32-1931 and provides radiopharmaceutical services.

"Limited-service pharmacy permittee" means a person who holds a current limited-service pharmacy permit in compliance with A.R.S. §§ 32-1929, 32-1930, 32-1931, and A.A.C. R4-23-606.

"Limited-service sterile pharmaceutical products pharmacy" means a limited-service pharmacy, as defined in A.R.S. § 32-1901, that holds a current Board permit under A.R.S. § 32-1931 and dispenses a majority of its prescription medication or prescription-only devices as sterile pharmaceutical products.

"Long-term care consultant pharmacist" means a pharmacist providing consulting services to a long-term care facility.

"Long-term care facility" or "LTCF" means a nursing care institution as defined in A.R.S. § 36-401.

"Lot" means a batch or any portion of a batch of a drug, or if a drug produced by a continuous process, an amount of drug produced in a unit of time or quantity in a manner that assures its uniformity. In either case, a lot is identified by a distinctive lot number and has uniform character and quality with specified limits.

"Lot number" or "control number" means any distinctive combination of letters or numbers, or both, from which the complete history of the compounding or manufacturing, control, packaging, and distribution of a batch or lot of a drug can be determined.

"Low-income subsidy" means Medicare-provided assistance that may partially or fully cover the costs of drugs and is based on the income of an individual and, if applicable, the individual's spouse.

"Materials approval unit" means any organizational element having the authority and responsibility to approve or reject components, in-process materials, packaging components, and final products.

"Mechanical counting device for a drug in solid, oral dosage form" means a mechanical device that counts drugs in solid, oral dosage forms for dispensing and includes an electronic balance when used to count drugs.

"Mechanical storage and counting device for a drug in solid, oral dosage form" means a mechanical device that stores and counts and may package or label drugs in solid, oral dosage forms for dispensing.

"Mediated instruction" means information transmitted via intermediate mechanisms such as audio or video tape or telephone transmission.

"Medical practitioner-patient relationship" means that before prescribing, dispensing, or administering a prescription-only drug, prescription-only device, or controlled substance to a person, a medical practitioner, as defined in A.R.S. § 32-1901, shall first conduct a physical examination of that person or have previously conducted a physical examination. This subdivision does not apply to:

A medical practitioner who provides temporary patient supervision on behalf of the patient's regular treating medical practitioner;

Emergency medical situations as defined in A.R.S. § 41-1831;

Prescriptions written to prepare a patient for a medical examination; or

Prescriptions written, prescription-only drugs, prescription-only devices, or controlled substances issued for use by a county or tribal public health department for immunization programs, emergency treatment, in response to an infectious disease investigation, public health emergency, infectious disease outbreak or act of bioterrorism. For purposes of this subsection, "bioterrorism" has the same meaning as in A.R.S. § 36-781.

"Medicare" means a federal health insurance program established under Title XVIII of the Social Security Act.

"Medication error" means any unintended variation from a prescription or medication order. Medication error does not include any variation that is corrected before the medication is dispensed to the patient or patient's care-giver, or any variation allowed by law.

"Mobile pharmacy" means a pharmacy that is self-propelled or movable by another vehicle that is self-propelled.

"MPJE" means Multistate Pharmacy Jurisprudence Examination, a Board-approved national pharmacy law examination written and administered in cooperation with NABP.

"NABP" means National Association of Boards of Pharmacy.

"NABPLEX" means National Association of Boards of Pharmacy Licensure Examination.

"NAPLEX" means North American Pharmacist Licensure Examination.

"Order" means either of the following:

A prescription order as defined in A.R.S. § 32-1901; or

A medication order as defined in A.A.C. R4-23-651.

"Other designated personnel" means a non-pharmacist individual who is permitted in the pharmacy area, for a limited time, under the direct supervision of a pharmacist, to perform non-pharmacy related duties, such as trash removal, floor maintenance, and telephone or computer repair.

"Outpatient" means an individual who is not a residential patient in a health care institution.

"Outpatient setting" means a location that provides medical treatment to an outpatient.

"Patient profile" means a readily retrievable, centrally located information record that contains patient demographics, allergies, and medication profile.

"Pharmaceutical patient care services" means the provision of drug selection, drug utilization review, drug administration, drug therapy monitoring, and other drug-related patient care services intended to achieve outcomes related to curing or preventing a disease, eliminating or reducing a patient's symptoms, or arresting or slowing a disease process, by identifying and resolving or preventing potential and actual drug-related problems.

"Pharmaceutical product" means a medicinal drug.

"Pharmacy counter working area" means a clear and continuous working area that contains no major obstacles such as a desktop computer, computer monitor, computer keyboard, external computer drive device, printer, fax machine, pharmacy balance, typewriter, or pill-counting machine, but may contain individual documents or prescription labels, pens, prescription blanks, refill log, pill-counting tray, spatula, stapler, or other similar items necessary for the prescription-filling process.

"Pharmacy law continuing education" means a continuing education activity that addresses practice issues related to state or federal pharmacy statutes, rules, or regulations, offered by an Approved Provider.

"Pharmacy permittee" means a person who holds a current pharmacy permit that complies with A.R.S. §§ 32-1929, 32-1930, 32-1931, 32-1934, and R4-23-606 and R4-23-652.

"Physician" means a medical practitioner licensed under A.R.S. Title 32, Chapter 13 or 17.

"Physician-in-charge" means a physician who is responsible to the Board for all aspects of a prescription medication donation program required in A.R.S. § 32-1909 and operated in the physician's office or in a health care institution.

"Poverty level" means the annual family income for a family unit of a particular size, as specified in the poverty guidelines updated annually in the Federal Register by the U.S. Department of Health and Human Services.

"Precursor chemical" means a precursor chemical I as defined in A.R.S. § 13-3401(26) and a precursor chemical II as defined in A.R.S. § 13-3401(27).

"Prepackaged drug" means a drug that is packaged in a frequently prescribed quantity, labeled in compliance with A.R.S. §§ 32-1967 and 32-1968, stored, and subsequently dispensed by a pharmacist or intern under the supervision of a pharmacist, who verifies at the time of dispensing that the drug container is properly labeled, in compliance with A.R.S. § 32-1968, for the patient.

"Prep area" means a specified area either within an ISO class 7 environment or adjacent to but outside an ISO class 7 environment that:

Allows the assembling of necessary drugs, supplies, and equipment for compounding sterile pharmaceutical products, but does not allow the use of paper products such as boxes or bulk drug storage;

Allows personnel to don personnel protective clothing, such as gown, gloves, head cover, and booties before entering the clean compounding area; and

Is a room or a specified area within a room, such as an area specified by a line on the floor.

"Primary care provider" means the medical practitioner who is treating an individual for a disease or medical condition.

"Proprietor" means the owner of a business permitted by the Board under A.R.S. §§ 32-1929, 32-1930, 32-1931, and 32-1934.

"Provider pharmacy" means a pharmacy that contracts with a long-term care facility to supply prescription medication or other services for residents of a long-term care facility.

"Radiopharmaceutical" means any drug that emits ionizing radiation and includes:

Any nonradioactive reagent kit, nuclide generator, or ancillary drug intended to be used in the preparation of a radiopharmaceutical, but does not include drugs such as carbon-containing compounds or potassium-containing salts, that contain trace quantities of naturally occurring radionuclides; and

Any biological product that is labeled with a radionuclide or intended to be labeled with a radionuclide.

"Radiopharmaceutical quality assurance" means performing and interpreting appropriate chemical, biological, and physical tests on radiopharmaceuticals to determine the suitability of the radiopharmaceutical for use in humans and animals. Radiopharmaceutical quality assurance includes internal test assessment, authentication of product history, and appropriate record retention.

"Radiopharmaceutical services" means procuring, storing, handling, compounding, preparing, labeling, quality assurance testing, dispensing, distributing, transferring, recordkeeping, and disposing of radiochemicals, radiopharmaceuticals, and ancillary drugs. Radiopharmaceutical services include quality assurance procedures, radiological health and safety procedures, consulting activities associated with the use of radiopharmaceuticals, and any other activities required for the provision of pharmaceutical care.

"Red C stamp" means a device used with red ink to imprint an invoice with a red letter C at least one inch high, to make an invoice of a Schedule III through IV controlled substance, as defined in A.R.S. § 36-2501, readily retrievable, as required by state and federal rules.

"Refill" means other than the original dispensing of the prescription order, dispensing a prescription order in the same quantity originally ordered or in multiples of the originally ordered quantity when specifically authorized by the prescriber, if the refill is authorized by the prescriber:

In the original prescription order;

By an electronically transmitted refill order that the pharmacist promptly documents and files; or

By an oral refill order that the pharmacist promptly documents and files.

"Regulated chemical" means the same as in A.R.S. § 13-3401(30).

"Remodel" means to alter structurally the pharmacy area or location.

"Remote drug storage area" means an area that is outside the premises of the pharmacy, used for the storage of drugs, locked to deny access by unauthorized persons, and secured against the use of force.

"Resident" means:

An individual admitted to and living in a long-term care facility or an assisted living facility,

An individual who has a place of habitation in Arizona and lives in Arizona as other than a tourist, or

A person that owns or operates a place of business in Arizona.

"Responsible person" means the owner, manager, or other employee who is responsible to the Board for a permitted establishment's compliance with the laws and administrative rules of this state and of the federal government pertaining to distribution of drugs, devices, precursor chemicals, and regulated chemicals. Nothing in this definition relieves other individuals from the responsibility to comply with state and federal laws and administrative rules.

"Score transfer" means the process that enables an applicant to take the NAPLEX in a jurisdiction and be eligible for licensure by examination in other jurisdictions.

"Security features" means attributes incorporated into the paper of a prescription order, referenced in A.R.S. § 32-1968(A)(4), that are approved by the Board or its staff and include one or more of the following designed to prevent duplication or aid the authentication of a paper document: laid lines, enhanced laid lines, thermochromic ink, artificial watermark, fluorescent ink, chemical void, persistent void, penetrating numbers, high-resolution border, high-resolution latent images, micro-printing, prismatic printing, embossed images, abrasion ink, holograms, and foil stamping.

"Shared order filling" means the following:

Preparing, packaging, compounding, or labeling an order, or any combination of these functions, that are performed by:

A person with a current Arizona Board license, located at an Arizona pharmacy, on behalf of and at the request of another resident or nonresident pharmacy; or

A person, located at a nonresident pharmacy, on behalf of and at the request of an Arizona pharmacy; and

Returning the filled order to the requesting pharmacy for delivery to the patient or patient's care-giver or, at the request of this pharmacy, directly delivering the filled order to the patient.

"Shared order processing" means the following:

Interpreting the order, performing order entry verification, drug utilization review, drug compatibility and drug allergy review, final order verification, and when necessary, therapeutic intervention, or any combination of these order processing functions, that are performed by:

A pharmacist or intern, under pharmacist supervision, with a current Arizona Board license, located at an Arizona pharmacy, on behalf of and at the request of another resident or nonresident pharmacy: or

A pharmacist or intern, under pharmacist supervision, located at a nonresident pharmacy, on behalf of and at the request of an Arizona pharmacy; and

After order processing is completed, returning the processed order to the requesting pharmacy for order filling and delivery to the patient or patient's care-giver or, at the request of this pharmacy, returning the processed order to another pharmacy for order filling and delivery to the patient or patient's care-giver.

"Shared services" means shared order filling or shared order processing, or both.

"Sight-readable" means that an authorized individual is able to examine a record and read its information from a CRT, microfiche, microfilm, printout, or other method acceptable to the Board or its designee.

"Single-drug audit" means an accounting method that determines the numerical and percentage difference between a drug's beginning inventory plus purchases and ending inventory plus sales.

"Single-drug usage report" means a computer system printout of original and refill prescription order usage information for a single drug.

"Standard-risk sterile pharmaceutical product" means a sterile pharmaceutical product compounded from sterile commercial drugs using sterile commercial devices or a sterile pharmaceutical optic or ophthalmic product compounded from non-sterile ingredients.

"State of emergency" means a governmental declaration issued under A.R.S. § 32-1910 as a result of a natural disaster or terrorist attack that results in individuals being unable to refill existing prescriptions.

"Sterile pharmaceutical product" means a medicinal drug free from living biological organisms.

"Strength" means:

The concentration of the drug substance (for example, weight/weight, weight/volume, or unit dose/volume basis); or

The potency, that is, the therapeutic activity of a drug substance as indicated by bioavailability tests or by controlled clinical data (expressed, for example, in terms of unity by reference to a standard).

"Substantial-risk sterile pharmaceutical product" means a sterile pharmaceutical product compounded as a parenteral or inject-able dosage form from non-sterile ingredients.

"Supervision" means a pharmacist is present, assumes legal responsibility, and has direct oversight of activities relating to acquiring, preparing, distributing, administering, and selling prescription medications by interns, pharmacy technicians, or pharmacy technician trainees and when used in connection with the intern training requirements means that, in a pharmacy where intern training occurs, an intern preceptor assumes the primary responsibility of teaching the intern during the entire period of the training.

"Supplying" means selling, transferring, or delivering to a patient or a patient's agent one or more doses of:

A nonprescription drug in the manufacturer's original container for subsequent use by the patient, or

A compressed medical gas in the manufacturer's or compressed medical gas distributor's original container for subsequent use by the patient.

"Support personnel" means an individual, working under the supervision of a pharmacist, trained to perform clerical duties associated with the practice of pharmacy, including cashiering, bookkeeping, pricing, stocking, delivering, answering non-professional telephone inquiries, and documenting third-party reimbursement. Support personnel shall not perform the tasks of a pharmacist, intern, pharmacy technician, or pharmacy technician trainee.

"Temporary pharmacy facility" means a facility established as a result of a declared state of emergency to temporarily provide pharmacy services within or adjacent to declared disaster areas.

"Tourist" means an individual who is living in Arizona but maintains a place of habitation outside of Arizona and lives outside of Arizona for more than six months during a calendar year.

"Transfill" means a manufacturing process by which one or more compressed medical gases are transferred from a bulk container to a properly labeled container for subsequent distribution or supply.

"Unearned income" means monetary payment received by an individual that is not compensation for work performed or rental of property owned or leased by the individual, including:

Unemployment insurance,

Workers' compensation,

Disability payments,

Payments from the Social Security Administration,

Payments from public assistance,

Periodic insurance or annuity payments,

Retirement or pension payments,

Strike benefits from union funds,

Training stipends,

Child support payments,

Alimony payments,

Military family allotments,

Regular support payments from a relative or other individual not residing in the household,

Investment income,

Royalty payments,

Periodic payments from estates or trusts, and

Any other monetary payments received by an individual that are not:

As a result of work performed or rental of property owned by the individual,

Gifts,

Lump-sum capital gains payments,

Lump-sum inheritance payments,

Lump-sum insurance payments, or

Payments made to compensate for personal injury.

"Verified signature" or "signature verifying" means in relation to a Board license or permit application or report, form, or agreement, the hand-written or electronic signature of an individual who, by placing a hand-written or electronic signature on a hard-copy or electronic license or permit application or report, form, or agreement agrees with and verifies that the statements and information within or attached to the license or permit application or report, form, or agreement are true in every respect and that inaccurate reporting can result in denial or loss of a license or permit or report, form, or agreement.

"Veteran" means an individual who has served in the United States Armed Forces.

"Virtual manufacturer" means an entity that contracts for the manufacture of a drug or device for which the entity:

Owns the New Drug Application or Abbreviated New Drug Application number, as defined by the FDA, for a drug;

Owns the Unique Device Identification number, as defined by the FDA, for a prescription device;

Is not involved in the physical manufacture of the drug or device; and

Contracts with an Arizona-permitted manufacturing entity for the physical manufacture of the drug or device; or

If the contracted manufacturing entity is in a location not included in the definition at A.R.S. 32-1901 of other jurisdiction, the virtual manufacturer ensures the facility is inspected every time the virtual manufacturer submits an initial or renewal application and determined to comply with current good manufacturing practices as defined by the federal act and the official compendium.

Virtual manufacturer includes an entity that may be identified as an own-label distributor, which contracts with a manufacturer to produce a drug or device and with another entity to package and label the drug or device, which is then sold under the distributor's name or another name.

"Virtual wholesaler" means an entity that engages in the wholesale distribution of a drug or device in, into, or out of Arizona but does not take physical possession of the drug or device. A virtual wholesaler distributes a drug or device only from a Board-permitted facility to:

A Board-permitted pharmacy, drug manufacturer, full-service drug wholesaler, or non-prescription drug wholesaler; or

A medical practitioner licensed under A.R.S. Title 32; and

Virtual wholesaler includes an entity that may be identified as a broker that buys and sells goods for others or a person that facilitates distribution of a drug, chemical, or device regulated by the Board.

"Wholesale distribution" means distribution of a drug to a person other than a consumer or patient, but does not include:

Selling, purchasing, or trading a drug or offering to sell, purchase, or trade a drug for emergency medical reasons. For purposes of this Section, "emergency medical reasons" includes transferring a prescription drug by a community or hospital pharmacy to another community or hospital pharmacy to alleviate a temporary shortage;

Selling, purchasing, or trading a drug, offering to sell, purchase, or trade a drug, or dispensing a drug as specified in a prescription;

Distributing a drug sample by a manufacturers' or distributors' representative; or Selling, purchasing, or trading blood or blood components intended for transfusion.

"Wholesale distributor" means any person engaged in wholesale distribution of drugs, including: manufacturers; repackers; own-label distributors; private-label distributors; jobbers; brokers; warehouses, including manufacturers' and distributors' warehouses, chain drug warehouses, and wholesale drug warehouses; independent wholesale drug traders; and retail pharmacies that conduct wholesale distributions in the amount of at least 5% of gross sales.

History

• Adopted effective August 24, 1992 (Supp. 92-2). Amended effective December 18, 1992 (Supp. 92-4). Amended effective November 1, 1993 (Supp. 93-4). Amended effective April 1, 1995; filed with the Secretary of State January 31, 1995 (Supp. 95-1). Amended effective April 5, 1996 (Supp. 96-2). Amended effective July 8, 1997; amended effective August 5, 1997 (Supp. 97-3). Amended effective January 12, 1998 (Supp. 98-1). Amended effective July 7, 1998 (Supp. 98-3). Amended by final rulemaking at 5 A.A.R. 862, effective March 3, 1999 (Supp. 99-1). Amended by final rulemaking at 5 A.A.R. 4441, effective November 2, 1999 (Supp. 99-4). Amended by final rulemaking at 6 A.A.R. 4589, effective November 14, 2000 (Supp. 00-4). Amended by final rulemaking at 7 A.A.R. 646, effective January 11, 2001 (Supp. 01-1). Amended by final rulemaking at 8 A.A.R. 409 and 8 A.A.R. 646, effective January 10, 2002 (Supp. 02-1). Amended by final rulemaking at 8 A.A.R. 416, effective January 10, 2002 (Supp. 02-1). Amended by final rulemaking at 8 A.A.R. 1256, effective March 7, 2002 (Supp. 02-1). Amended by final rulemaking at 8 A.A.R. 4052, effective November 9, 2002 (Supp. 02-3). Amended by final rulemaking at 8 A.A.R. 4898 and 8 A.A.R. 4902, effective January 5, 2003 (Supp. 02-4). Amended by final rulemaking at 9 A.A.R. 1064, effective May 4, 2003 (Supp. 03-1). Amended by final rulemaking at 9 A.A.R. 5030, effective January 3, 2004 (Supp. 03-4). Amended by final rulemaking at 10 A.A.R. 1192, effective May 1, 2004 (Supp. 04-1). Amended by final rulemaking at 10 A.A.R. 3391, effective October 2, 2004 (Supp. 04-3). Amended by final rulemaking at 10 A.A.R. 3967, effective November 13, 2004 (Supp. 04-3). Amended by final rulemaking at 10 A.A.R. 4356, effective December 4, 2004 (Supp. 04-4). Amended by final rulemaking at 11 A.A.R. 2258, effective August 6, 2005 (Supp. 05-2). Amended by final rulemaking at 12 A.A.R. 3032, effective October 1, 2006 (Supp. 06-3). Amended by final rulemaking at 12 A.A.R. 3981, effective December 4, 2006 (Supp. 06-4). Amended by final rulemaking at 13 A.A.R. 520, effective April 7, 2007 (Supp. 07-1). Amended by final rulemaking at 13 A.A.R. 440, effective April 7, 2007 (Supp. 07-1). Amended by final rulemaking at 13 A.A.R. 616, effective April 7, 2007 (Supp. 07-1). Amended by final rulemaking at 13 A.A.R. 3477, effective December 1, 2007 (Supp. 07-4). Amended by final rulemaking at 14 A.A.R. 3405, effective October 4, 2008; amended by final rulemaking at 14 A.A.R. 3410, effective October 4, 2008 (Supp. 08-3). Amended by final rulemaking at 14 A.A.R. 4400, effective January 3, 2009; amended by final rulemaking at 14 A.A.R. 4320, effective January 3, 2009 (Supp. 08-4). Amended by final rulemaking at 18 A.A.R. 2603, effective December 2, 2012 (Supp. 12-4). Amended by final rulemaking at 18 A.A.R. 2609, effective December 2, 2012 (Supp. 12-4). Amended by final rulemaking at 19 A.A.R. 2894, effective November 10, 2013. Amended by final rulemaking at 20 A.A.R. 1359, effective 8/2/2014. Amended by exempt rulemaking at 22 A.A.R. 2606, effective 8/31/2016. Amended by final rulemaking at 25 A.A.R. 1015, effective 6/1/2019. Amended by final rulemaking at 26 A.A.R. 223, effective 3/14/2020.

Ariz. Admin. Code § R4-23-111 Notice of Hearing

A. Except as provided in A.R.S. § 32-1928(B), the Board shall revoke, suspend, place on probation, or fine a licensee or permittee only after:

1. Notice is served under this Section, and

2. A hearing is conducted under R4-23-122.

B. The Board shall give notice of hearing to a party at least 30 days before the date set for the hearing in the manner described in R4-23-115(E) and (F). The notice shall include:

1. A statement of the date, time, place, and nature of the hearing;

2. A statement of the legal authority and jurisdiction for the hearing;

3. A reference to the particular section or sections of statute and rule involved; and

4. A statement of the violation or issue asserted by the Board.

History

• New Section made by final rulemaking at 10 A.A.R. 1132, effective May 1, 2004 (Supp. 04-1).

Ariz. Admin. Code § R4-23-112 Ex Parte Communications

A party shall not communicate, either directly or indirectly, with a Board member about any substantive issue in a pending matter unless:

1. All parties are present;

2. It is during a scheduled proceeding, where an absent party fails to appear after proper notice; or

3. It is by written motion with copies to all parties.

History

• New Section made by final rulemaking at 10 A.A.R. 1132, effective May 1, 2004 (Supp. 04-1).

Ariz. Admin. Code § R4-23-113 Motions

A. Purpose. A party requesting a ruling from the Board shall file a motion. Motions may be made for rulings such as:

1. Continuing or expediting a hearing under R4-23-116;

2. Vacating a hearing under R4-23-117;

3. Scheduling a prehearing conference under R4-23-118;

4. Quashing a subpoena under R4-23-119;

5. Requesting telephonic testimony under R4-23-120; and

6. Reconsidering a previous order under R4-23-121.

B. Form. Unless made during a prehearing conference or hearing, motions shall be made in writing and shall conform to the requirements of R4-23-115. All motions, whether written or oral, shall state the factual and legal grounds supporting the motion, and the requested action.

C. Time limits. Absent good cause, or unless otherwise provided by law or these rules, written motions shall be filed with the Board office at least 15 days before the hearing. A party demonstrates good cause by showing that the grounds for the motion could not have been known in time, using reasonable diligence and:

1. A ruling on the motion will further administrative convenience, expedition or economy; or

2. A ruling on the motion will avoid undue prejudice to any party.

D. Response to motion. A party shall file a written response stating any objection to the motion within five days of service, or as directed by the Board.

E. Oral argument. A party may request oral argument when filing a motion or response. If necessary to develop a complete record, the Board shall grant oral argument.

F. Rulings. Rulings on motions, other than those made during a prehearing conference or the hearing, shall be in writing and served on all parties.

History

• New Section made by final rulemaking at 10 A.A.R. 1132, effective May 1, 2004 (Supp. 04-1).

Ariz. Admin. Code § R4-23-114 Computing Time

In computing any time period, the Board shall exclude the day from which the designated time period begins to run. The Board shall include the last day of the period unless it falls on a Saturday, Sunday, or legal holiday. When the time period is 10 days or less, the Board shall exclude Saturdays, Sundays, and legal holidays.

History

• New Section made by final rulemaking at 10 A.A.R. 1132, effective May 1, 2004 (Supp. 04-1).

Ariz. Admin. Code § R4-23-115 Filing Documents

A. Docket. The Board shall open a docket for each hearing. All documents filed in a matter with the Board shall be date stamped on the day received by the Board office and entered in the docket.

B. Definition. "Documents" include papers such as complaints, answers, motions, responses, notices, and briefs.

C. Form. A party shall state on the document the name and address of each party served and how service was made under subsection (E). A document shall contain the Board caption and the Board's docket number.

D. Signature. A document filed with the Board shall be signed by the party or the party's attorney. A signature constitutes a certification that the signer has read the document, has a good faith basis for submission of the document, and that it is not filed for the purpose of delay or harassment.

E. Filing and service. A copy of a document filed with the Board shall be served on all parties. Filing with the Board office and service shall be completed by personal delivery; first-class, certified, or express mail; or facsimile.

F. Date of filing and service. A document is filed with the Board on the date it is received by the Board office, as established by the Board office's date stamp on the face of the document. A copy of a document is served on a party as follows:

1. On the date it is personally served,

2. Five days after it is mailed by first-class or express mail,

3. On the date of the return receipt if it is mailed by certified mail, or

4. On the date indicated on the facsimile transmission.

History

• New Section made by final rulemaking at 10 A.A.R. 1132, effective May 1, 2004 (Supp. 04-1).

Ariz. Admin. Code § R4-23-116 Continuing or Expediting a Hearing; Reconvening a Hearing

A. Continuing or expediting a hearing. When ruling on a motion to continue or expedite, the Board shall consider such factors as:

1. The time remaining between the filing of the motion and the hearing date;

2. The position of other parties;

3. The reasons for expediting the hearing or for the unavailability of the party, representative, or counsel on the date of the scheduled hearing;

4. Whether testimony of an unavailable witness can be taken telephonically or by deposition; and

5. The status of settlement negotiations.

B. Reconvening a hearing. The Board may recess a hearing and reconvene at a future date by a verbal ruling.

History

• New Section made by final rulemaking at 10 A.A.R. 1132, effective May 1, 2004 (Supp. 04-1).

Ariz. Admin. Code § R4-23-117 Vacating a Hearing

The Board shall vacate a calendared hearing and return the matter to the Board office for further action, if:

1. The parties agree to vacate the hearing;

2. The Board dismisses the matter;

3. The non-Board party withdraws the appeal; or

4. Facts demonstrate to the Board that it is appropriate to vacate the hearing for the purpose of informal disposition, or if the action will further administrative convenience, expedition, and economy and does not conflict with law or cause undue prejudice to any party.

History

• New Section made by final rulemaking at 10 A.A.R. 1132, effective May 1, 2004 (Supp. 04-1).

Ariz. Admin. Code § R4-23-118 Prehearing Conference

A. Procedure. The Board may hold a prehearing conference. The conference may be held telephonically. The Board may issue a prehearing order outlining the issues to be discussed.

B. Record. The Board may record any agreements reached during a prehearing conference by electronic or mechanical means, or memorialize them in an order.

History

• New Section made by final rulemaking at 10 A.A.R. 1132, effective May 1, 2004 (Supp. 04-1).

Ariz. Admin. Code § R4-23-119 Subpoenas

A. Form. A party wanting the Board to issue a subpoena shall submit a written request to the Board and include:

1. The caption and docket number of the matter;

2. A list or description of any documents sought;

3. The full name and home or business address of the custodian of the documents sought or all persons to be subpoenaed;

4. The date, time, and place to appear or to produce documents according to the subpoena; and

5. The name, address, and telephone number of the party, or the party's attorney, requesting the subpoena.

B. The Board may require a brief statement of the relevance of testimony or documents requested.

C. Service of subpoena. The Board shall serve a subpoena in a manner allowed by law.

D. Objection to subpoena. If a party or the person served with a subpoena objects to the subpoena or any portion of the subpoena, the party or person may file an objection with the Board within five days after service of the subpoena or at the start of the hearing if the subpoena is served fewer than five days before the hearing.

E. Quashing or modifying subpoenas. The Board shall quash or modify a subpoena if:

1. It is unreasonable or oppressive, or

The desired testimony or evidence may be obtained by an alternative method.

History

• New Section made by final rulemaking at 10 A.A.R. 1132, effective May 1, 2004 (Supp. 04-1). Amended by final rulemaking at 30 A.A.R. 155, effective 3/4/2024.

Ariz. Admin. Code § R4-23-120 Telephonic Testimony

The Board may grant a motion for telephonic testimony if:

1. Personal attendance by a party or witness at the hearing will present an undue hardship for the party or witness;

2. Telephonic testimony will not cause undue prejudice to any party; and

3. The proponent of the telephonic testimony pays for any cost of obtaining the testimony telephonically.

History

• New Section made by final rulemaking at 10 A.A.R. 1132, effective May 1, 2004 (Supp. 04-1).

Ariz. Admin. Code § R4-23-121 Rights and Responsibilities of Parties

A. Generally. A party may present testimony and documentary evidence and argument with respect to the contested issue and may examine and cross-examine witnesses.

B. Preparation. A party shall have all witnesses, documents, and exhibits available on the date of the hearing.

C. Exhibits. A party shall provide a copy of each exhibit to all other parties at the time the exhibit is offered to the Board, unless the exhibit was previously provided to all other parties.

D. Responding to orders. A party shall comply with an order issued by the Board concerning the conduct of a hearing. Unless an objection is made orally during a pre-hearing conference or hearing, a party shall file a motion requesting the Board to reconsider the order.

History

• New Section made by final rulemaking at 10 A.A.R. 1132, effective May 1, 2004 (Supp. 04-1).

Ariz. Admin. Code § R4-23-122 Conduct of Hearing

A. Public access. Unless otherwise provided by law, all hearings are open to the public and may be conducted in an informal manner as prescribed in A.R.S. § 41-1092 et seq.

B. Opening. The Board shall begin the hearing by reading the caption, stating the nature and scope of the hearing, and identifying the parties, counsel, and witnesses for the record.

C. Stipulations. The Board shall enter into the record any stipulation, settlement agreement, or consent order entered into by any of the parties before or during the hearing.

D. Opening statements. The party with the burden of proof may make an opening statement at the beginning of a hearing. All other parties may make statements in a sequence determined by the Board.

E. Order of presentation. After opening statements, the party with the burden of proof shall begin the presentation of evidence, unless the parties agree otherwise or the Board determines that requiring another party to proceed first would be more expeditious or appropriate, and would not prejudice any other party. Copies of documentary evidence may be received in the discretion of the Board. Upon request, parties shall be given an opportunity to compare the copy with the original.

F. Examination. A party shall conduct direct and cross examination of witnesses in the order and manner determined by the Board to expedite and ensure a fair hearing. The Board shall make rulings necessary to prevent argumentative, repetitive, or irrelevant questioning and to expedite the examination to the extent consistent with the disclosure of all relevant testimony and information. The Board may take notice of judicially cognizable facts. In addition, the Board may take notice of generally recognized technical or scientific facts within the Board's or its staff's specialized knowledge. A party shall be notified either before or during the hearing or by reference in preliminary reports of the material the Board notices. The Board may use the Board's or its staff's experience, technical competence, and specialized knowledge in the evaluation of the evidence.

G. Closing argument. When all evidence has been received, parties shall have the opportunity to present closing oral argument, in a sequence determined by the Board. The Board may permit or require closing oral argument to be supplemented by written memoranda. The Board may permit or require written memoranda to be submitted simultaneously or sequentially, within time periods the Board may prescribe.

H. Conclusion of hearing. Unless otherwise provided by the Board, the hearing is concluded upon the submission of all evidence, the making of final argument, and the issuing of a final decision or order of the Board.

I. Decisions and orders. Unless otherwise provided by law, any final decisions or order adverse to a party in a hearing shall be in writing or stated in the record. Any final decision shall include findings of fact and conclusions of law, separately stated. Findings of fact shall be accompanied by a concise and explicit statement of the underlying facts supporting the findings. Unless otherwise provided by law, each party shall be notified either personally or by mail to the party's last known address of record of any decision or order. Upon request, a copy of the decision or order shall be delivered or mailed to each party and to each party's attorney of record.

History

• New Section made by final rulemaking at 10 A.A.R. 1132, effective May 1, 2004 (Supp. 04-1).

Ariz. Admin. Code § R4-23-123 Failure of Party to Appear for Hearing

If a party fails to appear at a hearing, the Board may proceed with the presentation of the evidence of the appearing party, or vacate the hearing and return the matter to the Board office for any further action.

History

• New Section made by final rulemaking at 10 A.A.R. 1132, effective May 1, 2004 (Supp. 04-1).

Ariz. Admin. Code § R4-23-124 Witnesses; Exclusion from Hearing

All witnesses at the hearing shall testify under oath or affirmation. At the request of a party, or at the discretion of the Board, the Board may exclude witnesses who are not parties from the hearing room so that they cannot hear the testimony of other witnesses.

History

• New Section made by final rulemaking at 10 A.A.R. 1132, effective May 1, 2004 (Supp. 04-1).

Ariz. Admin. Code § R4-23-125 Proof

A. Standard of proof. Unless otherwise provided by law, the standard of proof is a preponderance of the evidence.

B. Burden of proof. Unless otherwise provided by law:

1. The party asserting a claim, right, or entitlement has the burden of proof;

2. A party asserting an affirmative defense has the burden of establishing the affirmative defense; and

3. The proponent of a motion shall establish the grounds to support the motion.

History

• New Section made by final rulemaking at 10 A.A.R. 1132, effective May 1, 2004 (Supp. 04-1).

Ariz. Admin. Code § R4-23-126 Disruptions

A person shall not interfere with access to or from the hearing room, or interfere, or threaten interference with the hearing. If a person interferes, threatens interference, or disrupts the hearing, the Board may order the disruptive person to leave or be removed.

History

• New Section made by final rulemaking at 10 A.A.R. 1132, effective May 1, 2004 (Supp. 04-1).

Ariz. Admin. Code § R4-23-127 Hearing Record

A. Maintenance. The Board shall maintain the official administrative record of a matter.

B. Transfer of record. Any party requesting a copy of the administrative record or any portion of the administrative record shall make a request to the Board office and shall pay the reasonable costs of duplication.

C. Release of exhibits. Exhibits shall be released:

1. Upon the order of a court of competent jurisdiction; or

2. Upon motion of the party who submitted the exhibits if the time for judicial appeal has expired and no appeal is pending.

History

• New Section made by final rulemaking at 10 A.A.R. 1132, effective May 1, 2004 (Supp. 04-1).

Ariz. Admin. Code § R4-23-128 Rehearing or Review and Appeal of Decision

A. The Board shall provide for a rehearing and review of it decisions under A.R.S. Title 41, Chapter 6, Article 10, and this Section. For purposes of these rules, the terms "contested case" and "party" are defined in A.R.S. § 41-1001.

B. A party to a contested case shall exhaust the party's administrative remedies by filing a motion for rehearing or review within 30 days after the service of the Board decision that is subject to rehearing or review in order to be eligible for judicial review under A.R.S. Title 12, Chapter 7, Article 6. The Board shall notify a party in its decision, that is subject to rehearing or review, that the party may file a motion for rehearing or review, and that failure to file a motion for rehearing or review within 30 days after service of the decision has the effect of prohibiting the party from seeking judicial review of the Board's decision.

C. A party may amend a motion for rehearing or review at any time before the Board rules on the motion.

D. The Board may grant a rehearing or review for any of the following reasons materially affecting a party's rights:

1. Irregularity in the proceedings of the Board, or any order or abuse of discretion, that deprived the moving party of a fair hearing;

2. Misconduct of the Board, its staff, its hearing officer, or the prevailing party;

3. Accident or surprise that could not have been prevented by ordinary prudence;

4. Newly discovered material evidence that could not, with reasonable diligence, have been discovered and produced at the hearing;

5. Excessive or insufficient penalty;

6. Error in the admission or rejection of evidence or other errors of law occurring at the hearing or during the progress of the proceedings;

7. That the Board's decision is a result of passion or prejudice; or

8. That the findings of fact or decision is not justified by the evidence or is contrary to law.

E. The Board may affirm or modify a decision or grant a rehearing to all or any of the parties on all or part of the issues for any of the reasons in subsection (D). An order modifying a decision or granting a rehearing shall specify with particularity the grounds for the order.

F. If a motion for rehearing or review is based upon affidavits, they shall be served with the motion. An opposing party may, within 15 days after service, serve opposing affidavits. The Board may extend this period for a maximum of 20 days, for good cause as described in subsection (I).

G. Not later than 10 days after the date of a decision, after giving parties notice and an opportunity to be heard, the Board may grant a rehearing or review on its own initiative for any reason for which it might have granted relief on the motion of a party. The Board may grant a motion for rehearing or review, timely served, for a reason not stated in the motion.

H. If a rehearing is granted, the Board shall hold the rehearing within 60 days after the order granting the rehearing is issued.

I. The Board may extend all time limits listed in this Section upon a showing of good cause. A party demonstrates good cause by showing that the grounds for the party's motion or other action could not have been known in time, using reasonable diligence, and a ruling on the motion will:

1. Further administrative convenience, expedition, or economy; or

2. Avoid undue prejudice to any party.

History

• New Section made by final rulemaking at 10 A.A.R. 1132, effective May 1, 2004 (Supp. 04-1).

Ariz. Admin. Code § R4-23-129 Notice of Judicial Appeal; Transmitting the Transcript

A. Notification to the Board office. Within 10 days of filing a complaint for judicial review of a final administrative decision of the Board, the party shall file a copy of the complaint with the Board office. The Board office shall then transmit the administrative record to the Superior Court.

B. Transcript. A party requesting a transcript shall arrange for transcription at the party's expense. The Board office shall make a copy of the audio taped record available to the transcriber. The party arranging for transcription shall deliver the transcript, certified by the transcriber under oath to be a true and accurate transcription of the audio taped record, to the Board office, together with one unbound copy.

History

• New Section made by final rulemaking at 10 A.A.R. 1132, effective May 1, 2004 (Supp. 04-1).

Article 2 PHARMACIST LICENSURE

Ariz. Admin. Code § R4-23-201 General

A. License required. Before practicing as a pharmacist in Arizona, a person shall possess a valid pharmacist license issued by the Board.

B. Methods of licensure. Licensure as a pharmacist shall be by:

1. Examination using a Board-approved testing method; or

2. Reciprocity, as provided under A.R.S. § 32-1922(B).

C. The Board may reinstate the license of a pharmacist who is practicing pharmacy in another jurisdiction and has an Arizona license that lapsed at least five years ago if the pharmacist:

1. Passes the MPJE or other Board-approved jurisprudence examination, and

Pays all fees and penalties specified under A.R.S. § 32-1925(C).

3. Pay penalty fees.

D. The Board may reinstate the license of a pharmacist who has not practiced pharmacy within the last 12 months before seeking reinstatement and whose Arizona license lapsed at least five years ago if the pharmacist:

1. Completes the requirements in subsection (C), and

2. Appears before the Board to furnish satisfactory proof of fitness to be licensed as a pharmacist.

E. Verification of license. A pharmacy permittee or pharmacist-in-charge shall not allow a person to practice as a pharmacist until the pharmacy permittee or pharmacist-in-charge verifies the person is currently licensed by the Board as a pharmacist.

History

• Former Rules 2.1100, 2.1310, 2.1320, and 2.1400. Amended effective August 23, 1978 (Supp. 78-4). Amended by deleting subsection (E) effective April 20, 1982 (Supp. 82-2). Amended subsections (C) and (D) effective August 12, 1988 (Supp. 88-3). Amended effective February 8, 1991 (Supp. 91-1). Amended effective January 12, 1998 (Supp. 98-1). Amended by final rulemaking at 10 A.A.R. 4356, effective December 4, 2004 (Supp. 04-4). Amended by final rulemaking at 19 A.A.R. 2911, effective November 10, 2013. Amended by final rulemaking at 30 A.A.R. 155, effective 3/4/2024.

Ariz. Admin. Code § R4-23-202 Licensure by Examination

A. Eligibility. To be eligible for licensure as a pharmacist by examination, a person shall:

1. Have a degree in pharmacy from an approved school or college of pharmacy; or

2. Qualify under the requirements of A.R.S. § 32-1922(D)

3. Complete no fewer than 1500 hours of intern training as specified in R4-23-303.

B. Application.

1. An applicant for licensure by examination shall:

a. Submit a completed application on a form furnished by the Board, and

b. Submit with the application form:

i. The documents specified in the application form, and

ii. The application fee specified in R4-23-205.

2. The Board office shall deem an application form received on the date the Board office electronically or manually date-stamps the form.

An applicant for licensure by examination shall register for The NAPLEX and jurisprudence examination through NABP's registration process. When NABP determines the applicant is eligible to test, NABP will issue an authorization to test.

4. The Board shall deem an application for licensure by examination invalid 12 months after the date the application is received. An applicant whose application form is invalid and who wishes to continue licensure procedures, shall submit a new application form and fee as specified under subsection (B)(1).

C. Passing grade; notification; re-examination.

1. To pass the required examinations, an applicant shall receive a passing grade on both the NAPLEX and jurisprudence examination.

2. The Board office shall

a. retrieve an applicant's NAPLEX and jurisprudence examination scores from the NABP database no later than two weeks after the applicant's examination date

b. Provide written notice by mail to an applicant who fails the NAPLEX or MPJE no later than seven days after the Board office retrieves the applicant's score from NABP.

3. An applicant who fails the NAPLEX or jurisprudence examination may register with the NABP to retake the examination within the 12-month period defined in subsection (B)(4). An applicant who fails the NAPLEX or jurisprudence examination three times shall petition the Executive Director as specified in R4-23-401 for approval before retaking the examination. If the applicant fails the NAPLEX or jurisprudence examination four times, the applicant shall petition the Board as specified in R4-23-401 for Board consideration before taking the examination for a last time.

4. For the purpose of licensure by examination, the Board office shall deem a passing score on the NAPLEX or jurisprudence examination invalid 24 months after the applicant's examination date. An applicant who fails to complete the licensure process within the 24-month period, and who wishes to continue licensure procedures, shall retake the examination or examinations.

D. NAPLEX score transfer.

1. The Board office shall deem a score transfer received on the date the NABP transmits the applicant's official score transfer report to the Board office.

2. An applicant who receives a passing score on the NAPLEX taken in another jurisdiction shall, within 12 months after the date the Board office receives the applicant's official NABP score transfer report, make application for licensure according to subsection (B). After 12 months, an applicant may reapply for licensure in this state under the provisions of subsection (B) or R4-23-203(B).

3. An applicant who takes the NAPLEX in another jurisdiction and fails the examination may apply for licensure in this state under the provisions of subsection (B).

E. Licensure.

1. The Board office shall issue a certificate of licensure and a wall license to a successful applicant

a. The initial licensure fee specified in R4-23-205, and

b. The wall license fee specified in R4-23-205.

2. A licensee shall maintain the certificate of licensure in the practice site for inspection by the Board or its designee or review by the public.

F. Time frames for licensure by examination.

1. The Board office shall complete an administrative completeness review within 60 days after the date the application form is received.

a. The Board office shall issue a written notice of administrative completeness to the applicant if no deficiencies are found in the application form.

b. If the application form is incomplete, the Board office shall provide the applicant with a written notice that includes a comprehensive list of the missing information. The 60-day time frame for the Board office to finish the administrative completeness review is suspended from the date the notice of incompleteness is served until the applicant provides the Board office with all missing information.

c. If the Board office does not provide the applicant with written notice regarding administrative completeness, the application form shall be deemed complete 60 days after receipt by the Board office.

2. An applicant with an incomplete application form shall submit all of the missing information within 90 business days after service of the notice of incompleteness.

a. If an applicant cannot submit all missing information within 90 business days after service of the notice of incompleteness, the applicant may send a written notice of a 30-day extension to the Board office postmarked or delivered no later than 90 business days after service of the notice of incompleteness.

b. The written request for an extension shall document the reasons the applicant is unable to meet the 90-day deadline.

c. The Board office shall review the request for an extension of the 90-day deadline and grant the request if the Board office determines that an extension of the deadline will enable the applicant to assemble and submit the missing information. An extension shall be for no more than 30 days. The Board office shall notify the applicant in writing of its decision to grant or deny the request for an extension.

3. If an applicant fails to submit a complete application form within the time allowed under subsection (F)(2), the Board office shall close the applicant's file. An applicant whose file is closed and who later wishes to obtain a license shall apply again according to subsection (B).

4. The Board office shall complete a substantive review of the applicant's qualifications in no more than 120 days after the date on which the administrative completeness review of an application form is complete.

a. If an applicant is found to be ineligible for licensure by examination, the Board office shall issue a written notice of denial to the applicant.

b. If an applicant is found to be eligible to take the NAPLEX, the Board office shall notify the NABP that the applicant is eligible to test. The NABP shall issue the applicant an authorization to test letter.

c. If an applicant is found to be eligible to take the MPJE, the Board office shall notify the NABP that the applicant is eligible to test. The NABP shall issue the applicant an authorization to test letter.

d.a. The Board office shall deem the application invalid 12 months after the date the application for licensure by examination is received.

e.b. If the Board office finds deficiencies during the substantive review of the applicant's qualifications, the Board office shall issue a written request to the applicant for additional documentation.

f.c. The 120-day time frame for a substantive review is suspended from the date of a written request for additional documentation until the date all documentation is received. The applicant shall submit the additional documentation according to subsection (F)(2).

g.d. If the applicant and the Board office agree in writing, the 120-day substantive review time frame may be extended once for no more than 45 days.

5. For the purpose of A.R.S. § 41-1072 et seq., the Board establishes the following time frames for licensure by examination.

a. Administrative completeness review time frame: 60 days.

b. Substantive review time frame: 120 days.

c. Overall time frame: 180 days.

G. License renewal.

1. To renew a license, a pharmacist shall submit a completed license renewal application on a form furnished by the Board with the biennial renewal fee specified in R4-23-205.

2. If the biennial renewal fee is not paid by November 1 of the renewal year specified in A.R.S. § 32-1925, the pharmacist license is suspended and the licensee shall not practice as a pharmacist. The suspended licensee shall pay a reinstatement penalty as provided in A.R.S. § 32-1925 and R4-23-205 to vacate the suspension.

3. A licensee shall maintain the renewal certificate of licensure in the practice site for inspection by the Board or its designee or review by the public.

4. Time frames for license renewals. The Board office shall follow the time frames established in subsection (F) when processing a renewal application.

History

• Former Rules 2.2100, 2.2200, 2.2300, 2.2400, 2.2500, 2.2600, 2.2700, 2.2800, 2.2910, 2.2920, 2.2930, 2.3000, 2.3010, 2.3100; Amended effective August 23, 1978 (Supp. 78-5). Amended effective June 10, 1981 (Supp. 81-3). Former Section R4-23-202 repealed, new Section R4-23-202 adopted effective July 24, 1985 (Supp. 85-4). Amended effective March 13, 1991 (Supp. 91-1). Amended effective January 12, 1998 (Supp. 98-1). Amended by final rulemaking at 8 A.A.R. 409 and 8 A.A.R. 646, effective January 10, 2002 (Supp. 02-1). Amended by final rulemaking at 10 A.A.R. 4356, effective December 4, 2004 (Supp. 04-4). Amended by final rulemaking at 12 A.A.R. 4689, effective February 3, 2007 (Supp. 06-4). Amended by final rulemaking at 14 A.A.R. 3605, effective November 8, 2008 (Supp. 08-3). Amended by final rulemaking at 19 A.A.R. 2911, effective November 10, 2013. Amended by final rulemaking at 25 A.A.R. 1015, effective 6/1/2019. Amended by final rulemaking at 30 A.A.R. 155, effective 3/4/2024.

Ariz. Admin. Code § R4-23-203 Licensure by Reciprocity

A. Eligibility. A person is eligible for licensure by reciprocity

1. if the person is licensed as a pharmacist in another jurisdiction and qualified under A.R.S. § 32-1922(B).

2. Has passed the NABPLEX or NAPLEX with a score of 75 or better or was licensed by examination in another jurisdiction having essentially the same standards for licensure as this state at the time the pharmacist was licensed, and

3. Provides evidence to the Board of having completed the required secondary and professional education and training specified in R4-23-202(A) .

B. Application.

1. An applicant for licensure by reciprocity shall comply with R4-23-202(B).

a. Submit a completed application for licensure by reciprocity electronically or manually on a form furnished by the Board, and

b. Submit with the application form:

i. The documents specified in the application form, and

ii. The reciprocity fee specified in R4-23-205(B) .

2. The Board office shall deem an application form received on the date the Board office electronically or manually date-stamps the form.

3. An applicant for licensure by reciprocity shall register for MPJE through NABP's registration process.

4. The Board office shall deem an application for licensure by reciprocity invalid after 12 months from the date the application is received. An applicant whose application form is invalid and who wishes to continue licensure procedures shall submit a new application form and fee specified in subsection (B)(1).

C. Passing grade; notification; re-examination. An applicant for licensure by reciprocity shall comply with R4-23-202(C) regarding the jurisprudence examination.

1. To pass the required examination, an applicant shall obtain a score of at least 75 on the MPJE.

2. The Board office shall:

a. Retrieve an applicant's MPJE score from the NABP database no later than two weeks after the applicant's examination date, and

b. Provide written notice by mail to an applicant who fails the MPJE no later than seven days after the Board office retrieves the applicant's score from NABP.

3. An applicant who fails the MPJE may register with the NABP to retake the examination within the 12-month period specified in subsection (B)(4). An applicant who fails the MPJE three times shall petition the Board as specified in R4-23-401 for Board approval before retaking the examination.

4. For the purpose of licensure by reciprocity, the Board office shall deem a passing score on the MPJE invalid after 24 months from the applicant's examination date. An applicant who fails to complete the licensure process within the 24-month period, and who wishes to continue licensure procedures, shall retake the examination.

D. Licensure. The provisions of R4-23-202(E) apply for an applicant for licensure by reciprocity.

1. The Board office shall issue a certificate of licensure and a wall license to a successful applicant upon receipt of:

a. The initial licensure fee specified in R4-23-205, and

b. The wall license fee specified in R4-23-205 .

2. A licensee shall maintain the certificate of licensure in the practice site for inspection by the Board or its designee or review by the public.

E. Time frames for licensure by reciprocity. The Board office shall follow the time frames established in R4-23-202(F).

F. License renewal. The procedure specified in R4-23-202(G) applies.

History

• Former Rules 2.4100, 2.4200, 2.4310, 2.4320, 2.4330, 2.4340, 2.4350, 2.4360, 2.4400, 2.4510, 2.4520, 2.4522, 2.4523, 2.4530, 2.4540, 2.4550, 2.4560, 2.4610, 2.4620, and 2.4700; Amended effective August 23, 1978 (Supp. 78-4). Amended subsections (H), (L), (O) through (Q) effective June 10, 1981 (Supp. 81-3). Former Section R4-23-203 repealed, new Section R4-23-203 adopted effective July 24, 1985 (Supp. 85-4). Amended effective March 13, 1991 (Supp. 91-1). Amended effective January 12, 1998 (Supp. 98-1). Amended effective January 12, 1998 (Supp. 98-1). Amended by final rulemaking at 8 A.A.R. 409 and 8 A.A.R. 646, effective January 10, 2002 (Supp. 02-1). Amended by final rulemaking at 10 A.A.R. 4356, effective December 4, 2004 (Supp. 04-4). Amended by final rulemaking at 14 A.A.R. 3605, effective November 8, 2008 (Supp. 08-3). Amended by final rulemaking at 19 A.A.R. 2911, effective November 10, 2013. Amended by final rulemaking at 25 A.A.R. 1015, effective 6/1/2019. Amended by final rulemaking at 30 A.A.R. 155, effective 3/4/2024.

Ariz. Admin. Code § R4-23-204 Continuing Education Requirements

A. Under A.R.S. § 32-1936, continuing professional pharmacy education is mandatory for all licensees.

1. General continuing education requirement. In accordance with A.R.S. § 32-1925(F), the Board shall not renew a license unless the licensee has, during the two years preceding the application for renewal, participated in 30 contact hours (3.0 CEUs) of continuing education activity sponsored by an Approved Provider as defined in R4-23-110.

2. Special continuing education requirement. The Board shall not renew a license unless:

a. A licensee certified under R4-23-411 to administer immunizations, vaccines, and emergency medications has participated in at least two contact hours of continuing education activity related to administering immunizations, vaccines, and emergency medications;

b. A licensee authorized to dispense controlled substances has participated in at least three contact hours of opioid-related, substance use disorder-related, or addiction-related continuing education activity; and

c. A licensee who dispenses self-administered hormonal contraceptives under a standing prescription order has participated in at least three contact hours of continuing education activity related to self-administered hormonal contraceptives.

3. A pharmacist is exempt from the continuing education requirement in subsections (A)(1) and (2) between the time of initial licensure and first renewal.

B. Acceptance of continuing education units CEUs. The Board shall:

1. Accept CEUs for continuing education activities sponsored only by an Approved Provider;

2. Accept CEUs accrued only during the two-year period immediately before licensure renewal;

3. Not allow CEUs accrued in a biennial renewal period to be carried forward to the succeeding biennial renewal period;

4. Allow a pharmacist who leads, instructs, or lectures to a group of health professionals on pharmacy-related topics in a continuing education activity sponsored by an Approved Provider to receive CEUs for a presentation by following the same attendance procedures as any other attender of the continuing education activity; and

5. Not accept as CEUs the performance of normal teaching duties within a learning institution by a pharmacist whose primary responsibility is the education of health professionals.

C. Continuing education records and reporting CEUs. A pharmacist shall:

1. Maintain continuing education records that:

a. Verify the continuing education activities the pharmacist participated in during the preceding five years; and

b. Consist of a statement of credit or a certificate issued by an Approved Provider at the conclusion of a continuing education activity;

2. At the time of licensure renewal, attest to the number of CEUs the pharmacist participated in during the renewal period on the biennial renewal form; and

3. When requested by the Board office, submit proof of continuing education participation within 20 days of the request.

D. The Board may revoke, suspend, or place on probation the license of a pharmacist who fails to comply with continuing education participation, recording, or reporting requirements of this Section.

E. A pharmacist who is aggrieved by any decision of the Board or its administrative staff concerning continuing education units may request a hearing before the Board.

History

• Adopted effective September 1, 1981 (Supp. 81-5). Amended effective March 13, 1991 (Supp. 91-1). Amended by final rulemaking at 8 A.A.R. 409 and 8 A.A.R. 646, effective January 10, 2002 (Supp. 02-1). Amended by final rulemaking at 26 A.A.R. 223, effective 3/14/2020. Amended by final rulemaking at 29 A.A.R. 1655, effective 7/5/2023.

Ariz. Admin. Code § R4-23-205 Fees and Charges

A. The Board establishes and shall collect the full biennial fee for all initial and renewal license and permit applications listed in subsections (B) and (C).

1. If a license or permit is issued from November of an odd-numbered year through October of an even-numbered year, the licensee or permittee shall renew on or before November 1 of the next odd-numbered year.

2. If a license or permit is issued from November of an even-numbered year through October of an odd-numbered year, the licensee or permittee shall renew on or before November 1 of the next even-numbered year.

B. Licensure fees:

1. Pharmacist:

a. Initial licensure: $180.

b. Licensure renewal: $180.

2. Intern. Initial licensure: $50.

3. Pharmacy technician:

a. Initial licensure: $72.

b. Licensure renewal: $72.

4. Temporary license valid for 30 days:

a. Pharmacist: $120.

b. Intern: $50.

c. Pharmacy technician: $50.

C. Vendor permit fees (Resident and nonresident):

1. Pharmacy: $480 biennially (Including hospital, and limited service).

2. Drug wholesaler or manufacturer:

a. Manufacturer: $1000 biennially.

b. Full-service drug wholesaler: $1000 biennially.

c. Nonprescription drug wholesaler: $500 biennially.

3. Drug packager or repackager: $1000 biennially.

4. Compressed medical gas distributor: $200 biennially.

5. Durable medical equipment and compressed medical gas supplier: $100 biennially.

6. Third-party logistics provider: $1000 biennially.

7. Automated prescription-dispensing kiosk: $480 biennially.

D. Pharmacy technician trainee 36-month, non-renewable, registration: $25.

1. If an individual obtained an initial pharmacy technician trainee license before August 9, 2017, the Board shall allow the individual to reapply once for a pharmacy technician trainee license if the individual reapplies before the initial license expires and pays a reapplication fee of $36; and

2. If a pharmacy technician trainee's initial license expires before August 9, 2017, and the pharmacy technician trainee does not reapply before August 9, 2017, the Board shall not allow the former pharmacy technician trainee to reapply.

E. Reciprocity fee: $150.

F. Application fee: $50.

G. Certificate fees:

1. Certificate of free sale: $200 per certificate.

2. Certificate of good manufacturing practice: $200 per certificate.

3. Annual inspection fee calculated at the average hourly rate of a pharmacy inspector multiplied by the duration of the inspection measured in 10-minute increments or portion of a 10-minute increment.

H. Charges for services:

1. Wall license.

a. Pharmacist: $20.

b. Intern: $10.

c. Pharmacy technician: $10.

d. Pharmacy technician trainee: $10.

Duplicate of any Board-issued certificate: $10.

3. Duplicate current renewal license: $10.

4.3. License, permit, or certificate verification: $15.

I. Fees are not refunded under any circumstances except for the Board's failure to comply with its established licensure or permit time frames under R4-23-202 or R4-23-602.

J. Penalty. A renewal application submitted after the expiration date is subject to a penalty as provided in A.R.S. §§ 32-1925 and 32-1931.

1. Licensee: A penalty equal to half the licensee's biennial licensure renewal fee under subsection (B) and not to exceed $350.

2. Permittee: A penalty equal to half the permittee's biennial permit fee under subsection (C) and not to exceed $350.

History

• Adopted effective July 24, 1985 (Supp. 84-5). Amended subsection (A) paragraph (1) effective May 20, 1988 (Supp. 88-2). Amended effective August 12, 1988 (Supp. 88-3). Amended effective February 8, 1991 (Supp. 91-1). Amended effective April 1, 1995; filed with the Secretary of State January 31, 1995 (Supp. 95-1). Amended effective January 12, 1998 (Supp. 98-1). Amended by final rulemaking at 6 A.A.R. 4589, effective November 14, 2000 (Supp. 00-4). Amended by final rulemaking at 8 A.A.R. 409 and 8 A.A.R. 646, effective January 10, 2002 (Supp. 02-1). Amended by final rulemaking at 8 A.A.R. 416, effective January 10, 2002 (Supp. 02-1). Amended by final rulemaking at 10 A.A.R. 1192, effective May 1, 2004 (Supp. 04-1). Amended by final rulemaking at 12 A.A.R. 3032, effective October 1, 2006 (Supp. 06-3). Amended by final rulemaking at 15 A.A.R. 173, effective March 7, 2009 (Supp. 09-1). Amended by final rulemaking at 20 A.A.R. 1359, effective 8/2/2014. Amended by exempt rulemaking at 22 A.A.R. 2606, effective 8/31/2016. Amended by final exempt rulemaking at 23 A.A.R. 2058, effective 8/9/2017. Amended by final exempt rulemaking at 23 A.A.R. 2383, effective 8/9/2017. Amended by final rulemaking at 25 A.A.R. 1015, effective 6/1/2019. Amended by final rulemaking at 26 A.A.R. 223, effective 3/14/2020. Amended by final rulemaking at 30 A.A.R. 155, effective 3/4/2024.

Article 3 INTERN TRAINING; INTERN PRECEPTORS

Ariz. Admin. Code § R4-23-301 Intern Licensure

A. Licensure as an intern is for the purpose of complementing an individual's academic or experiential education in preparation for licensure as a pharmacist. An applicant may request a waiver of intern licensure requirements by submitting a written request as specified in R4-23-401 and appearing in person at a Board meeting.

B. The prerequisite for licensure as an intern is one of the following:

1. Current enrollment, in good standing, in an approved college or school of pharmacy;

2. Graduation from a college or school of pharmacy along with:

3.a. Proof the applicant is certified by the Foreign Pharmacy Graduate Examination Committee (FPGEC), if applicable; or

b. Application for licensure as a pharmacist by examination or reciprocity; or

4.3. By order of the Board if the Board determines the applicant needs intern training.

C. If an intern licensee stops attending pharmacy school classes without graduating, the licensee shall immediately stop practicing as an intern and surrender the intern license to the Board or the Board's designee no later than 30 days after the date of the last attended class, unless the licensee petitions the Board as specified in R4-23-401 and receives Board approval to continue working as an intern. A student reentering a pharmacy program who wishes to continue internship training shall reapply for intern licensure.

D. The prerequisites for licensure as a graduate intern are:

1. Graduation from a Board-approved college or school of pharmacy, and

2. Application for licensure as a pharmacist by examination or reciprocity, or

3. By order of the Board if the Board determines that the applicant needs intern training.

E. D. Experiential training. The preceptor supervising an intern shall ensure the training received by the intern includes the activities and services encompassed by the term "practice of pharmacy" as defined in A.R.S. § 32-1901.

F. E. Out-of-state experiential training. The Board shall credit an intern for experiential training received outside this state if the Board determines the experiential training requirements of the jurisdiction in which the training was received are equal to the minimum requirements for experiential training in this state. An applicant seeking credit for experiential training received outside this state shall furnish a certified copy of the training records from:

1. The Board of Pharmacy or the intern licensing agency of the jurisdiction where the training was received; or

2. In a jurisdiction without an intern licensing agency, the director of the applicant's approved college or school of pharmacy's experiential training program.

G. F. Verification of license. A pharmacy permittee or pharmacist-in-charge shall not allow an individual to practice as an intern until the pharmacy permittee or pharmacist-in-charge verifies the individual is currently licensed by the Board as an intern.

H. G. Intern application.

1. An applicant for licensure as an intern shall:

a. Submit a completed application on a form furnished by the Board, and

b. Submit with the application form:

i. The documents specified in the application form, and

ii. The initial licensure fee specified in R4-23-205

iii. The wall license fee specified in R4-23-205.

2. The Board office shall deem an application form received on the date the Board office electronically or manually date-stamps the form.

I. H. Licensure.

1. If an applicant is found to be ineligible for intern licensure under statute and rule, the Board office shall issue a written notice of denial to the applicant.

2. If an applicant is found to be eligible for intern licensure under statute and rule, the Board office shall issue a certificate of licensure and a wall license. An applicant who is assigned a license number and has been granted "open" status on the Board's license verification site may begin practice as an intern before receiving the certificate of licensure.

3. An applicant who is assigned a license number and has a "pending" status on the Board's license verification site shall not practice as an intern until the Board office issues a certificate of licensure as specified in subsection (H)(2).

4. A licensee shall maintain the certificate of licensure in the practice site for inspection by the Board or its designee or review by the public.

J. I.Time frames for intern licensure. The Board office shall follow the time frames established in R4-23-202(F).

K. J. License renewal.

1. an intern whose license expires before the intern completes the education or training required for licensure as a pharmacist but fewer than six years after issuance of the initial intern license may renew the intern license for a period equal to the difference between the expiration date of the initial intern license and six years from the issue date of the initial intern license by paying a prorated renewal fee based on the Intern initial license fee specified in R4-23-205.

2. If an intern fails to graduate from an approved college or school of pharmacy within six years from the date the Board issues the initial intern license, the intern is not eligible for relicensure as an intern unless the intern obtains Board approval as specified in A.R.S. § 32-1923(E) and R4-23-401. To remain in good standing, an intern who receives Board approval for relicensure shall pay a prorated renewal fee for the number of months of licensure approved by the Board based on the Intern initial license fee specified in R4-23-205 before the license expires.

3. If an intern receives Board approval for relicensure and does not pay the renewal fee specified in subsection (J)(2) before the license expires, the intern license is suspended and the suspended licensee shall not practice as an intern until the suspended licensee Pays a penalty as provided in A.R.S. § 32-1925 and R4-23-205 to vacate the suspension.

L. K. Notification of training.

1. An intern who is employed as an intern outside the experiential training program of an approved college or school of pharmacy shall notify the Board within 10 days of starting or terminating training or changing training site.

2. The director of a Board-approved college or school of pharmacy's experiential training program shall provide the Board an intern training report as specified in R4-23-304(B)(3) .

L. Change of address. An intern shall notify the Board within 10 days after the intern's employment or mailing address changes.

History

• Former Rules 3.1000, 3.1100, 3.1200, 3.2000, 3.2100, and 3.2200; Amended effective August 23, 1978 (Supp. 78-4). Amended effective April 20, 1982 (Supp. 82-2). Amended subsections (A), (F) and (G) effective August 12, 1988 (Supp. 88-3). Amended effective November 1, 1993 (Supp. 93-4). Amended by final rulemaking at 8 A.A.R. 416, effective January 10, 2002 (Supp. 02-1). Amended by final rulemaking at 10 A.A.R. 4356, effective December 4, 2004 (Supp. 04-4). Amended by final rulemaking at 11 A.A.R. 3565, effective November 12, 2005 (Supp. 05-3). Amended by final rulemaking at 12 A.A.R. 3032, effective October 1, 2006 (Supp. 06-3). Amended by final rulemaking at 14 A.A.R. 3670, effective November 8, 2008 (Supp. 08-3). Amended by final rulemaking at 19 A.A.R. 2911, effective November 10, 2013. Amended by final rulemaking at 25 A.A.R. 1015, effective 6/1/2019. Amended by final rulemaking at 30 A.A.R. 155, effective 3/4/2024.

Ariz. Admin. Code § R4-23-302 Training Site; Intern Preceptors; Training Time

A. To receive credit for intern training hours, an intern shall train in a site that:

1. Holds a valid Arizona pharmacy permit; or

2. Is an alternative training site. For purposes of this Section, the term alternative training site is a non-pharmacy training site established and monitored by an approved college or school of pharmacy or other non-pharmacy site where pharmacy-related activities are performed and where an intern gains experience as specified in R4-23-301(D).

B. Intern preceptor. To be an intern preceptor, a pharmacist shall:

1. Hold a current unrestricted pharmacist license;

2. Have at least one year of experience as an actively practicing pharmacist; and

3. If found guilty of violating any federal or state law relating to the practice of pharmacy, drug or device distribution, or recordkeeping or unprofessional conduct, enter into an agreement satisfactory to the Board that places restrictions on the pharmacist's license.

C. Preceptor responsibilities. A preceptor is responsible for the actions of an intern during the training period. A preceptor shall give an intern the opportunity for skill development and provide. The intern with timely and realistic feedback regarding the intern's progress.

D. Training hours. An intern preceptor shall ensure the intern receives hours of experiential training consistent with the requirements of the ACPE.

History

• Former Rules 3.3000, 3.3100, 3.3200, 3.3300, 3.3310, 3.3320, 3.3330, 3.3340, 3.3400, 3.4000, 3.4100, 3.4200, 3.4300, and 3.4400; Amended effective August 9, 1983 (Supp. 83-4). Amended by final rulemaking at 8 A.A.R. 416, effective January 10, 2002 (Supp. 02-1). Amended by final rulemaking at 14 A.A.R. 3605, effective November 8, 2008 (Supp. 08-3). Amended by final rulemaking at 25 A.A.R. 1015, effective 6/1/2019. Amended by final rulemaking at 30 A.A.R. 155, effective 3/4/2024.

Ariz. Admin. Code § R4-23-303 [Repealed]

History

• Former Rules 3.5000 and 3.5200; Amended effective August 23, 1978 (Supp. 78-4). Amended effective August 9, 1983 (Supp. 83-4). Amended by final rulemaking at 8 A.A.R. 416, effective January 10, 2002 (Supp. 02-1). Amended by final rulemaking at 18 A.A.R. 2619, effective December 2, 2012 (Supp. 12-4). Repealed by final rulemaking at 30 A.A.R. 155, effective 3/4/2024.

Ariz. Admin. Code § R4-23-304 [Repealed]

History

• Former Rules 3.6100, 3.6200, 3.6300, and 3.6400; Amended effective August 23, 1978 (Supp. 78-4). Amended by final rulemaking at 8 A.A.R. 416, effective January 10, 2002 (Supp. 02-1). Amended by final rulemaking at 10 A.A.R. 4356, effective December 4, 2004 (Supp. 04-4). Amended by final rulemaking at 18 A.A.R. 2619, effective December 2, 2012 (Supp. 12-4). Amended by final rulemaking at 19 A.A.R. 2911, effective November 10, 2013. Repealed by final rulemaking at 30 A.A.R. 155, effective 3/4/2024.

Ariz. Admin. Code § R4-23-305 [Repealed]

History

• Former Rule 3.7000; Amended effective August 23, 1978 (Supp. 78-4). Amended by final rulemaking at 8 A.A.R. 416, effective January 10, 2002 (Supp. 02-1). Repealed by final rulemaking at 30 A.A.R. 155, effective 3/4/2024.

Article 4 PROFESSIONAL PRACTICES

Ariz. Admin. Code § R4-23-401 Time-frames for Board Approvals and Special Requests

A. To request a Board approval required by this Chapter or a special request to deviate from or waive compliance with a requirement of this Chapter, a person shall send a letter by regular mail, e-mail, or facsimile to the Board office, detailing the nature of the approval or special request, including the applicable Arizona Revised Statute or administrative code citation. This Section does not apply to a request from a person regarding the probation, suspension, or revocation of a license or permit.

B. The Board office shall complete an administrative completeness review within 15 days from the date of receipt of a written request and immediately open a request file for the applicant.

1. The Board office shall issue a written notice of administrative completeness to the applicant if no deficiencies are found in the request.

2. If the request is incomplete, the Board office shall provide the applicant with a written notice that includes a comprehensive list of the missing information. The 15-day time-frame for the Board office to finish the administrative completeness review is suspended from the date the notice of incompleteness is served until the applicant provides the Board office with all missing information.

3. If the Board office does not provide the applicant with notice regarding administrative completeness, the request is deemed complete 15 days after receipt by the Board office.

C. An applicant with an incomplete request shall submit all of the missing information within 30 days of service of the notice of incompleteness.

1. If an applicant cannot submit all missing information within 30 days of service of the notice of incompleteness, the applicant may send a written request for an extension to the Board office post-marked or delivered no later than 30 days from service of the notice of incompleteness.

The written request for an extension shall document the reasons the applicant cannot meet the 30-day deadline.

The Board office shall review the request for an extension of the 30-day deadline and grant the request if the Board office determines that an extension of the deadline will enable the applicant to assemble and submit the missing information. An extension shall be for no more than 30 days. The Board office shall notify the applicant in writing of its decision to grant or deny the request for an extension. An applicant who requires an additional extension shall submit an additional written request according to subsections (C)(1) and (C)(2).

D. If an applicant fails to submit a complete request within the time allowed, the Board office shall close the applicant's request file. An applicant whose request file is closed and who later wishes to obtain an approval or special request shall apply again according to subsection (A).

E. From the date on which the administrative completeness review of a request is finished, the Board shall complete a substantive review of the applicant's request in no more than 120 days.

1. The Board shall:

a. Approve the request,

b. Deny the request, or

c. If the Board determines deficiencies exist, request that the applicant produce additional documentation.

2. If the Board approves or denies, the Board office shall issue a written approval or denial.

3. If the Board finds deficiencies during the substantive review of a request, the Board office shall issue a written request to the applicant for additional documentation.

4. The 120-day time-frame for a substantive review of a request for approval or special request is suspended from the date of a written request for additional documentation until the date of the next Board meeting after all documentation is received. The applicant shall submit the additional documentation according to subsection (C).

5. If the applicant and the Board office mutually agree in writing, the 120-day substantive review time-frame may be extended once for no more than 30 days.

F. If the applicant fails to submit the additional information requested within the time allowed, the Board office shall close the applicant's request file. An applicant whose request file is closed and who later wishes to obtain an approval or special request shall apply again according to subsection (A).

G. For the purpose of A.R.S. § 41-1072 et seq., the Board establishes the following time-frames for a Board approval required by this Chapter or a special request to deviate from or waive compliance with a requirement of this Chapter:

1. Administrative completeness review time-frame: 15 days;

2. Substantive review time-frame: 120 days; and

Overall time-frame: 135 days.

History

• Former Rule 4.1000; Former Section R4-23-401 repealed, new Section R4-23-401 adopted effective August 9, 1983 (Supp. 83-4). Amended effective May 16, 1990 (Supp. 90-2). Repealed effective August 24, 1992 (Supp. 92-3). New Section made by final rulemaking at 9 A.A.R. 3184, effective August 30, 2003 (Supp. 03-3).

Ariz. Admin. Code § R4-23-402 Pharmacist, Graduate Intern, and Pharmacy Intern

A. A pharmacist or a graduate intern or pharmacy intern under the supervision of a pharmacist shall perform the following professional practices in dispensing a prescription medication from a prescription order:

1. Receive, reduce to written form, and manually initial oral prescription orders;

2. Obtain and record the name of the individual who communicates an oral prescription order;

3. Obtain, or assume responsibility to obtain, from the patient, patient's agent, or medical practitioner and record, or assume responsibility to record, in the patient's profile, the following information:

a. Name, address, telephone number, date of birth (or age), and gender;

b. Individual history including known diseases and medical conditions, known drug allergies or drug reactions, and if available a comprehensive list of medications currently taken and medical devices currently used;

4. Record, or assume responsibility to record, in the patient's profile, a pharmacist's, graduate intern's, or pharmacy intern's comments relevant to the patient's drug therapy, including other information specific to the patient or drug;

5. Verify the legality and pharmaceutical feasibility of dispensing a drug based upon:

a. The patient's allergies,

b. Incompatibilities with medications the patient currently takes,

c. The patient's use of unusual quantities of dangerous drugs or narcotics,

d. A medical practitioner's signature, and

e. The frequency of refills;

6. Verify that a dosage is within proper limits;

7. Interpret the prescription order, which includes exercising professional judgment in determining whether to dispense a particular prescription;

Compound, mix, combine, or otherwise prepare and package the prescription medication needed to dispense individual prescription orders;

9. Prepackage or supervise the prepackaging of drugs by a pharmacy technician or pharmacy technician trainee under R4-23-1104. For drugs prepackaged by a pharmacy technician or pharmacy technician trainee, a pharmacist shall:

a. Verify the drug to be prepackaged;

b. Verify that the label meets the official compendium's standards;

c. Check the completed prepackaging procedure and product; and

d. Manually initial the completed label; or

e. For automated packaging systems, manually initial the completed label or a written log or initial a computer-stored log;

Check prescription order data entry to ensure that the data input:

a. Is for the correct patient by verifying the patient's name, address, telephone number, gender, and date of birth or age;

b. Is for the correct drug by verifying the drug name, strength, and dosage form;

c. Communicates the prescriber's directions precisely by verifying dose, dosage form, route of administration, dosing frequency, and quantity; and

d. Is for the correct medical practitioner by verifying the medical practitioner's name, address, and telephone number;

11. Except as provided in subsection (A)(12), make a final accuracy check of the completed prescription label including verification of medication, accuracy of patient's name, consistency with prescription order, and drug utilization review and initial in handwriting or by another method approved by the Board or its designee the finished label;

12. If a technology-assisted verification of product program is used, make a final accuracy check of the completed prescription label including accuracy of patient's name, consistency with prescription order, and drug utilization review and initial in handwriting or by another method approved by the Board or its designee the finished label. If a technology-assisted verification of product program is used, verification of product is not required.

Record, or assume responsibility to record, a prescription serial number and date dispensed on the original prescription order;

14. Obtain, or assume responsibility to obtain, permission to refill a prescription order and record, or assume responsibility to record on the original prescription order:

a. Date dispensed,

b. Quantity dispensed, and

c. Name of medical practitioner or medical practitioner's agent who communicates permission to refill the prescription order;

15. Reduce to written or printed form, or assume responsibility to reduce to written or printed form, a new prescription order received by:

a. Fax

b. E-mail, or

c. Other means of communication;

16. Verify, or assume responsibility to verify, that a completed prescription medication is sold only to the correct patient, patient's care-giver, or authorized agent;

17. Record on the original prescription order the name or initials of the pharmacist, graduate intern, or pharmacy intern who originally dispenses the prescription order; and

18. Record on the original prescription order the name or initials of the pharmacist, graduate intern, or pharmacy intern who dispenses each refill.

B. Only a pharmacist, graduate intern, or pharmacy intern shall provide oral consultation about a prescription medication to a patient or patient's care-giver in an outpatient setting, including a patient discharged from a hospital. The oral consultation is required whenever the following occurs:

1. The prescription medication has not been previously dispensed to the patient in the same strength or dosage form or with the same directions;

2. The pharmacist, through the exercise of professional judgment, determines that oral consultation is warranted; or

3. The patient or patient's care-giver requests oral consultation.

C. Oral consultation shall include:

1. Reviewing the name and strength of a prescription medication or name of a prescription-only device and the labeled indication of use for the prescription medication or prescription-only device;

2. Reviewing the prescription's directions for use;

3. Reviewing the route of administration; and

4. Providing oral information regarding special instructions and written information regarding side effects, procedure for missed doses, or storage requirements.

D. When, in the professional judgment of the pharmacist or graduate intern or pharmacy intern under the supervision of a pharmacist, or when circumstance precludes it, oral consultation may be omitted if the pharmacist, graduate intern, or pharmacy intern:

1. Personally provides written information to the patient or patient's care-giver that summarizes the information that would normally be orally communicated;

Documents, or assumes responsibility to document, both the circumstance and reason for not providing oral consultation by a method approved by the Board or its designee; and

3. Offers the patient or patient's care-giver the opportunity to communicate with a pharmacist, graduate intern, or pharmacy intern at a later time and provides a method for the patient or patient's care-giver to contact a pharmacist, graduate intern, or pharmacy intern at the pharmacy.

E. The pharmacist or graduate intern or pharmacy intern under the supervision of a pharmacist, through the exercise of professional judgment, may provide oral consultation that includes:

1. Common severe adverse effects, interactions, or therapeutic contraindications, and the action required if they occur;

2. Techniques of self-monitoring drug therapy;

The duration of the drug therapy; and

4. Prescription refill information.

F. Nothing in subsection (B) requires a pharmacist, graduate intern, or pharmacy intern to provide oral consultation if a patient or patient's care-giver refuses the consultation.

G. Using a method approved by the Board or its designee, a pharmacist, graduate intern, or pharmacy intern shall document, or assume responsibility to document, that oral consultation is or is not provided.

H. Oral consultation documentation. When oral consultation is required as specified in subsection (B), a pharmacist, graduate intern, or pharmacy intern shall:

Document, or assume responsibility to document, that oral consultation is provided; or

2. When a patient refuses oral consultation or a person other than the patient or patient's care-giver picks up a prescription and oral consultation is not provided, document, or assume responsibility to document, that oral consultation is not provided; or

3. When a pharmacist, graduate intern, or pharmacy intern determines to omit oral consultation under subsection (D) and oral consultation is not provided, document, or assume responsibility to document, both the circumstance and reason that oral consultation is not provided; and

4. Document, or assume responsibility to document, the name, initials, or identification code of the pharmacist, graduate intern, or pharmacy intern who did or did not provide oral consultation.

I. When a prescription is delivered to the patient or patient's care-giver outside the immediate area of a pharmacy and a pharmacist is not present, the prescription shall be accompanied by written or printed patient medication information that, in addition to the requirements in subsection (C), includes:

1. Approved use for the prescription medication;

2. Possible adverse reactions;

3. Drug-drug, food-drug, or disease-drug interactions;

Missed dose information; and

Telephone number of the dispensing pharmacy or another method approved by the Board or its designee that allows a patient or patient's care-giver to consult with a pharmacist.

J. A prescription medication or prescription-only device, delivered to a patient at a location where a licensed health care professional is responsible for administering the prescription medication to the patient, is exempt from the requirement of subsection (C).

K. A pharmacist, graduate intern, or pharmacy intern shall wear a badge indicating name and title while on duty.

L. Nothing in this Section prevents a hospital pharmacist from accepting a prescription order according to rules pertaining specifically to hospital pharmacies.

History

• Former Rule 4.1100; Amended effective August 10, 1978 (Supp. 78-4). Amended effective August 9, 1983 (Supp. 83-4). Amended effective May 16, 1990 (Supp. 90-2). Amended effective July 7, 1998 (Supp. 98-3). Amended by final rulemaking at 6 A.A.R. 4656, effective November 14, 2000 (Supp. 00-4). Amended by final rulemaking at 9 A.A.R. 5030, effective January 3, 2004 (Supp. 03-4). Amended by final rulemaking at 10 A.A.R. 1192, effective May 1, 2004 (Supp. 04-1). Amended by final rulemaking at 11 A.A.R. 2258, effective August 6, 2005 (Supp. 05-2). Amended by final rulemaking at 12 A.A.R. 274, effective March 11, 2006 (Supp. 06-1). Amended by final rulemaking at 12 A.A.R. 4691, effective February 3, 2007 (Supp. 06-4). Amended by final rulemaking at 23 A.A.R. 3257, effective 1/8/2018.

Ariz. Admin. Code § R4-23-403 Repealed

History

• Former Rule 4.1200; Amended effective August 10, 1978 (Supp. 78-4). Amended effective March 28, 1980 (Supp. 80-2). Amended effective August 9, 1983 (Supp. 83-4). Section repealed, new Section adopted effective May 16, 1990 (Supp. 90-2). Amended effective November 1, 1993 (Supp. 93-4). Amended by final rulemaking at 5 A.A.R. 4441, effective November 2, 1999 (Supp. 99-4). Section repealed by final rulemaking at 10 A.A.R. 1192, effective May 1, 2004 (Supp. 04-1).

Ariz. Admin. Code § R4-23-404 Unethical Practices

A. Rebates prohibited. A pharmacist or pharmacy permittee shall not offer, deliver, receive, or accept any unearned rebate, refund, commission, preference, patronage dividend, discount, or other unearned consideration, whether in the form of money or otherwise, as compensation or inducement to refer a patient, client, or customer to any person, except for a rebate or premium paid completely and directly to a patient. A pharmacist or pharmacy permittee shall not:

1. Make payment to a medical practitioner in money or other consideration for a prescription order prescribed by the medical practitioner; or

2. Make payment to a long-term care or assisted living facility or other health care institution in money, discount, rental, or other consideration in an amount above the prevailing rate for:

a. Prescription medication or devices dispensed or sold for a patient or resident of the facility or institution; or

b. Drug selection or drug utilization review services, drug therapy management services, or other pharmacy consultation services provided for a patient or resident of the facility or institution.

B. Prescription order-blank advertising prohibited. A pharmacist or pharmacy permittee shall not:

1. Directly or indirectly furnish to a medical practitioner a prescription order-blank that refers to a specific pharmacist or pharmacy in any manner; or

2. Actively or passively participate in any arrangement or agreement where a prescription order-blank is prepared, written, or issued in a manner that refers to a specific pharmacist or pharmacy.

C. Fraudulent claim for service. A pharmacist or pharmacy permittee shall not claim the performance of a service that the pharmacist or pharmacy permittee knows or should know was not performed, such as, claiming to dispense a prescription medication that is not dispensed.

D. Fraudulent claim for a fee. A pharmacist or pharmacy permittee:

1. Shall not claim a fee for a service that is not performed or earned;

2. May divide a prescription order into two or more portions of prescription medication at the request of a patient, or for some other ethical reason, and charge a dispensing fee for the additional service; and

3. Shall not divide a prescription order merely to obtain an additional fee.

E. Prohibiting a prescription-only drug or device from being dispensed over the counter. A pharmacist shall ensure that:

1. A prescription-only drug or device is dispensed only after receipt of a valid prescription order from a licensed medical practitioner;

2. The dispensed prescription-only drug or device is properly prepared, packaged, and labeled according to this Chapter; and

3. The prescription order is filed according to this Chapter.

F. Drugs dispensed in the course of the conduct of a business of dispensing drugs through diagnosis by mail or the internet.

A pharmacist shall not dispense a drug from a prescription order if the pharmacist has knowledge, or reasonably should know under the circumstances, that the prescription order was issued on the basis of an internet-based questionnaire or an internet-based consultation without a medical practitioner-patient relationship as defined in R4-23-110.

2. A pharmacist who dispenses a prescription-only drug, prescription-only device, or controlled substance in violation of this Section is engaging in unethical conduct in violation of A.R.S. § 32-1901.01.

History

• Former Rules 4.2110, 4.2120, 4.2130, 4.2210, 4.2230, 4.2400, 4.2500, 4.2600, 4.4100, 4.4200, 4.4310, 4.4320, 4.4400, and 4.4500; Amended effective August 10, 1978 (Supp. 78-4); Amended subsection (I) effective August 9, 1983 (Supp. 83-4). Amended by deleting subsections (H) through (M) effective November 18, 1983 (Supp. 83-6). Amended by final rulemaking at 8 A.A.R. 1256, effective March 7, 2002 (Supp. 02-1). Amended by final rulemaking at 14 A.A.R. 3405, effective October 4, 2008 (Supp. 08-3).

Ariz. Admin. Code § R4-23-405 Change of Responsibility

A pharmacist designated as the pharmacist-in-charge for a pharmacy, manufacturer, or other establishment shall give immediate notice, as defined in R4-23-110, when:

1. The pharmacist's responsibility as a pharmacist-in-charge is terminated; or

2. The pharmacist knows of a pending termination of the pharmacist's responsibility as the pharmacist-in-charge.

History

• Former Rules 4.5100 and 4.5200; Amended effective August 9, 1983 (Supp. 83-4). Amended effective February 8, 1991 (Supp. 91-1). Amended effective November 1, 1993 (Supp. 93-4). Amended by final rulemaking at 8 A.A.R. 1256, effective March 7, 2002 (Supp. 02-1).

Ariz. Admin. Code § R4-23-406 Repealed

History

• Adopted as an emergency effective January 10, 1979, pursuant to A.R.S. § 41-1003, valid for only 90 days (Supp. 79-1). Amended as an emergency effective April 2, 1979, pursuant to A.R.S. § 41-1003, valid for only 90 days. Adopted effective April 10, 1979 (Supp. 79-1). Former Section R4-23-406 repealed, new Section R4-23-406 adopted effective August 9, 1983 (Supp. 83-4). Amended effective April 1, 1995; filed with the Secretary of State January 31, 1995 (Supp. 95-1). Amended by final rulemaking at 8 A.A.R. 1256, effective March 7, 2002 (Supp. 02-1). Section repealed by final rulemaking at 10 A.A.R. 230, effective March 6, 2004 (Supp. 04-1).

Ariz. Admin. Code § R4-23-407 Prescription Requirements

A. Prescription orders. A pharmacist shall ensure that:

1. A prescription order the pharmacist uses to dispense a drug or device includes the following information:

a. Date of issuance;

b. Name and address of the patient for whom or the owner of the animal for which the drug or device is dispensed;

c. Drug name, strength, and dosage form or device name;

d. Name of the manufacturer or distributor of the drug or device if the prescription order is written generically or a substitution is made;

e. Prescribing medical practitioner's directions for use;

f. Date of dispensing;

g. Quantity prescribed and if different, quantity dispensed;

h. For a prescription order for a controlled substance, the medical practitioner's address and DEA number;

i. For a written prescription order, the medical practitioner's signature;

j. For an electronically transmitted prescription order, the medical practitioner's digital or electronic signature;

k. For an oral prescription order, the medical practitioner's name and telephone number; and

l. Name or initials of the dispensing pharmacist;

A prescription order is kept by the pharmacist or pharmacy permittee as a record of the dispensing of a drug or device for seven years from the date the drug or device is dispensed;

3. The dispensing of a drug or device complies with the packaging requirements of the official compendium and state and federal law; and

4. If the drug dispensed is a schedule II controlled substance that is an opioid, the drug is placed in a container that has a red cap and a warning label stating "CAUTION: OPIOID, Risk of Overdose and Addiction" or other similarly clear language indicating the possibility of overdose and addiction. Under delegation from the Board, the Executive Director may waive the red-cap requirement if implementing the requirement is not feasible because of the specific dosage form or packaging type.

B. Prescription refills. A pharmacist shall ensure that the following information is recorded on the back of a prescription order when it is refilled:

1. Date refilled,

2. Quantity dispensed,

3. Name or approved abbreviation of the manufacturer or distributor if the prescription order is written generically or a substitution is made, and

4. The name or initials of the dispensing pharmacist.

C. Prescription order adaptation. Except for a prescription order for a controlled substance, a pharmacist, using professional judgment, may make the following adaptations to a prescription order if the pharmacist documents the adaptation in the patient's record:

1. Change the prescribed quantity if the prescribed quantity is not a package size commercially available from the manufacturer;

2. Change the prescribed dosage form or directions for use if the change achieves the intent of the prescribing medical practitioner;

3. Complete missing information on the prescription order if there is sufficient evidence to support the change; and

4. Extend the quantity of a maintenance drug for the limited quantity necessary to achieve medication refill synchronization for the patient.

D. A pharmacist may furnish a copy of a prescription order to the patient for whom it is prescribed or to the authorized representative of the patient if the copy is clearly marked "COPY FOR REFERENCE PURPOSES ONLY" or other similar statement. A copy of a prescription order is not a valid prescription order and a pharmacist shall not dispense a drug or device from the information on a copy.

E. Transfer of prescription order information. For a transfer of prescription order information to be valid, a pharmacy permittee or pharmacist-in-charge shall ensure that:

1. Both the original and the transferred prescription order are maintained for seven years after the last dispensing date;

2. The original prescription order information for a Schedule III, I V, or V controlled substance is transferred only as specified in 21 CFR 1306.25;

3. The original prescription order information for a non-controlled substance drug is transferred without limitation only up to the number of originally authorized refills;

4. For a transfer within Arizona:

a. The transfer of original prescription order information for a non-controlled substance drug meets the following conditions:

i. The transfer of information is communicated electronically, verbally, or by fax directly between:

(1) Two licensed pharmacists,

(2) A licensed pharmacist and a licensed intern, or

(3) Two licensed interns;

ii. The following information is recorded by the transferring pharmacist or intern:

(1) The word "void" is written on the face of the invalidated original prescription unless it is an electronic or oral transfer and the transferred prescription order information is invalidated in the transferring pharmacy's computer system; and

(2) The name and identification code, number, or address and telephone number of the pharmacy to which the prescription is transferred, the name of the receiving pharmacist or intern, the date of transfer, and the name of the transferring pharmacist or intern is written on the back of the prescription or entered into the transferring pharmacy's computer system; and

iii. The following information is recorded by the receiving pharmacist or intern on the transferred prescription order:

(1) The word "transfer;"

(2) Date of issuance of the original prescription order;

(3) Original number of refills authorized on the original prescription order;

(4) Date of original dispensing;

(5) Number of valid refills remaining and the date of the last refill;

(6) Name and identification code, number, or address, telephone number, and original prescription number of the pharmacy from which the prescription is transferred;

(7) Name of the transferring pharmacist or intern; and

(8) Name of the receiving pharmacist or intern;

b. The transfer of original prescription order information for a Schedule III, I V, or controlled substance meets the following conditions:

i. The transfer of information is communicated directly between two licensed pharmacists or interns electronically or verbally;

ii. The following information is recorded by the transferring pharmacist or intern:

(1) The word "void" is written on the face of the invalidated original prescription order unless it is an electronic or oral transfer and the transferred prescription order information is invalidated in the transferring pharmacy's computer system; and

(2) The name, address, and DEA number of the pharmacy to which the prescription is transferred, the name of the receiving pharmacist, the date of transfer, and the name of the transferring pharmacist is written on the back of the prescription order or entered into the transferring pharmacy's computer system; and

iii. The following information is recorded by the receiving pharmacist on the transferred prescription order:

(1) The word "transfer;"

(2) Date of issuance of original prescription order;

(3) Original number of refills authorized on the original prescription order;

(4) Date of original dispensing;

(5) Number of valid refills remaining and the date of the last refill;

(6) Name, address, DEA number, and original prescription number of the pharmacy from which the prescription is transferred;

(7) Name of the transferring pharmacist; and

(8) Name of the receiving pharmacist;

5. For a transfer from out-of-state:

a. The transfer of original prescription order information for a non-controlled substance drug meets the conditions in subsections (E)(4)(a)(i) and (E)(4)(a)(iii); and

b. The transfer of original prescription order information for a Schedule III, I V, or V controlled substance meets the conditions in subsections (E)(4)(b)(i) and (E)(4)(b)(iii); and

6. For an electronic transfer, the electronic transfer of original prescription order information meets the following conditions:

a. The electronic transfer is between pharmacies owned by the same company using a common or shared database;

b. The electronic transfer of original prescription order information for a non-controlled substance drug is performed by a pharmacist or intern, pharmacy technician trainee, or pharmacy technician under the supervision of a pharmacist;

c. The electronic transfer of original prescription order information for a controlled substance is performed between two licensed pharmacists;

d. The electronic transfer of original prescription order information for a non-controlled substance drug meets the following conditions:

i. The transferring pharmacy's computer system:

(1) Invalidates the transferred original prescription order information;

(2) Records the identification code, number, or address of the pharmacy to which the prescription order information is transferred;

(3) Records the name or identification code of the receiving pharmacist, intern, pharmacy technician trainee, or pharmacy technician; and

(4) Records the date of transfer; and

ii. The receiving pharmacy's computer system;

(1) Records that a prescription transfer occurred;

(2) Records the date of issuance of the original prescription order;

(3) Records the original number of refills authorized on the original prescription order;

(4) Records the date of original dispensing;

(5) Records the number of valid refills remaining and the date of the last refill;

(6) Records the identification code, number, or address and original prescription number of the pharmacy from which the prescription is transferred;

(7) Records the name or identification code of the receiving pharmacist or intern, pharmacy technician trainee, or pharmacy technician; and

(8) Records the date of transfer;

e. The electronic transfer of original prescription order information for a controlled substance meets the following conditions:

i. The transferring pharmacy's computer system:

(1) Invalidates the transferred original prescription order information;

(2) Records the identification code, number, or address, and DEA number of the pharmacy to which the prescription order information is transferred;

(3) Records the name or identification code of the receiving pharmacist;

(4) Records the date of transfer; and

(5) Records the name or identification code of the transferring pharmacist; and

ii. The electronic prescription order information received by the computer system of the receiving pharmacy includes the information required in subsection (E)(4)(b)(iii); and

f. In addition to electronic documentation of a transferred prescription order in the computer system, an original prescription order containing the requirements of this Section is filed in compliance with A.R.S. § 32-1964.

F. Transmission of a prescription order from a medical practitioner to a pharmacy by fax.

1. A medical practitioner or medical practitioner's agent may transmit a prescription order for a Schedule III, I V, or V controlled substance, prescription-only drug, or nonprescription drug to a pharmacy by fax under the following conditions:

a. The prescription order is faxed only to the pharmacy of the patient's choice;

b. The faxed prescription order:

i. Contains all the information required for a prescription order in A.R.S. §§ 32-1968 and 36-2525; and

ii. Is only faxed from the medical practitioner's practice location, except that a nurse in a hospital, long-term care facility, or inpatient hospice may send a fax of a prescription order for a patient of the facility; and

c. The faxed prescription order shall contain the following additional information:

i. The date the prescription order is faxed;

ii. The fax number of the prescribing medical practitioner or the facility from which the prescription order is faxed, and the telephone number of the facility; and

iii. The name of the person who transmits the fax, if other than the medical practitioner.

2. A medical practitioner or medical practitioner's agent may fax a prescription order for a Schedule II controlled substance for information purposes only, unless the faxed prescription order meets the requirements of A.R.S. § 36-2525(F) and (G).

3. A pharmacy may receive a faxed prescription order for a Schedule II controlled substance for information purposes only, except a faxed prescription order for a Schedule II controlled substance that meets the requirements of A.R.S. § 36-2525(F) and (G) may serve as the original written prescription order.

4. To meet the seven-year record retention requirement of A.R.S. § 32-1964, a pharmacy shall receive a faxed prescription order on plain paper or may make a photocopy of the faxed prescription order.

5. A medical practitioner or the medical practitioner's agent may fax refill authorizations to a pharmacy if the faxed authorization includes the medical practitioner's telephone and fax numbers, the medical practitioner's signature or medical practitioner's agent's name, and date of authorization.

G. Electronic transmission of a prescription order from a medical practitioner to a pharmacy.

1. Unless otherwise prohibited by law, a medical practitioner or medical practitioner's agent may transmit a prescription order by electronic means, directly or through an intermediary, including an E-prescribing network, to the dispensing pharmacy as specified in A.R.S. § 32-1968.

2. For electronic transmission of a Schedule II, III, I V, or V controlled substance prescription order, the medical practitioner and pharmacy shall ensure the transmission complies with any security or other requirements of federal law.

3. The medical practitioner and pharmacy shall ensure all electronic transmissions comply with all the security requirements of state or federal law related to the privacy of protected health information.

4. In addition to the information required to be included on a prescription order as specified in A.R.S. § 32-1968, a medical practitioner shall ensure an electronically transmitted prescription order includes:

a. The date of transmission; and

b. If the individual transmitting the prescription is not the medical practitioner, the name of the medical practitioner's authorized agent who transmits the prescription order.

5. A pharmacy receiving an electronically transmitted prescription order shall maintain the prescription order as specified in A.R.S. § 32-1964 or R4-23-408(H)(2).

6. A medical practitioner or medical practitioner's agent shall transmit an electronic prescription order only to the pharmacy of the patient's choice.

H. Exceptions under A.R.S. § 36-2525 regarding electronic prescribing requirements:

1. Medical practitioner exceptions. A medical practitioner who is authorized to prescribe a controlled substance may furnish a written prescription order is accordance with R4-23-407 rather than an electronically transmitted prescription order if the prescription order is written:

a. In this state to be filled in a jurisdiction outside this state;

b. For a medication that requires compounding two or more ingredients;

c. For a medication that is not in the E-prescribing database;

d. For an individual who is detained by or in custody of an Arizona or federal law enforcement agency; or

e. Under A.R.S. § 36-2525(N) or (O); and

2. Pharmacist exceptions. A pharmacist may dispense a controlled substance from a written rather than electronically transmitted prescription order if the prescription order:

a. Is written by a medical practitioner who is not licensed in this state but rather, is licensed in a jurisdiction outside this state. The pharmacist is not required to verify whether the medical practitioner is licensed;

b. Is written for a medication that requires compounding two or more ingredients;

c. Is written for a medication that is not in the E-prescribing database;

d. Is written for an individual who is detained by or in custody of an Arizona or federal law enforcement agency; or

e. Is received under A.R.S. § 36-2525(D).

History

• Adopted effective November 18, 1983 (Supp. 83-6). Amended by final rulemaking at 8 A.A.R. 1256, effective March 7, 2002 (Supp. 02-1). Amended by final rulemaking at 10 A.A.R. 1192, effective May 1, 2004 (Supp. 04-1). Amended by final rulemaking at 13 A.A.R. 440, effective April 7, 2007 (Supp. 07-1). Amended by final rulemaking at 14 A.A.R. 3605, effective November 8, 2008 (Supp. 08-3). Amended by final rulemaking at 25 A.A.R. 1015, effective 6/1/2019. Amended by final rulemaking at 26 A.A.R. 223, effective 3/14/2020. Amended by final rulemaking at 26 A.A.R. 544, effective 3/3/2020.

Ariz. Admin. Code § R4-23-407.1 Dispensing an Opioid Antagonist

A. As used in this Section:

1. "Community member" means any person in position to assist an individual at risk of experiencing an opioid-related overdose. This includes emergency first responders, peace officers or other law enforcement personnel, fire department personnel, school district employees, and personnel of a facility or center that provides services to individuals at risk of experiencing an opioid-related overdose.

2. "Opioid antagonist" means any drug approved by the U.S. Food and Drug Administration that binds to opioid receptors, effectively blocking or inhibiting the receptor and preventing the body from responding to the opioid. Naloxone hydrochloride is an opioid antagonist.

3. "Opioid-related overdose" means an acute condition caused by excessive opioids. An opioid-related overdose can be identified by a triad of symptoms: decreased level of consciousness, pinpoint pupils, and respiratory depression. Other symptoms may include seizures, muscle spasms, and coma or death. An opioid-related overdose requires medical assistance.

B. When dispensing an opioid antagonist under A.R.S. § 32-1979, a pharmacist or pharmacy intern shall provide the following education

1. Documentation of opioid antagonists dispensed under A.R.S. § 32-1979 . The documentation shall:

a. Be maintained in a manner consistent with R4-23-407(A)(2) ;

b. Include the information required under R4-23-407(A)(1) (c, d, f, and l); and

c. Include the following:

i. Quantity dispensed;

ii. Directions for use; and

iii. The patient's name, address, telephone number, and birth date; or

iv. Name, address, telephone number, and birth date of a family member in position to assist the individual at risk of an opioid-related overdose; or

v. Name, address, telephone number, and employer of a community member in position to assist an individual at risk of an opioid-related overdose; and vi. Name of the individual providing the education required under subsection (B)(2);

2. to the individual to whom the opioid antagonist is dispensed:

a.

1. How to prevent an opioid-related overdose;

b. 2. How to recognize an opioid-related overdose;

c. 3. How to administer an opioid antagonist safely to an individual experiencing an opioid-related overdose;

d. 4. Precautions regarding:

i.

a. Potential side effects, and

ii. b. Possible adverse events associated with administration of the opioid antagonist; and

e. 5. Importance of seeking emergency medical assistance for the individual experiencing an opioid-related overdose before or after administering the opioid antagonist

3. Confidentiality, security, and privileged nature of documentation of opioid antagonists dispensed under A.R.S. § 32-1979.

C. Before dispensing an opioid antagonist under A.R.S. § 32-1979(A), a licensed pharmacist shall

1. complete an opioid prevention and treatment training program that includes the following information:

a.

1. How to recognize the symptoms of an opioid-related overdose,

b. 2. How to respond to a suspected opioid-related overdose,

c. 3. How to administer all preparations of an opioid antagonist, and

d. 4. The information needed by an individual to whom an opioid antagonist is dispensed

2. Comply fully with the policies and procedures developed under subsection (B).

D. A pharmacist who has completed an opioid prevention and treatment training program described in subsection (C):

1. May administer an opioid antagonist to an individual the pharmacist believes is experiencing an opioid-related overdose, and

2. Is exempt from civil liability under the terms of A.R.S. § 36-2267(B).

E. Dispensing an opioid antagonist under A.R.S. § 32-1979 by invoice to a community member is not wholesale distribution as defined at A.R.S. § 32-1981.

F. When dispensing an opioid antagonist on a standing order, as defined under A.R.S. § 32-1968, a pharmacist or pharmacy intern shall comply with R4-23-407 except subsection (A)(1)(b), R4-23-408, and R4-23-409.

History

• Adopted by final rulemaking at 23 A.A.R. 967, effective 6/3/2017. Amended by final rulemaking at 25 A.A.R. 1015, effective 6/1/2019.

Ariz. Admin. Code § R4-23-407.2 Dispensing a Self-administered Hormonal Contraceptive

A. Standard procedures. The first time a pharmacist dispenses a self-administered hormonal contraceptive under a standing prescription order, as authorized under A.R.S. § 32-1979.01, to a patient, the pharmacist shall:

1. Determine the patient is at least 18 years old;

2. Obtain from the patient a completed self-screening risk assessment based on nationally recognized guidelines;

3. Provide the patient with written information prepared by the manufacturer of the hormonal contraceptive; and

4. Provide the following information orally to the patient:

a. How hormonal contraception works;

b. When and how to take the self-administered hormonal contraceptive;

c. Risks associated with taking a self-administered hormonal contraceptive; and

d. When to seek medical assistance while taking a self-administered hormonal contraceptive.

B. A pharmacist who dispenses a self-administered hormonal contraceptive under a standing prescription order shall have a patient complete the self-screening risk assessment based on nationally recognized guidelines, required under subsection (A)(2), annually.

C. A pharmacist who dispenses a self-administered hormonal contraceptive under a standing prescription order shall maintain evidence of the patient's age at the time of initial dispensing and the completed nationally recognized self-screening risk assessment for at least seven years. The pharmacist shall ensure this information is readily retrievable and available to the Board on request.

D. When dispensing a self-administered hormonal contraceptive under a standing prescription order, a pharmacist shall comply with R4-23-407 except subsection (A)(1)(b), R4-23-408, and R4-23-409.

E. During each biennial renewal period, a pharmacist who dispenses self-administered hormonal contraceptives under a standing prescription order shall complete the three contact hours of continuing education specified under R4-23-204(A)(2)(c).

History

• New Section made by final rulemaking at 29 A.A.R. 1655, effective 7/5/2023.

Ariz. Admin. Code § R4-23-408 Computer Records

A. Systems manual. A pharmacy permittee or pharmacist-in-charge shall:

1. Develop, implement, and comply with policies and procedures for the following operational aspects of a computer system:

a. Examples of all output documentation provided by the computer system that contains original or refill prescription order or patient profile information;

b. Steps a pharmacy employee follows when the computer system is not operational due to scheduled or unscheduled system interruption;

c. Regular and routine backup file procedure and file maintenance, including secure storage of backup files;

d. Audit procedures, personnel code assignments, and personnel responsibilities; and

e. Quality assurance mechanism for data entry validation;

2. Review biennially and, if necessary, revise the policies and procedures required under this Section;

3. Document the review required under subsection (A)(2);

4. Assemble the policies and procedures as a written manual or by another method approved by the Board or its designee; and

5. Make the policies and procedures available within the pharmacy for reference by pharmacy personnel and inspection by the Board or its designee.

B. Computer system data storage and retrieval. A pharmacy permittee or pharmacist-in-charge shall ensure the computer system is capable of:

1. Producing sight-readable information on all original and refill prescription orders and patient profiles;

2. Providing online retrieval (via CRT display or hard-copy printout) of original prescription order information required in A.R.S. § 32-1968(C), R4-23-402(A), and R4-23-407(A);

3. Providing online retrieval (via CRT display or hard-copy printout) of patient profile information required in R4-23-402(A);

4. Providing documentation identifying the pharmacist responsible for dispensing each original or refill prescription order, except a pharmacy permittee with a computer system that is in use before the effective date of this Section that cannot provide documentation identifying the dispensing pharmacist may continue to use the computer system by providing manual documentation identifying the dispensing pharmacist;

5. Producing a printout of all prescription order information, including a single-drug usage report that contains:

a. The name of the prescribing medical practitioner;

b. The name and address of the patient;

c. The quantity dispensed on each original or refill prescription order;

d. The date of dispensing for each original or refill prescription order;

e. The name or identification code of the dispensing pharmacist; and

f. The serial number of each prescription order; and

6. Providing a printout of requested prescription order information to an individual pharmacy within 72 hours of the request if prescription order information is maintained in a centralized computer record system.

C. A pharmacy permittee or pharmacist-in-charge of a pharmacy that uses a pharmacy computer system:

1. Shall notify the D.E.A. and the Board in writing that original and refill prescription order information and patient profiles are stored in a pharmacy computer system;

2. Shall comply with this Section if the pharmacy computer system's refill records are used as an alternative to the manual refill records required in R4-23-407(B);

3. Is exempt from the manual refill recordkeeping requirements of R4-23-407(B), if the pharmacy computer system complies with the requirements of this Section; and

4. Shall ensure that documentation of the accuracy of original and refill prescription order information entered into a computer system is provided by each pharmacist using the computer system and kept on file in the pharmacy for seven years from the date of the last refill. Documentation includes one of the following:

a. A hard-copy printout of each day's original and refill prescription order data that:

i. States original and refill data for prescriptions dispensed by each pharmacist is reviewed for accuracy;

ii. Includes the printed name of each dispensing pharmacist; and

iii. Is signed and initialed by each dispensing pharmacist; or

b. A log book or separate file of daily statements that:

i. States original and refill data for prescriptions dispensed by each pharmacist is reviewed for accuracy;

ii. Includes the printed name of each dispensing pharmacist; and

iii. Is signed and initialed by each dispensing pharmacist.

D. If a pharmacy computer system does not comply with the requirements of subsections (A), (B), and (F), the pharmacy permittee or pharmacist-in-charge shall bring the computer system into compliance within three months of a notice of noncompliance or violation letter. If the computer system is still noncompliant with subsection (A), (B), or (F) after three months, the pharmacy permittee or pharmacist-in-charge shall immediately comply with the manual recordkeeping requirements of R4-23-402 and R4-23-407.

E. If a pharmacy's personnel perform manual recordkeeping under subsection (D), the pharmacy's personnel shall continue manual recordkeeping until the pharmacist-in-charge sends proof, verified by a Board compliance officer, that the computer system complies with subsections (A), (B), and (F).

F. Security. To maintain the confidentiality of patient records, a pharmacy permittee or pharmacist-in-charge shall ensure:

1. The computer system has security and systems safeguards designed to prevent and detect unauthorized access, modification, or manipulation of prescription order information and patient profiles; and

2. After a prescription order is dispensed, any alteration of prescription order information is documented, including the identification of the pharmacist responsible for the alteration.

G. A computer system that does not comply with all the requirements of subsections (A), (B), and (F) may be used in a pharmacy if:

1. The computer system was in use in the pharmacy before July 11, 2001, and

2. The pharmacy complies with the manual recordkeeping requirements of R4-23-402 and R4-23-407.

H. Prescription records and retention.

1. Instead of filing the original hard-copy prescription order as required in A.R.S. § 32-1964, a pharmacy permittee or pharmacist-in-charge may use an electronic imaging recordkeeping system, if:

a. The system is capable of capturing, storing, and reproducing the exact image of a prescription order, including the reverse side of the prescription order if necessary;

b. Any notes of clarification of or alterations to a prescription order are directly associated with the electronic image of the prescription order;

c. A prescription order image and any associated notes of clarification of or alterations to the prescription order are retained for no fewer than seven years from the date the prescription order is last dispensed;

d. The original hard-copy prescription is maintained for no less than 30 days after the date dispensed;

e. d. Policies and procedures for the use of an electronic imaging recordkeeping system are developed, implemented, reviewed, and revised in the same manner described in subsection (A) and complied with; and

f. e. The prescription is not for a controlled substance.

2. If a pharmacy's computer system fields are automatically populated by an electronically transmitted prescription order, the automated record constitutes the original prescription order and a hard-copy or electronic image is not required if the computer system is capable of maintaining, printing, and providing all the prescription order information required in A.R.S. §§ 32-1968 and 36-2525 and R4-23-407(A) within 72 hours of a request by the Board, the Board's compliance officers, other authorized regulatory board agents, or authorized officers of the law.

I. A pharmacy permittee or pharmacist-in-charge shall make all prescription records available within 72 hours after a Board request.

History

• Adopted effective November 18, 1983 (Supp. 83-6). Amended by final rulemaking at 7 A.A.R. 646, effective January 11, 2001 (Supp. 01-1). Amended by final rulemaking at 9 A.A.R. 5030, effective January 3, 2004 (Supp. 03-4). Amended by final rulemaking at 11 A.A.R. 4270, effective December 6, 2005 (Supp. 05-4). Amended by final rulemaking at 12 A.A.R. 274, effective March 11, 2006 (Supp. 06-1). Amended by final rulemaking at 12 A.A.R. 3032, effective October 1, 2006 (Supp. 06-3). Amended by final rulemaking at 13 A.A.R. 440, effective April 7, 2007 (Supp. 07-1). Amended by final rulemaking at 26 A.A.R. 223, effective 3/14/2020.

Ariz. Admin. Code § R4-23-409 Returning Drugs and Devices

A. After a person for whom a drug is prescribed or the person's agent takes the drug from the premises where sold, distributed, or dispensed, a pharmacist or pharmacy permittee shall not accept the drug for return or exchange for the purpose of resale unless the pharmacist determines that:

1. The drug is in its original, manufacturer's, unopened container; and

2. The drug or its container has not been subjected to contamination or deterioration.

B. The provisions of subsection (A) of this Section do not apply to a drug dispensed to:

1. A hospital inpatient as defined in R4-23-651; or

2. A resident of a long-term care facility where a licensed health care professional administers the drug, and the pharmacist ensures and documents that the drug:

a. Has been stored in compliance with the requirements of the official compendium; and

b. Is not obviously contaminated or deteriorated.

C. After a person for whom a device is prescribed or the person's agent takes the device from the premises where sold, distributed, or dispensed, a pharmacist or pharmacy permittee shall not accept the device for return or exchange for the purpose of resale or reuse unless the pharmacist determines that:

1. The device is inspected and is free of defects;

2. The device is rendered incapable of transferring disease; and

3. The device, if resold or reused, is not claimed to be new or unused.

History

• Adopted effective November 18, 1983 (Supp. 83-6). Amended by final rulemaking at 8 A.A.R. 1256, effective March 7, 2002 (Supp. 02-1).

Ariz. Admin. Code § R4-23-410 Current Good Compounding Practices

A. This Section establishes the current good compounding practices to be used by a pharmacist licensed by the Board, in a pharmacy permitted by the Board, and in compliance with applicable federal and state law governing the practice of pharmacy.

B. A pharmacy permittee shall ensure compliance with the provisions in this subsection.

1. All substances for compounding that are received, stored, or used by the pharmacy permittee:

a. Meet official compendium requirements;

b. Are of high quality, such as Chemically Pure (CP), Analytical Reagent (AR), certified American Chemical Society (ACS), or Food Chemical Codex (FCC) grade; or

c. Are obtained from a source that, in the professional judgment of the pharmacist, is acceptable and reliable.

2. Before compounding a pharmaceutical product in excess of the quantity dispensed in anticipation of receiving valid prescriptions for the pharmaceutical product, a pharmacist, employed by the pharmacy permittee, shall establish a history of compounding valid prescriptions for the pharmaceutical product.

3. Neither the pharmacy permittee nor a pharmacist employed by the pharmacy permittee provides a compounded pharmaceutical product to a pharmacy, medical practitioner, or other person for dispensing or distributing except that a compounded pharmaceutical product may be provided to a medical practitioner to administer to a patient of the medical practitioner if each container is accompanied by the written list required in subsection (I)(5) and has a label that includes the following:

a. The pharmacy's name, address, and telephone number;

b. The pharmaceutical product's name and the information required in subsection (I)(4);

c. A lot or control number;

d. A beyond-use-date based upon the pharmacist's professional judgment, but not more than the maximum guidelines recommended in the Pharmacy Compounding Practices chapter of the official compendium unless there is published or unpublished stability test data that shows a longer period is appropriate;

e. The statement "Not For Dispensing;" and

f. The statement "For Office or Hospital Administration Only."

4. A pharmacy or pharmacist may advertise or otherwise promote the fact that the pharmacy or pharmacist provides prescription compounding services.

C. A pharmacy permittee shall ensure compliance with the organization, training, and personnel issues in this subsection.

1. Before dispensing a compounded pharmaceutical product, a pharmacist:

a. Inspects and approves or rejects, or assumes responsibility for inspecting and approving or rejecting, components, pharmaceutical product containers and closures, in-process materials, and labeling;

b. Prepares or assumes responsibility for preparing all compounding records;

c. Reviews all compounding records to ensure that no errors occur in the compounding process;

d. Ensures the proper use, cleanliness, and maintenance of all compounding equipment; and

e. Documents by hand-written initials or signature in the compounding record the completion of the requirements of subsections (C)(1)(a), (b), (c), and (d).

2. A pharmacist engaged in compounding:

a. Complies with the current good compounding practices and applicable state pharmacy laws;

b. Maintains compounding proficiency through current awareness, training, and continuing education; and

c. Ensures that personnel engaged in compounding wear:

i. Clean clothing appropriate to the work performed; and

ii. Protective apparel, such as coats, aprons, gowns, gloves or masks to protect the personnel from chemical exposure and prevent pharmaceutical product contamination.

D. A pharmacy permittee shall ensure the security, safety, and quality of a compounded pharmaceutical product by conforming with the following standards:

1. Implement procedures to exclude from direct contact with components, pharmaceutical product containers and closures, in-process materials, labeling, and pharmaceutical products, any person with an apparent illness or open lesion that may adversely affect the safety or quality of a compounded pharmaceutical product, until the illness or lesion, as determined by competent medical personnel, does not jeopardize the safety or quality of a compounded pharmaceutical product; and

2. Require all personnel to inform a pharmacist of any health condition that may adversely affect a compounded pharmaceutical product.

E. A pharmacy permittee shall provide compounding facilities that conform with the standards in this subsection.

1. In addition to the minimum area requirements of R4-23-609, R4-23-655, or R4-23-673, the compounding area:

a. Complies with the requirements in R4-23-611; and

b. Has sufficient space to permit efficient pharmacy practice, free movement of personnel, and visual surveillance by a pharmacist.

2. If sterile pharmaceutical product or radiopharmaceutical product compounding is performed, the compounding area complies with the requirements of R4-23-670, R4-23-681, and R4-23-682.

3. A clean, dry, and temperature-controlled area and, if required, a refrigerated area, in which to store properly labeled containers of bulk drugs, chemicals, and materials used in compounding, that complies with state statutes and rules.

F. To protect pharmaceutical product safety, identity, strength, quality, and purity, a pharmacy permittee shall ensure that equipment and utensils used in pharmaceutical product compounding are:

1. Of appropriate design, adequate size, and suitably located for proper operation, cleaning, and maintenance;

2. Made of material that is not reactive, additive, or absorptive when exposed to components, in-process materials, or pharmaceutical products;

3. Cleaned and protected from contamination before use;

4. Inspected and determined suitable for use before initiation of compounding operations; and

5. Routinely inspected, calibrated, or checked to make proper performance certain.

G. A pharmacy permittee shall ensure that the pharmacist-in-charge establishes, implements, and complies with procedures to prevent cross-contamination when pharmaceutical products that require special precautions to prevent cross-contamination, such as penicillin, are used in a compounding procedure. The procedures shall include either the dedication of equipment or the meticulous cleaning of contaminated equipment before its use in compounding other pharmaceutical products.

H. A pharmacy permittee shall ensure that the pharmacist-in-charge establishes, implements, and complies with control procedures for components and pharmaceutical product containers and closures, either written or electronically stored with printable documentation, that conform with the standards in this subsection.

1. Components and pharmaceutical product containers and closures are:

a. Stored off the floor,

b. Handled and stored to prevent contamination, and

c. Rotated so the oldest approved stock is used first.

2. Container closure systems comply with official compendium standards.

Pharmaceutical product containers and closures are clean and made of material that is not reactive, additive, or absorptive.

I. A pharmacy permittee shall ensure that the pharmacist-in-charge establishes, implements, and complies with pharmaceutical product compounding controls that conform with the standards in this subsection.

1. Pharmaceutical product compounding procedures are available in either written form or electronically stored with printable documentation:

a. To ensure that a finished pharmaceutical product has the identity, strength, quality, and purity it is purported or represented to possess, the procedures include, for each pharmaceutical product compounded, a description of:

i. The components, their manufacturer, lot number, expiration date, and amounts, the order of component addition, if applicable, and the compounding process;

ii. The equipment and utensils used; and

iii. The pharmaceutical product container and closure system proper for the sterility and stability of the pharmaceutical product as it is intended to be used.

b. To test the pharmaceutical product being compounded, the procedures monitor the output and validate the performance of compounding processes that may cause variability in the final pharmaceutical product, including assessing:

i. Dosage form weight variation;

ii. Adequacy of mixing to ensure uniformity and homogeneity; and

iii. Clarity, completeness, and pH of solutions, if applicable.

2. Components for pharmaceutical product compounding are accurately weighed, measured, or subdivided. To ensure that each weight, measure, or subdivision is correct as stated in the compounding procedures, a pharmacist:

a. Checks and rechecks, or assumes responsibility for checking and re-checking, the operations at each stage of the compounding process; and

b. Documents by hand-written initials or signature the completion and accuracy of the compounding process.

3. Compounding equipment and utensils are properly cleaned and maintained.

4. In addition to the labeling requirements of A.R.S. § 32-1968(D), the label contains:

a. A statement, symbol, designation, or abbreviation that the pharmaceutical product is a compounded pharmaceutical product, and

b. A beyond-use-date as specified in subsection (B)(3)(d).

5. A written list of the compounded pharmaceutical product's active ingredients is given to the patient at the time of dispensing.

6. When a component is removed from its original container and transferred to another container, the new container label contains, in full text or an abbreviated code system, the following:

a. The component name,

b. The manufacturer's or supplier's name,

c. The lot or control number,

d. The weight or measure,

e. The beyond-use-date as specified in subsection (B)(3)(d), and

f. The transfer date.

J. A pharmacy permittee shall ensure that the pharmacist-in-charge stores any quantity of compounded pharmaceutical product produced in excess of the quantity dispensed in accordance with subsection (B):

1. In an appropriate container with a label that contains:

a. A complete list of components or the pharmaceutical product's name;

b. The preparation date;

c. The assigned lot or control number; and

d. A beyond-use-date as specified in subsection (B)(3)(d); and

2. Under conditions, dictated by the pharmaceutical product's composition and stability characteristics, that ensure its strength, quality, and purity.

K. A pharmacy permittee shall ensure that the pharmacist-in-charge establishes, implements, and complies with recordkeeping procedures that comply with this subsection:

1. Pharmaceutical product compounding procedures and other records required by this Section are maintained by the pharmacy for not less than seven years, and

2. Pharmaceutical product compounding procedures and other records required by this Section are readily available for inspection by the Board or its designee.

History

• Adopted effective August 5, 1997 (Supp. 97-3). Amended by final rulemaking at 10 A.A.R. 3391, effective October 2, 2004 (Supp. 04-3). Amended by final rulemaking at 12 A.A.R. 3981, effective December 4, 2006 (Supp. 06-4).

Ariz. Admin. Code § R4-23-411 Pharmacist-administered or Intern-administered Immunizations

A. Authorization to administer immunizations, vaccines, and emergency medications, as defined at A.R.S. § 32-1974(N), to an eligible adult patient or eligible minor patient. As used in this Section, "eligible adult patient" means an eligible patient 13 years of age or older and "eligible minor patient" means an eligible patient at least three years of age but less than 13 years of age. A pharmacist or an intern in the presence of and under the immediate personal supervision of a pharmacist may administer, without a prescription, immunizations, vaccines, and emergency medications to an eligible adult patient or eligible minor patient, if:

1. Both the pharmacist and intern meet the qualifications and standards specified by A.R.S. § 32-1974 and this Section;

2. The Board authorizes both the pharmacist and intern as specified in subsection (D);

3. For an eligible adult patient, the immunization or vaccine is:

a. Recommended for adults by the United States Centers for Disease Control and Prevention; or

b. Recommended by the United States Centers for Disease Control and Prevention's Health Information for International Travel;

4. For an eligible adult patient, the immunization or vaccine is not on the Arizona Department of Health Services list specified in A.A.C. R9-6-1301 as required under A.R.S. § 32-1974(I);

5. For an eligible minor patient, the immunization or vaccine is for influenza or a booster dose as described under A.R.S. § 32-1974(B)(2); and

6. For an eligible minor patient, any immunizations or vaccines other than influenza or a booster dose as described under A.R.S. § 32-1974(B)(2) are administered in response to a public health emergency declared by the Governor under A.R.S. § 36-787.

B. A pharmacist or an intern in the presence of and under the immediate personal supervision of a pharmacist, may administer, with a prescription, any immunizations, vaccines, and emergency medications to an eligible adult patient or eligible minor patient, if:

1. Both the pharmacist and intern meet the qualifications and standards specified by A.R.S. § 32-1974 and this Section; and

2. The Board authorizes both the pharmacist and intern as specified in subsection (D).

C. A pharmacist or intern who is authorized to administer immunizations, vaccines, and emergency medications to an eligible adult patient or eligible minor patient shall:

1. Not delegate the authority to any other pharmacist, intern, or employee not specifically authorized by rule; and

2. Maintain their current certificate for inspection by the Board or its designee or review by the public.

D. Qualifications to administer immunizations, vaccines, and emergency medications to an eligible adult patient or eligible minor patient. After receipt of a completed application form, the Board shall authorize the administration of immunizations, vaccines, and emergency medications to an eligible adult patient or eligible minor patient by a pharmacist or intern who meets the following qualifications:

1. Has a current license to practice pharmacy in this state,

Successfully completes a training program specified in subsection (E), and

3. Has a current certificate in basic cardiopulmonary resuscitation.

E. Immunizations training program requirements. A training program for pharmacists or interns to administer immunizations, vaccines, and emergency medications to an eligible adult patient or eligible minor patient shall include the following courses of study:

1. Basic immunology and the human immune response;

2. Mechanics of immunity, adverse effects, dose, and administration schedule of available vaccines;

3. Response to an emergency situation as a result of the administration of an immunization, vaccine, or medication including administering an emergency medication to counteract the adverse effects of the immunization, vaccine, or medication given;

4. Administration of intramuscular injections;

5. Other immunization administration methods; and

6. Recordkeeping and reporting requirements specified in subsection (F).

F. Recordkeeping and reporting requirements.

1. A pharmacist or intern authorized under this Section to administer immunizations, vaccines, and emergency medications to an eligible patient shall provide to the pharmacy the following information and documentation regarding each immunization, vaccine, or emergency medication administered:

a. The name, address, and date of birth of the patient;

b. The date of administration and site of injection;

c. The name, dose, manufacturer's lot number, and expiration date of the vaccine, immunization, or emergency medication;

d. The name and address of the patient's identified primary-care provider or physician;

e. The name of the pharmacist or intern administering the immunization, vaccine, or emergency medication;

f. A record of the pharmacist's or intern's consultation with the patient determining that the patient is an eligible patient as defined in R4-23-110;

g. Consultation or other professional information provided to the patient by the pharmacist or intern;

h. The name and date of the immunization or vaccine information sheet provided to the patient; and

i. For an immunization or vaccine given to an eligible minor patient, a consent form signed by the minor's parent or guardian.

2. As required under A.R.S. § 32-1974(F)(1), the pharmacist or intern shall provide a written or electronic report to the patient's primary-care provider or physician containing the documentation required in subsection (F)(1)(a) through (d). The pharmacy shall document the time and date the report is sent and make the record of compliance with this subsection available in the pharmacy or on request, within 72 hours, for inspection by the Board or its designee.

3. A pharmacy's pharmacist-in-charge or permittee shall maintain the records required in subsection (F)(1) in the pharmacy or database for a minimum of seven years from the administration date.

G. Confidentiality of records. A pharmacist, intern, pharmacy permittee, or pharmacist-in-charge shall comply with applicable state and federal privacy statutes and rules when releasing patient health information.

H. Pharmacist-administered or intern-administered adult immunizations that require a prescription order. A pharmacist or intern authorized by the Board to administer adult immunizations or vaccines shall not administer any immunization or vaccine listed in A.A.C. R9-6-1301 without a prescription order. In addition to filing a prescription order as required in A.R.S. § 32-1964, a pharmacist or pharmacy intern who administers an immunization or vaccine listed in A.A.C. R9-6-1301 shall comply with the recordkeeping requirements of subsection (F)(1).

History

• New Section made by final rulemaking at 10 A.A.R. 3967, effective November 13, 2004 (Supp. 04-3). Amended by final rulemaking at 12 A.A.R. 279, effective March 11, 2006 (Supp. 06-1). Amended by final rulemaking at 14 A.A.R. 3674, effective November 8, 2008 (Supp. 08-3). Amended by final rulemaking at 15 A.A.R. 1930, effective November 3, 2009 (Supp. 09-4). Amended by final rulemaking at 17 A.A.R. 2596, effective February 4, 2012 (Supp. 11-4). Amended by final rulemaking at 23 A.A.R. 211, effective 3/5/2017. Amended by final rulemaking at 25 A.A.R. 1015, effective 6/1/2019. Amended by final rulemaking at 26 A.A.R. 223, effective 3/14/2020. Amended by final rulemaking at 28 A.A.R. 994, effective 7/2/2022.

Ariz. Admin. Code § R4-23-412 Emergency Refill Prescription Dispensing

A. When a state of emergency is declared under A.R.S. § 32-1910(A) or (B) and the state of emergency results in individuals being unable to refill existing prescriptions, a pharmacist may work in the affected county, city, or town and may dispense a one-time emergency refill prescription of up to a 30-day supply of a prescribed medication to an affected individual if both of the following apply:

1. In the pharmacist's professional opinion the medication is essential to the maintenance of life or to the continuation of therapy, and

2. The pharmacist makes a good faith effort to reduce the information to a written prescription marked "emergency prescription" and files and maintains the prescription as required by law.

B. If the state of emergency declared under A.R.S. § 32-1910(A) or (B) continues for at least 21-days after the pharmacist dispenses an emergency prescription under subsection (A), the pharmacist may dispense one additional emergency refill prescription of up to a 30-day supply of the prescribed medication if the pharmacist complies with subsection (A)(2).

C. A pharmacist's authority to dispense emergency prescriptions under this Section ends when the declared state of emergency is terminated.

History

• New Section made by final rulemaking at 14 A.A.R. 4400, effective January 3, 2009 (Supp. 08-4).

Ariz. Admin. Code § R4-23-413 Temporary Recognition of Nonresident Licensure

A. When a state of emergency is declared under A.R.S. § 32-1910(A) or (B):

A pharmacist who is not licensed in this state, but who is currently licensed in another state, may dispense prescription medications in those affected counties, cities, or towns in this state during the time that a declared state of emergency exists under A.R.S. § 32-1910(A) or (B) if both of the following apply:

a. The pharmacist provides proof of current licensure in another state, and

b. The pharmacist is engaged in a relief effort during a state of emergency.

2. Acting under the direct supervision of a pharmacist, a pharmacy technician or pharmacy intern not licensed in this state, but currently licensed or registered in another state, may assist a pharmacist in dispensing prescription medications in affected counties, cities, or towns in this state during the time that a declared state of emergency exists under A.R.S. § 32-1910(A) or (B) if both of the following apply:

a. The pharmacy technician or pharmacy intern provides proof of current licensure or registration in another state, and

b. The pharmacy technician or pharmacy intern is engaged in a relief effort during a state of emergency.

B. The recognition of nonresident licensure or registration shall end with the termination of the declared state of emergency.

History

• New Section made by final rulemaking at 14 A.A.R. 4400, effective January 3, 2009 (Supp. 08-4).

Ariz. Admin. Code § R4-23-415 Impaired Licensees - Treatment and Rehabilitation

A. The Board may contract with qualified organizations to operate a program for the treatment and rehabilitation of licensees impaired as the result of alcohol or other drug abuse, pursuant to A.R.S. § 32-1932.01.

B. Participants in the program are either "confidential" or "known." Confidential participants are self-referred and may remain unidentified to the Board, subject to maintaining compliance with their program contract. Known participants are under Board order to complete a minimum tenure in the program. After a known participant completes the minimum tenure, the Board may terminate the Board order and reinstate the participant's license to practice pharmacy.

C. The program contract with a qualified organization shall include as a minimum the following:

1. Duties and responsibilities of each party.

2. Duration, not to exceed two years, of contract and terms of compensation.

3. Quarterly reports from the program administrator to the Board indicating:

a. Identity of participants;

i. By name, if a known participant; or

ii. By case number, if a confidential participant;

b. Status of each participant, including;

i. Clinical findings;

ii. Diagnosis and treatment recommendations;

iii. Program activities; and

iv. General recovery and rehabilitation program information.

4. The program administrator shall report immediately to the Board the name of any impaired licensee who poses a danger to self or others.

5. The program administrator shall report to the Board, as soon as possible, the name of any impaired licensee:

a. Who refuses to submit to treatment,

b. Whose impairment is not substantially alleviated through treatment, or

c. Who violates the terms of their contract.

6. The program administrator shall periodically provide informational programs to the profession, including approved continuing education programs on the topic of drug and chemical impairment, treatment, and rehabilitation.

D. Under A.R.S. § 32-1903(F), the Board may publish the names of participants under current Board orders.

E. The Board or its executive director may request the treatment records for any participant. The program administrator shall provide treatment records within 10 working days of receiving a written request from the Board or its executive director for such records. Upon request of the program administrator or the Board or its executive director, a program participant shall authorize a drug and alcohol treatment facility or program or a private practitioner or treatment program to release the participant's records to the program administrator or the Board or its executive director.

F. On the recommendation of the program administrator or a Board member and by mutual consent, the program administrator, Board member, Board staff, and program participant may meet informally to discuss program compliance.

History

• New Section adopted by final rulemaking at 6 A.A.R. 467, effective January 4, 2000 (Supp. 00-1). Amended by final rulemaking at 14 A.A.R. 3611, effective November 8, 2008 (Supp. 08-3).

Ariz. Admin. Code § R4-23-421 Repealed

History

• New Section made by final rulemaking at 8 A.A.R. 4052, effective November 9, 2002 (Supp. 02-3). Section repealed by final rulemaking at 17 A.A.R. 2600, effective February 4, 2012 (Supp. 11-4).

Ariz. Admin. Code § R4-23-422 Repealed

History

• New Section made by final rulemaking at 8 A.A.R. 4052, effective November 9, 2002 (Supp. 02-3). Section repealed by final rulemaking at 17 A.A.R. 2600, effective February 4, 2012 (Supp. 11-4).

Ariz. Admin. Code § R4-23-423 Repealed

History

• New Section made by final rulemaking at 8 A.A.R. 4052, effective November 9, 2002 (Supp. 02-3). Section repealed by final rulemaking at 17 A.A.R. 2600, effective February 4, 2012 (Supp. 11-4).

Ariz. Admin. Code § R4-23-424 Repealed

History

• New Section made by final rulemaking at 8 A.A.R. 4052, effective November 9, 2002 (Supp. 02-3). Section repealed by final rulemaking at 17 A.A.R. 2600, effective February 4, 2012 (Supp. 11-4).

Ariz. Admin. Code § R4-23-425 Repealed

History

• New Section made by final rulemaking at 8 A.A.R. 4052, effective November 9, 2002 (Supp. 02-3). Section repealed by final rulemaking at 17 A.A.R. 2600, effective February 4, 2012 (Supp. 11-4).

Ariz. Admin. Code § R4-23-426 Repealed

History

• New Section made by final rulemaking at 8 A.A.R. 4052, effective November 9, 2002 (Supp. 02-3). Section repealed by final rulemaking at 17 A.A.R. 2600, effective February 4, 2012 (Supp. 11-4).

Ariz. Admin. Code § R4-23-427 Repealed

History

• New Section made by final rulemaking at 8 A.A.R. 4052, effective November 9, 2002 (Supp. 02-3). Section repealed by final rulemaking at 17 A.A.R. 2600, effective February 4, 2012 (Supp. 11-4).

Ariz. Admin. Code § R4-23-428 Repealed

History

• New Section made by final rulemaking at 8 A.A.R. 4052, effective November 9, 2002 (Supp. 02-3). Section repealed by final rulemaking at 17 A.A.R. 2600, effective February 4, 2012 (Supp. 11-4).

Ariz. Admin. Code § R4-23-429 Repealed

History

• New Section made by final rulemaking at 8 A.A.R. 4052, effective November 9, 2002 (Supp. 02-3). Section repealed by final rulemaking at 17 A.A.R. 2600, effective February 4, 2012 (Supp. 11-4).

Article 5 CONTROLLED SUBSTANCES PRESCRIPTION MONITORING PROGRAM

Ariz. Admin. Code § R4-23-501 Controlled Substances Prescription Monitoring (CSPMP) Program Registration and Database Access

A.Under A.R.S. § 36-2606, a medical practitioner who is issued a license under A.R.S. Title 32, Chapter 7, 11, 13, 14, 15, 16, 17, 21, 25, or 29 and possesses a current DEA registration under the Federal Controlled Substances Act shall have a current CSPMP registration issued by the Board.

B.Application.

1. An applicant for CSPMP registration shall:

a. Submit a completed application for CSPMP registration electronically or manually on a form furnished by the Board, and

b. Submit with the application form the documents specified in the application form.

2. The Board office shall deem an application form received on the date the Board office electronically or manually date-stamps the form.

C.Registration. Within seven business days of receipt of a completed application specified in subsection (B), the Board office shall determine whether an application is complete. If the application is complete, the Board office shall issue a registration number and provide a current registration certificate to the applicant by mail or electronic transmission. If the application is incomplete, the Board office shall issue a written notice of incompleteness. An applicant with an incomplete application shall comply with the requirements of R4-23-202(F).

D.Registration renewal. As specified in A.R.S. § 36-2606(C), the Board shall automatically suspend the registration of any registrant that fails to renew the registration on or before May 1 of the year in which the renewal is due. The Board shall vacate a suspension if the registrant submits a renewal application. A suspended registrant with CSPMP database access credentials is prohibited from accessing information in the prescription monitoring program database.

E.CSPMP database access.

1. A medical practitioner that chooses to use the CSPMP database shall request access from the CSPMP Director by completing an access user registration form electronically. Upon receipt of the access user registration form, the CSPMP Director or designee shall issue access credentials provided the medical practitioner is in compliance with the registration requirements of this Section.

2. A pharmacist that chooses to use the CSPMP database shall request access from the CSPMP Director by completing an access user registration form electronically. Upon receipt of the access user registration form, the CSPMP Director or designee shall issue access credentials provided the pharmacist has a current active pharmacist license.

3. A medical practitioner or pharmacist who is not licensed in Arizona may request access from the CSPMP Director by:

a. Completing an access user registration form electronically;

b. Printing the access user registration form;

c. Having the access user registration form signed and notarized; and

d. Mailing the notarized access user form along with a current copy of the applicant's nonresident state license and driver's license. Upon receipt of the notarized access user registration form and other required documents, the CSPMP Director or designee shall issue access credentials provided the nonresident licensed medical practitioner or pharmacist credentials show an current active license in another state.

History

• Former Rule 5.2110; Amended effective August 9, 1983 (Supp. 83-4). Amended by final rulemaking at 8 A.A.R. 4898, effective January 5, 2003 (Supp. 02-4). Recodified to R4-23-801 at 9 A.A.R. 4011, effective August 18, 2003 (Supp. 03-3). New Section made by final rulemaking at 14 A.A.R. 3410, effective October 4, 2008 (Supp. 08-3). Amended by final rulemaking at 19 A.A.R. 94, effective March 10, 2013 (Supp. 13-1). New section made by final rulemaking at 20 A.A.R. 1359, effective 8/2/2014.

Ariz. Admin. Code § R4-23-502 Requirements for Data Format and Transmission

A.Each dispenser shall submit to the Board or its designee by electronic means information regarding each prescription dispensed for a controlled substance listed in Schedules II, III, and IV of A.R.S. Title 36, Chapter 27, the Arizona Uniform Controlled Substances Act. The information reported shall conform to the August 31, 2005 Version 003, Release 000 ASAP Rules-based Standard Implementation Guide for Prescription Monitoring Programs published by the American Society for Automation in Pharmacy as specified in A.R.S. § 36-2608(B). The information submitted for each prescription shall include:

1. The name, address, telephone number, prescription number, and DEA registration number of the dispenser;

2. The name, address, gender, date of birth, and telephone number of the person or, if for an animal, the owner of the animal for whom the prescription is written;

3. The name, address, telephone number, and DEA registration number of the prescribing medical practitioner;

4. The quantity and National Drug Code (NDC) number of the Schedule II, III, or IV controlled substance dispensed;

5. The date the prescription was dispensed;

6. The number of refills, if any, authorized by the medical practitioner;

7. The date the prescription was issued;

8. The method of payment identified as cash or third party; and

9. Whether the prescription is new or a refill.

B.A dispenser shall submit the required information electronically unless the Board or its designee approves a waiver as specified in subsection (D).

C.A dispenser's electronic data transfer equipment including hardware, software, and internet connections shall meet the privacy and security standards of the Health Insurance Portability and Accountability Act (HIPAA) of 1996, as amended, and A.R.S. § 12-2292, in addition to common internet industry standards for privacy and security. A dispenser shall ensure that each electronic transmission meets the following data protection requirements:

1. Data shall be at least 128-bit encryption in transmission and at rest; and

2. Data shall be transmitted via secure e-mail, telephone modem, diskette, CD-ROM, tape, secure File Transfer Protocol (FTP), Virtual Private Network (VPN), or other Board-approved media.

D.A dispenser who does not have an automated recordkeeping system capable of producing an electronic report in the Board established format may request a waiver from electronic reporting by submitting a written request to the Board or its des-ignee. The Board or its designee shall grant the request if the dispenser agrees in writing to report the data by submitting a completed universal claim form supplied by the Board or its designee.

E.Unless otherwise approved by the Board, a dispenser shall report by the close of business on each Friday the required information for the previous week, Sunday through Saturday. If a Friday falls on a state holiday, the dispenser shall report the information on the following business day. The Board or its designee may approve a less frequent reporting period if a dispenser makes a showing that a less frequent reporting period will not reduce the effectiveness of the system or jeopardize the public health.

History

• Former Rule 5.2510. Amended by final rulemaking at 8 A.A.R. 4898, effective January 5, 2003 (Supp. 02-4). Recodified to R4-23-802 at 9 A.A.R. 4011, effective August 18, 2003 (Supp. 03-3). New Section made by final rulemaking at 14 A.A.R. 3410, effective October 4, 2008 (Supp. 08-3). New section made by final rulemaking at 20 A.A.R. 1359, effective 8/2/2014.

Ariz. Admin. Code § R4-23-503 Access to Controlled Substances Prescription Monitoring Program Data

A.Except as provided in A.R.S. § 36-2604(B) and (C) and this Section, prescription information submitted to the Board or its designee is confidential and is not subject to public inspection.

B.The Board or its designee shall review the prescription information collected under A.R.S. Title 36, Chapter 28 and R4-23-502. If the Board or its designee has reason to believe an act of unprofessional or illegal conduct has occurred, the Board or its designee shall notify the appropriate professional licensing board or law enforcement or criminal justice agency and provide the prescription information required for an investigation.

C.The Board or its designee is authorized to release data collected by the program to the following:

1. A person who is authorized to prescribe or dispense a controlled substance to assist that person to provide medical or pharmaceutical care to a patient or to evaluate a patient;

2. An individual who requests the individual's own controlled substance prescription information under A.R.S. § 12-2293;

3. A professional licensing board established under A.R.S. Title 32, Chapter 7, 11, 13, 14, 15, 16, 17, 18, 21, 25, or 29. Except as required under subsection (B), the Board or its designee shall provide this information only if the requesting board states in writing that the information is necessary for an open investigation or complaint;

4. A local, state, or federal law enforcement or criminal justice agency. Except as required under subsection (B), the Board or its designee shall provide this information only if the requesting agency states in writing that the information is necessary for an open investigation or complaint;

5. The Arizona Health Care Cost Containment System Administration regarding individuals who are receiving services under A.R.S. Title 36, Chapter 29. Except as required under subsection (B), the Board or its designee shall provide this information only if the Administration states in writing that the information is necessary for an open investigation or complaint;

6. A person serving a lawful order of a court of competent jurisdiction;

7. A person who is authorized to prescribe or dispense a controlled substance and who performs an evaluation on an individual under A.R.S. § 23-1026; and

8. The Board staff for purposes of administration and enforcement of A.R.S. Title 36, Chapter 28 and this Article.

D.The Board or its designee may provide data to public or private entities for statistical, research, or educational purposes after removing information that could be used to identify individual patients or persons who received prescriptions from dispensers.

History

• Former Rules 5.3500, 5.3520, 5.3540, 5.3550, 5.3560, 5.3570, 5.3580, 5.3590, 5.4110, and 5.6110; Repealed effective August 2, 1982 (Supp. 82-4). New Section made by final rulemaking at 14 A.A.R. 3410, effective October 4, 2008 (Supp. 08-3). New section made by final rulemaking at 20 A.A.R. 1359, effective 8/2/2014.

Ariz. Admin. Code § R4-23-504 Computerized Central Database Tracking System Task Force

A.The Board shall appoint a task force to help it administer the computerized central database tracking system as specified in A.R.S. § 36-2603.

B.The Task Force shall meet at least once each year and at the call of the chairperson to establish the procedures and conditions relating to the release of prescription information specified in A.R.S. § 36-2604 and R4-23-503.

C.The Task Force shall determine:

1. The information to be screened;

2. The frequency and thresholds for screening; and

The parameters for using the information to notify medical practitioners, patients, and pharmacies to educate and provide for patient management and treatment options.

D.The Board shall review and approve the procedures and conditions established by the Task Force as needed but at least once every calendar year.

History

• Former Rule 5.7010; Amended effective August 10, 1978 (Supp. 78-4). Repealed effective August 2, 1982 (Supp. 82-4). New Section made by final rulemaking at 14 A.A.R. 3410, effective October 4, 2008 (Supp. 08-3). New section made by final rulemaking at 20 A.A.R. 1359, effective 8/2/2014.

Ariz. Admin. Code § R4-23-505 Reports

A.Before releasing prescription monitoring program data, the Board or its designee shall receive a written or electronic request for controlled substance prescription information.

B.A person authorized to access CSPMP data under R4-23-503(C)(1) through (7) shall submit a written or electronic request that:

1. Specifies the information requested for the report;

2. For a medical practitioner, provides a statement that the report's purpose is to provide medical or pharmaceutical care to a patient or to evaluate a patient;

3. For an individual obtaining the individual's own controlled substance prescription information, provides a form of non-expired government-issued photo identification;

4. For a professional licensing board, states that the information is necessary for an open investigation or complaint;

5. For a local, state, or federal law enforcement or criminal justice agency, states that the information is necessary for an open investigation or complaint;

6. For the AHCCCS Administration, states that the information is necessary for an open investigation or complaint; and

7. For a person serving a lawful order of a court of competent jurisdiction, provides a copy of the court order.

C.The Board or its designee may provide reports through U.S. mail, other common carrier, facsimile, or secured electronic media or may allow reports to be picked up in-person at the Board office.

History

• Former Rules 5.7100, 5.8100, 5.8500, 5.9100, and 5.9500; Amended effective August 10, 1978 (Supp. 78-4). Repealed effective August 2, 1982 (Supp. 82-4). New Section made by final rulemaking at 14 A.A.R. 3410, effective October 4, 2008 (Supp. 08-3). New section made by final rulemaking at 20 A.A.R. 1359, effective 8/2/2014.

Ariz. Admin. Code § R4-23-506 Repealed

History

• Adopted effective December 3, 1974 (Supp. 75-1). Repealed effective August 24, 1992 (Supp. 92-3).

Article 6 PERMITS AND DISTRIBUTION OF DRUGS

Ariz. Admin. Code § R4-23-601 General Provisions

A. Permit required to sell a narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical. A person shall have a current Board permit to:

1. Sell a narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical in Arizona; or

2. Sell a narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical from outside Arizona and ship the narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical into Arizona.

B. A medical practitioner is exempt from subsection (A) to administer a narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical for the emergency needs of a patient.

C. Permit fee. Permits are issued biennially on an odd- and even- year expiration based on the assigned permit number. The fee, specified in R4-23-205, is not refundable unless the Board fails to comply with the permit time frames established in R4-23-602.

D. Record of receipt and disposal of narcotics or other controlled substances, prescription-only drugs or devices, nonprescription drugs, precursor chemicals, or regulated chemicals.

1. Every person manufacturing a narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical, including repackaging or relabeling, shall prepare and retain for no fewer than three years the manufacturing, repackaging, or relabeling date for each narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical.

2. Every person receiving, selling, delivering, or disposing of a narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical shall record and retain for no fewer than three years the following information:

a. The name, strength, dosage form, and quantity of each narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical received, sold, delivered, or disposed;

b. The name, address, and license or permit number, if applicable, of the person from whom each narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical is received;

c. The name, address, and license or permit number, if applicable, of the person to whom each narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical is sold or delivered, or of the person who disposes of each narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical; and

d. The receipt, sale, deliver, or disposal date of each narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical.

The record required in this subsection shall be available for inspection by the Board or its compliance officer during regular business hours.

4. If the record required in this subsection is stored in a centralized recordkeeping system and not immediately available for inspection, a permittee, manager, or pharmacist-in-charge shall provide the record within four working days of the Board's or its compliance officer's request.

E. Narcotics or other controlled substances, prescription-only drugs or devices, nonprescription drugs, precursor chemicals, or regulated chemicals damaged by water, fire, or from human or animal consumption or use. A person shall not sell or offer to sell any narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical damaged by water, fire, or from human or animal consumption or use.

F. At least 14 days before there is a change in ownership, as defined at R4-23-110, of a license or permit issued under this Chapter, the new licensee or permittee shall apply to the Board for a new license or permit.

History

• Former Rules 6.1100, 6.1200, 6.1300, 6.1400, and 6.1500. Amended effective August 10, 1978 (Supp. 78-4). Amended subsection (C) effective August 9, 1983 (Supp. 83-4). Amended subsection (C) effective August 12, 1988 (Supp. 88-3). Amended by final rulemaking at 6 A.A.R. 4656, effective November 14, 2000 (Supp. 00-4). Amended by final rulemaking at 12 A.A.R. 1912, effective July 1, 2006 (Supp. 06-2). Amended by final rulemaking at 14 A.A.R. 3670, effective November 8, 2008 (Supp. 08-3). Amended by final rulemaking at 25 A.A.R. 1015, effective 6/1/2019.

Ariz. Admin. Code § R4-23-602 Permit Application Process and Time Frames

A.A person applying for a permit shall :

1. Submit a completed application for the desired permit electronically or manually on a form furnished by the Board, and

2. Submit with the application form:

a. The documents specified in the application form, and

b. The permit fee specified in R4-23-205.

B.The Board office shall deem an application form received on the date the Board office electronically or manually date-stamps the form.

C. Time frames for permits.

1. The Board office shall finish an administrative completeness review within 60 days from the date the application form is received.

1. a. The Board office shall issue a written notice of administrative completeness to the applicant if no deficiencies are found in the application form.

b. If the application form is incomplete, the Board office shall provide the applicant with a written notice that includes a comprehensive list of the missing information. The 60-day time frame for the Board office to finish the administrative completeness review is suspended from the date the notice of incompleteness is served until the applicant provides the Board office with all missing information.

3. c. If the Board office does not provide the applicant with written notice regarding administrative completeness, the application form shall be deemed complete 60 days after receipt by the Board office.

D.

2.An applicant with an incomplete application form shall submit to the Board office all of the missing information within 90 days of service of the notice of incompleteness.

1. a. If an applicant cannot submit all missing information within 90 days of service of the notice of incompleteness, the applicant may send a written request for an extension to the Board office postmarked or delivered no later than 90 days from service of the notice of incompleteness;

2. b. The written request for an extension shall document the reasons the applicant is unable to meet the 90-day deadline; and

c. The Board office shall review the request for an extension of the 90-day deadline and grant the request if the Board office determines an extension of the 90-day deadline will enable the applicant to assemble and submit the missing information. An extension shall be for no more than 30 days. The Board office shall notify the applicant in writing of its decision to grant or deny the request for an extension.

E. 3. If an applicant fails to submit a complete application form within the time allowed, the Board office shall close the applicant's file. An applicant whose file is closed and who later wishes to obtain a permit shall submit a new application and fee as specified in subsection (A).

4. For a nonprescription drug permit applicant, a compressed medical gas distributor permit applicant, and a durable medical equipment and compressed medical gas supplier permit applicant, the Board office shall issue a permit on the day the Board office determines an administratively complete application form is received.

G. 5. Except as described in subsection (C)(4), from the date on which the administrative completeness review of an application form is finished, the Board office shall complete a substantive review of the applicant's qualifications in no more than 120 days.

1. a. If an applicant is found to be ineligible, the Board office shall issue a written notice of denial to the applicant.

2. b. If an applicant is found to be eligible, the Board office shall recommend to the Board that the applicant be issued a permit. Upon receipt of the Board office's recommendation, the Board shall either issue a permit to the applicant or if the Board determines the applicant does not meet eligibility requirements, return the matter to the Board office.

3. c. If the Board office finds deficiencies during the substantive review of the application form, the Board office shall issue a written request to the applicant for additional documentation.

d. The 120-day time frame for a substantive review for the issuance or denial of a permit is suspended from the date of the written request for additional documentation until the date all documentation is received. The applicant shall submit the additional documentation according to subsection (C)(2).

e. If the applicant and the Board office mutually agree in writing, the 120-day substantive review time frame may be extended once for no more than 45 days.

H. 6. For the purpose of A.R.S. § 41-1072 et seq., the Board establishes the following time frames for permits:

a. Administrative completeness review time frame: 60 days.

2. b. Substantive review time frame:

a. i. Nonprescription drug permit, compressed medical gas distributor permit, and durable medical equipment and compressed medical gas supplier permit: none.

b. ii. Except as described in subsection (C)(6)(b)(i): 120 days.

3. c. Overall time frame:

a. i. Nonprescription drug permit, compressed medical gas distributor permit, and durable medical equipment and compressed medical gas supplier permit: 60 days.

b. ii. Except as described in subsection (C)(6)(c)(i): 180 days.

D.Permit renewal.

1. To renew a permit, a permittee shall submit a completed application for permit renewal electronically or manually on a form furnished by the Board with the biennial renewal fee specified in R4-23-205.

2. If the biennial renewal fee is not paid by November 1 of the renewal year specified in A.R.S. § 32-1931, the permit is suspended. The permittee shall pay a penalty as provided in A.R.S. § 32-1931 and R4-23-205 to vacate the suspension.

3. Time frames for permit renewals. The Board office shall follow the time frames established in subsection (C).

E.Display of permit. A permittee shall conspicuously display the permit in the location to which it applies.

History

• Former Rules 6.2100, 6.2200, 6.2300, 6.2400, 6.2500, 6.2600, 6.2610, 6.2620, 6.2630, 6.2640, and 6.2650. Amended effective August 10, 1978 (Supp. 78-4). Amended effective August 9, 1983 (Supp. 83-4). Repealed effective August 12, 1988 (Supp. 88-3). New Section adopted effective August 5, 1997 (Supp. 97-3). Amended by final rulemaking at 6 A.A.R. 4589, effective November 14, 2000 (Supp. 00-4). Amended by final rulemaking at 20 A.A.R. 1359, effective 8/2/2014. Amended by final rulemaking at 25 A.A.R. 1015, effective 6/1/2019.

Ariz. Admin. Code § R4-23-603 Resident-Nonprescription Drugs, Retail

A.Permit. A person, including the following, shall not sell or distribute a nonprescription drug without a current Board-issued permit:

1. A grocer;

2. Other non-pharmacy retail outlet; or

3. Mobile or non-fixed location retailer, such as a swap-meet vendor.

B.A medical practitioner licensed under A.R.S. Title 32 is exempt from the requirements of subsection (A).

C.Application. To obtain a permit to sell a nonprescription drug, a person shall submit :

1. A completed application form and fee as specified in R4-23-602; and

Documentation of compliance with local zoning laws, if required by the Board.

3. Owner's name, if corporation or partnership, officers or partners, including address and title;

4. Date business started or planned opening date;

5. Documentation of compliance with local zoning laws;

6. Type of business, such as convenience, drug, grocery, or health food store, swap-meet vendor, or vending machine;

7. If application is submitted because of ownership change, former owner's name and business name, if different;

8. Date signed, applicant's verified signature; and

9. Fee specified in R4-23-205 .

D.Drug sales. A nonprescription drug permittee:

1. Shall sell a drug only in the original container packaged and labeled by the manufacturer; and

2. Shall not package, repackage, label, or relabel any drug.

E. Inspection. A nonprescription drug permittee shall consent to inspection during business hours by a Board compliance officer or other authorized officer of the law as defined in A.R.S. § 32-1901.

F.Quality control. A nonprescription drug permittee shall:

1. Ensure that all drugs stocked, sold, or offered for sale are:

a. Kept clean;

b. Protected from contamination, excessive heat, cold, sunlight, and other deteriorating factors;

c. In compliance with federal law; and

d. Received from a supplier with a current Board-issued permit as specified in R4-23-601(A).

2. Develop and implement a program to ensure that:

a. Any expiration-dated drug is reviewed regularly;

b. Any drug, that exceeds its expiration date, is deteriorated or damaged, or does not comply with federal law, is moved to a quarantine area and not sold or distributed; and

c. Any quarantined drug is destroyed or returned to its source of supply.

G. Notification. A nonprescription drug permittee shall submit using the permittee's online profile or provide written notice by mail, fax, or e-mail to the Board office within 10 days of changes involving the telephone or fax number, e-mail or mailing address, or business name.

H. Change of ownership. A nonprescription drug permittee shall comply with R4-23-601(F).

I.Relocation. No less than 30 days before an existing nonprescription drug permittee relocates, the permittee shall submit a completed application for relocation electronically or manually on a form furnished by the Board, and the documentation required in subsection (C).

J.Records. A nonprescription drug permittee shall:

1. Retain records of the receipt and disposal of nonprescription drugs as required in R4-23-601(D), and

2. Comply with the requirements of A.R.S. § 32-1977 and federal law for the retail sale of methamphetamine precursors.

K. Permit renewal. To renew a nonprescription drug permit, the permittee shall comply with R4-23-602(D).

G. L.Nonprescription drug vending machine outlet. In addition to the requirements of R4-23-601, R4-23-602, and subsections (A) through (K), a person selling or distributing a nonprescription drug in a vending machine shall comply with the following requirements:

1. Each individual vending machine is considered an outlet and shall have a Board-issued nonprescription drug permit;

2. Each nonprescription-drug-permitted vending machine shall display in public view an identification seal, furnished by the Board, containing the permit number, vending machine's serial number, owner's name, and telephone contact number;

3. Each nonprescription-drug-permitted vending machine is assigned a specific location that is within a weather-tight structure, protected from direct sunlight, and maintained at a temperature not less than 59° F and not greater than 86° F;

4. Each nonprescription drug sold in a vending machine is packaged and labeled in the manufacturer's original FDA-approved container;

A nonprescription-drug-permitted vending machine is subject to inspection by a Board compliance officer or other authorized officer of the law as defined in A.R.S. § 32-1901 as follows:

a. The owner, manager, or other staff of the nonprescription drug permittee shall provide access to the contents of the vending machine within 24 hours of a request from a Board compliance officer or other authorized officer of the law; or

b. The Board compliance staff shall have independent access to the vending machine;

6. Before relocating or retiring a nonprescription-drug-permitted vending machine, the owner or manager shall notify the Board in writing. The notice shall include:

a. Permit number;

b. Vending machine's serial number;

c. Action planned (relocate or retire); and

d. If retiring a vending machine, the disposition of the nonprescription drug contents of the vending machine;

7. The sale or distribution of a precursor chemical or regulated chemical in a vending machine is prohibited ; and

8. Under no circumstance may expired drugs be sold or distributed.

History

• Adopted effective August 10, 1978 (Supp. 78-4). Amended subsection (D) paragraph (1) and added subsection (G) effective April 20, 1982 (Supp. 82-2). Amended effective August 12, 1988 (Supp. 88-3). Amended effective February 8, 1991 (Supp. 91-1). Amended effective August 5, 1997 (Supp. 97-3). Amended by final rulemaking at 6 A.A.R. 4589, effective November 14, 2000 (Supp. 00-4). Amended by final rulemaking at 20 A.A.R. 1359, effective 8/2/2014. Amended by final rulemaking at 25 A.A.R. 1015, effective 6/1/2019.

Ariz. Admin. Code § R4-23-604 Resident Drug Manufacturer

A. Permit. A person shall not manufacture, package, repackage, label, or relabel any narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical without a current Board-issued drug manufacturer permit.

B. Application. To obtain a permit to operate a drug manufacturing firm in Arizona, a person shall submit a completed application, on a form furnished by the Board, and the fee specified in R4-23-205.

1. Business name, address, mailing address, if different, telephone number, and facsimile number;

2. Owner's name, if corporation or partnership, officers or partners, including address and title, and any other trade or business names used;

3. Whether the owner, corporation, or partnership has conducted a similar business in any other jurisdiction and if so, indicate under what name and location;

4. Whether the owner, any officer, or active partner has ever been convicted of an offense involving moral turpitude, a felony offense, or any drug-related offense or has any currently pending felony or drug-related charges, and if so, indicate charge, conviction date, jurisdiction, and location;

5. Whether the owner, any officer, or active partner has ever been denied a drug manufacturer permit in this state or any other jurisdiction, and if so, indicate where and when;

6. A copy of the drug list required by the FDA;

7. Plans or construction drawings showing facility size and security for the proposed business;

8. Applicant's and manager's name, address, emergency telephone number, and resumé indicating educational or experiential qualifications related to drug manufacturer operation;

9. The applicant's current FDA drug manufacturer or repackager registration number and expiration date;

10. Documentation of compliance with local zoning laws;

11. For an application submitted because of ownership change, the former owner's name and business name, if different;

12. Date signed, and applicant's, corporate officer's, partner's, or manager's verified signature and title; and

13. Fee specified in R4-23-205 .

C. Before issuing a drug manufacturer permit, the Board shall:

Receive and approve a completed permit application;

2. Interview the applicant and manager, if different from the applicant, at a Board meeting; and

3. Receive a satisfactory compliance inspection report on the facility from a Board compliance officer.

D. Notification. A resident drug manufacturer permittee shall notify the Board of changes involving the drug list, address, telephone number, business name, or manager, including manager's telephone number. The resident drug manufacturer permittee shall submit using the permittee's online profile or a written notice by mail, fax, or e-mail to the the Board office within 24 hours of the change.

E. Change of ownership. A resident drug manufacturer permittee shall comply with R4-23-601(F).

F. Before an existing resident drug manufacturer permittee relocates, the drug manufacturer permittee shall submit the application packet described in subsection R4-23-604(B), excluding the fee. The facility at the new location shall pass a final inspection by a Board compliance officer before operations begin.

G. No later than 14 days after the change occurs, a resident drug manufacturer permittee shall submit the application described under subsection R4-23-604(B), excluding the fee, for any change of officers in a corporation.

H. Manufacturing and distribution.

1. A drug manufacturer permittee shall manufacture and distribute a drug only:

a. To a pharmacy, drug manufacturer, or full-service or nonprescription drug wholesaler currently permitted by the Board;

b. To a medical practitioner currently licensed as a medical practitioner as defined in A.R.S. § 32-1901; or

c. To a properly permitted, registered, licensed, or certified person or firm of another jurisdiction.

2. Before manufacturing and distributing a drug that is not listed on a drug manufacturer's permit application, the drug manufacturer permittee shall send to the Board office a written request to amend the permit application, including documentation of FDA approval to manufacture the drug not listed on the original permit application. If a request to amend a permit application includes the documentation required in this subsection, the Board or its designee shall approve the request to amend within 30 days of receipt.

I. A drug manufacturer permit is subject to denial, suspension, probation, or revocation under A.R.S. § 32-1927.02.

J. Current Good Manufacturing Practice. A drug manufacturer permittee is required under federal law to follow the good manufacturing practice requirements of 21 CFR 210 through 211 www.gpo.gov.

K. Records. A drug manufacturer permittee shall:

1. Establish and implement written procedures for maintaining records pertaining to production, process control, labeling, packaging, quality control, distribution, complaints, and any information required by federal or state law;

2. Retain the records required by this Article and 21 CFR 210 through 211 for at least two years after distribution of a drug or one year after the expiration date of a drug, whichever is longer; and

3. Make the records required by this Article and 21 CFR 210 through 211 available within 48 hours for review by a Board compliance officer or other authorized officer of the law as defined in A.R.S. § 32-1901.

L. Inspections. A drug manufacturer permittee shall make the drug manufacturer's facility available for inspection by the Board or its compliance officer under A.R.S. § 32-1904.

M. Nonresident drug manufacturer. A nonresident drug manufacturer shall comply with the requirements of R4-23-607.

N. Manufacturing radiopharmaceuticals. Before manufacturing a radiopharmaceutical, a drug manufacturer permittee shall:

1. Comply with the regulatory requirements of the Arizona Radiation Regulatory Agency, the U.S. Nuclear Regulatory Commission, the FDA, and this Section; and

2. Hold a current Arizona Radiation Regulatory Agency Radioactive Materials License. If a drug manufacturer permittee who manufactures radiopharmaceuticals fails to maintain a current Arizona Radiation Regulatory Agency Radioactive Materials License, the permittee's drug manufacturer permit shall be immediately suspended pending a hearing by the Board.

History

• Former Rules 6.4001, 6.4002, 6.4003, 6.4004, 6.4005, 6.4006, 6.4007, 6.4008, 6.4009, 6.4100, 6.4110, 6.4111, 6.4115, 6.4116, 6.4120, 6.4122, 6.4190, 6.4191, 6.4200, 6.4250, 6.4300, 6.4350, 6.4355, 6.4360, 6.4400, 6.4401, 6.4403, 6.4410, 6.4430, 6.4450, 6.4500, 6.4510, 6.4530, 6.4533, 6.4600, 6.4610, 6.4640, 6.4660, 6.4700, 6.4710, and 6.4750. Adopted effective December 3, 1974 (Supp. 75-1). Amended effective August 10, 1978 (Supp. 78-4). Amended subsection (B) paragraph (2) effective April 20, 1982 (Supp. 82-2). Amended subsections (B), (G), (K) and (L) effective August 12, 1988 (Supp. 88-3). Amended effective August 24, 1992 (Supp. 92-3). Amended effective November 1, 1993 (Supp. 93-4). Amended by final rulemaking at 7 A.A.R. 3815, effective August 9, 2001 (Supp. 01-3). Amended by final rulemaking at 11 A.A.R. 1105, effective April 30, 2005 (Supp. 05-1). Amended by final rulemaking at 19 A.A.R. 702, effective June 1, 2013 (Supp. 13-2). Amended by final rulemaking at 25 A.A.R. 1015, effective 6/1/2019.

Ariz. Admin. Code § R4-23-605 Resident Drug Wholesaler Permit

A. Permit. A person shall not operate a business or firm for the wholesale distribution of any drug, device, precursor chemical, or regulated chemical without a current Board-issued full-service or nonprescription drug wholesale permit.

B. Application.

1. To obtain a permit to operate a full-service or nonprescription drug wholesale firm in Arizona, a person shall submit a completed application, on a form furnished by the Board, and the fee specified in R4-23-205.

a. Whether the application is for a full-service or nonprescription drug wholesale permit;

b. Business name, address, mailing address, if different, telephone number, and facsimile number;

c. Owner's name, if corporation or partnership, officers or partners, including address and title, and any other trade or business names used;

d. Whether the owner, corporation, or partnership has conducted a similar business in any other jurisdiction and if so, indicate under what name and location;

e. Whether the owner, any officer or active partner has ever been convicted of an offense involving moral turpitude, a felony offense, or any drug-related offense or has any currently pending felony or drug-related charges, and if so, indicate charge, conviction date, jurisdiction, and location;

f. Whether the owner or any officer or active partner has ever been denied a drug wholesale permit in this state or any other jurisdiction, and if so, indicate where and when;

g. For a full-service drug wholesale firm:

i. The designated representative's name, address, and emergency telephone number;

ii. Documentation that the designated representative meets the requirements of A.R.S. § 32-1982(B) and the following as specified in A.R.S. § 32-1982(C) :

(1) A full set of fingerprints from the designated representative; and

(2) The state and federal criminal history record check fee specified by and made payable to the Arizona State Department of Public Safety by money order, certified check, or bank draft; and

iii. A $100,000 bond as specified in A.R.S. § 32-1982(D) submitted on a form supplied by the Board;

h. The type of drugs, whether nonprescription, prescription-only, controlled substances, human, or veterinary, the applicant will distribute;

i. Plans or construction drawings showing facility size and security for the proposed business;

j. Documentation of compliance with local zoning laws;

k. For a nonprescription drug wholesale firm, the manager's or designated representative's name, address, emergency telephone number, and resumé indicating educational or experiential qualifications related to drug wholesale operation;

l. For an application submitted because of ownership change, the former owner's name and business name, if different;

m. Date signed, and applicant's, corporate officer's, partner's, manager's, or designated representative's verified signature and title; and

n. Fee specified in R4-23-205 .

2. Before issuing a full-service or nonprescription drug wholesale permit, the Board shall:

a. Receive and approve a completed permit application;

b. Interview the applicant and the designated representative, if different from the applicant, at a Board meeting;

c. Receive a satisfactory compliance inspection report on the facility from a Board compliance officer; and

d. For a full-service drug wholesale permit, issue a fingerprint clearance to a qualified designated representative, as specified in subsection (L). If the fingerprint clearance of a designated representative for a full-service drug wholesale permit applicant is denied, the full-service drug wholesale permit applicant shall appoint another designated representative and submit the documentation, fingerprints, and fee specified in the application required in subsection (B).

C. Notification. A resident full-service or nonprescription drug wholesale permittee shall notify the Board of changes involving the type of drugs sold or distributed, address, telephone number, business name, or manager or designated representative, including the manager's or designated representative's telephone number.

1. The resident full-service or nonprescription drug wholesale permittee shall submit using the permittee's online profile or a written notice by mail, fax, or e-mail to the Board office within 10 days of the change.

For a change of designated representative, a resident full-service drug wholesale permittee shall submit the documentation, fingerprints, and fee specified in the application required in subsection (B.

D. Change of ownership. A resident full-service or nonprescription drug wholesale permittee shall comply with R4-23-601(F).

E. Before an existing resident full-service or nonprescription drug wholesaler permittee relocates, the resident full-service or nonprescription drug wholesale permittee shall submit the application required under subsection (B), excluding the fee. The facility at the new location shall pass a final inspection by a Board compliance officer before operations begin.

F. No later than 14 days after the change occurs, a resident full-service or nonprescription drug wholesale permittee shall submit the application described under subsection (B), excluding the fee, for any change of officers in a corporation.

G. Distribution restrictions. In addition to the requirements of this subsection, a resident full-service wholesale permittee shall comply with the distribution restrictions specified in A.R.S. § 32-1983.

1. Records.

a. A full-service drug wholesale permittee shall:

i. Maintain records to ensure full accountability of any narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical including dates of receipt and sales, names, addresses, and DEA registration numbers, if required, of suppliers or sources of merchandise, and customer names, addresses, and DEA registration numbers, if required;

ii. File the records required in subsection (G)(1)(a)(i) in a readily retrievable manner for a minimum of three years;

iii. Make the records required in subsection (G)(1)(a)(i) available upon request during regular business hours for inspection by a Board compliance officer or other authorized officer of the law as defined in A.R.S. § 32-1901(5). Records kept at a central location apart from the business location and not electronically retrievable shall be made available within two business days; and

iv. In addition to the records requirements of subsection (G)(1)(a)(i), comply with the retention of track and trace documents required under the Drug Supply Chain and Security Act for all prescription-only drugs that leave the normal distribution channel as defined in A.R.S. § 32-1981.

b. A nonprescription drug wholesale permittee shall:

i. Maintain records to ensure full accountability of any nonprescription drug, precursor chemical, or regulated chemical including dates of receipt and sales, names, addresses, and DEA registration numbers, if required, of suppliers or sources of merchandise, and customer names, addresses, and DEA registration numbers, if required;

ii. File the records required in subsection (G)(1)(b)(i) in a readily retrievable manner for a minimum of three years; and

iii. Make the records required in subsection (G)(1)(b)(i) available upon request during regular business hours for inspection by a Board compliance officer or other authorized officer of the law as defined in A.R.S. § 32-1901(5). Records kept at a central location apart from the business location and not electronically retrievable shall be made available within two business days.

2. Drug sales.

a. A full-service drug wholesale permittee shall:

i. Not sell, distribute, give away, or dispose of any narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical, except in the original container packaged and labeled by the manufacturer or repackager;

ii. Not package, repackage, label, or relabel any narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical;

iii. Not sell, distribute, give away, or dispose of any narcotic or other controlled substance, or prescription-only drug or device, to anyone except a pharmacy, drug manufacturer, or full-service drug wholesaler currently permitted by the Board or a medical practitioner currently licensed under A.R.S. Title 32;

iv. Not sell, distribute, give away, or dispose of any nonprescription drug, precursor chemical, or regulated chemical, to anyone except a pharmacy, drug manufacturer, full-service or nonprescription drug wholesaler, or nonprescription drug retailer currently permitted by the Board or a medical practitioner currently licensed under A.R.S. Title 32;

v. Provide track and trace documents required under the Drug Supply Chain and Security Act upon request, if immediately available, or within two business days from the date of a request of a Board compliance officer or other authorized officer of the law as defined in A.R.S. § 32-1901;

vi. Maintain a copy of the current permit or license of each person that buys, receives, or disposes of any narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical; and

vii. Provide permit and license records upon request, if immediately available, or within two business days from the date of the request of a Board compliance officer or other authorized officer of the law as defined in A.R.S. § 32-1901(5).

b. A nonprescription drug wholesale permittee shall:

i. Not sell, distribute, give away, or dispose of any nonprescription drug, precursor chemical, or regulated chemical, except in the original container packaged and labeled by the manufacturer or repackager;

ii. Not package, repackage, label, or relabel any nonprescription drug, precursor chemical, or regulated chemical;

iii. Not sell or distribute any nonprescription drug, precursor chemical, or regulated chemical, to anyone except a pharmacy, drug manufacturer, full-service or nonprescription drug wholesaler, or nonprescription drug retailer currently permitted by the Board or a medical practitioner currently licensed under A.R.S. Title 32;

iv. Maintain a record of the current permit or license of each person or firm who buys, receives, or disposes of any nonprescription drug, precursor chemical, or regulated chemical; and

v. Provide permit and license records upon request, if immediately available, or within two business days from the date of the request of a Board compliance officer or other authorized officer of the law as defined in A.R.S. § 32-1901(5).

c. Nothing in this subsection shall be construed to prevent the return of a narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical to the original source of supply.

3. Out-of-state drug sales.

a. A full-service drug wholesale permittee shall:

i. Not sell, distribute, give away, or dispose of any narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical except in the original container packaged and labeled by the manufacturer or repackager;

ii. Not package, repackage, label, or relabel any narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical;

iii. Not sell, distribute, give away, or dispose of any narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical to anyone except a person that is properly permitted, registered, licensed, or certified in another jurisdiction;

iv. Provide track and trace documents required under the Drug Supply Chain and Security Act upon request, if immediately available, or within two business days from the date of the request of a Board compliance officer or other authorized officer of the law as defined in A.R.S. § 32-1901;

v. Maintain a copy of the current permit, registration, license, or certificate of each person that buys, receives, or disposes of any narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical; and

vi. Provide permit, registration, license, and certificate records upon request, if immediately available, or within two business days from the date of the request of a Board compliance officer or other authorized officer of the law as defined in A.R.S. § 32-1901(5); and

b. A nonprescription drug wholesale permittee shall:

i. Not sell, distribute, give away, or dispose of any nonprescription drug, precursor chemical, or regulated chemical except in the original container packaged and labeled by the manufacturer or repackager;

ii. Not package, repackage, label, or relabel any nonprescription drug, precursor chemical, or regulated chemical;

iii. Not sell or distribute any nonprescription drug, precursor chemical, or regulated chemical to anyone except a person that is properly permitted, registered, licensed, or certified in another jurisdiction;

iv. Maintain a record of the current permit, registration, license, or certificate of each person that buys, receives, or disposes of any nonprescription drug, precursor chemical, or regulated chemical; and

v. Provide permit, registration, license, or certificate records upon request, if immediately available, or within two business days from the date of the request of a Board compliance officer or other authorized officer of the law as defined in A.R.S. § 32-1901(5).

4. Cash-and-carry sales.

a. A full-service drug wholesale permittee shall complete a cash-and-carry sale or distribution of any narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical only after:

i. Verifying the validity of the order;

ii. Verifying the identity of the pick-up person for each transaction by confirming that the person represented placed the cash-and-carry order; and

iii. For a prescription-only drug order, verifying that the cash-and-carry sale or distribution is used only to meet the immediate needs of a particular patient of the person that placed the cash-and-carry order; and

b. A nonprescription drug wholesale permittee shall complete a cash-and-carry sale or distribution of any nonprescription drug, precursor chemical, or regulated chemical only after:

i. Verifying the validity of the order; and

ii. Verifying the identity of the pick-up person for each transaction by confirming that the person represented placed the cash-and-carry order.

H. Prescription-only drug returns or exchanges. A full-service drug wholesale permittee shall ensure that any prescription-only drug returned or exchanged by a pharmacy or chain pharmacy warehouse under A.R.S. § 32-1983(A) meets the following criteria:

1. The prescription-only drug is not adulterated or counterfeited, except an adulterated or counterfeited prescription-only drug that is the subject of an FDA or manufacturer recall may be returned for destruction or subsequent return to the manufacturer;

2. The quantity of prescription-only drug returned or exchanged does not exceed the quantity of prescription-only drug that the full-service drug wholesale permittee or a full-service drug wholesale permittee under common ownership sold to the pharmacy or chain pharmacy warehouse; and

3. The pharmacy or chain pharmacy warehouse provides documentation that:

a. Lists the name, strength, and manufacturer of the prescription-only drug being returned or exchanged; and

b. States that the prescription-only drug was maintained in compliance with storage conditions prescribed on the drug label or manufacturer's package insert.

I. Returned, outdated, damaged, deteriorated, adulterated, misbranded, counterfeited, and contraband drugs.

1. Except as specified in subsection (H)(1) for a prescription-only drug, a full-service drug wholesale permittee shall ensure that the return of any narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical meets the following criteria.

a. Any narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical that is outdated, damaged, deteriorated, adulterated, misbranded, counterfeited, or contraband or suspected of being adulterated, misbranded, counterfeited, or contraband, or otherwise deemed unfit for human or animal consumption shall be quarantined and physically separated from other narcotics or other controlled substances, prescription-only drugs or devices, nonprescription drugs, precursor chemicals, or regulated chemicals until the narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical is destroyed or returned to the manufacturer or wholesale distributor from which it was acquired as authorized by the Board and the FDA.

b. Any narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical whose immediate or sealed outer or secondary containers or product labeling are misbranded, counterfeited, or contraband or suspected of being misbranded, counterfeited, or contraband shall be quarantined and physically separated from other narcotics or other controlled substances, prescription-only drugs or devices, nonprescription drugs, precursor chemicals, or regulated chemicals until the narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical is destroyed or returned to the manufacturer or wholesale distributor from which it was acquired as authorized by the Board and the FDA. When the immediate or sealed outer or secondary containers or product labeling are determined to be misbranded, counterfeited, or contraband or suspected of being misbranded, counterfeited, or contraband, the full-service drug wholesale permittee shall provide notice of the misbranding, counterfeiting, or contrabanding or suspected misbranding, counterfeiting, or contrabanding within three business days of the determination to the Board, FDA, and manufacturer or wholesale distributor from which the narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical was acquired.

c. Any narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical that has been opened or used, but is not adulterated, misbranded, counterfeited, or contraband or suspected of being misbranded, counterfeited, or contraband shall be identified as opened or used, or both, and quarantined and physically separated from other narcotics or other controlled substances, prescription-only drugs or devices, nonprescription drugs, precursor chemicals, or regulated chemicals until the narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical is destroyed or returned to the manufacturer or wholesale distributor from which it was acquired as authorized by the Board and the FDA.

d. If the conditions under which a narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical has been returned cast doubt on the safety, identity, strength, quality, or purity of the narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical, the narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical shall be quarantined and physically separated from other narcotics or other controlled substances, prescription-only drugs or devices, nonprescription drugs, precursor chemicals, or regulated chemicals until the narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical is destroyed or returned to the manufacturer or wholesale distributor from which it was acquired as authorized by the Board and the FDA, except as provided in subsection (I)(1)(d)(i).

i. If examination, testing, or other investigation proves that the narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical meets appropriate standards of safety, identity, strength, quality, and purity, it does not have to be destroyed or returned to the manufacturer or wholesale distributor.

ii. In determining whether the conditions under which a narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical has been returned cast doubt on the safety, identity, strength, quality, or purity of the narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical, the full-service drug wholesale permittee shall consider, among other things, the conditions under which the narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical has been held, stored, or shipped before or during its return and the condition of the narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical and the condition of its container, carton, or product labeling as a result of storage or shipping.

e. For any narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical identified under subsections (I)(1)(a) or (b), the full-service drug wholesale permittee shall ensure that the identified item or items and other evidence of criminal activity, and accompanying documentation is retained and not destroyed until its disposition is authorized by the Board and the FDA.

2. A nonprescription drug wholesale permittee shall ensure that the return of any nonprescription drug, precursor chemical, or regulated chemical meets the following criteria.

a. Any nonprescription drug, precursor chemical, or regulated chemical that is outdated, damaged, deteriorated, adulterated, misbranded, counterfeited, or contraband or suspected of being adulterated, misbranded, counterfeited, or contraband, or otherwise deemed unfit for human or animal consumption shall be quarantined and physically separated from other nonprescription drugs, precursor chemicals, or regulated chemicals until the nonprescription drug, precursor chemical, or regulated chemical is destroyed or returned to the manufacturer or wholesale distributor from which it was acquired as authorized by the Board and the FDA.

b. Any nonprescription drug, precursor chemical, or regulated chemical whose immediate or sealed outer or secondary containers or product labeling are misbranded, counterfeited, or contraband or suspected of being misbranded, counterfeited, or contraband shall be quarantined and physically separated from other nonprescription drugs, precursor chemicals, or regulated chemicals until the nonprescription drug, precursor chemical, or regulated chemical is destroyed or returned to the manufacturer or wholesale distributor from which it was acquired as authorized by the Board and the FDA. When the immediate or sealed outer or secondary containers or product labeling are determined to be misbranded, counterfeited, or contraband or suspected of being misbranded, counterfeited, or contraband, the nonprescription drug wholesale permittee shall provide notice of the misbranding, counterfeiting, or contrabanding or suspected misbranding, counterfeiting, or contrabanding within three business days of the determination to the Board, FDA, and manufacturer or wholesale distributor from which the nonprescription drug, precursor chemical, or regulated chemical was acquired.

c. Any nonprescription drug, precursor chemical, or regulated chemical that has been opened or used, but is not adulterated, misbranded, counterfeited, or contraband or suspected of being misbranded, counterfeited, or contraband, shall be identified as opened or used, or both, and quarantined and physically separated from other nonprescription drugs, precursor chemicals, or regulated chemicals until the nonprescription drug, precursor chemical, or regulated chemical is destroyed or returned to the manufacturer or wholesale distributor from which it was acquired as authorized by the Board and the FDA.

d. If the conditions under which a nonprescription drug, precursor chemical, or regulated chemical has been returned cast doubt on the safety, identity, strength, quality, or purity of the nonprescription drug, precursor chemical, or regulated chemical, the nonprescription drug, precursor chemical, or regulated chemical shall be quarantined and physically separated from other nonprescription drugs, precursor chemicals, or regulated chemicals until the nonprescription drug, precursor chemical, or regulated chemical is destroyed or returned to the manufacturer or wholesale distributor from which it was acquired as authorized by the Board and the FDA, except as provided in subsection (I)(2)(d)(i).

i. If examination, testing, or other investigation proves that the nonprescription drug, precursor chemical, or regulated chemical meets appropriate standards of safety, identity, strength, quality, and purity, the nonprescription drug, precursor chemical, or regulated chemical does not need to be destroyed or returned to the manufacturer or wholesale distributor.

ii. In determining whether the conditions under which a nonprescription drug, precursor chemical, or regulated chemical has been returned cast doubt on the safety, identity, strength, quality, or purity of the nonprescription drug, precursor chemical, or regulated chemical, the nonprescription drug wholesale permittee shall consider, among other things, the conditions under which the nonprescription drug, precursor chemical, or regulated chemical has been held, stored, or shipped before or during its return and the condition of the nonprescription drug, precursor chemical, or regulated chemical and the condition of its container, carton, or product labeling as a result of storage or shipping.

e. For any nonprescription drug, precursor chemical, or regulated chemical identified under subsections (I)(2)(a) or (b), the nonprescription drug wholesale permittee shall ensure that the identified item or items and other evidence of criminal activity, and accompanying documentation is retained and not destroyed until its disposition is authorized by the Board and the FDA.

3. A full-service drug wholesale permittee and nonprescription drug wholesale permittee shall comply with the recordkeeping requirements of subsection (G) for all outdated, damaged, deteriorated, adulterated, misbranded, counterfeited and contraband narcotics or other controlled substances, prescription-only drugs or devices, nonprescription drugs, precursor chemicals, or regulated chemicals.

J. Facility. A full-service or nonprescription drug wholesale permittee shall:

1. Ensure that the facility occupied by the full-service or nonprescription drug wholesale permittee is of adequate size and construction, well-lighted inside and outside, adequately ventilated, and kept clean, uncluttered, and sanitary;

2. Ensure that the permittee's warehouse facility:

a. Is secure from unauthorized entry; and

b. Has an operational security system designed to provide protection against theft;

3. In a full-service drug wholesale facility, ensure that only authorized personnel may enter areas where any narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical is kept;

4. In a nonprescription drug wholesale facility, ensure that only authorized personnel may enter areas where any nonprescription drug, precursor chemical, or regulated chemical is kept;

5. In a full-service drug wholesale facility, ensure that any thermolabile narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical is stored in an area where room temperature is maintained in compliance with storage conditions prescribed on the product label;

6. In a nonprescription drug wholesale facility, ensure that any thermolabile nonprescription drug, precursor chemical, or regulated chemical is stored in an area where room temperature is maintained in compliance with storage conditions prescribed on the product label;

7. Make the facility available for inspection by a Board compliance officer or other authorized officer of the law as defined in A.R.S. § 32-1901(5) during regular business hours;

8. In a full-service drug wholesale facility, provide a quarantine area for storage of any narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical that is outdated, damaged, deteriorated, adulterated, misbranded, counterfeited, or contraband or suspected of being adulterated, misbranded, counterfeited, or contraband, otherwise deemed unfit for human or animal consumption, or that is in an open container; and

9. In a nonprescription drug wholesale facility, provide a quarantine area for storage of any nonprescription drug, precursor chemical, or regulated chemical that is outdated, damaged, deteriorated, adulterated, misbranded, counterfeited, or contraband or suspected of being adulterated, misbranded, counterfeited, or contraband, otherwise deemed unfit for human or animal consumption, or that is in an open container.

K. Quality controls.

1. A full-service drug wholesale permittee shall:

a. Ensure that any narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical that meets the criteria specified in subsection (I)(1) is not sold, distributed, or delivered to any person for human or animal consumption;

b. Ensure that a narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical is not manufactured, packaged, repackaged, labeled, or relabeled by any of its employees;

c. Ensure that any narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical stocked, sold, offered for sale, or delivered is:

i. Kept clean,

ii. Protected from contamination and other deteriorating environmental factors, and

iii. Stored in a manner that complies with applicable federal and state law and official compendium storage requirements;

d. Maintain manual or automatic temperature and humidity recording devices or logs to document conditions in areas where any narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical is stored; and

e. Develop and implement a program to ensure that:

i. Any expiration-dated narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical is reviewed regularly;

ii. Any narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical that has less than 120 days remaining on the expiration date, or is deteriorated, damaged, or does not comply with federal law, is moved to a quarantine area and not sold or distributed; and

iii. Any quarantined narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical is destroyed or returned to the manufacturer or wholesale distributor from which it was acquired.

2. A nonprescription drug wholesale permittee shall:

a. Ensure that any nonprescription drug, precursor chemical, or regulated chemical that meets the criteria specified in subsection (I)(2) is not sold, distributed, or delivered to any person for human or animal consumption;

b. Ensure that a nonprescription drug, precursor chemical, or regulated chemical is not manufactured, packaged, repackaged, labeled, or relabeled by any of its employees;

c. Ensure that any nonprescription drug, precursor chemical, or regulated chemical stocked, sold, offered for sale, or delivered is:

i. Kept clean,

ii. Protected from contamination and other deteriorating environmental factors, and

iii. Stored in a manner that complies with applicable federal and state law and official compendium storage requirements;

d. Maintain manual or automatic temperature and humidity recording devices or logs to document conditions in areas where any nonprescription drug, precursor chemical, or regulated chemical is stored; and

e. Develop and implement a program to ensure that:

i. Any expiration-dated nonprescription drug, precursor chemical, or regulated chemical is reviewed regularly;

ii. Any nonprescription drug, precursor chemical, or regulated chemical that has fewer than 120 days remaining on the expiration date, or is deteriorated, damaged, or does not comply with federal law, is moved to a quarantine area and not sold or distributed; and

iii. Any quarantined nonprescription drug, precursor chemical, or regulated chemical is destroyed or returned to the manufacturer or wholesale distributor from which it was acquired.

L. Fingerprint clearance.

1. After receiving the state and federal criminal history record of a designated representative, the Board shall compare the record with the list of criminal offenses that preclude a designated representative from receiving a fingerprint clearance. If the designated representative's criminal history record does not contain any of the offenses listed in subsection (L)(2), the Board shall issue the designated representative a fingerprint clearance.

2. The Board shall not issue a fingerprint clearance to a designated representative who is awaiting trial for or who has been convicted of committing or attempting or conspiring to commit one or more of the following offenses in this state or the same or similar offenses in another state or jurisdiction:

a. Unlawfully administering intoxicating liquors, controlled substances, dangerous drugs, or prescription-only drugs;

b. Sale of peyote;

c. Possession, use, or sale of marijuana, dangerous drugs, prescription-only drugs, or controlled substances;

d. Manufacture or distribution of an imitation controlled substance;

e. Manufacture or distribution of an imitation prescription-only drug;

f. Possession or possession with intent to use an imitation controlled substance;

g. Possession or possession with intent to use an imitation prescription-only drug; or

h. A felony offense involving sale, distribution, or transportation of, offer to sell, transport, or distribute, or conspiracy to sell, transport, or distribute marijuana, dangerous drugs, prescription-only drugs, or controlled substances.

3. If the Board determines, after conducting a state and federal criminal history record check, that it is not authorized to issue a fingerprint clearance, the Board shall notify the full-service drug wholesale applicant or permittee that employs the designated representative that the Board is not authorized to issue a fingerprint clearance. This notice shall include the criminal history information on which the denial was based. This criminal history information is subject to dissemination restrictions under A.R.S. § 41-1750 and federal law.

4. The issuance of a fingerprint clearance does not entitle a person to employment.

History

• Former Rules 6.5110, 6.5120, 6.5130, 6.5140, 6.5210, 6.5220, 6.5230, 6.5240, 6.5310, 6.5320, 6.5410, and 6.5420. Amended effective August 10, 1978 (Supp. 78-4). Amended effective April 20, 1982 (Supp. 82-2). Amended subsection (A) effective August 12, 1988 (Supp. 88-3). Amended effective February 8, 1991 (Supp. 91-1). Amended effective August 24, 1992 (Supp. 92-3). Amended by final rulemaking at 6 A.A.R. 4589, effective November 14, 2000 (Supp. 00-4). Amended by final rulemaking at 10 A.A.R. 232, effective March 6, 2004 (Supp. 04-1). Amended by final rulemaking at 11 A.A.R. 1105, effective April 30, 2005 (Supp. 05-1). Amended by final rulemaking at 11 A.A.R. 4270, effective December 6, 2005 (Supp. 05-4). Amended by final rulemaking at 13 A.A.R. 3477, effective December 1, 2007 (Supp. 07-4). Amended by final rulemaking at 19 A.A.R. 702, effective June 1, 2013 (Supp. 13-2). Amended by final rulemaking at 25 A.A.R. 1015, effective 6/1/2019.

Ariz. Admin. Code § R4-23-606 Resident-Pharmacy Permit: Community, Hospital, and Limited Service

A.Permit. A person shall not operate a pharmacy in Arizona without a current Board-issued pharmacy permit.

B.Application.

1. To obtain a permit to operate a pharmacy in Arizona, a person shall submit a completed application, on a form available from the Board, and the fee specified in R4-23-205.

2. Before issuing a pharmacy permit, the Board shall:

a. Receive and approve a completed permit application; and

b. Receive a satisfactory compliance inspection report on the facility from a Board compliance officer.

3. Before issuing a pharmacy permit, the Board may interview the applicant and the pharmacist-in-charge, if different from the applicant, at a Board meeting based on the need for additional information.

C. Notification. A pharmacy permittee shall notify the Board office within 10 days of changes involving the type of pharmacy operated, telephone or fax number, e-mail or mailing address, business name, or staff pharmacist. A pharmacy permittee shall provide the Board office immediate notice of a change of the pharmacist-in-charge.

D.If any nonprescription drugs are sold outside the pharmacy area when the pharmacy area is closed, the pharmacy permittee shall ensure that the business has a current, Board-issued nonprescription drug permit as required in Section R4-23-603.

E. Change of ownership. A pharmacy permittee shall comply with R4-23-601(F).

F. Relocation or remodel.

1. No fewer than 30 days before the relocation or remodel of an existing pharmacy, the pharmacy permittee shall submit, electronically or manually, a completed application for remodel or relocation using the form specified under subsection (B). A fee is not required with an application for remodel or relocation.

a. An application for relocation shall include the documents required by subsections (B)(1)(a) through (d).

b. An application for remodel shall include the document required by subsection (B)(1)(b).

2. The new or remodeled facility shall pass a final inspection by a Board compliance officer before operations begin.

G. Permit renewal. To renew a pharmacy permit, the permittee shall comply with R4-23-602(D).

History

• Former Rules 6.6010, 6.6020, 6.6030, 6.6040, 6.6050, 6.6060, 6.6071, 6.6072, 6.6073, 6.6074, 6.6075, and 6.6076. Amended effective August 10, 1978 (Supp. 78-4). Amended subsections (G) and (H) effective April 20, 1982 (Supp. 82-2). Amended subsection (L) effective July 2, 1982 (Supp. 82-4). Amended subsections (G) and (H) effective August 12, 1988 (Supp. 88-3). Amended effective November 1, 1993 (Supp. 93-4). Section heading amended effective April 5, 1996 (Supp. 96-2). Amended by final rulemaking at 7 A.A.R. 3825, effective August 9, 2001 (Supp. 01-3). Amended by final rulemaking at 20 A.A.R. 1359, effective 8/2/2014. Amended by final rulemaking at 25 A.A.R. 1015, effective 6/1/2019.

Ariz. Admin. Code § R4-23-607 Nonresident Permits

A. Permit. A person that is not a resident of Arizona shall not sell or distribute any narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical into Arizona without possessing both:

1. A current Board-issued nonresident pharmacy permit, nonresident manufacturer permit, nonresident full-service or nonprescription drug wholesale permit, or nonresident nonprescription drug permit; and

2. A current equivalent license or permit issued by the licensing authority in the jurisdiction where the person resides.

B. Application. To obtain a nonresident pharmacy, nonresident manufacturer, nonresident full-service or nonprescription drug wholesale, or nonprescription drug permit, a person shall submit a completed application, on a form furnished by the Board, and the fee specified in R4-23-205.

C. Notification. A permittee shall submit notification of any change required in this subsection using the permittee's online profile or as a written notice by mail, fax, or e-mail to the Board office within 10 days of the change.

Nonresident pharmacy. A nonresident pharmacy permittee shall notify the Board of changes involving the type of pharmacy operated, address, telephone number, business name, or pharmacist-in-charge.

2. Nonresident manufacturer. A nonresident manufacturer permittee shall notify the Board of changes involving listed drugs, address, telephone number, business name, or manager, including manager's telephone number.

Nonresident drug wholesaler. A nonresident full-service or nonprescription drug wholesale permittee shall notify the Board of changes involving the types of drugs sold or distributed, address, telephone number, business name, or manager or designated representative, including the manager's or designated representative's telephone number. For a change of designated representative, a nonresident full-service drug wholesale permittee shall submit the documentation, fingerprints, and fee required with the application under subsection (B).

4. Nonresident nonprescription drug retailer. A nonresident nonprescription drug permittee shall notify the Board of changes involving permit category, address, telephone number, business name, or manager, including manager's telephone number.

D. Change of ownership. A nonresident permittee shall comply with R4-23-601(F).

E. Drug sales.

1. Nonresident pharmacy. A nonresident pharmacy permittee shall:

a. Not sell, distribute, give away, or dispose of any narcotic or other controlled substance or prescription-only drug or device to anyone in Arizona except:

i. A pharmacy, drug manufacturer, or full-service drug wholesaler currently permitted by the Board;

ii. A medical practitioner currently licensed under A.R.S. Title 32; or

iii. An Arizona resident upon receipt of a valid prescription order for the resident;

b. Not sell, distribute, give away, or dispose of any nonprescription drug, precursor chemical, or regulated chemical to anyone in Arizona except:

i. A pharmacy, drug manufacturer, full-service or nonprescription drug wholesaler, or nonprescription drug retailer currently permitted by the Board;

ii. A medical practitioner currently licensed under A.R.S. Title 32; or

iii. An Arizona resident either upon receipt of a valid prescription order for the resident or in the original container packaged and labeled by the manufacturer;

c. Except for a drug sale that results from the receipt and dispensing of a valid prescription order for an Arizona resident, maintain a copy of the current permit or license of each person in Arizona that buys, receives, or disposes of any narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical; and

d. Provide permit and license records upon request, if immediately available, or in no fewer than two business days from the date of the request of a Board compliance officer or other authorized officer of the law as defined in A.R.S. § 32-1901.

2. Nonresident manufacturer. A nonresident manufacturer permittee shall:

a. Not sell, distribute, give away, or dispose of any narcotic or other controlled substance or prescription-only drug or device to anyone in Arizona except a pharmacy, drug manufacturer, or full-service drug wholesaler currently permitted by the Board or a medical practitioner currently licensed under A.R.S. Title 32;

b. Not sell, distribute, give away, or dispose of any nonprescription drug, precursor chemical, or regulated chemical to anyone in Arizona except a pharmacy, drug manufacturer, full-service or nonprescription drug wholesaler, or nonprescription drug retailer currently permitted by the Board or a medical practitioner currently licensed under A.R.S. Title 32;

c. Maintain a copy of the current permit or license of each person in Arizona that buys, receives, or disposes of any narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical; and

d. Provide permit and license records upon request, if immediately available, or in no more than two business days from the date of the request of a Board compliance officer or other authorized officer of the law as defined in A.R.S. § 32-1901.

3. Nonresident full-service drug wholesaler. In addition to complying with the distributions restrictions specified in A.R.S. § 32-1983, a nonresident full-service drug wholesale permittee shall:

a. Not sell, distribute, give away, or dispose of, any narcotic or other controlled substance, prescriptiononly drug or device, nonprescription drug, precursor chemical, or regulated chemical to anyone in Arizona, except in the original container, packaged and labeled by the manufacturer or repackager;

b.Not package, repackage, label, or relabel any narcotic or other controlled substance, prescriptiononly drug or device, nonprescription drug, precursor chemical, or regulated chemical for shipment or delivery to anyone in Arizona;

c. Provide track and trace documents required under the Drug Supply Chain and Security Act upon request, if immediately available, or in no more than two business days from the date of the request of a Board compliance officer or other authorized officer of the law as defined in A.R.S. § 32-1901;

d. Not sell, distribute, give away, or dispose of any narcotic or other controlled substance, prescription only drug or device, nonprescription drug, precursor chemical, or regulated chemical to anyone in Arizona except a pharmacy, drug manufacturer, or full service drug wholesaler currently permitted by the Board or a medical practitioner currently licensed under A.R.S. Title 32;

e. Not sell, distribute, give away, or dispose of any nonprescription drug, precursor chemical, or regulated chemical to anyone in Arizona except a pharmacy, drug manufacturer, full-service or nonprescription drug wholesaler, or nonprescription drug retailer currently permitted by the Board or a medical practitioner currently licensed under A.R.S. Title 32;

f. Maintain a copy of the current permit or license of each person in Arizona that buys, receives, or disposes of any narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical; and

g. Provide permit and license records upon request, if immediately available, or in no more than two business days from the date of the request of a Board compliance officer or other authorized officer of the law as defined in A.R.S. § 32-1901.

4. Nonresident nonprescription drug wholesaler. A nonresident nonprescription drug wholesale permittee shall:

a. Not sell, distribute, give away, or dispose of any nonprescription drug, precursor chemical, or regulated chemical to anyone in Arizona, except in the original container, packaged and labeled by the manufacturer or repackager;

b. Not package, repackage, label, or relabel any nonprescription drug, precursor chemical, or regulated chemical for shipment or delivery to anyone in Arizona;

c. Not sell, distribute, give away, or dispose of any nonprescription drug, precursor chemical, or regulated chemical to anyone in Arizona except a pharmacy, drug manufacturer, full-service or nonprescription drug wholesaler, or nonprescription drug retailer currently permitted by the Board or a medical practitioner currently licensed under A.R.S. Title 32;

d. Maintain a copy of the current permit or license of each person in Arizona that buys, receives, or disposes of any nonprescription drug, precursor chemical, or regulated chemical; and

e. Provide permit and license records upon request, if immediately available, or in no more than two business days from the date of the request of a Board compliance officer or other authorized officer of the law as defined in A.R.S. § 32-1901.

5. Nonresident nonprescription drug retailer. A nonresident nonprescription drug permittee shall not:

a. Sell, distribute, give away, or dispose of a nonprescription drug, precursor chemical, or regulated chemical to anyone in Arizona except in the original container packaged and labeled by the manufacturer;

b. Package, repackage, label, or relabel any drug, precursor chemical, or regulated chemical for shipment or delivery to anyone in Arizona; or

c. Sell, distribute, give away, or dispose of any drug, precursor chemical, or regulated chemical to anyone in Arizona that exceeds its expiration date, is contaminated or deteriorated from excessive heat, cold, sunlight, moisture, or other factors, or does not comply with federal law.

F. When selling or distributing any narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical into Arizona, a nonresident pharmacy, nonresident manufacturer, nonresident full-service or nonprescription drug wholesale, or nonprescription drug permittee shall comply with federal law, the permittee's resident state drug law, and this Section.

History

• Former Rules 6.6110, 6.6120, and 6.6130; Amended effective August 10, 1978 (Supp. 78-4). Repealed effective July 24, 1985 (Supp. 85-4). New Section adopted by final rulemaking at 6 A.A.R. 4589, effective November 14, 2000 (Supp. 00-4). Amended by final rulemaking at 7 A.A.R. 3825, effective August 9, 2001 (Supp. 01-3). Amended by final rulemaking at 10 A.A.R. 232, effective March 6, 2004 (Supp. 04-1). Amended by final rulemaking at 13 A.A.R. 520, effective April 7, 2007 (Supp. 07-1). Amended by final rulemaking at 13 A.A.R. 3477, effective December 1, 2007 (Supp. 07-4). Amended by final rulemaking at 25 A.A.R. 1015, effective 6/1/2019. Amended by final rulemaking at 26 A.A.R. 223, effective 3/14/2020.

Ariz. Admin. Code § R4-23-608 Change of Personnel and Responsibility

A. A community, hospital, or limited-service pharmacy permittee shall give the Board:

Notice by mail, facsimile, or electronic mail within ten days of employing or terminating a pharmacist; and

Immediate notice of designating or terminating a pharmacist-in-charge.

B. Responsibility of ownership and management. The owner and management of a pharmacy shall:

1. Ensure that pharmacists, interns, and other pharmacy employees comply with state and federal laws and administrative rules; and

2. Not overrule a pharmacist in matters of pharmacy ethics and interpreting laws pertaining to the practice of pharmacy or the distribution of drugs and devices.

C. The Board may suspend or revoke a pharmacy permit if the owner or management of a pharmacy violates subsection (B).

History

• Former Rules 6.6140 and 6.6150; Amended subsection (A) effective August 9, 1983 (Supp. 83-4). Amended effective November 1, 1993 (Supp. 93-4). Amended by final rulemaking at 7 A.A.R. 4253, effective September 11, 2001 (Supp. 01-3).

Ariz. Admin. Code § R4-23-609 Pharmacy Area of Community Pharmacy

A. Minimum area of community pharmacy. The minimum area of a community pharmacy, the actual area primarily devoted to stocking drugs restricted to pharmacists, and to the compounding and dispensing of prescription medication, exclusive of office area or other support function area, shall not be less than 300 square feet. A maximum of three pharmacy personnel may practice or work simultaneously in the minimum area. The pharmacy permittee shall provide an additional 60 square feet of floor area for each additional pharmacist, graduate intern, pharmacy intern, pharmacy technician, pharmacy technician trainee, or support personnel who may practice or work simultaneously. All of the allotted square footage area, including adequate shelving, shall lend itself to efficient pharmaceutical practice and permit free movement and visual surveillance of personnel by the pharmacist.

B. Compounding and dispensing counter. On or after January 6, 2004, a pharmacy permit applicant or remodel or relocation applicant shall provide a compounding and dispensing counter that provides a minimum of three square feet of pharmacy counter working area of not less than 16 inches in depth and 24 inches in length for the practice of one pharmacist, graduate intern, pharmacy intern, pharmacy technician, or pharmacy technician trainee. For each additional pharmacist, graduate intern, pharmacy intern, pharmacy technician, or pharmacy technician trainee practicing simultaneously, there shall be an additional three square feet of pharmacy counter working area of not less than 16 inches in depth and 24 inches in length. The Board shall determine a pharmacy's total required compounding and dispensing counter area by multiplying the maximum number of personnel allowed in the pharmacy area using the requirements specified in subsection (A) by three square feet per person. A pharmacy permittee or pharmacist-in-charge may operate the pharmacy with a total pharmacy counter working area specified in subsection (A) that is equal to the actual maximum number of pharmacists, graduate interns, pharmacy interns, pharmacy technicians, and pharmacy technician trainees, working simultaneously in the pharmacy area times three square feet per person.

C. Working area for compounding and dispensing counter. The aisle floor area used by the pharmacist, graduate intern, pharmacy intern, pharmacy technician, or pharmacy technician trainee at the compounding and dispensing counter shall extend the full length of the counter and be clear and continuous for a minimum of 36 inches from any counter, fixture, or structure.

D. Area for patient counseling. On or after April 1, 1995, a pharmacy permit applicant or remodel or relocation applicant shall provide a separate and distinct patient counseling area that provides patient privacy. This subsection does not apply to a pharmacy exempt from the requirements of R4-23-402(B).

E. Narcotic cabinet or safe. To prevent diversion, narcotics and other controlled substances may be:

1. Kept in a separate locked cabinet or safe, or

2. Dispersed throughout the pharmacy's prescription-only drug stock.

F. Building security standard of community pharmacy area. The pharmacy area shall be enclosed by a permanent barrier or partition from floor or counter to structural ceiling or roof, with entry doors that can be securely locked. The barrier shall be designed so that only a pharmacist can access the area where prescription-only drugs, narcotics, and other controlled substances are stored, compounded and dispensed. The permanent barrier may be constructed of other than a solid material. If constructed of a material other than a solid, the openings or interstices of the material shall not be large enough to permit removal of items in the pharmacy area through the barrier. Any material used in the construction of the permanent barrier must be of sufficient strength and thickness that it cannot be readily or easily removed, penetrated, or bent. The pharmacy permittee shall submit plans and specifications of the permanent barrier to the Board for approval.

G. Drug storage and security.

1. The pharmacy permittee shall ensure that drugs and devices are stored in a dry, well-lit, ventilated, and clean and orderly area. The pharmacy permittee shall maintain the drug storage area at temperatures that ensure the integrity of the drugs before dispensing as stated in the official compendium defined in A.R.S. § 32-1901(55) or the manufacturer's or distributor's labeling.

2. If the pharmacy permittee needs additional storage area for drugs that are restricted to sale by a pharmacist, the pharmacy permittee shall ensure that the area is contained by a permanent barrier from floor or counter to structural ceiling or roof. The pharmacy permittee shall lock all doors and gates to the drug storage area. Only a pharmacist with a key is permitted to enter the storage area, except in an extreme emergency.

H. A pharmacy permittee or pharmacist-in-charge shall ensure that the pharmacy working counter area is protected from unauthorized access while the pharmacy is open for business by a barrier not less than 66 inches in height or another method approved by the Board or its designee.

History

• Former Rules 6.6210, 6.6220, 6.6230, 6.6240, 6.6250, 6.6310, 6.6320, and 6.6330; Amended effective August 10, 1978 (Supp. 78-4). Amended effective August 9, 1983 (Supp. 83-4). Amended effective November 1, 1993 (Supp. 93-4). Amended effective April 1, 1995; filed with the Secretary of State January 31, 1995 (Supp. 95-1). Amended by final rulemaking at 9 A.A.R. 5030, effective January 3, 2004 (Supp. 03-4). Amended by final rulemaking at 19 A.A.R. 97, effective March 10, 2013 (Supp. 13-1).

Ariz. Admin. Code § R4-23-610 Community Pharmacy Personnel and Security Procedures

A. Every pharmacy shall have a pharmacist designated as the "pharmacist-in-charge."

The pharmacist-in-charge shall ensure the communication and compliance of Board directives to the management, other pharmacists, interns, and technicians of the pharmacy.

2. The pharmacist-in-charge shall:

a. Ensure that all pharmacy policies and procedures required under 4 A.A.C. 23 are prepared, implemented, and complied with;

b. Review biennially and, if necessary, revise all pharmacy policies and procedures required under 4 A.A.C. 23;

c. Document the review required under subsection (A)(2)(b);

d. Ensure that all pharmacy policies and procedures required under 4 A.A.C. 23 are assembled as a written or electronic manual; and

e. Make all pharmacy policies and procedures required under 4 A.A.C. 23 available in the pharmacy for employee reference and inspection by the Board or its staff.

B. Personnel permitted in the pharmacy area of a community pharmacy include pharmacists, graduate interns, pharmacy interns, compliance officers, drug inspectors, peace officers acting in their official capacity, other persons authorized by law, pharmacy technicians, pharmacy technician trainees, support personnel, and other designated personnel. Pharmacy interns, graduate interns, pharmacy technicians, pharmacy technician trainees, support personnel, and other designated personnel shall be permitted in the pharmacy area only when a pharmacist is on duty, except in an extreme emergency as defined in R4-23-110.

1. The pharmacist-in-charge shall comply with the minimum area requirements as described in R4-23-609 for a community pharmacy and for compounding and dispensing counter area.

2. A pharmacist employed by a pharmacy shall ensure that the pharmacy is physically secure while the pharmacist is on duty.

C. In a community pharmacy, a pharmacist shall ensure that the pharmacy area, and any additional storage area for drugs that is restricted to access only by a pharmacist is locked when a pharmacist is not present, except in an extreme emergency.

D. A pharmacist is the only person permitted by the Board to unlock the pharmacy area or any additional storage area for drugs restricted to access only by a pharmacist, except in an extreme emergency.

E. A pharmacy permittee or pharmacist-in-charge shall ensure that any prescription-only drugs and controlled substances received in an area outside the pharmacy area are immediately transferred unopened to the pharmacy area. The pharmacist-in-charge shall ensure that any prescription-only drug and controlled substance shipments are opened and marked by pharmacy personnel in the pharmacy area under the supervision of a pharmacist, graduate intern, or pharmacy intern.

F. A pharmacy permittee or pharmacist-in-charge may provide a small opening or slot through which a written prescription order or prescription medication container to be refilled may be left in the prescription area when the pharmacist is not present.

G. A pharmacist shall ensure that prescription medication is not left outside the prescription area or picked up by the patient when the pharmacist is not present by either:

1. Delivering the prescription medication to the patient, or

2. Securing the prescription medication inside the locked pharmacy, except when using an automated storage and distribution system that complies with the requirements of R4-23-614.

History

• Former Rules 6.6410, 6.6420, 6.6430, 6.6440, 6.6450, 6.6460, 6.6470, 6.6480, and 6.6490; Amended subsection (F), deleted subsection (I) effective August 9, 1983 (Supp. 83-4). Amended effective May 16, 1990 (Supp. 90-2). Amended effective November 1, 1993 (Supp. 93-4). Amended effective April 1, 1995; filed with the Secretary of State January 31, 1995 (Supp. 95-1). Amended by final rulemaking at 5 A.A.R. 4441, effective November 2, 1999 (Supp. 99-4). Amended by final rulemaking at 10 A.A.R. 4453, effective December 4, 2004 (Supp. 04-4). Amended by final rulemaking at 12 A.A.R. 3032, effective October 1, 2006 (Supp. 06-3). Amended by final rulemaking at 13 A.A.R. 2631, effective September 8, 2007 (Supp. 07-3).

Ariz. Admin. Code § R4-23-611 Pharmacy Facilities

A. Facilities. A pharmacy permittee or pharmacist-in-charge shall ensure that:

1. A pharmacy's facilities are constructed according to state and local laws and ordinances;

2. A pharmacy facility's:

a. Walls, ceilings, windows, floors, shelves, and equipment are clean and in good repair and order; and

b. Counters, shelves, aisles, and open spaces are not cluttered;

Adequate trash receptacles are provided and emptied periodically during the day;

4. A pharmacy facility of any pharmacy permit issued or pharmacy remodeled after February 1, 2014 provides access to toilet facilities either:

a. Within the pharmacy area, or

b. No further than a walking distance of 100 feet from the pharmacy area or an alternative distance approved by the Board or its designee;

5. The toilet facilities are maintained in a sanitary condition and in good repair;

6. All professional personnel and staff of the pharmacy keep themselves and their apparel clean while in the pharmacy area;

7. No animals, except licensed assistant animals and guard animals, are allowed in the pharmacy;

8. The pharmacy facility is kept free of insects and rodents; and

9. There is a sink with hot and cold running water, other than a sink in a toilet facility, within the pharmacy area for use in preparing drug products.

B. Supply of drugs and chemicals. A pharmacy permittee or pharmacist-in-charge shall ensure that:

1. A pharmacy maintains a stock of drugs and chemicals that:

a. Are sufficient to meet the normal demands of the trading area or patient base the pharmacy serves; and

b. Meet all standards of strength and purity as established by the official compendiums;

2. All stock, materials, drugs, and chemicals held for ultimate sale or supply to the consumer are not contaminated;

3. Policies and procedures are developed, implemented, and complied with to prevent the sale or use of a drug or chemical:

a. That exceeds its expiration date;

b. That is deteriorated or damaged by reason of age, heat, light, cold, moisture, crystallization, chemical reaction, rupture of coating, disintegration, solidification, separation, discoloration, change of odor, precipitation, or other change as determined by organoleptic examination or by other means;

c. That is improperly labeled;

d. Whose container is defective; or

e. That does not comply with federal law; and

4. The policies and procedures described in subsection (B)(3):

a. Are made available in the pharmacy for employee reference and inspection by the Board or its designee; and

b. Provide the following:

i. Any expiration-dated drug or chemical is reviewed regularly;

ii. Any drug or chemical that exceeds its expiration date, is deteriorated or damaged, improperly labeled, has a defective container, or does not comply with federal law, is moved to a quarantine area and not sold or distributed; and

iii. Any quarantined drug or chemical is properly destroyed or returned to its source of supply.

History

• Former Rules 6.6510, 6.6520, 6.6530, 6.6540, 6.6550, 6.6560, 6.6570, 6.6580, 6.6600, 6.6610, 6.6620, 6.6630, 6.6640, 6.6650, and 6.6660; Amended subsection (B) effective August 9, 1983 (Supp. 83-4). Amended effective April 1, 1995; filed with the Secretary of State January 31, 1995 (Supp. 95-1). Amended by final rulemaking at 7 A.A.R. 4253, effective September 11, 2001 (Supp. 01-3). Amended by final rulemaking at 12 A.A.R. 3032, effective October 1, 2006 (Supp. 06-3). Amended by final rulemaking at 19 A.A.R. 4165, effective February 1, 2014.

Ariz. Admin. Code § R4-23-612 Equipment

A pharmacy permittee or pharmacist-in-charge shall ensure that a pharmacy has the necessary equipment to allow a pharmacist to practice the profession of pharmacy, including the following:

1. Adequate refrigeration equipment dedicated to the storage of drugs and biologicals;

2. A C-V controlled substance register, if C-V controlled substances are sold without an order of a medical practitioner;

3. Graduates in assorted sizes;

4. One mortar and pestle, not required if the pharmacy permittee states in the application that compounding will not be performed in the pharmacy;

5. Spatulas of assorted sizes including one nonmetallic;

6. Prescription balance, Class A with weights or an electronic balance of equal or greater accuracy, not required if the pharmacy permittee states in the application that compounding will not be performed in the pharmacy;

7. One ointment tile or equivalent, not required if the pharmacy permittee states in the application that compounding will not be performed in the pharmacy

8. A current hard-copy or access to a current electronic-copy of the Arizona Pharmacy Act and administrative rules and Arizona Controlled Substance Act;

9. A professional reference library consisting of a minimum of one current reference or text, in hard-copy or electronic media, addressing the following subject areas:

a. Pharmacology or toxicology,

b. Therapeutics,

c. Drug compatibility, and

d. Drug product equivalency;

10. An assortment of labels, including prescription labels, transfer labels for controlled substances, and cautionary and warning labels;

A red C stamp as defined in R4-23-110, if C-III, C-IV, and C-V controlled substance invoices are not filed separately from other invoices;

12. Current antidote and drug interaction information; and

13. Regional poison control phone number prominently displayed in the pharmacy area.

History

• Former Rule 6.6670; Former Section R4-23-612 repealed, new Section R4-23-612 adopted effective August 10, 1978 (Supp. 78-4). Amended effective August 9, 1983 (Supp. 83-4). Amended effective April 5, 1996 (Supp. 96-2). Amended by final rulemaking at 7 A.A.R. 4253, effective September 11, 2001 (Supp. 01-3). Amended by final rulemaking at 19 A.A.R. 4165, effective February 1, 2014.

Ariz. Admin. Code § R4-23-613 Procedure for Discontinuing a Pharmacy

A. A pharmacy permittee or pharmacist-in-charge shall provide written notice to the Board and the Drug Enforcement Administration (D.E.A.) at least 14 days before discontinuing operation of the pharmacy. The notice shall contain the following information:

1. Name, address, pharmacy permit number, and D.E.A. registration number of the pharmacy discontinuing business;

2. Name, address, pharmacy permit number (if applicable), and D.E.A. registration number (if applicable) of the licensee, permittee, or registrant to whom any narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical will be sold or transferred;

3. Name and address of the location where the discontinuing pharmacy's records of purchase and disbursement of any narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical will be kept and the person responsible for the records. These records shall be kept for a minimum of three years from the date the pharmacy is discontinued;

4. Name and address of the location where the discontinuing pharmacy's prescription files and patient profiles will be kept and the person responsible for the files and profiles. These records shall be kept for a minimum of seven years from the date the last original or refill prescription was dispensed; and

The proposed date of discontinuing business operations.

B. The pharmacy permittee shall ensure that all pharmacy signs and symbols are removed from both the inside and outside of the premises.

C. The pharmacy permittee or pharmacist-in-charge shall ensure that all state permits and certificates of registration are returned to the Board office and that D.E.A. registration certificates and unused D.E.A. Schedule II order forms are returned to the D.E.A. Regional Office in Phoenix.

D. The pharmacist-in-charge of the pharmacy discontinuing business shall ensure that:

Only a pharmacist has access to the prescription-only drugs and controlled substances until they are transferred to the licensee, permittee, or registrant listed in subsection (A)(2);

2. All narcotics or other controlled substances, prescription-only drugs or devices, nonprescription drugs, precursor chemicals, or regulated chemicals are removed from the premises on or before the date the pharmacy is discontinued; and

3. All controlled substances are transferred as follows:

a. Take an inventory of all controlled substances that are transferred using the procedures in R4-23-1003;

b. Include a copy of the inventory with the controlled substances that are transferred;

c. Keep the original of the inventory with the discontinued pharmacy's records of narcotic or other controlled substance, prescription-only drug or device, nonprescription drug, precursor chemical, or regulated chemical purchase and disbursement for a minimum of three years from the date the pharmacy is discontinued;

d. Use a D.E.A. form 222 to transfer any Schedule II controlled substances; and

e. Transfer controlled substances that need destruction in the same manner as all other controlled substances.

E. Upon receipt of outdated or damaged controlled substances from a discontinued pharmacy, the licensee, permittee, or registrant described in subsection (A)(2) shall contact a D.E.A. registered reverse distributor for proper destruction of outdated or damaged controlled substances. If there are controlled substances a reverse distributor will not accept, the licensee, permittee, or registrant shall then contact the Board office and request an inspection for the purpose of drug destruction.

F. During the three-year record retention period specified in subsection (A)(3), the person described in subsection (A)(3) shall provide to the Board upon its request a discontinued pharmacy's records of the purchase and disbursement of narcotics or other controlled substances, prescription-only drugs or devices, nonprescription drugs, precursor chemicals, or regulated chemicals.

G. During the seven-year record retention period specified in subsection (A)(4), the person described in subsection (A)(4) shall provide to the Board upon its request a discontinued pharmacy's records of prescription files and patient profiles.

History

• New Section made by final rulemaking at 7 A.A.R. 3825, effective August 9, 2001 (Supp. 01-3). Amended by final rulemaking at 11 A.A.R. 1105, effective April 30, 2005 (Supp. 05-1). Amended by final rulemaking at 12 A.A.R. 1912, effective July 1, 2006 (Supp. 06-2). Amended by final rulemaking at 14 A.A.R. 3670, effective November 8, 2008 (Supp. 08-3).

Ariz. Admin. Code § R4-23-614 Automated Storage and Distribution System

A. Before using an automated storage and distribution system, a pharmacy permittee or pharmacist-in-charge shall:

1. Ensure that the automated storage and distribution system and the policies and procedures comply with subsection (B); and

2. Notify the Board in writing of the intent to use an automated storage and distribution system, including the type or name of the system.

B. A pharmacy permittee or pharmacist-in-charge shall establish policies and procedures for appropriate performance and use of the automated storage and distribution system that:

1. Ensure that the automated storage and distribution system is in good working order while maintaining appropriate recordkeeping and security safeguards;

2. Ensure that an automated storage and distribution system used by the pharmacy that allows access to drugs or devices by a patient:

a. Only contains prescriptions that:

i. Do not require oral consultation as specified in R4-23-402(B); and

ii. Are properly labeled and verified by a pharmacist before placement into the automated storage and distribution system and subsequent release to patients;

b. Allows a patient to choose whether or not to use the system;

c. Is located either in a wall of a properly permitted pharmacy or within 20 feet of a properly permitted pharmacy if the automated storage and distribution system is secured against the wall or floor in such a manner that prevents the automated storage and distribution system's unauthorized removal;

d. Provides a method to identify the patient and only release that patient's prescriptions;

e. Is secure from access and removal of drugs or devices by unauthorized individuals;

f. Provides a method for a patient to obtain a consultation with a pharmacist if requested by the patient; and

g. Does not allow the system to dispense refilled prescriptions if a pharmacist determines that the patient requires oral counseling as specified in R4-23-402(B);

3. Ensure that an automated storage and distribution system used by the pharmacy that allows access to drugs or devices only by authorized licensed personnel for the purposes of administration based on a valid prescription order or medication order:

a. Provides for adequate security to prevent unauthorized individuals from accessing or obtaining drugs or devices; and

b. Provides for the filling, stocking, or restocking of all drugs or devices in the system only by a Board licensee or other authorized licensed personnel; and

4. Implement an ongoing quality assurance program that monitors compliance with the established policies and procedures of the automated storage and distribution system and federal and state law.

C. A pharmacy permittee or pharmacist-in-charge shall:

Ensure that the policies and procedures required under subsection (B) are prepared, implemented, and complied with;

2. Review biennially and, if necessary, revise the policies and procedures required under subsection (B);

3. Document the review required under subsection (C)(2);

4. Assemble the policies and procedures as a written or electronic manual; and

5. Make the policies and procedures available for employee reference and inspection by the Board or its staff within the pharmacy and at any location outside the pharmacy where the automated storage and distribution system is used.

D. The Board may prohibit a pharmacy permittee or pharmacist-in-charge from using an automated storage and distribution system if the pharmacy permittee or the pharmacy permittee's employees do not comply with the requirements of subsections (A), (B), or (C).

History

• New Section made by final rulemaking at 13 A.A.R. 616, effective April 7, 2007 (Supp. 07-1).

Ariz. Admin. Code § R4-23-615 Mechanical Storage and Counting Device for a Drug in Solid, Oral Dosage Form

A. A pharmacy permittee or pharmacist-in-charge shall ensure that a mechanical storage and counting device for a drug in a solid, oral dosage form that is used by a pharmacist or a pharmacy intern, graduate intern, pharmacy technician, or pharmacy technician trainee under the supervision of a pharmacist complies with the following method to identify the contents of the device:

1. The drug name and strength are affixed to the front of each cell or cassette of the device;

2. A paper or electronic log is kept for each cell or cassette that contains:

a. An identification of the cell or cassette by the drug name and strength or the number of the cell or cassette;

b. The drug's manufacturer or National Drug Code (NDC) number;

c. The expiration date and lot number from the manufacturer's stock bottle that is used to fill the cell or cassette. If multiple lot numbers of the same drug are added to a cell or cassette, each lot number and expiration date shall be documented, and the earliest expiration date shall become the expiration date of the mixed lot of drug in the cell or cassette;

d. The date the cell or cassette is filled;

e. Documentation of the identity of the licensee who placed the drug into the cell or cassette; and

f. If the licensee who filled the cell or cassette is not a pharmacist, documentation of the identity of the pharmacist who supervised the non-pharmacist licensee who filled the cell or cassette; and

3. The paper or electronic log is available in the pharmacy for inspection by the Board or its designee for not less than two years.

B. A pharmacy permittee or pharmacist-in-charge shall ensure that any drug previously counted by a mechanical storage and counting device for a drug in a solid, oral dosage form that has not left the pharmacy is not returned to the drug's cell, cassette, or stock bottle, unless the drug return method is approved by the Board or its designee as specified in subsection (G). This subsection does not prevent a pharmacy permittee or pharmacist-in-charge from using a manual or mechanical counting device to count and dispense a previously counted drug that has not left the pharmacy if the previously counted drug is dispensed before its beyond-use-date.

C. A pharmacy permittee or pharmacist-in-charge shall ensure the accuracy of any mechanical storage and counting device for a drug in a solid, oral dosage form that is used by a pharmacist or a pharmacy intern, graduate intern, pharmacy technician, or pharmacy technician trainee under the supervision of a pharmacist by documenting completion of the following:

1. Training in the maintenance, calibration, and use of the mechanical storage and counting device for each employee who uses the mechanical storage and counting device;

2. Maintenance and calibration of the mechanical storage and counting device as recommended by the device's manufacturer; and

3. Routine quality assurance and accuracy validation testing for each mechanical storage and counting device.

D. A pharmacy permittee or pharmacist-in-charge shall ensure that the documentation required in subsection (C) is available for inspection by the Board or its designee.

E. A pharmacy permittee or pharmacist-in-charge shall:

1. Ensure that policies and procedures for the performance and use of a mechanical storage and counting device for a drug in a solid, oral dosage form are prepared, implemented, and complied with;

2. Review biennially and, if necessary, revise the policies and procedures required under subsection (E)(1);

3. Document the review required under subsection (E)(2);

4. Assemble the policies and procedures as a written or electronic manual; and

5. Make the policies and procedures available within the pharmacy for employee reference and inspection by the Board or its staff.

F. The Board may prohibit a pharmacy permittee or pharmacist-in-charge from using a mechanical storage and counting device for a drug in a solid, oral dosage form if the pharmacy permittee or the pharmacy permittee's employees do not comply with the requirements of subsections (A), (B), (C), (D), or (E).

G. Returning a drug previously counted by a mechanical storage and counting device for a drug in a solid, oral dosage form that has not left the pharmacy to the drug's cell or cassette.

1. Before returning a drug previously counted by a mechanical storage and counting device that has not left the pharmacy to the drug's cell or cassette, a pharmacy permittee or pharmacist-in-charge shall:

a. Apply for approval from the Board or its designee for the drug return method to be used in returning the drug;

b. Develop a drug return method that uses technology, such as bar coding, to prevent drug return errors;

c. Provide documentation depicting the drug return method;

d. Demonstrate the drug return method for a Board Compliance Officer; and

e. Receive approval from the Board or its designee for the drug return method to be used in returning the drug.

2. Before approving a request to waive the drug return prohibition in subsection (B), the Board or its designee shall:

a. Receive a request in writing from the pharmacy permittee or pharmacist-in-charge;

b. Review the documentation of the drug return method; and

c. Receive a satisfactory inspection report from a Board Compliance Officer that the drug return method uses technology to prevent drug return errors.

History

• New Section made by final rulemaking at 13 A.A.R. 616, effective April 7, 2007 (Supp. 07-1). Amended by final rulemaking at 14 A.A.R. 3677, effective November 8, 2008 (Supp. 08-3).

Ariz. Admin. Code § R4-23-616 Mechanical Counting Device for a Drug in Solid, Oral Dosage Form

A. A pharmacy permittee or pharmacist-in-charge shall ensure the accuracy of any mechanical counting device for a drug in a solid, oral dosage form that is used by a pharmacist or a pharmacy intern, graduate intern, pharmacy technician, or pharmacy technician trainee under the supervision of a pharmacist by documenting completion of the following:

Training in the maintenance, calibration, and use of the mechanical counting device for each employee who uses the mechanical counting device;

2. Maintenance and calibration of the mechanical counting device as recommended by the device's manufacturer; and

3. Routine quality assurance and accuracy validation testing for each mechanical counting device.

B. A pharmacy permittee or pharmacist-in-charge shall ensure that the documentation required in subsection (A) is available for inspection by the Board or its designee.

C. A pharmacy permittee or pharmacist-in-charge shall:

1. Ensure that policies and procedures for the performance and use of a mechanical counting device for a drug in a solid, oral dosage form are prepared, implemented, and complied with;

2. Review biennially and, if necessary, revise the policies and procedures required under subsection (C)(1);

3. Document the review required under subsection (C)(2);

4. Assemble the policies and procedures as a written or electronic manual; and

5. Make the policies and procedures available within the pharmacy for employee reference and inspection by the Board or its staff.

D. The Board may prohibit a pharmacy permittee or pharmacist-in-charge from using a mechanical counting device for a drug in a solid, oral dosage form if the pharmacy permittee or the pharmacy permittee's employees do not comply with the requirements of subsections (A), (B), or (C).

History

• New Section made by final rulemaking at 13 A.A.R. 616, effective April 7, 2007 (Supp. 07-1).

Ariz. Admin. Code § R4-23-617 Temporary Pharmacy Facilities or Mobile Pharmacies

A. Pharmacies located in declared disaster areas, nonresident pharmacies, and pharmacies licensed or permitted in another state but not licensed or permitted in this state, if necessary to provide pharmacy services during a declared state of emergency, may arrange to temporarily locate to a temporary pharmacy facility or mobile pharmacy or relocate to a temporary pharmacy facility or mobile pharmacy if the pharmacist-in-charge of the temporary pharmacy facility or mobile pharmacy ensures that:

1. The pharmacy is under the control and management of the pharmacist-in-charge or a supervising pharmacist designated by the pharmacist-in-charge;

2. The pharmacy is located within or adjacent to the declared disaster area;

The Board is notified of the pharmacy's location;

4. The pharmacy is properly secured to prevent theft and diversion of drugs;

5. The pharmacy's records are maintained in accordance with Arizona statutes and rules; and

6. The pharmacy stops providing pharmacy services when the declared state of emergency ends, unless it possesses a current resident pharmacy permit issued by the Board under A.R.S. §§ 32-1929, 32-1930, and 32-1931.

B. The Board shall have the authority to approve or deny temporary pharmacy facilities, mobile pharmacies, and shall make arrangements for appropriate monitoring and inspection of the temporary pharmacy facilities and mobile pharmacies on a case-by-case basis.

C. A temporary pharmacy facility wishing to permanently operate at its temporary site shall apply for and have received a permit issued under A.R.S. §§ 32-1929, 32-1930, and 32-1931 by following the application process under R4-23-606.

D. A mobile pharmacy, placed in operation during a declared state of emergency, shall not operate permanently.

History

• New Section made by final rulemaking at 14 A.A.R. 4400, effective January 3, 2009 (Supp. 08-4).

Ariz. Admin. Code § R4-23-620 Continuous Quality Assurance Program

A. Each pharmacy permittee shall implement or participate in a continuous quality assurance (CQA) program. A pharmacy permittee meets the requirements of this Section if it holds a current general, special or rural general hospital license from the Arizona Department of Health Services and is any of the following:

Certified by the Centers for Medicare and Medicaid Services to participate in the Medicare or Medicaid programs;

2. Accredited by the Joint Commission on the Accreditation of Healthcare Organizations; or

3. Accredited by the American Osteopathic Association.

B. A pharmacy permittee or the pharmacist-in-charge shall ensure that:

1. The pharmacy develops, implements, and utilizes a CQ program consistent with the requirements of this Section and A.R.S. § 32-1973;

2. The medication error data generated by the CQA program is utilized and reviewed on a regular basis, as required by subsection (D); and

3. Training records, policies and procedures, and other program records or documents, other than medication error data, are maintained for a minimum of two years in the pharmacy or in a readily retrievable manner.

C. A pharmacy permittee or pharmacist-in-charge shall:

1. Ensure that policies and procedures for the operation and management of the pharmacy's CQA program are prepared, implemented, and complied with;

2. Review biennially and, if necessary, revise the policies and procedures required under subsection (C)(1);

3. Document the review required under subsection (C)(2);

4. Assemble the policies and procedures as a written or electronic manual; and

5. Make the policies and procedures available within the pharmacy for employee reference and inspection by the Board or its staff.

D. The policies and procedures shall address a planned process to:

1. Train all pharmacy personnel in relevant phases of the CQA program;

Identify and document medication errors;

3. Record, measure, and analyze data collected to:

a. Assess the causes and any contributing factors relating to medication errors, and

b. Improve the quality of patient care;

4. Utilize the findings from subsections (D)(2) and (3) to develop pharmacy systems and workflow processes designed to prevent or reduce medication errors; and

5. Communicate periodically, and at least annually, with pharmacy personnel to review CQA program findings and inform pharmacy personnel of any changes made to pharmacy policies, procedures, systems, or processes as a result of CQA program findings.

E. The Board's regulatory oversight activities regarding a pharmacy's CQA program are limited to inspection of the pharmacy's CQA policies and procedures and enforcing the pharmacy's compliance with those policies and procedures.

F. A pharmacy's compliance with this Section shall be considered by the Board as a mitigating factor in the investigation and evaluation of a medication error.

History

• New Section made by final rulemaking at 18 A.A.R. 2603, effective December 2, 2012 (Supp. 12-4).

Ariz. Admin. Code § R4-23-621 Shared Services

A. Before participating in shared services, a pharmacy shall have either a current resident or non-resident pharmacy permit issued by the Board.

B. A pharmacy may provide or utilize shared services functions only if the pharmacies involved:

1. Have the same owner, or

2. Have a written contract or agreement that outlines the services provided and the shared responsibilities of each party in complying with federal and state pharmacy statutes and rules, and

3. Share a common electronic file or technology that allows access to information necessary or required to perform shared services in conformance with the pharmacy act and the Board's rules.

C. Notifications to patients.

1. Before using shared services provided by another pharmacy, a pharmacy permittee shall:

a. Notify patients that their orders may be processed or filled by another pharmacy; and

b. Provide the name of that pharmacy or, if the pharmacy is part of a network of pharmacies under common ownership and any of the network pharmacies may process or fill the order, notify the patient of this fact. The notification may be provided through a one-time written notice to the patient or through use of a sign in the pharmacy.

2. If an order is delivered directly to the patient by a filling pharmacy and not returned to the requesting pharmacy, the filling pharmacy permittee shall ensure that the following is placed on the prescription container or on a separate sheet delivered with the prescription container:

a. The local, and if applicable, the toll-free telephone number of the pharmacy utilizing shared services that has access to the patient's records; and

b. A statement that conveys to the patient or patient's care-giver the following information: "Written information about this prescription has been provided for you. Please read this information before you take the medication. If you have questions concerning this prescription, a pharmacist is available during normal business hours to answer these questions at (insert the local and toll-free telephone numbers of the pharmacy utilizing shared services that has access to the patient's records)."

3. The provisions of subsection (C) do not apply to orders delivered to patients in facilities where a licensed health care professional is responsible for administering the prescription medication to the patient.

D. A pharmacy permittee engaged in shared services shall:

1. Maintain manual or electronic records that identify, individually for each order processed, the name, initials, or identification code of each pharmacist, graduate intern, pharmacy intern, pharmacy technician, and pharmacy technician trainee who took part in the order interpretation, order entry verification, drug utilization review, drug compatibility and drug allergy review, final order verification, therapeutic intervention, or refill authorization functions performed at that pharmacy;

2. Maintain manual or electronic records that identify, individually for each order filled or dispensed, the name, initials, or identification code of each pharmacist, graduate intern, pharmacy intern, pharmacy technician, and pharmacy technician trainee who took part in the filling, dispensing, and counseling functions performed at that pharmacy;

Report to the Board as soon as practical the results of any disciplinary action taken by another state's pharmacy regulatory agency involving shared services;

4. Maintain a mechanism for tracking the order during each step of the processing and filling procedures performed at the pharmacy;

5. Provide for adequate security to protect the confidentiality and integrity of patient information; and

6. Provide for inspection of any required record or information within 72 hours of any request by the Board or its designee.

E. Each pharmacy permittee that provides or utilizes shared services shall develop, implement, review, revise, and comply with joint policies and procedures for shared services in the manner described in R4-23-610(A)(2). Each pharmacy permittee is required to maintain only those portions of the joint policies and procedures that relate to that pharmacy's operations. The policies and procedures shall:

1. Outline the responsibilities of each of the pharmacies;

2. Include a list of the name, address, telephone numbers, and all license and permit numbers of the pharmacies involved in shared services; and

Include policies and procedures for:

a. Notifying patients that their orders may be processed or filled by another pharmacy and providing the name of that pharmacy;

b. Protecting the confidentiality and integrity of patient information;

c. Dispensing orders when the filled order is not received or the patient comes in before the order is received;

d. Maintaining required manual or electronic records to identify the name, initials, or identification code and specific activity or activities of each pharmacist, graduate intern, pharmacy intern, pharmacy technician, or pharmacy technician trainee who performed any shared services;

e. Complying with federal and state laws; and

f. Operating a continuous quality improvement program for shared services, designed to objectively and systematically monitor and evaluate the quality and appropriateness of patient care, pursue opportunities to improve patient care, and resolve identified problems.

F. Nothing in this Section shall prohibit an individual pharmacist licensed in Arizona, who is an employee of or under contract with a pharmacy, or an Arizona-licensed graduate intern, pharmacy intern, pharmacy technician, or pharmacy technician trainee, working under the supervision of the pharmacist, from accessing that pharmacy's electronic database from inside or outside the pharmacy and performing the order processing functions permitted by the pharmacy act, if both of the following conditions are met:

1. The pharmacy establishes controls to protect the confidentiality and integrity of patient information; and

2. None of the database is duplicated, downloaded, or removed from the pharmacy's electronic database.

History

• New Section made by final rulemaking at 13 A.A.R. 520, effective April 7, 2007 (Supp. 07-1). Amended by final rulemaking at 19 A.A.R. 97, effective March 10, 2013 (Supp. 13-1).

Ariz. Admin. Code § R4-23-651 Definitions

The following definitions apply to R4-23-651 through R4-23-659 :

"Administration" means the giving of a dose of medication to a patient as a result of an order of a medical practitioner.

"Direct copy" means an electronic, facsimile or carbonized copy.

"Dispensing for hospital inpatients" means the interpreting, evaluating, and implementing a medication order including preparing for delivery a drug or device to an inpatient or inpatient's agent in a suitable container appropriately labeled for subsequent administration to, or use by, an inpatient (hereafter referred to as "dispensing").

"Drug distribution" means the delivery of drugs other than "administering" or "dispensing."

"Emergency medical situation" means a condition of emergency in which immediate drug therapy is required for the preservation of health, life, or limb of a person or persons.

"Floor stock" means a supply of essential drugs not labeled for a specific patient and maintained and controlled by the pharmacy at a patient care area for the purpose of timely administration to a patient of the hospital.

"Formulary" means a continually revised compilation of pharmaceuticals (including ancillary information) that reflects the current clinical judgment of the medical staff.

"Hospital pharmacy" means a pharmacy, as defined in A.R.S. § 32-1901, that holds a current permit issued by the Board pursuant to A.R.S. § 32-1931, and is located in a hospital as defined in A.R.S. § 32-1901.

"Inpatient" means any patient who receives non-self-administered drugs from a hospital pharmacy for use while within a facility owned by the hospital.

"Intravenous admixture" means a sterile parenteral solution to which one or more additional drug products have been added.

"Medication order" means a written, electronic, or verbal order from a medical practitioner or a medical practitioner's authorized agent for administration of a drug or device.

"On-call" means a pharmacist is available to:

Consult or provide drug information regarding drug therapy or related issues; or

Dispense a medication order and review a patient's medication order for pharmaceutical and therapeutic feasibility under R4-23-653(E)(2) before any drug is administered to a patient, except as specified in R4-23-653(E)(1).

"Patient care area" means any area for the primary purpose of providing a physical environment that is owned by or operated in conjunction with a hospital, for a patient to obtain health care services, except those areas where a physician, dentist, veterinarian, osteopath, or other medical practitioner engages primarily in private practice.

"Repackaged drug" means a drug product that is transferred by pharmacy personnel from an original manufacturer's container to another container properly labeled for subsequent dispensing.

"Satellite pharmacy" means a work area in a hospital setting under the direction of a pharmacist that is a remote extension of a centrally licensed hospital pharmacy and owned by and dependent upon the centrally licensed hospital pharmacy for administrative control, staffing, and drug procurement.

"Single unit" means a package of medication that contains one discrete pharmaceutical dosage form.

"Supervision" means the process by which a pharmacist directs the activities of hospital pharmacy personnel to a sufficient degree to ensure that all activities are performed accurately, safely, and without risk of harm to patients.

History

• Former Rules 6.7110, 6.7120, and 6.7130; Amended effective August 10, 1978 (Supp. 78-4). Amended subsection (B) effective April 20, 1982 (Supp. 82-2). Section repealed, new Section adopted effective February 7, 1990 (Supp. 90-1). Amended effective November 1, 1993 (Supp. 93-4). Amended effective April 5, 1996 (Supp. 96-2). Amended by final rulemaking at 8 A.A.R. 4902, effective January 5, 2003 (Supp. 02-4).

Ariz. Admin. Code § R4-23-652 Hospital Pharmacy Permit

A. The following rules are applicable to all hospitals as defined by A.R.S. § 32-1901 and hospital pharmacies as defined by R4-23-651.

B. Before opening a hospital pharmacy, a person shall obtain a pharmacy permit as specified in R4-23-602 and R4-23-606.

C. Discontinued hospitals. If a hospital license is discontinued by the state Department of Health Services, the pharmacy permittee or pharmacist-in-charge shall follow the procedures described in R4-23-613 for discontinuing a pharmacy.

History

• Former Rules 6.7210, 6.7220, 6.7230, 6.7231, 6.7232, and 6.7233. Section repealed, new Section adopted effective February 7, 1990 (Supp. 90-1). Amended by final rulemaking at 8 A.A.R. 4902, effective January 5, 2003 (Supp. 02-4).

Ariz. Admin. Code § R4-23-653 Personnel: Professional or Technician

A. Each hospital pharmacy shall be directed by a pharmacist who is licensed to engage in the practice of pharmacy in Arizona and is referred to as the Director of Pharmacy. The Director of Pharmacy shall be the pharmacist-in-charge, as defined in A.R.S. § 32-1901 or shall appoint a pharmacist-in-charge. The Director of Pharmacy and the pharmacist-in-charge, if a different individual, shall:

1. Be responsible for all the activities of the hospital pharmacy and for meeting the requirements of the Arizona Pharmacy Act and these rules;

2. Ensure that the policies and procedures required by these rules are prepared, implemented, and complied with;

3. Review biennially and, if necessary, revise the policies and procedures required under these rules;

4. Document the review required under subsection (A)(3);

5. Assemble the policies and procedures as a written manual or by another method approved by the Board or its designee; and

6. Make the policies and procedures available within the pharmacy for employee reference and inspection by the Board or its designee.

B. In all hospitals, a pharmacist shall be in the hospital during the time the pharmacy is open for pharmacy services, except for an extreme emergency as defined in R4-23-110. Pharmacy services shall be provided for a minimum of 40 hours per week, unless an exception for less than the minimum hours is made upon written request by the hospital and with express permission of the Board or its designee.

C. In a hospital where the pharmacy is not open 24 hours per day for pharmacy services, a pharmacist shall be "on-call" as defined in R4-23-651 when the pharmacy is closed.

D. The Director of Pharmacy may be assisted by other personnel approved by the Director of Pharmacy in order to operate the pharmacy competently, safely, and adequately to meet the needs of the hospital's patients.

E. Pharmacists. A pharmacist or a pharmacy intern or graduate intern under the supervision of a pharmacist shall perform the following professional practices:

Verify a patient's medication order before administration of a drug to the patient, except:

a. In an emergency medical situation; or

b. In a hospital where the pharmacy is open less than 24 hours a day for pharmacy services, a pharmacist shall verify a patient's medication order within four hours of the time the pharmacy opens for pharmacy services;

2. Verify a medication order's pharmaceutical and therapeutic feasibility based upon:

a. The patient's medical condition,

b. The patient's allergies,

c. The pharmaceutical and therapeutic incompatibilities, and

d. The recommended dosage limits;

3. Measure, count, pour, or otherwise prepare and package a drug needed for dispensing, except a pharmacy technician or pharmacy technician trainee may measure, count, pour, or otherwise prepare and package a drug needed for dispensing under the supervision of a pharmacist according to written policies and procedures approved by the Board or its designee;

4. Compound, admix, combine, or otherwise prepare and package a drug needed for dispensing, except a pharmacy technician may compound, admix, combine, or otherwise prepare and package a drug needed for dispensing under the supervision of a pharmacist according to written policies and procedures approved by the Board or its designee;

5. Verify the accuracy, correct procedure, compounding, admixing, combining, measuring, counting, pouring, preparing, packaging, and safety of a drug prepared and packaged by a pharmacy technician or pharmacy technician trainee according to subsections (E)(3) and (4) and according to the policies and procedures in subsection (G);

6. Supervise drug repackaging and check the completed repackaged product as specified in R4-23-402(A);

7. Supervise training and education in aseptic technique and drug incompatibilities for all personnel involved in the admixture of parenteral products within the hospital pharmacy;

8. Consult with the medical practitioner regarding the patient's drug therapy or medical condition;

9. When requested by a medical practitioner, patient, patient's agent, or when the pharmacist deems it necessary, provide consultation with a patient regarding the medication order, patient's profile, or overall drug therapy;

Monitor a patient's drug therapy for safety and effectiveness;

11. Provide drug information to patients and health care professionals;

Manage the activities of pharmacy technicians, pharmacy technician trainees, other personnel, and systems to ensure that all activities are performed accurately, safely, and without risk of harm to patients;

13. Verify the accuracy of all aspects of the original, completed medication order; and

14. Ensure compliance by pharmacy personnel with a quality assurance program developed by the hospital.

F. Pharmacy technicians and pharmacy technician trainees. Before working as a pharmacy technician or pharmacy technician trainee, an individual shall meet the eligibility and licensure requirements prescribed in 4 A.A.C. 23, Article 11.

G. Pharmacy technician policies and procedures. Before employing a pharmacy technician or pharmacy technician trainee, a Director of Pharmacy or pharmacist-in-charge shall develop the policies and procedures required under R4-23-1104.

H. Pharmacy technician training program.

1. A Director of Pharmacy or pharmacist-in-charge shall comply with the training program requirements of R4-23-1105 based on the needs of the hospital pharmacy;

2. A pharmacy technician or pharmacy technician trainee shall:

a. Perform only those tasks for which training and competency have been demonstrated; and

b. Not perform professional practices reserved for a pharmacist, graduate intern, or pharmacy intern in subsection (E), except as specified in subsections (E)(3) and (4).

I. Supervision. A hospital pharmacy's Director of Pharmacy and the pharmacist-in-charge, if a different individual, shall supervise all of the activities and operations of a hospital pharmacy. A pharmacist shall supervise all functions and activities of pharmacy technicians, pharmacy technician trainees, and other hospital pharmacy personnel to ensure that all functions and activities are performed competently, safely, and without risk of harm to patients.

History

• Former Rules 6.7310 and 6.7320; Amended effective August 10, 1978 (Supp. 78-4). Section repealed, new Section adopted effective February 7, 1990 (Supp. 90-1). Amended effective November 1, 1993 (Supp. 93-4). Amended by final rulemaking at 8 A.A.R. 4902, effective January 5, 2003 (Supp. 02-4). Amended by final rulemaking at 10 A.A.R. 1192, effective May 1, 2004 (Supp. 04-1). Amended by final rulemaking at 12 A.A.R. 3032, effective October 1, 2006 (Supp. 06-3).

Ariz. Admin. Code § R4-23-654 Absence of Pharmacist

A. If a pharmacist will not be on duty in the hospital, the Director of Pharmacy or pharmacist-in-charge shall arrange, before the pharmacist's absence, for the medical staff and other authorized personnel of the hospital to have access to drugs in the remote drug storage area defined in R4-23-110 or in the hospital pharmacy if a drug is not available in a remote drug storage area and is required to treat the immediate needs of a patient. A pharmacist shall be on-call during all absences.

B. If a pharmacist will not be on duty in the hospital pharmacy, the Director of Pharmacy or pharmacist-in-charge shall arrange, before the pharmacist's absence, for the medical staff and other authorized personnel of the hospital to have telephone access to an on-call pharmacist.

C. The hospital pharmacy permittee shall ensure that the hospital pharmacy is not without a pharmacist on duty in the hospital for more than 72 consecutive hours.

D. Remote drug storage area. The Director of Pharmacy or pharmacist-in-charge shall, in consultation with the appropriate committee of the hospital:

1. Develop and maintain an inventory listing of the drugs to be included in a remote drug storage area; and

2. Develop, implement, review, and revise in the same manner described in R4-23-653(A) and comply with policies and procedures that ensure proper storage, access, and accountability for drugs in a remote drug storage area.

E. Access to hospital pharmacy. If a drug is not available from a remote drug storage area and the drug is required to treat the immediate needs of a patient whose health may be compromised, the drug may be obtained from the hospital pharmacy according to the requirements of this subsection.

1. The Director of Pharmacy or pharmacist-in-charge shall, in consultation with the appropriate committee of the hospital, develop, implement, review, and revise in the same manner described in R4-23-653(A) and comply with policies and procedures to ensure that access to the hospital pharmacy during the pharmacist's absence conforms to the following requirements:

a. Access is delegated to only one supervisory nurse in each shift;

b. The policy and name of supervisory nurse is communicated in writing to the medical staff of the hospital;

c. Access is delegated only to a nurse who has received training from the Director of Pharmacy, pharmacist-in-charge, or Director's designee in the procedures required for proper access, drug removal, and recordkeeping; and

d. Access is delegated by the supervisory nurse to another nurse only in an emergency.

2. If a nurse to whom authority is delegated to access the hospital pharmacy removes a drug from the hospital pharmacy, the nurse shall:

a. Record the following information on a form or by another method approved by the Board or its designee:

i. Patient's name;

ii. Drug name, strength, and dosage form;

iii. Quantity of drug removed; and

iv. Date and time of removal;

b. Sign or initial, if a corresponding signature is on file in the hospital pharmacy, the form recording the drug removal;

c. Attach the original or a direct copy of the medication order for the drug to the form recording the drug removal; and

d. Place the form recording the drug removal conspicuously in the hospital pharmacy.

3. Within four hours after a pharmacist returns from an absence, the pharmacist shall verify all records of drug removal that occurred during the pharmacist's absence according to R4-23-653(E).

History

• Former Rules 6.7410, 6.7420, 6.7430, 6.7440, 6.7450, and 6.7460; Amended subsection (A) effective Aug. 9, 1983 (Supp. 83-4). Section repealed, new Section adopted effective February 7, 1990 (Supp. 90-1). Amended by final rulemaking at 8 A.A.R. 4902, effective January 5, 2003 (Supp. 02-4). Amended by final rulemaking at 10 A.A.R. 1192, effective May 1, 2004 (Supp. 04-1). Amended by final rulemaking at 12 A.A.R. 3032, effective October 1, 2006 (Supp. 06-3).

Ariz. Admin. Code § R4-23-655 Physical Facility

A. General. A hospital pharmacy permittee shall ensure that the hospital pharmacy has sufficient equipment and physical facilities for proper compounding, dispensing, and storage of drugs, including parenteral preparations.

B. Minimum area of hospital pharmacy. The minimum area of a hospital pharmacy depends on the type of hospital, the number of beds, and the pharmaceutical services provided. Any hospital pharmacy permit issued or hospital pharmacy remodeled after January 31, 2003 shall provide a minimum hospital pharmacy area, the actual area primarily devoted to drug dispensing and preparation functions, exclusive of bulk drug storage, satellite pharmacy, and office areas that is not less than 500 square feet. The minimum area requirement, not including unusable area, may be varied upon approval by the Board for out-of-the-ordinary conditions or for systems that require less space.

C. The Board may also require that a hospital pharmacy permittee or applicant provide:

1. More than the minimum area if equipment, inventory, personnel, or other factors cause crowding to a degree that interferes with safe pharmacy practice;

2. Additional dispensing, preparation, or storage areas because of the increased number of specific drugs prescribed per day, the increased use of intravenous and irrigating solutions, and the increased use of disposable and prepackaged products;

3. Additional dispensing, preparation, or storage areas to handle investigational drugs, emergency drug kits, chemotherapeutics, alcohol and other flammables, poisons, external preparations, and radioisotopes, and to accommodate quality control procedures; and

4. Additional office space to provide for an increased number of personnel, a drug information library, a poison information library, research support, teaching and conferences, and a waiting area.

D. Hospital pharmacy area. A hospital pharmacy permittee shall ensure that the hospital pharmacy area is enclosed by a permanent barrier or partition from floor to ceiling with entry doors that can be securely locked, constructed according to R4-23-609(F).

E. Hospital pharmacy storage areas. The hospital pharmacy permittee, Director of Pharmacy, or pharmacist-in-charge shall ensure that all undispensed or undistributed drugs are stored in designated areas within the hospital pharmacy or other locked areas under the control of a pharmacist that ensure proper sanitation, temperature, light, ventilation, moisture control, segregation, and security.

History

• Former Rules 6.7471, 6.7472, 6.7473, 6.7474, and 6.7490; Amended effective Aug. 9, 1983 (Supp. 83-4). Section repealed, new Section adopted effective February 7, 1990 (Supp. 90-1). Correction to Table 1 ("spare feet" changed to "square feet") (Supp. 91-1). Amended by final rulemaking at 8 A.A.R. 4902, effective January 5, 2003 (Supp. 02-4). Amended by final rulemaking at 11 A.A.R. 462, effective March 5, 2005 (Supp. 05-1).

Ariz. Admin. Code § R4-23-656 Sanitation and Equipment

A hospital pharmacy permittee or Director of Pharmacy shall ensure that a hospital pharmacy:

Has a professional reference library consisting of hard-copy or electronic media appropriate for the scope of pharmacy services provided by the hospital;

2. Has a sink, other than a sink in a toilet facility, that:

a. Has hot and cold running water;

b. Is within the hospital pharmacy area for use in preparing drug products; and

c. Is maintained in a sanitary condition and in good repair;

3. Maintains a room temperature within a range compatible with the proper storage of drugs;

4. Has a refrigerator and freezer with a temperature maintained within a range compatible with the proper storage of drugs requiring refrigeration or freezing; and

5. Has a designated area for a laminar air flow hood and other supplies required for the preparation of sterile products as specified in R4-23-670.

History

• Former Rule 6.7480. Section repealed, new Section adopted effective February 7, 1990 (Supp. 90-1). Amended by final rulemaking at 8 A.A.R. 4902, effective January 5, 2003 (Supp. 02-4).

Ariz. Admin. Code § R4-23-657 Security

A. Personnel security standards. A Director of Pharmacy shall ensure that:

1. No one is permitted in the pharmacy unless a pharmacist is present except as provided in this Section and R4-23-654. If only one pharmacist is on duty in the pharmacy and that pharmacist must leave the pharmacy for an emergency or patient care duties, nonpharmacist personnel may remain in the pharmacy to perform duties as outlined in R4-23-653, provided that all C-II controlled substances are secured to prohibit access by other than a pharmacist, and that the pharmacist remains available in the hospital;

2. All hospital pharmacy areas are kept locked by key or programmable lock to prevent access by unauthorized personnel; and

Pharmacists, pharmacy or graduate interns, pharmacy technicians, pharmacy technician trainees, and other personnel working in the pharmacy wear identification badges, including name and position, whenever on duty.

B. Prescription blank security. The Director of Pharmacy shall develop, implement, review, and revise in the same manner described in R4-23-653(A) and comply with policies and procedures for the safe distribution and control of prescription blanks bearing identification of the hospital.

History

• Former Rule 6.7500; Amended effective Aug. 9, 1983 (Supp. 83-4). Section repealed, new Section adopted effective February 7, 1990 (Supp. 90-1). Amended by final rulemaking at 8 A.A.R. 4902, effective January 5, 2003 (Supp. 02-4). Amended by final rulemaking at 10 A.A.R. 1192, effective May 1, 2004 (Supp. 04-1). Amended by final rulemaking at 12 A.A.R. 3032, effective October 1, 2006 (Supp. 06-3).

Ariz. Admin. Code § R4-23-658 Drug Distribution and Control

A. General. The Director of Pharmacy or pharmacist-in-charge shall in consultation with the medical staff, develop, implement, review, and revise in the same manner described in R4-23-653(A) and comply with written policies and procedures for the effective operation of a drug distribution system that optimizes patient safety.

B. Responsibility. The Director of Pharmacy is responsible for the safe and efficient procurement, dispensing, distribution, administration, and control of drugs, including the following:

1. In consultation with the appropriate department personnel and medical staff committee, develop a medication formulary for the hospital;

Proper handling, distribution, and recordkeeping of investigational drugs; and

3. Regular inspections of drug storage and preparation areas within the hospital.

C. Physician orders. A Director of Pharmacy or pharmacist-in-charge shall ensure that:

Drugs are dispensed from the hospital pharmacy only upon a written order, direct copy or facsimile of a written order, or verbal order of an authorized medical practitioner; and

2. A pharmacist reviews the original, direct or facsimile copy, or verbal order before an initial dose of medication is administered, except as specified in R4-23-653(E)(1).

D. Labeling. A Director of Pharmacy or pharmacist-in-charge shall ensure that all drugs distributed or dispensed by a hospital pharmacy are packaged in appropriate containers and labeled as follows:

1. For use inside the hospital.

a. Labels for all single unit packages contain at a minimum, the following information:

i. Drug name, strength, and dosage form;

ii. Lot number and beyond-use-date; and

iii. Appropriate auxiliary labels;

b. Labels for repackaged preparations contain at a minimum the following information:

i. Drug name, strength, and dosage form;

ii. Lot number and beyond-use-date;

iii. Appropriate auxiliary labels; and

iv. Mechanism to identify pharmacist accountable for repackaging;

c. Labels for all intravenous admixture preparations contain at a minimum the following information:

i. Patient's name and location;

ii. Name and quantity of the basic parenteral solution;

iii. Name and amount of drug added;

iv. Date of preparation;

v. Beyond-use-date and time;

vi. Guidelines for administration;

vii. Appropriate auxiliary label or precautionary statement; and

viii. Initials of pharmacist responsible for admixture preparation; and

2. For use outside the hospital. Any drug dispensed to a patient by a hospital pharmacy that is intended for self-administration outside of the hospital is labeled as specified in A.R.S. §§ 32-1963.01(C) and 32-1968(D) and A.A.C. R4-23-402.

E. Controlled substance accountability. A Director of Pharmacy or pharmacist-in-charge shall ensure that effective policies and procedures are developed, implemented, reviewed, and revised in the same manner described in R4-23-653(A) and complied with regarding the use, accountability, and recordkeeping of controlled substances in the hospital, including the use of locked storage areas when controlled substances are stored in patient care areas.

F. Emergency services dispensing. If a hospital permits dispensing of drugs from the emergency services department when the pharmacy is unable to provide this service, the Director of Pharmacy, in consultation with the appropriate department personnel and medical staff committee shall develop, implement, review, and revise in the same manner described in R4-23-653(A) and comply with written policies and procedures for dispensing drugs for outpatient use from the hospital's emergency services department. The policies and procedures shall include the following requirements:

1. Drugs are dispensed only to patients who have been admitted to the emergency services department;

2. Drugs are dispensed only by an authorized medical practitioner, not a designee or agent;

3. The nature and type of drugs available for dispensing are designed to meet the immediate needs of the patients treated within the hospital;

4. Drugs are dispensed only in quantities sufficient to meet patient needs until outpatient pharmacy services are available;

Drugs are prepackaged by a pharmacist or a pharmacy intern, graduate intern, pharmacy technician, or pharmacy technician trainee under the supervision of a pharmacist in suitable containers and appropriately prelabeled with the drug name, strength, dosage form, quantity, manufacturer, lot number, beyond-use-date, and any appropriate auxiliary labels;

6. Upon dispensing, the authorized medical practitioner completes the label on the prescription container that complies with the requirements of R4-23-658(D); and

7. The hospital pharmacy maintains a dispensing log, hard-copy prescription, or electronic record, approved by the Board or its designee and includes the patient name and address, drug name, strength, dosage form, quantity, directions for use, medical practitioner's signature or identification code, and DEA registration number, if applicable.

History

• Former Rules 6.7610, 6.7620, and 6.7710; Amended effective Aug. 9, 1983 (Supp. 83-4). Section repealed, new Section adopted effective February 7, 1990 (Supp. 90-1). Correction to subsection (I)(5) ("unnecessary" changed to "necessary") (Supp. 91-1). Amended effective November 1, 1993 (Supp. 93-4). Amended by final rulemaking at 8 A.A.R. 4902, effective January 5, 2003 (Supp. 02-4). Amended by final rulemaking at 10 A.A.R. 1192, effective May 1, 2004 (Supp. 04-1). Amended by final rulemaking at 12 A.A.R. 3032, effective October 1, 2006 (Supp. 06-3).

Ariz. Admin. Code § R4-23-659 Administration of Drugs

A. Self-administration. A hospital shall not allow self-administration of medications by a patient unless the Director of Pharmacy or pharmacist-in-charge, in consultation with the appropriate department personnel and medical staff committee, develops, implements, reviews, and revises in the same manner described in R4-23-653(A) and complies with policies and procedures for self-administration of medications by a patient. The policies and procedures shall specify that self-administration of medications, if allowed, occurs only when:

1. Specifically ordered by a medical practitioner, and

2. The patient is educated and trained in the proper manner of self-administration.

B. Drugs brought in by a patient. If a hospital allows a patient to bring a drug into the hospital and before a patient brings a drug into the hospital, the Director of Pharmacy or pharmacist-in-charge shall, in consultation with the appropriate department personnel and medical staff committee, develop, implement, review, and revise in the same manner described in R4-23-653(A) and comply with policies and procedures for a patient-owned drug brought into the hospital. The policies and procedures shall specify the following criteria for a patient-owned drug brought into the hospital:

1. When policy allows the administration of a patient-owned drug, the drug is not administered to the patient unless:

a. A pharmacist or medical practitioner identifies the drug, and

b. A medical practitioner writes a medication order specifying administration of the identified patient-owned drug; and

2. If a patient-owned drug will not be used during the patient's hospitalization, the hospital pharmacy's personnel shall:

a. Package, seal, and give the drug to the patient's agent for removal from the hospital; or

b. Package, seal, and store the drug for return to the patient at the time of discharge from the hospital.

C. Drug samples. The Director of Pharmacy or pharmacist-in-charge is responsible for the receipt, storage, distribution, and accountability of drug samples within the hospital, including developing, implementing, reviewing, and revising in the same manner described in R4-23-653(A) and complying with specific policies and procedures regarding drug samples.

History

• Former Rules 6.7720, 6.7730, 6.7740, 6.7760, 6.7770, 6.7780, 6.7800, 6.7810, 6.7820, 6.7830, 6.7840, 6.7850, 6.7871, 6.7872, and 6.7873; Amended effective Aug. 9, 1983 (Supp. 83-4). Section repealed, new Section adopted effective February 7, 1990 (Supp. 90-1). Correction to Section heading ("rules" changed to "roles") (Supp. 91-1). Section repealed; new Section made by final rulemaking at 8 A.A.R. 4902, effective January 5, 2003 (Supp. 02-4). Amended by final rulemaking at 10 A.A.R. 1192, effective May 1, 2004 (Supp. 04-1). Amended by final rulemaking at 12 A.A.R. 3032, effective October 1, 2006 (Supp. 06-3).

Ariz. Admin. Code § R4-23-660 Investigational Drugs

The Director of Pharmacy or pharmacist-in-charge shall ensure that:

1. The following information concerning an investigational drug is available for use by hospital personnel:

a. Composition,

b. Pharmacology,

c. Adverse reactions,

d. Administration guidelines, and

e. All other available information concerning the drug, and

2. An investigational drug is:

a. Properly stored in, labeled, and dispensed from the pharmacy, and

b. Not dispensed before the drug is approved by the appropriate medical staff committee of the hospital.

History

• Former Rules 6.7881, 6.7882, and 6.7883; Amended subsection (A) effective Aug. 9, 1983 (Supp. 83-4). Repealed, new Section adopted effective February 7, 1990 (Supp. 90-1). Section repealed; new Section made by final rulemaking at 8 A.A.R. 4902, effective January 5, 2003 (Supp. 02-4).

Ariz. Admin. Code § R4-23-661 Repealed

History

• Former Rules 6.7910, 6.7920, 6.7930, 6.7940, and 6.7950. Section repealed, new Section adopted effective February 7, 1990 (Supp. 90-1). Section repealed by final rulemaking at 8 A.A.R. 4902, effective January 5, 2003 (Supp. 02-4).

Ariz. Admin. Code § R4-23-662 Repealed

History

• Adopted effective February 7, 1990 (Supp. 90-1). Section repealed by final rulemaking at 8 A.A.R. 4902, effective January 5, 2003 (Supp. 02-4).

Ariz. Admin. Code § R4-23-663 Repealed

History

• Adopted effective February 7, 1990 (Supp. 90-1). Amended effective November 1, 1993 (Supp. 93-4). Section repealed by final rulemaking at 8 A.A.R. 4902, effective January 5, 2003 (Supp. 02-4).

Ariz. Admin. Code § R4-23-664 Repealed

History

• Adopted effective February 7, 1990 (Supp. 90-1). Subsection label removed (Supp. 91-1). Section repealed by final rulemaking at 8 A.A.R. 4902, effective January 5, 2003 (Supp. 02-4).

Ariz. Admin. Code § R4-23-670 Sterile Pharmaceutical Products

A. In addition to the minimum area requirement of R4-23-609(A) and R4-23-655(B) and before compounding a sterile pharmaceutical product, a pharmacy permittee, limited-service pharmacy permittee, or applicant shall provide a minimum sterile pharmaceutical product compounding area that is not less than 100 square feet of contiguous floor area, except any pharmacy permit issued or pharmacy remodeled before November 1, 2006 may continue to use a sterile pharmaceutical product compounding area that is not less that 60 square feet of contiguous floor area, until a pharmacy ownership change occurs that requires issuance of a new permit or the pharmacy is remodeled. The pharmacy permittee or the pharmacist-in-charge shall ensure that the sterile pharmaceutical product compounding area:

1. Is dedicated to the purpose of preparing and compounding sterile pharmaceutical products;

2. Is isolated from other pharmacy functions;

3. Restricts entry or access;

4. Is free from unnecessary disturbances in air flow;

5. Is made of non-porous and cleanable floor, wall, and ceiling material; and

Meets the minimum air cleanliness standards of an ISO Class 7 environment as defined in R4-23-110, except an ISO class 7 environment is not required if all sterile pharmaceutical product compounding occurs within an ISO class 5 environment isolator, such as a glove box, pharmaceutical isolator, barrier isolator, pharmacy isolator, or hospital pharmacy isolator.

B. In addition to the equipment requirements in R4-23-611 and R4-23-612 or R4-23-656 and before compounding a sterile pharmaceutical product, a pharmacy permittee, limited-service pharmacy permittee, or applicant shall ensure that a pharmacist who compounds a sterile pharmaceutical product has the following equipment:

1. Environmental control devices capable of maintaining a compounding area environment equivalent to an "ISO class 5 environment" as defined in R4-23-110. Devices capable of meeting these standards include: laminar airflow hoods, hepa filtered zonal airflow devices, glove boxes, pharmaceutical isolators, barrier isolators, pharmacy isolators, hospital pharmacy isolators, and biological safety cabinets;

2. Disposal containers designed for needles, syringes, and other material used in compounding sterile pharmaceutical products and if applicable, separate containers to dispose of cytotoxic, chemotherapeutic, and infectious waste products;

3. Freezer storage units with thermostatic control and thermometer, if applicable;

4. Packaging or delivery containers capable of maintaining official compendial drug storage conditions;

5. Infusion devices and accessories, if applicable; and

6. In addition to the reference library requirements of R4-23-612, a current reference pertinent to the preparation of sterile pharmaceutical products.

C. Before compounding a sterile pharmaceutical product, the pharmacy permittee, limited-service pharmacy permittee, or pharmacist-in-charge shall:

1. Prepare, implement, and comply with policies and procedures for compounding and dispensing sterile pharmaceutical products,

2. Review biennially and if necessary revise the policies and procedures required under subsection (C)(1),

3. Document the review required under subsection (C)(2),

4. Assemble the policies and procedures as a written manual or by another method approved by the Board or its designee, and

5. Make the policies and procedures available in the pharmacy for employee reference and inspection by the Board or its designee.

D. The assembled policies and procedures shall include, where applicable, the following subjects:

1. Supervisory controls and verification procedures to ensure the quality and safety of sterile pharmaceutical products;

2. Clinical services and drug monitoring procedures for:

a. Patient drug utilization reviews;

b. Inventory audits;

c. Patient outcome monitoring;

d. Drug information; and

e. Education of pharmacy and other health professionals;

3. Controlled substances;

4. Supervisory controls and verification procedures for:

a. Cytotoxics handling, storage, and disposal;

b. Disposal of unused supplies and pharmaceutical products; and

c. Handling and disposal of infectious wastes;

Pharmaceutical product administration, including guidelines for the first dosing of a pharmaceutical product;

6. Drug and component procurement;

7. Pharmaceutical product compounding, dispensing, and storage;

8. Duties and qualifications of professional and support staff;

9. Equipment maintenance;

10. Infusion devices and pharmaceutical product delivery systems;

Investigational drugs and their protocols;

12. Patient profiles;

13. Patient education and safety;

14. Quality management procedures for:

a. Adverse drug reactions;

b. Drug recalls;

c. Expired pharmaceutical products;

d. Beyond-use-dating for both standard-risk and substantial-risk sterile pharmaceutical products consistent with the requirements of R4-23-410(B)(3)(d);

e. Temperature and other environmental controls;

f. Documented process and product validation testing; and

g. Semi-annual certification of the laminar air flow hood or other ISO class 5 environment, other equipment, and the ISO class 7 environment, including documentation of routine cleaning and maintenance for each laminar air flow hood or other ISO class 5 environment, other equipment, and the ISO class 7 environment; and

Sterile pharmaceutical product delivery requirements for:

a. Shipment to the patient;

b. Security; and

c. Maintaining official compendial storage conditions.

E. Standard-risk sterile pharmaceutical product compounding. Before compounding a standard-risk sterile pharmaceutical product, a pharmacy permittee or pharmacist-in-charge shall ensure compliance with the following minimum standards:

Compounding occurs only in an ISO class 5 environment within an ISO class 7 environment, and the ISO class 7 environment may have a specified prep area inside the environment;

Compounding sterile pharmaceutical products from sterile commercial drugs or sterile pharmaceutical otic or ophthalmic products from non-sterile ingredients occurs using procedures that involve only a few closed-system, basic, simple aseptic transfers and manipulations;

3. Each person who compounds wears adequate personnel protective clothing for sterile preparation that includes gown, gloves, head cover, and booties. Each person who compounds is not required to wear personnel protective clothing when all sterile pharmaceutical compounding occurs within an ISO class 5 environment isolator, and the ISO Class 5 environment isolator is not inside an ISO Class 7 environment; and

4. Each person who compounds completes an annual media-fill test to validate proper aseptic technique.

F. Substantial-risk sterile pharmaceutical product compounding. Before compounding a substantial-risk sterile pharmaceutical product, a pharmacy permittee or pharmacist-in-charge shall ensure compliance with the following minimum standards:

1. Compounding parenteral or injectable sterile pharmaceutical products from non-sterile ingredients occurs only in an ISO class 5 environment within an ISO class 7 environment and the ISO class 7 environment shall not have a prep area inside the environment;

2. Each person who compounds wears adequate personnel protective clothing for sterile preparation that includes gown, gloves, head cover, and booties. Each person who compounds is not required to wear personnel protective clothing when all sterile pharmaceutical compounding occurs within an ISO class 5 environment isolator, and the ISO Class 5 environment isolator is not inside an ISO Class 7 environment; and

3. Each person who compounds completes a semi-annual media-fill test that simulates the most challenging or stressful conditions for compounding using dry non-sterile media to validate proper aseptic technique.

History

• Adopted effective November 1, 1993 (Supp. 93-4). Amended by final rulemaking at 10 A.A.R. 3391, effective October 2, 2004 (Supp. 04-3). Amended by final rulemaking at 12 A.A.R. 3981, effective December 4, 2006 (Supp. 06-4).

Ariz. Admin. Code § R4-23-671 General Requirements for Limited-service Pharmacy

A. Before opening a limited-service pharmacy, a person shall obtain a permit in compliance with A.R.S. §§ 32-1929, 32-1930, 32-1931, and R4-23-606.

B. The limited-service pharmacy permittee shall secure the limited-service pharmacy by conforming with the following standards:

1. Permit no one to be in the limited-service pharmacy unless the pharmacist-in-charge or a pharmacist authorized by the pharmacist-in-charge is present;

2. Require the pharmacist-in-charge to designate in writing, by name, title, and specific area, those persons who will have access to particular areas of the limited-service pharmacy;

3. Implement procedures to guard against theft or diversion of drugs, including controlled substances; and

4. Require all persons working in the limited-service pharmacy to wear badges, with their names and titles, while on duty.

C. To obtain permission to deviate from the minimum area requirement set forth in R4-23-609, R4-23-673, or R4-23-682, a limited-service pharmacy permittee shall submit a written request to the Board and include documentation that the deviation will facilitate experimentation or technological advances in the practice of pharmacy as defined in A.R.S. § 32-1901. If the Board determines the requested deviation from the minimum area requirement will enhance the practice of pharmacy and benefit the public, the Board shall grant the requested deviation.

D. The Board shall require more than the minimum area in a limited-service pharmacy when the Board determines that equipment, personnel, or other factors in the limited-service pharmacy cause crowding that interferes with safe pharmacy practice.

E. Before dispensing from a limited-service pharmacy, the limited-service pharmacy permittee or pharmacist-in-charge shall:

1. Prepare, implement, and comply with written policies and procedures for pharmacy operations and drug dispensing and distribution,

2. Review biennially and if necessary revise the policies and procedures required under subsection (E)(1),

3. Document the review required under subsection (E)(2),

4. Assemble the policies and procedures as a written manual or by another method approved by the Board or its designee, and

5. Make the policies and procedures available in the pharmacy for employee reference and inspection by the Board or its designee.

History

• Adopted effective April 5, 1996 (Supp. 96-2). Amended by final rulemaking at 9 A.A.R. 1064, effective May 4, 2003 (Supp. 03-1). Amended by final rulemaking at 10 A.A.R. 3391, effective October 2, 2004 (Supp. 04-3). Amended by final rulemaking at 12 A.A.R. 3032, effective October 1, 2006 (Supp. 06-3).

Ariz. Admin. Code § R4-23-672 Limited-service Correctional Pharmacy

A. The limited-service pharmacy permittee shall ensure that the limited-service correctional pharmacy complies with the standards for area, personnel, security, sanitation, equipment, drug distribution and control, administration of drugs, drug source, quality assurance, investigational drugs, and inspections as set forth in R4-23-608, R4-23-609(A) through (D) and (F) through (H), R4-23-610(A), R4-23-611, R4-23-612, R4-23-653(E), R4-23-658(B) through (E), R4-23-659, and R4-23-660.

B. The pharmacist-in-charge of a limited-service correctional pharmacy shall authorize only pharmacists, interns, pharmacy technicians, pharmacy technician trainees, compliance officers, drug inspectors, peace officers, and correctional officers acting in their official capacities, other persons authorized by law, support personnel, and other designated personnel to be in the limited-service correctional pharmacy.

C. When no pharmacist will be on duty in the correctional facility, the pharmacist-in-charge shall arrange, before there is no pharmacist on duty, for the medical staff and other authorized personnel of the correctional facility to have access to drugs in remote drug storage areas or, if a drug is not available in a remote drug storage area and is required to treat the immediate needs of a patient, in the limited-service correctional pharmacy.

1. The pharmacist-in-charge shall, in consultation with the appropriate committee of the correctional facility, develop and implement procedures to ensure that remote drug storage areas:

a. Contain only properly labeled drugs that might reasonably be needed and can be administered safely during the pharmacist's absence,

b. Contain drugs packaged only in amounts sufficient for immediate therapeutic requirements,

c. Are accessible only with a physician's written order,

d. Provide a written record of each drug withdrawn,

e. Are inventoried at least once each week, and

f. Are audited for compliance with the requirements of this rule at least once each month.

2. The pharmacist-in-charge shall, in consultation with the appropriate committee of the correctional facility, develop and implement procedures to ensure that access to the limited-service correctional pharmacy when no pharmacist is on duty conforms to the following requirements:

a. Is delegated to only one nurse, who is in a supervisory position;

b. Is communicated in writing to medical staff of the correctional facility;

c. Is delegated only to a nurse who has received training from the pharmacist-in-charge in proper methods of access, removal of drugs, and recordkeeping procedures; and

d. Is delegated by the supervisory nurse to another nurse only in an emergency.

3. When a nurse to whom authority to access the limited-service correctional pharmacy is delegated removes a drug from the limited-service correctional pharmacy, the nurse shall:

a. Record the following information on a form:

i. Patient's name,

ii. Name of the drug and its strength and dosage form,

iii. Dose prescribed,

iv. Amount of drug removed, and

v. Date and time of removal;

b. Sign the form recording the drug removal;

c. Attach the original or a direct copy of a physician's written order for the drug to the form recording the drug removal; and

d. Place the form recording the drug removal conspicuously in the limited-service correctional pharmacy.

4. Within four hours after a pharmacist in the limited-service correctional pharmacy returns to duty following an absence in which the limited-service correctional pharmacy was accessed by a nurse to whom authority had been delegated, the pharmacist shall verify all records of drug removal according to R4-23-402.

D. When no pharmacist will be on duty in the correctional facility, the pharmacist-in-charge shall arrange, before there is no pharmacist on duty, for the medical staff and other authorized personnel of the correctional facility to have telephone access to a pharmacist.

E. The limited-service pharmacy permittee shall ensure that the limited-service correctional pharmacy is not without a pharmacist on duty for more than 96 consecutive hours.

F. In addition to the requirements of R4-23-671, the limited-service pharmacy permittee shall secure the limited-service correctional pharmacy as follows:

1. Permit no one to be in the limited-service correctional pharmacy unless a pharmacist is on duty except:

a. As provided in subsection (C)(3) when a pharmacist is not on duty; or

b. A pharmacy technician or pharmacy technician trainee may remain to perform duties in R4-23-1104(A), when a pharmacist is on duty and available in the correctional facility but temporarily absent from the pharmacy, provided:

i. All controlled substances are secured in a manner that prohibits access by persons other than a pharmacist;

ii. Activities performed by a pharmacy technician or pharmacy technician trainee while the pharmacist is temporarily absent are verified by the pharmacist immediately upon returning to the pharmacy;

iii. Any drug measured, counted, poured, or otherwise prepared and packaged by a pharmacy technician or pharmacy technician trainee while the pharmacist is temporarily absent is verified by the pharmacist immediately upon returning to the pharmacy; and

iv. Any drug that has not been verified by a pharmacist for accuracy is not dispensed, supplied, or distributed while the pharmacist is temporarily absent from the pharmacy; and

Provide keyed or programmable locks to all areas of the limited-service correctional pharmacy.

G. The pharmacist-in-charge of a limited-service correctional pharmacy shall ensure that the written policies and procedures for pharmacy operations and drug distribution within the correctional facility include the following:

1. Physicians' orders, prescription orders, or both;

2. Authorized abbreviations;

3. Formulary system;

4. Clinical services and drug utilization management including:

a. Participation in drug selection,

b. Drug utilization reviews,

c. Inventory audits,

d. Patient outcome monitoring,

e. Committee participation,

f. Drug information, and

g. Education of pharmacy and other health professionals;

5. Duties and qualifications of professional and support staff;

6. Products of abuse and contraband medications;

7. Controlled substances;

8. Drug administration;

9. Drug product procurement;

10. Drug compounding, dispensing, and storage;

11. Stop orders;

12. Pass or discharge medications;

13. Investigational drugs and their protocols;

14. Patient profiles;

15. Quality management procedures for:

a. Adverse drug reactions;

b. Drug recalls;

c. Expired and beyond-use-date drugs;

d. Medication or dispensing errors;

e. Drug storage; and

f. Education of professional staff, support staff, and patients;

16. Recordkeeping;

17. Sanitation;

18. Security;

19. Access to remote drug storage areas by non-pharmacists; and

20. Access to limited-service correctional pharmacy by non-pharmacists.

History

• Adopted effective April 5, 1996 (Supp. 96-2). Amended by final rulemaking at 10 A.A.R. 4453, effective December 4, 2004 (Supp. 04-4).

Ariz. Admin. Code § R4-23-673 Limited-service Mail-order Pharmacy

A. The limited-service pharmacy permittee shall design and construct the limited-service mail-order pharmacy to conform with the following requirements:

1. A dispensing area devoted to stocking, compounding, and dispensing prescription medications, which is physically separate from a non-dispensing area devoted to non-dispensing pharmacy services;

2. A dispensing area of at least 300 square feet if three or fewer persons work in the dispensing area simultaneously;

3. A dispensing area that provides 300 square feet plus 60 square feet for each person in excess of three persons if more than three persons work in the dispensing area simultaneously;

4. Space in the dispensing area permits efficient pharmaceutical practice, free movement of personnel, and visual surveillance by the pharmacist;

5. A non-dispensing area of at least 30 square feet for each person working simultaneously in the non-dispensing area; and

6. Space in the non-dispensing area permits free movement of personnel and visual surveillance by the pharmacist; or

B. The limited-service pharmacy permittee shall design and construct the limited-service mail-order pharmacy to conform with the following requirements:

1. A contiguous area in which both dispensing and non-dispensing pharmacy services are provided;

2. A contiguous area of at least 300 square feet if three or fewer persons work in the area simultaneously;

3. A contiguous area that provides 300 square feet plus 60 square feet for each person in excess of three persons if more than three persons work in the area simultaneously; and

4. Space in the contiguous area permits efficient pharmaceutical practice, free movement of personnel, and visual surveillance by the pharmacist.

C. The limited-service pharmacy permittee shall ensure that the limited-service mail-order pharmacy complies with the standards for area, personnel, security, sanitation, and equipment set forth in R4-23-608, R4-23-609(B) through (H), R4-23-610 (A) and (C) through (F), R4-23-611, and R4-23-612.

D. The pharmacist-in-charge of a limited-service mail-order pharmacy shall authorize only pharmacists, interns, pharmacy technicians, pharmacy technician trainees, compliance officers, drug inspectors, peace officers acting in their official capacities, support personnel, other persons authorized by law, and other designated personnel to be in the limited-service mail-order pharmacy.

E. The pharmacist-in-charge of a limited-service mail-order pharmacy shall ensure that prescription medication is delivered to the patient or locked in the dispensing area when a pharmacist is not present in the pharmacy.

F. In addition to the delivery requirements of R4-23-402, the limited-service pharmacy permittee shall, during regular hours of operation but not less than five days and a minimum 40 hours per week, provide toll-free telephone service to facilitate communication between patients and a pharmacist who has access to patient records at the limited-service mail-order pharmacy. The limited-service pharmacy permittee shall disclose this toll-free number on a label affixed to each container of drugs dispensed from the limited-service mail-order pharmacy.

G. The pharmacist-in-charge of a limited-service mail-order pharmacy shall ensure that the written policies and procedures for pharmacy operations and drug distribution include the following:

Prescription orders;

2. Clinical services and drug utilization management for:

a. Drug utilization reviews,

b. Inventory audits,

c. Patient outcome monitoring,

d. Drug information, and

e. Education of pharmacy and other health professionals;

3. Duties and qualifications of professional and support staff;

4. Controlled substances;

5. Drug product procurement;

6. Drug compounding, dispensing, and storage;

7. Patient profiles;

8. Quality management procedures for:

a. Adverse drug reactions,

b. Drug recalls,

c. Expired and beyond-use-date drugs,

d. Medication or dispensing errors, and

e. Education of professional and support staff;

Recordkeeping;

Sanitation;

11. Security;

12. Drug delivery requirements for:

a. Transportation,

b. Security,

c. Temperature and other environmental controls,

d. Emergency provisions, and

13. Patient education.

History

• Adopted effective April 5, 1996 (Supp. 96-2). Amended by final rulemaking at 10 A.A.R. 1192, effective May 1, 2004 (Supp. 04-1). Amended by final rulemaking at 10 A.A.R. 4453, effective December 4, 2004 (Supp. 04-4).

Ariz. Admin. Code § R4-23-674 Limited-service Long-term Care Pharmacy

A.A limited-service pharmacy permittee shall ensure that the limited-service long-term care pharmacy complies with:

1. The general requirements of R4-23-671;

2. The professional practice standards of Article 4 and Article 11; and

The permits and drug distribution standards of R4-23-606 through R4-23-612, R4-23-670, and this Section.

B.If a limited-service long-term care pharmacy permittee contracts with a long-term care facility as a Provider Pharmacy, as defined in R4-23-110, the limited-service long-term care pharmacy permittee shall ensure that the long-term care consultant pharmacist and the pharmacist-in-charge of the limited-service long-term care pharmacy comply with R4-23-701, R4-23-701.01, R4-23-701.02, R4-23-701.03, R4-23-701.04, and this Section.

1. The limited-service long-term care pharmacy employs or contracts with a long-term care consultant pharmacist; and.

2. The the long-term care consultant pharmacist and the pharmacist-in-charge of the limited-service long-term care pharmacy comply with R4-23-701, R4-23-701.01, R4-23-701.02, and R4-23-701.03,

R4-23-701.04 , and this Section.

C.The limited-service long-term care pharmacy permittee or pharmacist-in-charge shall ensure that prescription medication is delivered to the patient's long-term care facility or locked in the dispensing area of the pharmacy when a pharmacist is not present in the pharmacy.

D.The pharmacist-in-charge of a limited-service long-term care pharmacy shall authorize only those individuals listed in R4-23-610(B) to be in the limited-service long-term care pharmacy.

E.In consultation with the long-term care facility's medical director and director of nursing, the long-term care consultant pharmacist and pharmacist-in-charge of the long-term care facility's provider pharmacy may develop, if necessary, a medication formulary for the long-term care facility that ensures the safe and efficient procurement, dispensing, distribution, administration, and control of drugs in the long-term care facility.

F.The limited-service long-term care pharmacy permittee or pharmacist-in-charge shall ensure that the written policies and procedures required in R4-23-671(E) include the following:

1. Clinical services and drug utilization management for:

a. Drug utilization reviews,

b. Inventory audits,

c. Patient outcome monitoring,

d. Drug information, and

e. Education of pharmacy and other health professionals;

2. Controlled substances;

3. Drug compounding, dispensing, and storage;

4. Drug delivery requirements for:

a. Transportation,

b. Security,

c. Temperature and other environmental controls, and

d. Emergency provisions;

5. Drug product procurement;

6. Duties and qualifications of professional and support staff;

7. Emergency drug supply unit procedures;

8. Formulary, including development, review, modification, use, and documentation, if applicable;

9. Patient profiles;

10. Patient education;

11. Prescription orders, including:

a. Approved abbreviations,

b. Stop-order procedures, and

c. Leave-of-absence and discharge prescription order procedures;

12. Quality management procedures for:

a. Adverse drug reactions,

b. Drug recalls,

c. Expired and beyond-use-date drugs,

d. Medication or dispensing errors, and

e. Education of professional and support staff;

13. Recordkeeping;

14. Sanitation; and

15. Security.

History

• New Section made by final rulemaking at 9 A.A.R. 1064, effective May 4, 2003 (Supp. 03-1). Amended by final rulemaking at 10 A.A.R. 1192, effective May 1, 2004 (Supp. 04-1). Amended by final rulemaking at 19 A.A.R. 2894, effective November 10, 2013.

Ariz. Admin. Code § R4-23-675 Limited-service Sterile Pharmaceutical Products Pharmacy

A. The limited-service pharmacy permittee or the pharmacist-in-charge shall ensure that the limited-service sterile pharmaceutical products pharmacy complies with the standards for area, personnel, security, sanitation, equipment, sterile pharmaceutical products, and limited-service pharmacies established in R4-23-608, R4-23-609, R4-23-610, R4-23-611, R4-23-612, R4-23-670, and R4-23-671.

B. The pharmacist-in-charge of a limited-service sterile pharmaceutical products pharmacy shall authorize only pharmacists, interns, compliance officers, peace officers acting in their official capacities, pharmacy technicians, pharmacy technician trainees, support personnel, and other designated personnel to be in the limited-service sterile pharmaceutical products pharmacy.

C. The pharmacist-in-charge of a limited-service sterile pharmaceutical products pharmacy shall ensure that prescription medication is delivered to the patient or locked in the dispensing area when a pharmacist is not present in the pharmacy.

D. In addition to the delivery requirements of R4-23-402, the limited-service pharmacy permittee shall, during regular hours of operation, but not less than a minimum 40 hours per week, provide toll-free telephone service to facilitate communication between patients and a pharmacist who has access to patient records at the limited-service sterile pharmaceutical products pharmacy. The limited-service pharmacy permittee shall disclose this toll-free number on a label affixed to each container dispensed from the limited-service sterile pharmaceutical products pharmacy.

E. The limited-service pharmacy permittee or the pharmacist-in-charge shall ensure development, implementation, review and revision in the same manner described in R4-23-671(E) and compliance with policies and procedures for pharmacy operations, including pharmaceutical product compounding, dispensing, and distribution, that comply with the requirements of R4-23-402, R4-23-410, R4-23-670, and R4-23-671.

F. The non-dispensing roles of the pharmacist may include chart reviews, audits, drug therapy monitoring, committee participation, drug information, and in-service training of pharmacy and other health professionals.

History

• New Section made by final rulemaking at 10 A.A.R. 3391, effective October 2, 2004 (Supp. 04-3). Amended by final rulemaking at 12 A.A.R. 3032, effective October 1, 2006 (Supp. 06-3).

Ariz. Admin. Code § R4-23-676 Third-party Logistics Provider Permit

A. A person shall not provide logistics services, as described under A.R.S. § 32-1941(A), until the Board issues a third-party logistics provider permit for the facility.

B. A person that wants to provide logistics services shall obtain a Board-issued third-party logistics provider permit for each facility.

C. Application. To obtain a third-party logistics provider permit for a facility, a person shall submit a completed application, using a form available on the Board's website, and the fee specified in R4-23-205.

D. Change of ownership. A third-party logistics provider permittee shall comply with R4-23-601(F).

E. A third-party logistics provider permittee shall renew the permit as specified under R4-23-602(D).

F. The Board shall adhere to the time frames specified under R4-23-602(C) when processing an initial or renewal application for a third-party logistics provider permit.

History

• Amended by final rulemaking at 25 A.A.R. 1015, effective 6/1/2019.

Ariz. Admin. Code § R4-23-677 Automated Prescription- dispensing Kiosk Perm

A. General provisions.

1. Only a person issued a Board permit under A.R.S. § 32-1929 to operate a pharmacy in Arizona may apply to the Board under A.R.S. § 32-1930 for a permit to operate an automated prescription-dispensing kiosk.

2. A pharmacy permittee described under subsection (A)(1) shall apply for a separate permit for each automated prescription-dispensing kiosk to be operated.

3. To obtain an automated prescript ion-dispensing kiosk permit, a pharmacy permittee shall submit a completed application, using a form available on the Board's website, and the fee specified in R4-23-205.

4. A pharmacy permittee to which the Board issues an automated prescription-dispensing kiosk permit shall designate a pharmacist in charge of the automated prescription-dispensing kiosk.

5. A pharmacy permittee to which the Board issues an automated prescription-dispensing kiosk permit shall not place the automated prescription-dispensing kiosk in a gas station or convenience store.

B. Policies and procedures. A pharmacy permittee to which the Boar dissues an automated prescription-dispensing kiosk permit shall:

1. Ensure policies and procedures are established for the appropriate performance and use of the automated prescription-dispensing kiosk. The policies and procedures shall address:

a. Maintaining a record of each transaction in a manner that attaches the record to the permit number of the automated prescription-dispensing kiosk;

b. Controlling access to the automated prescription-dispensing kiosk;

c. Operating the automated prescription-dispensing kiosk;

d. Training personnel who use the automated prescription-dispensing kiosk;

e. Maintaining patient services when the automated prescription-dispensing kiosk is not operating or the prescribed drug or device is not available;

f. Securing the automated prescription-dispensing kiosk against unauthorized removal of the kiosk or access to or removal of drugs or devices from the kiosk;

g. Assuring a patient receives the pharmacy services necessary for appropriate pharmaceutical c are including consultation with a pharmacist;

h. Maintaining integrity of information in the system and patient confidentiality;

i. Stocking and restocking the automated prescription-dispensing kiosk;

j. Ensuring compliance with packaging and labeling requirements; and

k. Removing drugs and devices from th e automated prescription-dispensing kiosk without dispensing them and handling wasted or discarded drugs and devices;

2. Ensure the policies and procedures are implemented and complied with by all personnel using th e automated prescription-dispensing kiosk;

Maintain the policies and procedures by:

a. Reviewing the policies and procedures biennially and making needed revisions, if any;

b. Documenting the review required under subsection (B)(3)(a);

c. Assembling the policies and procedures as a written or electronic manual; and

d. Making the policies and procedures available within the pharmacy permittee to which the Board issued an automated prescription-dispensing kiosk permit for reference by pharmacy personnel and inspection by the Board; and

4. Implement a quality assurance program to monitor compliance wit h the policies and procedures and all state and federal law.

C. Change of ownership. An automated prescription-dispensing kiosk permittee shall comply with R4-23-601(F).

D. An automated prescript ion-dispensing kiosk permittee shall renew the permit as specified under R4-23-602(D).

E. The Board shall adhere to the ti me frames specified under R4-23-602(C) when processing an initial or renewal application for a n automated prescription-dispensing kiosk permit.

History

• Adopted by final rulemaking at 25 A.A.R. 1012, effective 6/1/2019.

Ariz. Admin. Code § R4-23-681 General Requirements for Limited-service Nuclear Pharmacy

A. To be an authorized nuclear pharmacist, a pharmacist shall:

1. Hold a current pharmacist license issued by the Board; and

2. Be certified as a nuclear pharmacist by:

a. The Board of Pharmaceutical Specialties, or

b. A similar group recognized by the Arizona State Board of Pharmacy; or

3. Satisfy each of the following requirements:

a. Meet minimal standards of training for status as an authorized user of radioactive material, as specified by the Arizona Radiation Regulatory Agency and the United States Nuclear Regulatory Commission;

b. Submit certification of completion of a Board-approved nuclear pharmacy training program or other training program recognized by the Arizona Radiation Regulatory Agency, with 200 hours of didactic training in the following areas:

i. Radiation physics and instrumentation,

ii. Radiation protection,

iii. Mathematics pertaining to the use and measurement of radioactivity,

iv. Radiation biology, and

v. Radiopharmaceutical chemistry;

c. Submit evidence of a minimum of 500 hours of clinical/practical nuclear pharmacy training under the supervision of an authorized nuclear pharmacist in the following areas:

i. Procuring radioactive materials;

ii. Compounding radiopharmaceuticals;

iii. Performing routine quality control procedures;

iv. Dispensing radiopharmaceuticals;

v. Distributing radiopharmaceuticals;

vi. Implementing basic radiation protection procedures; and

vii. Consulting and educating the nuclear medicine community, patients, pharmacists, other health professionals, and the general public; and

d. Submit written certification, signed by a preceptor who is an authorized nuclear pharmacist, that the above training was satisfactorily completed.

B. Radiopharmaceuticals are prescription-only drugs that require specialized techniques in their handling and testing, to obtain optimum results and minimize hazards.

1. A person shall not sell, barter, or otherwise dispose of, or be in possession of any radiopharmaceutical except under the conditions detailed in A.R.S. § 32-1929.

2. A person shall not manufacture, compound, sell, or dispense any radiopharmaceutical unless the person is a pharmacist or a pharmacy intern acting under the direct supervision of a pharmacist in accordance with A.R.S. § 32-1961 and these rules, with the exception of the following, if the following are licensed by the Arizona Radiation Regulatory Agency to use radiopharmaceuticals in compliance with A.R.S. § 30-673;

a. A medical practitioner who administers a radiopharmaceutical to the medical practitioner's patient as provided in A.R.S. § 32-1921(A),

b. A hospital nuclear medicine department, and

c. A medical practitioner's office.

3. The Board shall cooperate with the Arizona Radiation Regulatory Agency and other interested state and federal agencies, in the enforcement of these rules for the protection of the public. This cooperation may include exchange of licensing and other information, joint inspections, and other activities where indicated.

C. In addition to compliance with all the applicable federal and state laws and rules governing drugs, whether radioactive or not, a limited-service nuclear pharmacy permittee shall comply with all laws and rules of the Arizona Radiation Regulatory Agency and the U.S. Nuclear Regulatory Commission, including emergency and safety provisions.

D. A limited-service nuclear pharmacy permittee shall comply with the education, experience, and licensing requirements of the Arizona Radiation Regulatory Agency.

E. A limited-service nuclear pharmacy permittee shall ensure that radiopharmaceuticals are transferred only to a person or firm that holds a current Radioactive Materials License issued by the Arizona Radiation Regulatory Agency.

History

• Adopted effective December 3, 1974 (Supp. 75-1). Amended subsections (A), (C) and (D) effective Aug. 12, 1988 (Supp. 88-3). Amended effective July 8, 1997 (Supp. 97-3).

Ariz. Admin. Code § R4-23-682 Limited-service Nuclear Pharmacy

A. Before operating a limited-service nuclear pharmacy, a person shall obtain a permit in compliance with A.R.S. §§ 32-1929, 32-1930, and 32-1931, and R4-23-606.

B. A permit to operate a limited-service nuclear pharmacy shall be issued only to a person who is or employs an authorized nuclear pharmacist and holds a current Arizona Radiation Regulatory Agency Radioactive Materials License. A limited-service nuclear pharmacy permittee that fails to maintain a current Arizona Radiation Regulatory Agency Radioactive Materials License shall be immediately suspended pending revocation by the Board. A limited-service nuclear pharmacy permittee shall have copies of Arizona Radiation Regulatory Agency inspection reports available upon request for Board inspection.

1. A limited-service nuclear pharmacy permittee shall designate an authorized nuclear pharmacist as the pharmacist-in-charge. The pharmacist-in-charge shall be responsible to the Board:

a. For the operations of the pharmacy related to the practice of pharmacy and distribution of drugs and devices;

b. For communicating Board directives to the management, pharmacists, interns, and other personnel of the pharmacy; and

c. For the pharmacy's compliance with all federal and state pharmacy laws and rules.

2. An authorized nuclear pharmacist shall directly supervise all personnel performing tasks in the preparation and distribution of radiopharmaceuticals and ancillary drugs.

3. An authorized nuclear pharmacist shall be present whenever the limited-service nuclear pharmacy is open for business.

C. A limited-service nuclear pharmacy permittee shall ensure that the limited-service nuclear pharmacy complies with the standards for personnel, area, security, sanitation, and general requirements in R4-23-608, R4-23-609, R4-23-610, R4-23-611, and R4-23-671.

1. A limited-service nuclear pharmacy shall contain separate areas for:

a. Preparing and dispensing radiopharmaceuticals,

b. Receiving and shipping radiopharmaceuticals,

c. Storing radiopharmaceuticals, and

d. Decaying radioactive waste.

2. The Board may require more than the minimum area in instances where equipment, inventory, personnel, or other factors cause crowding to a degree that interferes with safe pharmacy practice.

D. The pharmacist-in-charge shall designate in writing, by title and specific area, the persons who may have access to particular pharmacy areas.

E. A limited-service nuclear pharmacy permittee shall maintain records of acquisition, inventory, and disposition of radiopharmaceuticals, other radioactive substances, and other drugs in accordance with federal and state statutes and rules.

1. A prescription order, in addition to the requirements in A.R.S. § 32-1968(C) and R4-23-407(A), shall contain:

a. The date and time of calibration of the radiopharmaceutical,

b. The name of the procedure for which the radiopharmaceutical is prescribed, and

c. The words "Physician's Use Only" instead of the name of the patient if the radiopharmaceutical is nontherapeutic or for a nonblood product.

The lead container used to store and transport a radio-pharmaceutical shall have a label that, in addition to the requirements in A.R.S. § 32-1968(D), includes:

a. The date and time of calibration of the radiopharmaceutical,

b. The name of the radiopharmaceutical,

c. The molybdenum 99 content to USP limits,

d. The name of the procedure for which the radiopharmaceutical is prescribed,

e. The words "Physician's Use Only" instead of the name of the patient if the radiopharmaceutical is nontherapeutic or for a nonblood product,

f. The words "Caution: Radioactive Material," and

g. The standard radiation symbol.

3. The radiopharmaceutical container shall have a label that includes:

a. The date and time of calibration of the radiopharmaceutical;

b. The name of the patient, recorded before dispensing, if the radiopharmaceutical is therapeutic or for a blood product;

c. The words "Physician's Use Only" instead of the name of the patient if the radiopharmaceutical is nontherapeutic or for a nonblood product;

d. The name of the radiopharmaceutical;

e. The dose of radiopharmaceutical;

f. The serial number;

g. The words "Caution: Radioactive Material"; and

h. The standard radiation symbol.

F. The following minimum requirements are in addition to the requirements of the Arizona Radiation Regulatory Agency, the applicable U.S. Nuclear Regulatory Commission regulations, and the applicable regulations of the federal Food and Drug Administration. A limited-service nuclear pharmacy permittee shall provide:

1. In addition to the minimum pharmacy area requirements in R4-23-609 :

a. An area for the storing, compounding, and dispensing of radiopharmaceuticals completely separate from pharmacy areas for nonradioactive drugs;

b. A minimum of 80 sq. ft. for a hot lab and storage area; and

c. A minimum of 300 sq. ft. of compounding and dispensing area;

The following equipment:

a. Fume hood, approved by the Arizona Radiation Regulatory Agency;

b. Laminar flow hood;

c. Dose calibrator;

d. Refrigerator;

e. Prescription balance, Class A, and weights or an electronic balance of equal or greater accuracy;

f. Well scintillation counter;

g. Incubator oven;

h. Microscope;

i. An assortment of labels, including prescription labels and cautionary and warning labels;

j. Glassware necessary for compounding and dispensing radiopharmaceuticals as required by the Arizona Radiation Regulatory Agency;

k. Other equipment necessary for radiopharmaceutical quality control for products compounded or dispensed as required by the Arizona Radiation Regulatory Agency;

l. Current antidote and drug interaction information; and

m. Regional poison control phone number prominently displayed in the pharmacy area;

3. Supplies necessary for compounding and dispensing radiopharmaceuticals as required by the Arizona Radiation Regulatory Agency;

4. A professional reference library consisting of a minimum of one current reference or text addressing each of the following subject areas:

a. Therapeutics,

b. Nuclear pharmacy practice, and

c. Imaging;

5. Current editions and supplements of:

a. A.R.S. §§ 30-651 through 30-696 pertaining to the Arizona Radiation Regulatory Agency,

b. Rules of the Arizona Radiation Regulatory Agency,

c. Regulations of the federal Food and Drug Administration pertaining to radioactive drugs,

d. Arizona Pharmacy Act and rules,

e. Arizona Uniform Controlled Substances Act, and

f. Radiological Health Handbook.

G. The pharmacist-in-charge of a limited-service nuclear pharmacy shall prepare, implement, review, and revise in the same manner described in R4-23-671(E) and comply with written policies and procedures for pharmacy operations and drug distribution.

H. The written policies and procedures of a limited-service nuclear pharmacy shall include the following:

1. Prescription orders;

2. Clinical services and drug utilization management including:

a. Drug utilization reviews,

b. Inventory audits,

c. Patient outcome monitoring,

d. Drug information, and

e. Education of pharmacy and other health professionals;

3. Duties and qualifications of professional and support staff;

4. Radioactive material handling, storage, and disposal;

5. Drug product procurement;

6. Drug compounding, dispensing, and storage;

7. Investigational drugs and their protocols;

8. Patient profiles;

9. Quality management procedures for:

a. Adverse drug reaction reports;

b. Drug recall;

c. Expired and beyond-use-date drugs;

d. Medication or dispensing errors;

e. Radiopharmaceutical quality assurance;

f. Radiological health and safety;

g. Drug storage and disposition; and

h. Education of professional staff, support staff, and patients;

10. Recordkeeping;

11. Sanitation;

12. Security;

13. Drug delivery requirements for:

a. Transportation,

b. Security,

c. Radiological health and safety procedures,

d. Temperature and other environmental controls, and

e. Emergency provisions; and

14. Patient education.

History

• Adopted effective July 8, 1997 (Supp. 97-3). Amended by final rulemaking at 12 A.A.R. 3032, effective October 1, 2006 (Supp. 06-3).

Ariz. Admin. Code § R4-23-691 Repealed

History

• Adopted effective Dec. 3, 1974 (Supp. 75-1). Amended effective Aug. 12, 1988 (Supp. 88-3). Amended effective November 1, 1993 (Supp. 93-4). Repealed effective July 8, 1997 (Supp. 97-3).

Ariz. Admin. Code § R4-23-692 Compressed Medical Gas (CMG) Distributor-Resident or Nonresident

A. Permit.

1. A person shall not manufacture, process, transfill, package, or label a compressed medical gas in Arizona, or manufacture, process, transfill, package, or label a compressed medical gas outside Arizona and ship into Arizona without a current Board-issued resident or nonresident compressed medical gas distributor permit.

2. Before operating as a compressed medical gas distributor, a person shall register with the FDA as a medical gas manufacturer and comply with the drug listing requirements of the federal act.

3. To obtain a compressed medical gas distributor permit a person shall submit a completed application, on a form furnished by the Board, to the Board's office.

4. A compressed medical gas distributor permittee shall distribute a compressed medical gas only

a. Pursuant to a compressed medical gas order; and

b. If the compressed medical gas is listed on the distributor's permit application. To receive approval to distribute an additional compressed medical gas, the permittee shall request that the permit application be amended.

i. The permittee shall send a written request to amend the permit application to the Board office.

ii. The request shall include documentation that the FDA has approved manufacture of the additional compressed medical gas not listed on the original permit application.

iii. If a request to amend an original permit application includes the documentation referenced in subsection (A)(4)(b)(ii) and if the Board or its designee determines that the amendment is in the interest of public health and safety, the Board or its designee shall approve the request to amend within 30 days of receipt.

5. A compressed medical gas distributor permit is subject to denial, suspension, or revocation under A.R.S. § 32- 1927.02.

B. Current Good Manufacturing Practice: A compressed medical gas distributor permittee shall comply with the current good manufacturing practice requirements of 21 CFR 210 through 211, published April 1, 2011, (and no future amendments or editions), incorporated by reference and on file with the Board.

C. Records: A compressed medical gas distributor permittee shall establish and implement written procedures for maintaining records pertaining to production, transfilling, process control, labeling, packaging, quality control, distribution, complaints, and any information required by federal or state law.

1. A permittee shall retain the records required by this Article and 21 CFR 210 through 211 for at least two years after distribution of the compressed medical gas or one year after the expiration date of the compressed medical gas, whichever is longer.

2. A permittee shall make the records required by this Article and 21 CFR 210 through 211 available within 48 hours for review by the Board, its compliance officers, or the FDA.

D. Inspections: A permittee shall make the compressed medical gas distributor's facility available for inspection by the Board or its compliance officers under A.R.S. § 32-1904

B. Application. To obtain a resident or nonresident CMG distributor permit, a person shall submit to the Board a completed application form and the fee specified in

1. A resident CMG distributor permit applicant shall include documentation of compliance with local zoning laws, if required by the Board.

A nonresident CMG distributor permit applicant that resides in a jurisdiction that issues an equivalent license or permit shall include a copy of the equivalent license or permit.

C. Notification. A resident or nonresident CMG distributor permittee shall submit using the permittee's online profile or provide written notice by mail, fax, or e-mail to the Board office within 10 days of changes involving the telephone or fax number, e-mail or mailing address, or business name.

D. Change of ownership. A resident or nonresident CMG distributor permittee shall comply with R4-23-601(F).

E. Relocation.

1. No fewer than 30 days before a resident CMG distributor permittee relocates, the permittee shall electronically or manually submit a completed application for relocation using a form furnished by the Board, and the documentation required in subsection (B). A fee is not required with an application for relocation.

2. A nonresident CMG distributor permittee shall provide written notice by mail, fax, or e-mail to the Board office no fewer than 10 days before relocating.

F. A resident or nonresident CMG distributor permittee is authorized to sell or distribute a compressed medical gas under a compressed medical gas order only to durable medical equipment and compressed medical gas suppliers and other entities that are registered, licensed, or permitted to use, administer, or distribute compressed medical gases.

G.Facility. A resident or nonresident CMG distributor permittee shall ensure the facility is clean, uncluttered, sanitary, temperature controlled, and secure from unauthorized access.

H. Current Good Manufacturing Practice: A resident or nonresident CMG distributor permittee is required under federal law to follow the good manufacturing practice requirements of 21 CFR parts 210 and 211.

I. Records: A resident or nonresident CMG distributor permittee shall:

1. Establish and implement written procedures for maintaining records pertaining to production, transfilling, process control, labeling, packaging, quality control, distribution, returns, recalls, training of personnel, complaints, and any information required by federal or state law.

1. 2. Retain the records required by Section R4-23-601, this Section, and 21 CFR parts 210 and 211 for not fewer than three years or one year after the expiration date of the compressed medical gas, whichever is longer.

2. 3. Make the records required by Section R4-23-601, this Section, and 21 CFR parts 210 and 211 available for inspection by the Board or its compliance officer, or if stored in a centralized recordkeeping system apart from the inspection location and not electronically retrievable, provide the records within four working days of a request by the Board or its compliance officer.

J. Inspection.

1. A resident CMG distributor permittee shall make the CMG distributor's facility available for inspection by the Board or its compliance officers under A.R.S. § 32-1904.

2. Within 10 days from the date of a request by the Board or its staff, a nonresident CMG distributor permittee shall provide a copy of the most recent inspection report completed by the permittee's resident licensing authority or the FDA or a copy of the most recent inspection report completed by a third-party auditor approved by the permittee's resident licensing authority or the Board or its designee. The Board may inspect, or may employ a third-party auditor to inspect, a nonresident permittee as specified in A.R.S. § 32-1904.

K. Permit renewal. To renew a CMG distributor permit, the permittee shall comply with R4-23-602(D).

L. Nothing in this Section shall be construed to prohibit the emergency administration of oxygen by licensed health-care personnel, emergency medical technicians, first responders, fire fighters, law enforcement officers, and other emergency personnel trained in the proper use of emergency oxygen.

History

• Adopted effective January 12, 1998 (Supp. 98-1). Amended by final rulemaking at 19 A.A.R. 97, effective March 10, 2013 (Supp. 13-1). Amended by final rulemaking at 20 A.A.R. 1359, effective 8/2/2014. Amended by final rulemaking at 25 A.A.R. 1015, effective 6/1/2019.

Ariz. Admin. Code § R4-23-693 Durable Medical Equipment (DME) and Compressed Medical Gas (CMG) Supplier-Resident or Nonresident

A. Permit:

1. A person shall not supply a compressed medical gas before a compressed medical gas supplier permit is issued by the Board or its designee following a satisfactory final inspection by a Board compliance officer.

2. To obtain a compressed medical gas supplier permit a person shall submit a completed application, on a form furnished by the Board, to the Board's office.

3. A compressed medical gas supplier permittee shall supply a compressed medical gas only:

a. Pursuant to a compressed medical gas order, and

b. To the consumer, patient, or agent of the consumer or patient for whom the compressed medical gas order is written.

4. A compressed medical gas supplier permittee shall not manufacture, process, transfill, package, or label a compressed medical gas, except as set forth in subsection (B)(2).

B. Records: A compressed medical gas supplier permittee shall establish and implement written procedures for maintaining records pertaining to acquisition and distribution of, and complaints related to, compressed medical gases.

1. A permittee shall ensure that a compressed medical gas order is obtained and filed for each compressed medical gas container supplied by the permittee.

2. A permittee shall ensure that each compressed medical gas container supplied by the permittee contains a label bearing the name and address of the compressed medical gas supplier.

3. A permittee shall retain the records required by this Article for at least two years after supplying the compressed medical gas or one year after the expiration date of the compressed medical gas, whichever is longer.

4. A permittee shall make the records required by this Article available within 48 hours for review by the Board or its compliance officers.

C. Inspections: A permittee shall make the compressed medical gas supplier's facility available for inspection by the Board or its compliance officers under A.R.S. § 32-1904 .

A.Permit. A person shall not sell, lease, or supply durable medical equipment or a compressed medical gas to a patient or consumer in Arizona for use in a home or residence without a current Board-issued resident or nonresident durable medical equipment and compressed medical gas supplier permit.

1. The permit requirements of this Section do not apply to the following unless there is a separate business entity engaged in the business of providing durable medical equipment or a compressed medical gas to a patient or consumer for use in a home or residence:

a. A medical practitioner licensed under A.R.S. Title 32;

b. A hospital, long-term care facility, hospice, or other health-care facility using durable medical equipment or a compressed medical gas in the normal course of treating a patient; and

c. A pharmacy.

2. Nothing in this Section shall be construed to prohibit a person with a current Board-issued nonprescription drug permit from the retail sale of nonprescription drugs or devices.

B. Application. To obtain a resident or nonresident DME and CMG supplier permit, a person shall submit a completed application form and fee specified in

1. A resident DME and CMG supplier permit applicant shall include documentation of compliance with local zoning laws, if required by the Board.

2. A nonresident DME and CMG supplier permit applicant that resides in a jurisdiction that issues an equivalent license or permit shall include a copy of the equivalent license or permit.

C. Notification. A resident or nonresident DME and CMG supplier permittee shall submit using the permittee's online profile or provide written notice by mail, fax, or e-mail to the Board office within 10 days of changes involving the telephone or fax number, email or mailing address, or business name.

D. Change of ownership. A resident or nonresident DME and CMG supplier permittee shall comply with R4-23-601(F).

E. Relocation.

1. No fewer than 30 days before a resident DME and CMG supplier permittee relocates, the permittee shall submit a completed application for relocation electronically or manually on a form furnished by the Board, and the documentation required in subsection (B). A fee is not required with an application for relocation.

2. A nonresident DME and CMG supplier permittee shall provide written notice by mail, fax, or e-mail to the Board office no fewer than 10 days before relocating.

F. Orders. A resident or nonresident DME and CMG supplier shall sell, lease, or provide:

Durable medical equipment that is a prescription-only device, as defined in A.R.S. § 32-1901, only under a prescription or medication order from a medical practitioner; and

2. A compressed medical gas only under a compressed medical gas order from a medical practitioner.

G. Restriction. A DME and CMG supplier permit authorizes the permittee to procure, possess, and provide a prescription-only device or compressed medical gas to a patient or consumer as specified in subsection (F). A DME and CMG supplier permit does not authorize the permittee to procure, possess, or provide narcotics or other controlled substances, prescription-only drugs other than compressed medical gases, precursor chemicals, or regulated chemicals.

H. Facility. A resident or nonresident DME and CMG supplier permittee shall ensure the facility is clean, uncluttered, sanitary, temperature controlled, and secure from unauthorized access. A permittee shall maintain separate and identified storage areas in the facility and in delivery vehicles for clean, dirty, contaminated, or damaged durable medical equipment or compressed medical gases.

I. A resident or nonresident DME and CMG supplier permittee shall not manufacture, process, transfill, package, or label a compressed medical gas, except as stated in subsection (K).

J. Records. A resident or nonresident DME and CMG supplier permittee shall establish and implement written procedures for maintaining records about acquisition, distribution, returns, recalls, training of personnel, maintenance, cleaning, and complaints.

K. A permittee shall:

1. Ensure a prescription order, medication order, or compressed medical gas order is obtained as specified in subsection (F);

2. Ensure each compressed medical gas container supplied by the permittee contains a label bearing the name and address of the permittee;

3. Ensure all appropriate warning labels are present on the durable medical equipment or compressed medical gas;

4. Retain the records required by Section R4-23-601 and this Section for not fewer than three years, or if supplying a compressed medical gas, one year after the expiration date of the compressed medical gas, whichever is longer; and

5. Make the records required by Section R4-23-601 and this Section available for inspection by the Board or its compliance officer, or if stored in a centralized recordkeeping system apart from the inspection location and not electronically retrievable for inspection, provide the records within four working days of a request by the Board or its staff.

L. Inspection.

1. A resident DME and CMG supplier permittee shall make the DME and CMG supplier's facility available for inspection by the Board or its compliance officers under A.R.S. § 32-1904.

2. Within 10 days from the date of a request by the Board or its staff, a nonresident DME and CMG supplier permittee shall provide a copy of the most recent inspection report completed by the permittee's resident licensing authority, or a copy of the most recent inspection report completed by a third-party auditor approved by the permittee's resident licensing authority or the Board or its designee. The Board may inspect, or may employ a third-party auditor to inspect, a nonresident permittee as specified in A.R.S. § 32-1904.

L. M. Permit renewal. To renew a resident or nonresident DME and CMG supplier permit, the permittee shall comply with in R4-23-602(D).

M. N. Nothing in this Section shall be construed to prohibit the emergency administration of oxygen by licensed health-care personnel, emergency medical technicians, first responders, fire fighters, law enforcement officers, and other emergency personnel trained in the proper use of emergency oxygen.

History

• Adopted effective January 12, 1998 (Supp. 98-1). Amended by final rulemaking at 20 A.A.R. 1359, effective 8/2/2014. Amended by final rulemaking at 25 A.A.R. 1015, effective 6/1/2019.

Article 7 NON-PHARMACY LICENSED OUTLETS - GENERAL PROVISIONS

Ariz. Admin. Code § R4-23-701 Long-term Care Facilities Pharmacy Services: Consultant Pharmacist

A.The long-term care consultant pharmacist as defined in R4-23-110 shall:

1. Possess a valid Arizona pharmacist license issued by the Board;

2. Ensure the provision of pharmaceutical patient care services as defined in R4-23-110;

3. Review the distribution and storage of drugs and devices and assist the facility in establishing policies and procedures for the distribution and storage of drugs and devices;

a. Specification for the storage, distribution, and procurement of drugs and biologicals;

b. Resident evaluation programs that relate to monitoring the therapeutic response and use of all drugs and biologi-cals prescribed or administered to residents, using as guidelines the most current indicators established by the Centers for Medicare and Medicaid Services, United States Department of Health and Human Services as required in 42 CFR 483.60, published October 1, 2001, and no future amendments or editions, incorporated by reference and on file with the Board and the Office of the Secretary of State.

c. Pharmacist assistance in drug-related emergency situations on a 24-hour basis;

d. Controlled substance accountability including:

i. Date and time of administration,

ii. Name of the person who administers the controlled substance,

iii. Documenting and verifying of any wasted or partial doses, and

iv. Exception reports for refused doses;

e. Prescription order requirements;

f. Approved abbreviations;

g. Stop-order procedures;

h. Pass and discharge prescription order procedures;

i. Emergency drug supply unit procedures;

j. Formulary procedures, including development, review, modification, use, and documentation, if applicable;

k. Security and temperature control procedures for all drugs and biologicals;

l. Disposal procedures that comply with subsection (D) for discontinued or outdated, prescription-only drugs or containers with illegible or missing labels; and

m. Procedures for identifying and reporting to proper authorities drug irregularities and dispensing errors.

4. Provide resident evaluation programs that relate to monitoring the therapeutic response and utilization of all drugs and devices prescribed or administered to residents, using as guidelines the most current indicators established by the Centers for Medicare and Medicaid Services, United States Department of Health and Human Services as required in 42 CFR 483.60 (revised October 1, 2010, incorporated by reference and on file with the Board. This incorporated material contains no future editions or amendments.).

Serve as a resource for pharmacy-related education services within the facility;

6. Participate in quality management of resident care in the facility; and

7. Communicate with the provider pharmacy regarding areas of mutual concern and resolution.

B.A long-term care consultant pharmacist shall ensure that:

1. A pharmacist evaluates and verifies a prescription order of a long-term care facility resident in compliance with R4-23-402(A)(5) and (6) ;

2. The prescription order of a long-term care facility resident contains:

a. Resident's name;

b. Facility name or address;

c. Drug name, strength, and dosage form;

d. Directions for use;

e. Date issued; and

f. Name of prescriber;

3. 1. When a provider pharmacy is not open for business, arrangements are made in advance by the long-term care consultant pharmacist, in cooperation with the pharmacist-in-charge of the provider pharmacy and the director of nursing and medical staff of the long-term care facility, for providing emergency drugs for the licensed nursing staff to administer to the residents of the facility using an emergency drug supply unit located at the facility;

4. 2. The label and packaging of prescription-only and nonprescription drugs intended for use within a long-term care facility complies with state and federal law; and

5. 3. The long-term care facility:

a. Stores controlled substances listed in A.R.S. § 36-2513 in a separately locked and permanently affixed compartment, unless the facility uses a single-unit package medication distribution system; and

b. Maintains accurate records of controlled substance administration or ultimate disposition.

C.The long-term care consultant pharmacist shall:

1. Ensure availability of records and reports designed to provide the data necessary to evaluate the drug use of each long-term care facility resident that include the following:

1. a. Provider pharmacy patient profiles and long-term care facility medication administration records;

2. b. Reports of suspected adverse drug reactions;

3. c. Inspection reports of drug storage areas with emphasis on detecting outdated drugs; and

4. d. Accountability reports, that include:

i. Date and time of administration,

ii. Name of the person who administered the drug,

iii. Documentation and verification of any wasted or partial doses,

iv. Exception reports for refused doses, and

v. All drug destruction forms; and

2. Identify and report drug irregularities and dispensing errors to the prescriber, the director of nursing of the facility, and the provider pharmacy.

D.A long-term care consultant pharmacist or pharmacist-in-charge of a provider pharmacy shall ensure that:

1. Discontinued or outdated drugs, including controlled substances, are destroyed or disposed of in a timely manner using methods consistent with federal, state, and local requirements and subject to review by the Board or its staff; and

a. Under the supervision of either a long-term care consultant pharmacist or a pharmacist employed by a provider pharmacy and witnessed by the long-term care facility administrator or the administrator's designee;

b. List by drug name, strength, dosage form, and quantity; and

Drug containers with illegible or missing labels are:

a. Identified; and

b. Replaced or relabeled by a pharmacist employed by the pharmacy that dispensed the prescription medication.

History

• Former Rules 6.8110, 6.8120, 6.8130, 6.8140, 6.8150, 6.8160, and 6.8170; Amended effective Aug. 10, 1978 (Supp. 78-4). Section repealed, new Section adopted effective December 18, 1992 (Supp. 92-4). Amended by final rulemaking at 9 A.A.R. 1064, effective May 4, 2003 (Supp. 03-1). Amended by final rulemaking at 12 A.A.R. 3032, effective October 1, 2006 (Supp. 06-3). Amended by final rulemaking at 19 A.A.R. 2894, effective November 10, 2013.

Ariz. Admin. Code § R4-23-701.01 Long-term Care Facilities Pharmacy Services: Provider Pharmacy

The limited-service pharmacy permittee or pharmacist-in-charge of a provider pharmacy shall ensure that:

1. A prescription medication is provided only by a valid prescription order for an individual long-term care facility resident, properly labeled for that resident, as specified in this subsection. Nothing in this Section shall prevent a provider pharmacy from supplying nonprescription drugs in a manufacturer's unopened container or emergency drugs using an emergency drug supply unit as specified in R4-23-701.02;

2. A prescription medication label for a long-term care facility resident complies with A.R.S. §§ 32-1968 and 36-2525 and contains:

a. The drug name, strength, dosage form, and quantity; and

b. The beyond-use-date;

Only a pharmacist employed by the pharmacy that dispensed the prescription medication may, through the exercise of professional judgment, relabel or alter a prescription medication label that is illegible or missing;

4. The provider pharmacy develops and implements drug recall policies and procedures that protect the health and safety of facility residents. The drug recall procedures shall include immediate discontinuation of any patient level recalled drug and notification of the prescriber and director of nursing of the facility; and

5. Drugs previously dispensed to a resident of the long-term care facility by another pharmacy, and drugs previously dispensed by the provider pharmacy, are not repackaged.

History

• Adopted effective December 18, 1992 (Supp. 92-4). Amended by final rulemaking at 9 A.A.R. 1064, effective May 4, 2003 (Supp. 03-1). Amended by final rulemaking at 19 A.A.R. 2894, effective November 10, 2013.

Ariz. Admin. Code § R4-23-701.02 Long-term Care Facilities Pharmacy Services: Emergency Drugs

A.The limited-service pharmacy permittee or pharmacist-in-charge of a provider pharmacy shall ensure that:

1. An emergency drug supply unit is available within the long-term care facility,

2. Drugs contained in an emergency drug supply unit remain the property of the provider pharmacy, and

3. Controlled substance drugs contained in an emergency drug supply unit are included in all inventories required under A.R.S. § 36-2523(B) and R4-23-1003(A).

B.An emergency drug supply unit shall meet the following criteria:

1. The drugs are necessary to meet the immediate and emergency therapeutic needs of long-term care facility residents as determined by the provider pharmacy's pharmacist-in-charge in consultation with the long-term care facility's medical director and nursing director;

The purpose of the emergency drug supply unit in a long-term care facility is not to relieve a provider pharmacy of the responsibility for timely provision of the resident's routine drug needs, but to ensure that an emergency drug supply unit is available for facility residents in need of immediate and emergency therapeutic drugs; and

2. 3. The drugs are provided in a manufacturer's unit of use package or are prepackaged and labeled to include the drug name, strength, dosage form, manufacturer, lot number, and expiration date and provider pharmacy's name, address, telephone number, and pharmacist's initials.

C. The limited-service pharmacy permittee or pharmacist-in-charge of a provider pharmacy shall ensure that an emergency drug supply unit:

1. Is stored in an area that:

a. Is temperature controlled; and

b. Prevents unauthorized access;

2. Contains on the exterior of the emergency drug supply unit a label to indicate that the contents are for emergency use only;

3. Contains on the exterior of the emergency drug supply unit a complete list of the contents of the unit by drug name, strength, dosage form,, and quantity and the provider pharmacy's name, address, and telephone number;

4. Contains on the exterior of the emergency drug supply unit a label that indicates the date of the earliest drug expiration date; and

4. 5. Contains on the exterior of the emergency drug supply unit a label that indicates the date of and pharmacist responsible for the last inspection of the emergency drug supply unit; and

6. Is secured with a tamper-evident seal, or is locked and sealed in a manner that obviously reveals when the unit has been opened or tampered with.

D. The limited-service pharmacy permittee or pharmacist-in-charge of a provider pharmacy shall:

1. Prepare, implement, review, and revise in the same manner described in R4-23-671(E) and comply with written policies and procedures for the storage and use of an emergency drug supply unit in a long-term care facility;

2. Make the policies and procedures available in the provider pharmacy and long-term care facility for employee reference and inspection by the Board or its staff;

3. Ensure that the written policies and procedures include the following:

a. Drug removal procedures that require:

i. The long-term care facility's personnel receive a valid prescription order for each drug removed from the emergency drug supply unit,

ii. The long-term care facility's personnel notify the provider pharmacy when a drug is removed from the emergency drug supply unit,

iii. The provider pharmacy's personnel restock the emergency drug supply unit within 48 hours of receiving the notification required in subsection (D)(3)(a)(ii),

b. Outdated drug replacement procedures, and seven days

i. The provider pharmacy's personnel check for outdated drugs in the emergency drug supply unit once a month,

ii. The long-term care facility's personnel notify the provider pharmacy when an outdated drug is found in the emergency drug supply unit,

iii. The provider pharmacy's personnel remove an outdated drug from the emergency drug supply unit within 48 hours seven days of receiving the notification required in subsection (D)(3)(b)(ii), and

iv. The provider pharmacy's personnel restock the emergency drug supply unit within 48 hours of receiving the notification required in subsection (D)(3)(b)(ii), and

c. Security and inspection procedures;

4. Exchange or restock the emergency drug supply unit weekly, or more often as necessary, to ensure the availability of an adequate supply of emergency drugs within the long-term care facility. Restocking of the emergency drug supply unit at the facility shall be completed by an Arizona licensed pharmacist employed by the provider pharmacy, or by an Arizona licensed intern, graduate intern, technician or technician trainee under the direct onsite supervision of an Arizona licensed pharmacist; and

4. 5. Educate pharmacy and long-term care facility personnel in the storage and use of an emergency drug supply unit.

E.In addition to the requirements of subsections (A) through (D), an automated emergency drug supply unit may be used provided:

1. The pharmacy permittee or pharmacist-in-charge of the provider pharmacy notifies the Board or its staff in writing of the intent to use an automated emergency drug supply unit, including the name and type of unit;

2. The provider pharmacy is notified electronically when the automated emergency drug supply unit has been accessed;

3. All events involving the access of the automated emergency drug supply unit are recorded electronically and maintained for not less than two years;

4. The provider pharmacy is capable of producing a report of all transactions of the automated emergency drug supply unit including a single drug usage report as required in R4-23-408(B)(5) on inspection by the Board or its staff;

5. The provider pharmacy develops written policies and procedures for:

a. Accessing the automated emergency drug supply unit in the event of a system malfunction or downtime,

b. Authorizing and modifying user access,

c. An ongoing quality assurance program that includes:

i. Training in the use of the automated emergency drug supply unit for all authorized users,

ii. Maintenance and calibration of the automated emergency drug supply unit as recommended by the device manufacturer; and

Documentation of the requirements of subsection (E)(5)(c)(ii) is maintained for inspection by the Board or its staff for not less than two years.

F.The Board may prohibit a pharmacy permittee or pharmacist-in-charge of a provider pharmacy from using an automated emergency drug supply unit if the pharmacy permittee or pharmacy permittee's employees do not comply with the requirements of subsections (A) through (E).

History

• Adopted effective December 18, 1992 (Supp. 92-4). Amended by final rulemaking at 9 A.A.R. 1064, effective May 4, 2003 (Supp. 03-1). Amended by final rulemaking at 12 A.A.R. 3032, effective October 1, 2006 (Supp. 06-3). Amended by final rulemaking at 19 A.A.R. 2894, effective November 10, 2013.

Ariz. Admin. Code § R4-23-701.03 Long-term Care Facilities Pharmacy Services: Emergency Drug Prescription Order

The limited-service pharmacy permittee or pharmacist-in-charge of a provider pharmacy shall ensure that every emergency drug prescription order is evaluated according to the requirements of R4-23-402(A) by a pharmacist within 72 hours of the first dose of drug administered by long-term care facility personnel under the emergency drug prescription order.

History

• Adopted effective December 18, 1992 (Supp. 92-4). Amended by final rulemaking at 9 A.A.R. 1064, effective May 4, 2003 (Supp. 03-1).

Ariz. Admin. Code § R4-23-701.04 Long-term Care Facilities Pharmacy Services: Automated Dispensing Systems

A.Before using an automated dispensing system as defined in R4-23-110, a pharmacy permittee or pharmacist-in-charge of a provider pharmacy shall:

1. Notify the Board or its staff in writing of the intent to use an automated dispensing system, including the name and type of system;

2. Obtain a separate controlled substances registration at the location of each long-term care facility at which an automated dispensing system containing controlled substances will be located as required by federal law; and

3. Maintain copies of the registrations required under subsection (A)(2) at the provider pharmacy for inspection by the Board or its staff.

B.A pharmacy permittee or pharmacist-in-charge of a provider pharmacy shall ensure:

1. Drugs contained in an automated dispensing system remain the property of the provider pharmacy,

2. Controlled substance drugs contained in an automated dispensing system are included in all inventories required under A.R.S. § 36-2523(B) and R4-23-1003(A),

3. Schedule II drugs are not stocked in an automated dispensing system, and

A separate emergency drug supply unit is available in the long-term care facility to meet the requirements of R4-23-701.02.

C.A pharmacy permittee or pharmacist-in-charge of a provider pharmacy shall:

1. Ensure that policies and procedures as required in subsection (D) for the use of an automated dispensing system in a long-term care facility are prepared, implemented, and complied with;

2. Review biennially and, if necessary, revise the policies and procedures required under subsection (D);

3. Document the review required under subsection (C)(2);

4. Assemble the policies and procedures as a written or electronic manual; and

5. Make the policies and procedures available for employee reference and inspection by the Board or its staff within the pharmacy and at any location outside of the pharmacy where the automated dispensing system is used.

D.A pharmacy permittee or pharmacist-in-charge of a provider pharmacy shall ensure the written policies and procedures include:

1. Drug removal procedures that include the following:

a. A drug is provided only by a valid prescription order for an individual long-term care facility resident;

b. A drug is dispensed from an automated dispensing system only after a pharmacist has:

i. Reviewed and verified the resident's prescription order as required by R4-23-402(A), and

ii. Electronically authorized the access for that drug for that particular resident, and

c. The automated dispensing system labels each individual drug packet with a resident specific label that complies with R4-23-701.01(2) and contains the resident's room number or facility identification number; and

2. Security procedures that include the following:

a. The pharmacy permittee or pharmacist-in-charge of the provider pharmacy is responsible for authorizing user access, including adding and removing users and modifying user access;

b. Each authorized user is a licensee of the Board or authorized licensed personnel of the long-term care facility; and

c. The automated dispensing system is secured at the long-term care facility by electronic or mechanical means or a combination thereof designed to prevent unauthorized access;

3. Drug stocking procedures that include the following:

a. Automated dispensing systems that use non-removable containers that do not allow prepackaging of the container as set out in subsection (D)(3)(b):

i. Are stocked at the long-term care facility by an Arizona licensed pharmacist employed by the provider pharmacy, or by an Arizona licensed intern, graduate intern, technician or technician trainee under the direct onsite supervision of an Arizona licensed pharmacist; and

ii. Utilize bar code or other technologies to ensure the correct drug is placed in the correct canister or container; and

b. Automated dispensing systems that use removable containers may be stocked at the long-term care facility by an authorized user provided:

i. The prepackaging of the container occurs at the provider pharmacy;

ii. A pharmacist verifies the container has been properly filled and labeled, and the container is secured with a tamper-evident seal;

iii. The individual containers are transported to the long-term care facility in a secure, tamperevident shipping container; and

iv. The automated dispensing system uses microchip, bar-coding, or other technologies to ensure the containers are accurately loaded in the automated dispensing system; and

Recordkeeping and report procedures that include the following:

a. All events involving the access of the automated dispensing system are recorded electronically and maintained for not less than two years;

b. The provider pharmacy is capable of producing a report of all transactions of the automated dispensing system including:

i. A single drug usage report that complies with R4-23-408(B)(5); and

ii. An authorized user history including date and time of access and type of transaction; and

c. The provider pharmacy has procedures to safeguard the storage, packaging, and distribution of drugs by monitoring:

i. Current inventory;

ii. Expiration dates;

iii. Controlled substance dispensing;

iv. Re-dispense requests; and

v. Wastage.

E.A pharmacy permittee or pharmacist-in-charge of a provider pharmacy shall:

1. Ensure that an electronic log is kept for each container fill that includes:

a. An identification of the container by drug name and strength, and container number;

b. The drug's manufacturer or National Drug Code (NDC) number;

c. The expiration date and lot number from the manufacturer's stock bottle that is used to fill the container. If multiple lot numbers of the same drug are added to a container, each lot number and expiration date shall be documented;

d. The date the container is filled;

e. Documentation of the identity of the licensee who placed the drug into the container; and

f. If the licensee who filled the container is not a pharmacist, documentation of the identity of the pharmacist who supervised the non-pharmacist licensee; and

2. Maintain the electronic log for inspection by the Board or its staff for not less than two years.

F.A pharmacy permittee or pharmacist-in-charge of a provider pharmacy shall:

1. Implement an ongoing quality assurance program that monitors performance of the automated dispensing system and compliance with the established policies and procedures that includes:

a. Training in the use of the automated dispensing system for all authorized users,

b. Maintenance and calibration of the automated dispensing system as recommended by the device manufacturer,

c. Routine accuracy validation testing no less than every three months, and

d. Downtime and malfunction procedures to ensure the timely provision of medication to the long-term care facility resident, and

Maintain documentation of the requirements of subsections (F)(1)(b) and (F)(1)(c) for inspection by the Board or its staff for not less than two years.

G.The Board may prohibit a pharmacy permittee or pharmacist-in-charge from using an automated dispensing system in a long-term care facility if the pharmacy permittee or the pharmacy permittee's employees do not comply with the requirements of subsections (A) through (F).

History

• New Section made by final rulemaking at 19 A.A.R. 2894, effective November 10, 2013.

Ariz. Admin. Code § R4-23-702 Hospice Inpatient Facilities

A.If a pharmacy permittee contracts to provide pharmacy services to the patients of a hospice inpatient facility as defined in R4-23-110, the pharmacy permittee shall ensure that:

1. A prescription medication is provided only by a valid prescription order for an individual hospice inpatient facility patient, properly labeled for that patient, as specified in this subsection. Nothing in this section shall prevent a provider pharmacy from supplying non-prescription drugs in a manufacturer's unopened container;

2. A prescription medication label for a hospice inpatient facility patient complies with A.R.S. §§ 32-1968 and 36-2525 and contains:

a. The drug name, strength, dosage form, and quantity; and

b. The beyond-use date; and

3. If the label on the hospice inpatient facility patient's drug container becomes damaged or soiled, a pharmacist employed by the pharmacy that dispensed the drug container, through the exercise of professional judgment, may relabel the drug container. Only a pharmacist is permitted to label a drug container or alter the label of a drug container.

B.A pharmacist may help hospice inpatient facility personnel develop written policies and procedures for the procurement, administration, storage, control, recordkeeping, and disposal of drugs in the facility.

C.The provider pharmacy may contract with the hospice inpatient facility to provide pharmacist services at the facility that include evaluation of the patient's response to medication therapy, identification of potential adverse drug reactions, and recommended appropriate corrective action.

D.A provider pharmacy that places an emergency drug supply unit at a hospice inpatient facility shall comply with the requirements of R4-23-701.02.

E.A pharmacy shall not place an automated dispensing system as defined in R4-23-701.04 in a hospice inpatient facility.

F.Drugs previously dispensed to a patient of the hospice inpatient facility by another pharmacy, and drugs previously dispensed by the provider pharmacy, shall not be repackaged.

History

• New Section made by final rulemaking at 19 A.A.R. 2894, effective January1 10, 2013.

Ariz. Admin. Code § R4-23-703 Assisted Living Facilities

A. Before dispensing, selling, or delivering a prescription or nonprescription drug to an assisted living facility resident, a pharmacy permittee shall verify the assisted living facility has a current and active license issued by the Arizona Department of Health Services.

B. A pharmacy permittee shall ensure that, except as provided under subsection (C):

1. A controlled substance prescription drug is dispensed, sold, or delivered to an assisted living facility resident only after receiving a valid prescription order for the controlled substance prescription drug from the resident's medical practitioner; and

2. The controlled substance prescription drug is labeled in accordance with A.R.S. §§ 32-1963.01, 32-1968, and 36-2525 and includes the beyond-use date on the label.

3. Obtain a copy of the current Arizona Department of Health Services license issued to an assisted living facility before dispensing drugs to that facility's resident; and

4. Maintain, for inspection by a Board compliance officer, a file containing the license copy required in subsection (B)(3).

C. A pharmacy permittee may dispense, sell, or deliver to an assisted living facility resident a Schedule III, IV, or V controlled substance prescription if the pharmacy permittee:

1. Receives a written or oral prescription order for the Schedule III, I V, or V controlled substance from:

a. The resident's medical practitioner,

b. An individual licensed by the Arizona Board of Nursing who is acting within the scope of practice of the individual's license, or

c. The manager or a caregiver of the assisted living facility if the resident's medical practitioner has a written agreement with the assisted living facility designating a representative of the assisted living facility as an agent of the medical practitioner and a licensed medical practitioner provided the prescription order;

2. Complies with subsection (D)(2); and

3. Labels the Schedule III, IV, or V controlled substance as specified under subsection (B)(2).

D. A pharmacy permittee may dispense, sell, or deliver to an assisted living facility resident a non-controlled substance prescription or non-prescription drug if the pharmacy permittee:

1. Receives a written or oral prescription order for the non-controlled substance prescription or non-prescription drug from:

a. The resident's medical practitioner,

b. An individual licensed by the Arizona Board of Nursing who is acting within the scope of practice of the individual's license, or

c. An assisted living facility manager or caregiver acting under the authority of a licensed medical practitioner;

Determines the written or oral prescription order:

a. Meets the requirements of R4-23-407, and

b. Includes the name and title of the individual transmitting the prescription order; and

3. Labels the non-narcotic prescription or non-prescription drug in accordance with A.R.S. §§ 32-1963.01 and 32-1968 and includes the beyond-use date on the label.

C. In addition to the labeling requirements of A.R.S. §§ 32-1963.01, 32-1968, and 36-2525, the label on a prescription medication for an assisted living facility resident shall include the name, strength, and quantity of the drug and a beyond-use date.

E. E. If the label on an assisted living facility resident's drug container becomes damaged or soiled, a pharmacist employed by the pharmacy permittee that dispensed the drug container, through the exercise of professional judgment, may relabel the drug container. Only a pharmacist is permitted to label a drug container or alter the label of a drug container.

F. A pharmacist may help assisted living facility personnel develop written policies and procedures regarding procuring, administering, storing, controlling, keeping records, and disposing of drugs in the facility and provide information concerning safe and effective supervision of drug self-administration.

F. G. A pharmacy permittee shall not place an emergency drug supply unit as described in R4-23-701.02 or an automated dispensing system as described in R4-23-701.04 in an assisted living facility.

G.H. A pharmacist shall not repackage a drug previously dispensed to an assisted living facility resident.

History

• Former Rules 6.8310, 6.8320, 6.8330, 6.8340, 6.8350, 6.8360, and 6.8370; Amended effective August 10, 1978 (Supp. 78-4). Amended by final rulemaking at 5 A.A.R. 2561, effective July 16, 1999 (Supp. 99-3). Amended by final rulemaking at 19 A.A.R. 2894, effective November 10, 2013. Amended by final rulemaking at 23 A.A.R. 2424, effective 10/14/2017.

Ariz. Admin. Code § R4-23-704 Customized Patient Medication Packages

In lieu of dispensing two or more prescribed drugs in separate containers, a pharmacist may, with the consent of the patient, the patient's caregiver, the prescriber, or the facility caring for the patient, provide a customized patient medication package. The pharmacist preparing a customized patient medication package shall abide by the guidelines set forth in the current edition of the official compendium for labeling, packaging, and recordkeeping, and state and federal law.

History

• New Section made by final rulemaking at 19 A.A.R. 2894, effective November 10, 2013.

Ariz. Admin. Code § R4-23-705 Repealed

History

• Former Rules 6.8420, 6.8421, 6.8422, 6.8423, 6.8424, 6.8425, 6.8426, 6.8427, 6.8428, and 6.8429. Amended effective August 10, 1978 (Supp. 78-4). Amended effective August 24, 1992 (Supp. 92-3). Repealed effective December 18, 1992 (Supp. 92-4).

Ariz. Admin. Code § R4-23-706 Repealed

History

• Former Rules 6.8431, 6.8432, 6.8433, 6.8434, 6.8435, 6.8436, and 6.8437; Amended effective August 10, 1978 (Supp. 78-4). Amended subsections (C), (E), (F), and (G) effective April 20, 1982 (Supp. 82-2). Section R4-23-706 repealed by final rulemaking at 5 A.A.R. 862, effective March 3, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-23-707 Repealed

History

• Former Rules 6.8441, 6.8442, 6.8450, 6.8451, 6.8452, 6.8453, 6.8454, 6.8455, 6.8456, and 6.8457. Section R4-23-707 repealed by final rulemaking at 5 A.A.R. 862, effective March 3, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-23-708 Repealed

History

• Former Rules 6.8461, 6.8462, 6.8463, and 6.8464. Section R4-23-708 repealed by final rulemaking at 5 A.A.R. 862, effective March 3, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-23-709 Repealed

History

• Former Rules 6.8471, 6.8472, and 6.8473. Section R4-23-709 repealed by final rulemaking at 5 A.A.R. 862, effective March 3, 1999 (Supp. 99-1).

Article 8 DRUG CLASSIFICATION

Ariz. Admin. Code § R4-23-801 [Repealed]

History

• Former Rules 7.1110, 7.1120, and 7.1130. Repealed effective November 4, 1998 (Supp. 98-4). Recodified from R4-23-501 at 9 A.A.R. 4011, effective August 18, 2003 (Supp. 03-3). Repealed by final rulemaking at 26 A.A.R. 223, effective 3/14/2020.

Ariz. Admin. Code § R4-23-802 Veterinary

Veterinary preparation: A veterinary drug manufacturer or supplier may distribute:

1. A prescription-only veterinary drug to:

a. A veterinary medical practitioner licensed under A.R.S. Title 32, Chapter 21,

b. A full-service drug wholesaler permitted under A.R.S. Title 32, Chapter 18, or

c. A pharmacy permitted under A.R.S. Title 32, Chapter 18, and

2. A nonprescription veterinary drug to:

a. A veterinary medical practitioner licensed under A.R.S. Title 32, Chapter 21,

b. A nonprescription drug retailer permitted under A.R.S. Title 32, Chapter 18,

c. A full-service or nonprescription drug wholesaler permitted under A.R.S. Title 32, Chapter 18, or

d. A pharmacy permitted under A.R.S. Title 32, Chapter 18.

History

• Former Rules 7.1210, 7.1220, and 7.1230. Repealed effective November 4, 1998 (Supp. 98-4). Recodified from R4-23-502 at 9 A.A.R. 4011, effective August 18, 2003 (Supp. 03-3).

Ariz. Admin. Code § R4-23-803 Repealed

History

• Former Rules 7.1300, 7.1400, 7.1500, and 7.1000. Repealed effective November 4, 1998 (Supp. 98-4).

Ariz. Admin. Code § R4-23-804 Repealed

History

• Former Rules 7.2100, 7.2200, 7.2300, 7.2410, 7.2420, and 7.2430. Repealed effective November 4, 1998 (Supp. 98-4).

Article 9 PENALTIES AND MISCELLANEOUS

Ariz. Admin. Code § R4-23-901 Penalty for Violations

Any person, firm, or corporation violating any provision of 4 A.A.C. 23 is subject to the penalties in A.R.S. § 32-1996. In addition, a license or permit issued under the provisions of A.R.S. Title 32, Chapter 18 is subject to suspension or revocation for violation of 4 A.A.C. 23.

History

• Former Rule 9.0000. Amended by final rulemaking at 6 A.A.R. 3177, effective August 3, 2000 (Supp. 00-3).

Ariz. Admin. Code § R4-23-902 Non-disciplinary Civil Penalties

As authorized under A.R.S. § 32-1904(D), the Board may issue the following non-disciplinary civil penalties to a licensee or permittee who engages in the specified acts or omissions without posing an imminent threat to public health or safety:

1. Failing to submit a remodel application before remodeling a permitted facility: $250;

2. Failing to provide notice before a business is relocated: $500;

Failing to update contact information: $50/occurrence to a maximum of twice;

4. Failing to update change of employment information: $50/occurrence to a maximum of twice;

5. Failing to complete required continuing education:

a. Registered pharmacist: $100/ deficient hour of continuing education for the first occurrence, $150/deficient hour for second occurrence; and

b. Pharmacy technician: $25/deficient hour of continuing education for the first occurrence, $37.50/deficient hour for second occurrence;

6. Failing to provide notice of a new pharmacist in charge: $100/occurrence to a maximum of twice;

7. Failing to provide notice of a new designated representative: $100/occurrence to a maximum of twice;

8. Failing to provide notice of a new criminal charge, arrest, or conviction in any jurisdiction: $250/occurrence to a maximum of twice;

9. Failing to provide notice of disciplinary action taken against the licensee or permittee by another jurisdiction: $250/occurrence to a maximum of twice;

10. Failing to renew a license timely and continuing to work with an expired license:

a. Registered pharmacist: $100/day worked not to exceed $1,000; and

b. Pharmacy technician: $50/day worked not to exceed $500;

11. Failing to conduct a controlled substance inventory when there is a new pharmacist in charge: $250/occurrence to a maximum of twice;

12. Failing to obtain a permit before shipping into Arizona anything for which a permit is required: $100/item shipped;

13. Failing to respond timely to a subpoena: $50;

Failing to provide notice before there is a change in ownership: $250; and

15. Failing to conduct required controlled substance inventories: $250.

History

• Adopted by final rulemaking at 28 A.A.R. 611, effective 5/2/2022.

Article 10 UNIFORM CONTROLLED SUBSTANCES AND DRUG OFFENSES

Ariz. Admin. Code § R4-23-1001 Repealed

History

• Adopted effective August 2, 1982 (Supp. 82-4). Section repealed by final rulemaking at 6 A.A.R. 3177, effective August 3, 2000 (Supp. 00-3).

Ariz. Admin. Code § R4-23-1002 Repealed

History

• Adopted effective August 2, 1982 (Supp. 82-4). Repealed effective November 4, 1998 (Supp. 98-4).

Ariz. Admin. Code § R4-23-1003 Records and Order Forms

A. Records.

1. If the pharmacist-in-charge of a pharmacy is replaced by another pharmacist-in-charge, the new pharmacist-in-charge shall complete an inventory of all controlled substances in the pharmacy within 10 days of assuming the responsibility. This inventory and any other required controlled substance inventory shall:

a. Include an exact count of all Schedule II controlled substances;

b. Include an exact count of all Schedule III through Schedule V controlled substances or an estimated count if the stock container contains fewer than 1001 units;

c. Indicate the date the inventory is taken and whether the inventory is taken before opening of business or after close of business for the pharmacy;

d. Be signed by:

i. The pharmacist-in-charge; or

ii. For other required inventories, the pharmacist who does the inventory;

e. Be kept separately from all other records; and

f. Be available in the pharmacy for inspection by the Board or its designee for not less than three years.

2. A loss of a controlled substance shall be reported:

a. Within 10 days of discovery;

b. On a DEA form 106;

c. By the pharmacist-in-charge of a pharmacy or a manufacturer;

d. By the permittee or designated representative of a full-service wholesaler; and

e. To the federal Drug Enforcement Administration (DEA), the Narcotic Division of the Department of Public Safety (DPS), and the Board of Pharmacy. A copy of the DEA form 106 shall be kept on file by the pharmacy permittee. The DEA form 106 shall state whether the police investigated the loss.

3. Every person manufacturing any controlled substance, including repackaging or relabeling, shall record and retain for not less than three years the manufacturing, repackaging, or relabeling date for each controlled substance.

4. Every person receiving, selling, delivering, or disposing of any controlled substance shall record and retain for not less than three years the following information:

a. The name, strength, dosage form, and quantity of each controlled substance received, sold, delivered, or disposed;

b. The name, address, and DEA registration number of the person from whom each controlled substance is received;

c. The name, address, and DEA registration number of the person to whom each controlled substance is sold or delivered or who disposes of each controlled substance; and

d. The date of each transaction.

5. A full-service drug wholesale permittee or the designated representative shall complete an inventory of all controlled substances in the manner prescribed in subsection (A)(1). The permittee or designated representative shall conduct this inventory:

a. On May 1 of each year or as directed by the Board; and

b. If there is a change of ownership, or discontinuance of business, or within 10 days of a change of a designated representative.

6. A drug manufacturer permittee or the pharmacist-in-charge shall complete an inventory of all controlled substances in the manner prescribed in subsection (A)(1). The permittee or pharmacist-in-charge shall conduct this inventory:

a. On May 1 of each year or as directed by the Board; and

b. If there is a change of ownership, or discontinuance of business, or within 10 days of a change of a pharmacist-in-charge.

B. Order form. For purposes of A.R.S. § 36-2524, "Order Form" means DEA Form 222c.

History

• Adopted effective August 2, 1982 (Supp. 82-4). Amended effective November 1, 1993 (Supp. 93-4). Amended effective April 1, 1995; filed January 31, 1995 (Supp. 95-1). Amended by final rulemaking at 6 A.A.R. 3177, effective August 3, 2000 (Supp. 00-3). Amended by final rulemaking at 12 A.A.R. 1912, effective July 1, 2006 (Supp. 06-2). Amended by final rulemaking at 14 A.A.R. 3670, effective November 8, 2008 (Supp. 08-3).

Ariz. Admin. Code § R4-23-1004 Schedules of Controlled Substances

As of the effective date of this Section and as required under A.R.S. §§ 36-2512 through 36-2516, the Board adopts the following schedules of controlled substances. The schedules adopted include no later amendments. The adopted schedules are available on the Board's website:

Schedule I. 21 CFR, Chapter II, Part 1308.11;

2. Schedule II. 21 CFR, Chapter II, Part 1308.12;

3. Schedule III. 21 CFR, Chapter II, Part 1308.13;

Schedule IV. 21 CFR, Chapter II, Part 1308.14; and

5. Schedule V. 21 CFR, Chapter II, Part 1308.15.

History

• Adopted effective August 2, 1982 (Supp. 82-4). Repealed effective November 4, 1998 (Supp. 98-4). Amended by final rulemaking at 28 A.A.R. 611, effective 5/2/2022.

Ariz. Admin. Code § R4-23-1005 Products Excluded or Exempted from the Schedules of Controlled Substances

A. All over-the-counter non-narcotic substances containing limited amounts of controlled substances that are excluded from all controlled substance schedules by 21 CFR 1308.22 (Revised April 1, 2012, incorporated by reference and on file with the Board. This incorporated material contains no future editions or amendments.), are excluded from all controlled substance schedules in Arizona.

B. All chemical preparations or mixtures containing one or more controlled substances listed in any schedule that are exempted from all controlled substance schedules by 21 CFR 1308.24 (Revised April 1, 2012, incorporated by reference and on file with the Board. This incorporated material contains no future editions or amendments.), are excluded from all controlled substance schedules in Arizona.

C. All prescription-only drugs that are exempted by 21 CFR 1308.32 (Revised April 1, 2012, incorporated by reference and on file with the Board. This incorporated material contains no future editions or amendments.), are excluded from all controlled substance schedules in Arizona.

The following lists of products are excluded or exempted from the schedules of controlled substances adopted in R4-23-1004. All lists are available on the Board's website and at https://www.ecfr.gov/current/title-21/chapter-II/part-1308:

1. Excluded nonnarcotic substances that may be lawfully sold over-the-counter without a prescription order. 21 CFR, Chapter II, Part 1308.22;

2. Exempted chemical preparations and mixtures. 21 CFR, Chapter II, Part 1308.24; and

3. Exempted prescription products containing a nonnarcotic controlled substance. 21 CFR, Chapter II, Part 1308.32.

History

• Adopted effective August 2, 1982 (Supp. 82-4). Amended by final rulemaking at 6 A.A.R. 3177, effective August 3, 2000 (Supp. 00-3). Amended by final rulemaking at 18 A.A.R. 2609, effective December 2, 2012 (Supp. 12-4). Amended by final rulemaking at 28 A.A.R. 611, effective 5/2/2022.

Ariz. Admin. Code § R4-23-1006 Substances Excepted from Drug Offenses

The following materials, compounds, mixtures, or preparations containing any stimulant or depressant substance included in A.R.S. §§ 13-3401(6)(b) or 13-3401(6)(c) are excepted from the definition of dangerous drugs under the authority of A.R.S. § 32-1904(B)(14):

1. Over-the-counter drugs excepted in R4-23-1005(A).

2. Chemical preparations excepted in R4-23-1005(B).

3. Prescription-only drugs excepted in R4-23-1005(C).

History

• Adopted effective August 2, 1982 (Supp. 82-4). Amended by final rulemaking at 6 A.A.R. 3177, effective August 3, 2000 (Supp. 00-3).

Article 11 PHARMACY TECHNICIANS; PHARMACY TECHNICIAN TRAINEES

Ariz. Admin. Code § R4-23-1101 [Repealed]

History

• New Section made by final rulemaking at 10 A.A.R. 1192, effective May 1, 2004 (Supp. 04-1). Amended by final rulemaking at 19 A.A.R. 102, effective March 10, 2013 (Supp. 13-1). Repealed by final rulemaking at 30 A.A.R. 3095, effective 11/30/2024.

Ariz. Admin. Code § R4-23-1102 Pharmacy Technician Licensure

A. License required. A person shall not work as a pharmacy technician in Arizona unless the person possesses a license issued by the Board. A licensed pharmacy technician shall maintain the certificate of licensure, which is in good standing, at the practice site for inspection by the Board or its designee or review by the public. A license issued by the Board is not transferable.

A. B. Eligibility. An applicant for licensure as a pharmacy technician, as defined at A.R.S. § 32-1901, shall provide the Board proof the applicant is eligible under A.R.S. § 32-1923.01(A), including documentation the applicant:

Passed a Board-approved pharmacy technician examination;

2. Passed the Foreign Pharmacy Graduate Equivalency Examination, if applicable; or

3. Graduated from a Board-approved pharmacy school.

B. C. Application.

1. An applicant for licensure as a pharmacy technician shall:

a. Submit a completed application electronically or manually on a form furnished by the Board, and

b. Submit with the application form:

i. The documents specified in the application form,

ii. The initial licensure fee specified in R4-23-205, and

iii. The wall license fee specified in R4-23-205.

2. The Board office shall deem an application form received on the date the Board office electronically or manually date-stamps the form.

C. D. Licensure.

1. If an applicant is found to be ineligible for pharmacy technician licensure under statute and rule, the Board office shall issue a written notice of denial to the applicant.

2. If an applicant is found to be eligible for pharmacy technician licensure under statute and rule, the Board office shall issue a certificate of licensure and a wall license. An applicant who is assigned a license number and granted "open" or "active" status on the Board's license verification site may begin practice as a pharmacy technician. An applicant shall not practice as a pharmacy technician if the Board's license verification site indicates any status other than "open" or "active."

3. An applicant who is assigned a license number and who has a "pending" status on the Board's license verification site shall not practice as a pharmacy technician until the Board office issues a certificate of licensure as specified in subsection (C)(2).

4. A licensee shall maintain the certificate of licensure in the practice site for inspection by the Board or its designee or review by the public.

D. E. License renewal.

1. To renew a license, a pharmacy technician shall submit a completed license renewal application electronically or manually on a form furnished by the Board with the biennial renewal fee specified in R4-23-205.

2. If the biennial renewal fee is not paid by November 1 of the renewal year specified in A.R.S. § 32-1925, the pharmacy technician license is suspended and the licensee shall not practice as a pharmacy technician. The licensee shall pay a reinstatement penalty as provided in A.R.S. § 32-1925 and R4-23-205 to vacate the suspension.

A licensee shall maintain the renewal certificate of licensure in the practice site for inspection by the Board or its designee or review by the public. Continuing education requirement. Under A.R.S. § 32-1925(H), continuing professional education is mandatory for a licensee.

a. The Board shall accept continuing education hours awarded only by an approved provider.

b. The Board shall not renew a pharmacy technician license unless the licensee successfully completes 20 continuing education hours during the two years since the licensee's last renewal date and attests to that on the biennial renewal form.

c. Special continuing education requirements. If applicable, during each two-year license period, a pharmacy technician:

i. Shall not administer a vaccine under R4-23-1104(B)(5) unless the pharmacy technician has successfully completed two continuing education hours relating to administration of vaccines; and

ii. As described under A.R.S. § 32-1925(H), shall successfully complete two continuing education hours regarding remote dispensing site pharmacy practices.

d. A pharmacy technician licensee is exempt from the continuing education requirement in subsection (E)(3)(b) between the time of initial licensure and first renewal.

e. A pharmacy technician licensee shall maintain for five years continuing education records that indicate the number of hours successfully completed and the approved provider of each continuing education. The pharmacy technician licensee shall make the records available to the Board on request.

f. The Board shall deem failure to comply with the continuing education requirements as unprofessional conduct and grounds for disciplinary action under A.R.S. § 32-1927.01.

g. A pharmacy technician who is aggrieved by a Board decision concerning continuing education may request a hearing before the Board.

F. Delinquent license for five or more consecutive years. The Board shall reinstate a delinquent Arizona pharmacy technician license only if the individual furnishes satisfactory proof of fitness to be licensed as a pharmacy technician and pays all fees for the two most recent renewal periods and penalty fees. Satisfactory proof includes:

For an individual who is practicing as a pharmacy technician out-of-state with a pharmacy technician license issued by another jurisdiction:

a. Proof of current, unrestricted pharmacy technician licensure in another jurisdiction; and

b. Proof of employment as a pharmacy technician during the last 12 months; or

2. For an individual who did not practice as a pharmacy technician within the last 12 months:

a. Take and pass a Board-approved pharmacy technician examination, and

b. Complete 20 continuing education hours.

E. G. Time frames for pharmacy technician licensure and license renewal. The Board office shall follow the time frames established in R4-23-202(F).

F. H. Verification of license. A pharmacy permittee or pharmacist-in-charge shall not allow a person to practice as a pharmacy technician until the pharmacy permittee or pharmacist-in-charge verifies the person is currently licensed by the Board as a pharmacy technician.

History

• New Section made by final rulemaking at 10 A.A.R. 1192, effective May 1, 2004 (Supp. 04-1). Amended by final rulemaking at 19 A.A.R. 102, effective March 10, 2013 (Supp. 13-1). Amended by final rulemaking at 19 A.A.R. 2911, effective November 10, 2013. Amended by final rulemaking at 25 A.A.R. 1015, effective 6/1/2019. Amended by final rulemaking at 30 A.A.R. 3095, effective 11/30/2024.

Ariz. Admin. Code § R4-23-1103 Pharmacy Technician Trainee Registration

A. Registration required. As indicated under A.R.S. § 32-1923.01, a person shall not work as a pharmacy technician trainee in Arizona unless the person has registered with the Board. A registered pharmacy technician trainee shall maintain the registration certificate at the practice site for inspection by the Board or its designee or review by the public. Registration as a pharmacy technician trainee is not transferable.

A. B. Eligibility. An applicant for a 36-month, non-renewable registration as a pharmacy technician trainee shall provide the Board proof the applicant is eligible under A.R.S. § 32-1923.01(B).

B. C. Application.

1. An applicant for a 36-month, non-renewable registration as a pharmacy technician trainee shall:

a. Submit a completed application electronically on a form available on the Board's website, and

b. Submit with the application form:

i. The documents specified in the application form, and

ii. The registration fee specified in R4-23-205

iii. The wall license fee specified in R4-23-205 .

2. The Board office shall deem an application form received on the date the Board office electronically date-stamps the form.

C. D. registration.

1. If an applicant is found to be ineligible for registration as a pharmacy technician trainee under statute and rule, the Board office shall issue a written notice of denial to the applicant.

2. If an applicant is found to be eligible for registration as a pharmacy technician trainee under statute and rule, the Board office shall issue a certificate of registration. An applicant who is assigned a registration number and granted "open" or "active" status on the Board's website may begin practice as a pharmacy technician trainee. An applicant shall not practice as a pharmacy technician trainee if the Board's website indicates any status other than "open" or "active."

3. An applicant who is assigned a license number and who has a "pending" status on the Board's license verification site shall not practice as a pharmacy technician trainee until the Board office issues a certificate of licensure as specified in subsection (C)(2).

4. A licensee shall maintain the certificate of licensure in the practice site for inspection by the Board or its designee or review by the public.

5. A pharmacy technician trainee license is valid for 36 months from the date issued. A pharmacy technician trainee who does not complete the prescribed training program and pass a Board-approved pharmacy technician examination before the pharmacy technician trainee's license expires is not eligible for licensure as a pharmacy technician and shall not practice as a pharmacy technician or pharmacy technician trainee. The Board has approved the following pharmacy technician examinations:

a. Pharmacy Technician Certification Board (PTCB) Exam, and

b. Exam for the Certification of Pharmacy Technicians (ExCPT).

D. E. Time frames for pharmacy technician trainee registration. The Board office shall follow the time frames established in R4-23-202(F).

E. F. Verification of registration. A pharmacy permittee or pharmacist-in-charge shall not allow a person to practice as a pharmacy technician trainee until the pharmacy permittee or pharmacist-in-charge verifies that the person is currently registered by the Board as a pharmacy technician trainee.

History

• New Section made by final rulemaking at 10 A.A.R. 1192, effective May 1, 2004 (Supp. 04-1). Amended by final rulemaking at 19 A.A.R. 2911, effective November 10, 2013. Amended by final rulemaking at 25 A.A.R. 1015, effective 6/1/2019. Amended by final rulemaking at 26 A.A.R. 223, effective 3/14/2020. Amended by final rulemaking at 30 A.A.R. 3095, effective 11/30/2024.

Ariz. Admin. Code § R4-23-1104 Pharmacy Technicians and Pharmacy Technician Trainees

A. Permissible tasks of a pharmacy technician trainee. Acting in compliance with all applicable statutes and rules and under the supervision of a pharmacist, a pharmacy technician trainee registered under R4-23-1103 may assist an intern or pharmacist with the following when applicable to the pharmacy practice site:

1. Record on the original prescription order the serial number of the prescription medication and date dispensed;

2. Initiate or accept verbal or electronic refill authorization from a medical practitioner or medical practitioner's agent and record, on the original prescription order or by an alternative method approved by the Board or its designee, the medical practitioner's name, patient name, name and quantity of prescription medication, specific refill information, and name of medical practitioner's agent, if any;

3. Record information in the refill record or patient profile;

4. Enter information for a new or refill prescription medication as required under A.R.S. § 32-1964;

5. Type and affix a label for the prescription medication. A pharmacist or intern working under the supervision of a pharmacist shall verify the accuracy of the label as described under R4-23-402(A)(11);

6. Reconstitute a prescription medication, if a pharmacist checks the ingredients and procedure before reconstitution and verifies the final product after reconstitution;

7. Retrieve, count, or pour a prescription medication, if a pharmacist verifies the contents of the prescription medication against the original prescription medication container or by an alternative drug identification method approved by the Board or its designee;

8. Prepackage drugs in accordance with R4-23-402(A); and

9. Measure, count, pour, or otherwise prepare and package a drug needed for hospital inpatient dispensing, if a pharmacist verifies the accuracy, measuring, counting, pouring, preparing, packaging, and safety of the drug before the drug is delivered to a patient care area.

B. Permissible tasks of a pharmacy technician. Acting in compliance with all applicable statutes and rules and under the supervision of a pharmacist, a pharmacy technician licensed under R4-23-1102 may:

1. Perform the tasks listed in subsection (A);

2. After completing a pharmacy technician drug compounding training program developed by the pharmacy permittee or pharmacist-in-charge under R4-23-1105(C), assist a pharmacist or intern in compounding prescription medications and sterile or non-sterile pharmaceuticals in accordance with written policies and procedures, if the preparation, accuracy, and safety of the final product is verified by a pharmacist before dispensing;

3. Perform a final technology-assisted verification of product if the pharmacy technician is qualified under R4-23-1104.01(D) ;

4. If technology-assisted verification is performed, type and affix a label for the prescription medication. A pharmacist or intern shall verify the accuracy of the label as described under R4-23-402(A)(12) ;

5.3. Administer a vaccine when:

a. Administration of the vaccine is done under an order that complies with A.R.S. § 32-1974 and R4-23-411;

c.b. Administration of the vaccine is delegated by and done under the supervision of a pharmacist on duty who is certified under A.R.S. § 32-1974 to administer vaccines; and

d. c. There is documentation by the permittee that the pharmacy technician has completed the following:

i. A practical training program that is approved by the Accreditation Council for Pharmacy Education and includes hands-on injection technique and recognition and treatment of emergency reactions to vaccines; and

ii. Current certification in basic cardiopulmonary resuscitation.

6.4. Perform a task not related to professional judgment if the task is delegated to the pharmacy technician by the pharmacist on duty after the pharmacist on duty ensures the pharmacy technician is trained to do the task and there is documentation by the permittee of the training; and

7. 5. A pharmacist on duty shall not delegate or attempt to delegate the following tasks to a pharmacy technician:

a. Administering an emergency medication,

b. Counseling a patient,

c. Conducting a drug utilization review,

d. Performing any task that requires the exercise of clinical judgment,

e. Issuing a prescription order,

f. Receiving a new prescription order for a controlled substance, or

g. Transferring by telephone an existing prescription order for a controlled substance.

C. A trained and licensed pharmacy technician or pharmacy technician trainee who performs a task as authorized under subsections (A) and (B) shall ensure the task is performed accurately.

D. C. Prohibited activities. A pharmacy technician or pharmacy technician trainee shall not perform a professional practice reserved for a pharmacist or intern in accordance with R4-23-402 or R4-23-653 unless otherwise allowed by rule.

E. D. A pharmacy technician or pharmacy technician trainee shall wear a badge indicating name and title while on duty.

F. E. Before employing a pharmacy technician or pharmacy technician trainee, a pharmacy permittee or pharmacist-in-charge shall develop, implement, review, revise, and enforce, in the manner described in R4-23-653(A), policies and procedures addressing tasks to be performed by the pharmacy technician or pharmacy technician trainee that are consistent with state and federal law and the site at which the pharmacy technician or pharmacy technician trainee will be employed.

G. A pharmacy permittee or pharmacist-in-change shall ensure policies and procedures required under subsection (F) include the following:

1. For all practice sites:

a. Supervisory controls and verification procedures to ensure the quality and safety of pharmaceutical service;

b. Employment performance expectations for a pharmacy technician and pharmacy technician trainee;

c. The tasks a pharmacy technician or pharmacy technician trainee may perform as specified under subsections (A) and (B);

d. Pharmacist and patient communication;

e. Reporting, correcting, and avoiding medication and dispensing errors;

f. Security procedures for:

i. Confidentiality of patient prescription records, and

ii. The pharmacy area;

g. Automated medication distribution system;

h. Compounding procedures for pharmacy technicians; and

i. Brief overview of state and federal pharmacy statutes and rules;

2. For community and limited-service pharmacy practice sites:

a. Prescription dispensing procedures for:

i. Accepting a new written prescription order,

ii. Accepting a refill request,

iii. Selecting a drug product,

iv. Counting and pouring,

v. Labeling, and

vi. Obtaining refill authorization; and

b. Computer data-entry procedures for:

i. New and refill prescriptions,

ii. Patient's drug allergies,

iii. Drug-drug interactions,

iv. Drug-food interactions,

v. Drug-disease state contraindications,

vi. Refill frequency,

vii. Patient's disease and medical condition,

viii. Patient's age or date of birth and gender, and

ix. Patient profile maintenance; and

3. For hospital pharmacy practice sites:

a. Medication order procurement and data entry,

b. Drug preparation and packaging,

c. Outpatient and inpatient drug delivery, and

d. Inspection of drug storage and preparation areas and patient care areas.

History

• New Section made by final rulemaking at 10 A.A.R. 1192, effective May 1, 2004 (Supp. 04-1). Amended by final rulemaking at 12 A.A.R. 3032, effective October 1, 2006 (Supp. 06-3). Amended by final rulemaking at 19 A.A.R. 102, effective March 10, 2013 (Supp. 13-1). Amended by final rulemaking at 23 A.A.R. 3257, effective 1/8/2018. Amended by final rulemaking at 28 A.A.R. 994, effective 7/2/2022. Amended by emergency rulemaking at 29 A.A.R. 1196, effective 5/4/2023. Amended by final rulemaking at 30 A.A.R. 3095, effective 11/30/2024.

Ariz. Admin. Code § R4-23-1104.01 [Repealed]

History

• Amended by final rulemaking at 23 A.A.R. 3257, effective 1/8/2018. Repealed by final rulemaking at 30 A.A.R. 3095, effective 11/30/2024.

Ariz. Admin. Code § R4-23-1105 Pharmacy Technician Trainee Training Program; Pharmacy Technician Drug Compounding Training Program

A. Nothing in this Section prevents additional offsite training of a pharmacy technician.

B. Pharmacy technician trainee training program.

1. A pharmacy permittee or pharmacist-in-charge shall develop, implement, review, revise, and enforce, in the manner described in R4-23-653(A), a pharmacy technician trainee training program that is based on the needs of the individual pharmacy and designed to prepare the pharmacy technician trainee to pass a Board-approved national certification examination.

2. A pharmacy permittee or pharmacist-in-charge shall ensure the pharmacy technician trainee training program includes training guidelines that:

a. Define the specific tasks a pharmacy technician trainee is expected to perform,

b. Specify how and when the pharmacist-in-charge will assess the pharmacy technician trainee's competency, and

c. Address the policies and procedures specified in R4-23-1104(G) and the permissible activities specified in R4-23-1104(A) .

3. A pharmacist-in-charge shall:

a. Document the date a pharmacy technician trainee successfully completed the training program, and

b. Maintain the documentation required in this subsection for inspection by the Board or its designee.

4. A pharmacy technician trainee shall perform only those tasks, listed in R4-23-1104(A), for which training and competency has been demonstrated.

C. Pharmacy technician drug compounding training program.

1. A pharmacy permittee or pharmacist-in-charge shall develop, implement, review, revise, and enforce, in the manner described in R4-23-653(A), a pharmacy technician drug compounding training program based on the needs of the individual pharmacy.

2. A pharmacy permittee or pharmacist-in-charge shall ensure the pharmacy technician drug compounding training program includes training guidelines that:

a. Define the specific tasks a pharmacy technician is expected to perform,

b. Specify how and when the pharmacist-in-charge will assess the pharmacy technician's competency, and

c. Address the following procedures and tasks:

i. Area preparation,

ii. Component preparation,

iii. Aseptic technique and product preparation,

iv. Packaging and labeling, and

v. Area cleanup;

3. 2. A pharmacist-in-charge shall:

a. Document the date a pharmacy technician successfully completed the pharmacy technician drug compounding training program, and

b. Maintain the required documentation for inspection by the Board or its designee.

D. Alternative pharmacy technician training.

1. An individual who has passed the required Board-approved pharmacy technician examination, but has not followed the normal path to pharmacy technician licensure by obtaining a pharmacy technician trainee license and working while completing a pharmacy technician trainee training program as specified in subsection (B), may obtain a pharmacy technician license, if the individual has employment in pharmacy and completes an on-the-job training program as part of the individual's employment orientation that includes: reading and discussing with the pharmacist-in-charge of the pharmacy where employed, the Board rules concerning pharmacy technicians and pharmacy technician trainees, the pharmacy technician and pharmacy technician trainee job description, and the policies and procedures manual of that pharmacy.

2. An individual who has completed a pharmacy technician certificate program and has passed the required Board-approved pharmacy technician examination, but has not followed the normal path to pharmacy technician licensure by obtaining a pharmacy technician trainee license and working while completing a pharmacy technician trainee training program as specified in subsection (B), may obtain a pharmacy technician license, if the individual has employment in pharmacy and completes an on-the-job training program as part of the individual's employment orientation that includes: reading and discussing with the pharmacist-in-charge of the pharmacy where employed, the Board rules concerning pharmacy technicians and pharmacy technician trainees, the pharmacy technician and pharmacy technician trainee job description, and the policies and procedures manual of that pharmacy.

3. A pharmacist-in-charge shall:

a. Document the date an individual licensed under subsection (D)(1) or (2) successfully completed the on-the-job training program as part of the individual's employment orientation as required under subsection (D)(1) or (2), and

b. Maintain the documentation required in this subsection for inspection by the Board or its designee.

E. D. A pharmacy technician shall perform only those tasks, listed in R4-23-1104(B), for which training and competency has been demonstrated.

F. E. If a pharmacy technician trainee leaves a training program described under subsection (B) before successfully completing the training program, the pharmacist-in-charge shall provide the pharmacy technician trainee with written documentation of the hours of training completed and the tasks for which competence was demonstrated.

History

• New Section made by final rulemaking at 10 A.A.R. 1192, effective May 1, 2004 (Supp. 04-1). Amended by final rulemaking at 12 A.A.R. 3032, effective October 1, 2006 (Supp. 06-3). Amended by final rulemaking at 19 A.A.R. 102, effective March 10, 2013 (Supp. 13-1). Amended by final rulemaking at 25 A.A.R. 1015, effective 6/1/2019. Amended by final rulemaking at 30 A.A.R. 3095, effective 11/30/2024.

Ariz. Admin. Code § R4-23-1106 [Repealed]

History

• New Section made by final rulemaking at 11 A.A.R. 1105, effective April 30, 2005 (Supp. 05-1). Amended by final rulemaking at 26 A.A.R. 223, effective 3/14/2020. Amended by emergency rulemaking at 29 A.A.R. 1196, effective 5/4/2023. Repealed by final rulemaking at 30 A.A.R. 3095, effective 11/30/2024.

Article 12 DONATED MEDICINE PROGRAM

Ariz. Admin. Code § R4-23-1201 [Repealed]

History

• New Section made by final rulemaking at 14 A.A.R. 4320, effective January 3, 2009 (Supp. 08-4). Repealed by final rulemaking at 28 A.A.R. 611, effective 5/2/2022.

Ariz. Admin. Code § R4-23-1202 [Repealed]

History

• New Section made by final rulemaking at 14 A.A.R. 4320, effective January 3, 2009 (Supp. 08-4). Repealed by final rulemaking at 28 A.A.R. 611, effective 5/2/2022.

Ariz. Admin. Code § R4-23-1203 [Repealed]

History

• New Section made by final rulemaking at 14 A.A.R. 4320, effective January 3, 2009 (Supp. 08-4). Repealed by final rulemaking at 28 A.A.R. 611, effective 5/2/2022.

Ariz. Admin. Code § R4-23-1204 [Repealed]

History

• New Section made by final rulemaking at 14 A.A.R. 4320, effective January 3, 2009 (Supp. 08-4). Repealed by final rulemaking at 28 A.A.R. 611, effective 5/2/2022.

Ariz. Admin. Code § R4-23-1205 [Repealed]

History

• New Section made by final rulemaking at 14 A.A.R. 4320, effective January 3, 2009 (Supp. 08-4). Repealed by final rulemaking at 28 A.A.R. 611, effective 5/2/2022.

Ariz. Admin. Code § R4-23-1206 [Repealed]

History

• New Section made by final rulemaking at 14 A.A.R. 4320, effective January 3, 2009 (Supp. 08-4). Repealed by final rulemaking at 28 A.A.R. 611, effective 5/2/2022.

Ariz. Admin. Code § R4-23-1207 [Repealed]

History

• New Section made by final rulemaking at 14 A.A.R. 4320, effective January 3, 2009 (Supp. 08-4). Repealed by final rulemaking at 28 A.A.R. 611, effective 5/2/2022.

Ariz. Admin. Code § R4-23-1208 Handling Fee

A physician's office, a pharmacy, or a health care institution that dispenses a donated prescription medication may charge a recipient of a donated prescription medication a handling fee of no more than $4.50 per prescription to cover inspection, stocking, and dispensing costs.

A. The definitions at A.R.S. § 32-1909(U) apply to this Section.

B. As specified under A.R.S. § 32-1909(N), an authorized recipient shall not sell a medicine received from a donor.

C. An authorized recipient may charge a fee to an eligible patient to whom a donated medicine is dispensed. The authorized recipient shall ensure any fee charged to an eligible patient:

1. Does not exceed the reasonable cost of receiving, handling, and dispensing the donated medicine; and

2. Is consistent with the purpose of the donated medicine program. A fee consistent with the purpose of the donated medicine program includes an adjustment for the quantity and retail cost of the medicine dispensed.

D. An authorized recipient may charge a fee to a donor or other authorized recipient for usual and customary expenses incurred in receiving and handling donated medicine.

History

• New Section made by final rulemaking at 14 A.A.R. 4320, effective January 3, 2009 (Supp. 08-4). Amended by final rulemaking at 28 A.A.R. 611, effective 5/2/2022.

Ariz. Admin. Code § R4-23-1209 [Repealed]

History

• New Section made by final rulemaking at 14 A.A.R. 4320, effective January 3, 2009 (Supp. 08-4). Repealed by final rulemaking at 28 A.A.R. 611, effective 5/2/2022.

Ariz. Admin. Code § R4-23-1210 [Repealed]

History

• New Section made by final rulemaking at 14 A.A.R. 4320, effective January 3, 2009 (Supp. 08-4). Repealed by final rulemaking at 28 A.A.R. 611, effective 5/2/2022.

Ariz. Admin. Code § R4-23-1211 [Repealed]

History

• New Section made by final rulemaking at 14 A.A.R. 4320, effective January 3, 2009 (Supp. 08-4). Repealed by final rulemaking at 28 A.A.R. 611, effective 5/2/2022.

Chapter 24 BOARD OF PHYSICAL THERAPY

Article 1 GENERAL PROVISIONS

Ariz. Admin. Code § R4-24-101 Definitions

In addition to the definitions in A.R.S. § 32-2001, in this Chapter:

1. "Accredited" means accredited by a nationally recognized accreditation organization.

2. "Accredited educational program" means a physical therapist or physical therapist assistant educational program that is accredited by:

a. The Commission on Accreditation of Physical Therapy Education, or

b. An agency recognized as qualified to accredit physical therapist or physical therapist assistant programs by either the U.S. Department of Education or the Council on Higher Education Accreditation at the time of the applicant's graduation.

3. "Administratively suspend," as used in A.R.S. § 32-2027, means the Board places a license or certificate issued under A.R.S. Title 32, Chapter 19 and this Chapter on suspended status because the license or certificate was not renewed timely.

4. "Applicant" means an individual or business entity seeking an initial or renewal license, initial or renewal certificate, initial or renewal registration, interim permit, or reinstatement from the Board.

5. "Applicant packet" means the forms and additional information the Board requires to be submitted by an applicant or on the applicant's behalf.

6. "Campus" means a facility and immediately adjacent buildings.

7. "College Board" means an association composed of schools, colleges, universities, and other educational organizations across the United States that is responsible for the development of assessment tests that are used to provide college credit or for college placement.

"College level examination program" means services offered by the College Board for an individual to demonstrate college-level achievement by taking an examination approved by the College Board.

9. "Compliance period" means a two-year license renewal cycle that ends August 31 of even-numbered years.

10. "Continuing competence" means maintaining the professional skill, knowledge, and ability of a physical therapist or physical therapist assistant by successfully completing scholarly and professional activities related to physical therapy.

11. "Course" means an organized subject matter in which instruction is offered within a specified period of time.

12. "Course evaluation tool" means the Coursework Evaluation Tool for Foreign Educated Physical Therapists who Graduated after June 30, 2009, Fifth Edition, 2004 (effective July 1, 2009), published by the Federation of State Boards of Physical Therapy, 124 West Street, South Alexandria, VA, 22314, incorporated by reference and on file with the Board. This incorporation by reference contains no future editions or amendments.

13. "Credential evaluation" means a written assessment of a foreign-educated applicant's general and professional educational course work.

14. "Credential evaluation agency" means an organization that evaluates a foreign-educated applicant's education and provides recommendations to the Board about whether the applicant's education is substantially equivalent to physical therapy education provided in an accredited educational program.

"Days" means calendar days.

"Endorsement" means a procedure for granting an Arizona license or certificate to an applicant already licensed as a physical therapist or certified as a physical therapist assistant in another jurisdiction of the United States.

17. "ETS" means Educational Testing Service, an organization that provides educational learning and assessment services, including the Test of English as a Foreign Language Program.

18. "Facility" means a building where:

a. A physical therapist is engaged in the practice of physical therapy;

b. An applicant, licensee, or certificate holder is engaged in a supervised clinical practice; or

c. A physical therapist assistant performs physical therapy-related tasks delegated by an onsite supervisor.

"Foreign-educated applicant" means an individual who graduated from a physical therapist educational program outside the United States, Puerto Rico, District of Columbia, or a U.S. territory.

20. "Functional limitation" means restriction of the ability to perform a physical action, activity, or task in an efficient, typically expected or competent manner.

21. "Good moral character" means the applicant has not taken any action that is grounds for disciplinary action against a licensee or certificate holder under A.R.S. § 32-2044.

22. "Hour" means 60 minutes.

23. "iBT" means internet-based TOEFL.

24. "National disciplinary database" means the disciplinary database of the U.S. Department of Health and Human Services' Health Integrity and Protection Data Base, which contains previous or current disciplinary actions taken against a licensed physical therapist or certified physical therapist assistant by state licensing agencies.

25. "National examination" means an examination produced by the Federation of State Boards of Physical Therapy or an examination produced by the American Physical Therapy Association.

26. "On call," as used in the definition of "general supervision" prescribed under A.R.S. § 32-2001, means a supervising physical therapist is able to go to the location at which and on the same day that a physical therapist assistant provides a selected treatment intervention if the physical therapist, after consultation with the physical therapist assistant, determines that going to the location is in the best interest of the patient.

"Onsite supervisor" means a physical therapist who provides onsite supervision as defined in A.R.S. § 32-2001.

28. "Physical Therapist Assistant Clinical Performance Instrument" means the document used to assess an individual's knowledge, skills, and attitudes to determine the individual's readiness to work as a physical therapist assistant that is published by the American Physical Therapy Association, Division of Education, March 1998, 1111 North Fairfax Street, Alexandria, VA 22314-1488 and incorporated by reference and on file with the Board. This incorporation by reference contains no future editions or amendments.

"Physical Therapist Clinical Performance Instrument" means the document used to assess an individual's knowledge, skills, and attitudes to determine the individual's readiness to practice physical therapy that is published by the American Physical Therapy Association, Division of Education, December 1997, 1111 North Fairfax Street, Alexandria, VA 22314-1488 and incorporated by reference and on file with the Board. This incorporation by reference contains no future editions or amendments.

30. "Physical therapy services" means any of the actions stated in the definition of practice of physical therapy in A.R.S. § 32-2001.

31. "Qualified translator" means an individual, other than an applicant, who is:

a. An officer or employee of an official translation bureau or government agency,

b. A professor or instructor who teaches a translated language in an accredited college or university in the United States,

c. An American consul in the country where the translated document is issued or another individual designated by the American consul in the country where the translated document is issued, or

d. A consul general or diplomatic representative of the United States or individual designated by the consul general or diplomatic representative.

32. "Readily available," as used in the definition of "general supervision" prescribed under A.R.S. § 32-2001, means a supervising physical therapist is able to respond within 15 minutes to a communication from a physical therapist assistant providing a selected treatment intervention under general supervision.

33. "Recognized standards of ethics" means the Code of Ethics (amended June 2000) and the accompanying Guide for Professional Conduct (amended January 2004) of the American Physical Therapy Association, 1111 North Fairfax Street, Alexandria, VA 22314-1488, which is incorporated by reference and on file with the Board. This incorporation includes no later editions or amendments.

34. "Supervised clinical practice" means the period of time a physical therapist is engaged in the practice of physical therapy or a physical therapist assistant is engaged in work as a physical therapist assistant after being issued an interim permit by the Board.

35. "Supervising physical therapist" means an individual licensed under this Chapter who provides onsite or general supervision to assistive personnel.

36. "Suspend" means the Board places a license, certificate, permit, or registration in a status that restricts the holder of the license, certificate, permit, or registration from practicing as a physical therapist, working as a physical therapist assistant, or offering physical therapy services.

"TOEFL" means test of English as a foreign language.

38. "Week" means the period beginning on Sunday at 12:00 a.m. and ending the following Saturday at 11:59 p.m.

History

• Adopted effective June 3, 1982 (Supp. 82-3). Amended effective April 10, 1986 (Supp. 86-2). Amended effective May 7, 1990 (Supp. 90-2). Amended effective March 14, 1996 (Supp. 96-1). Amended by final rulemaking at 5 A.A.R. 2988, effective August 12, 1999 (Supp. 99-3). Amended by final rulemaking at 6 A.A.R. 2399, effective June 9, 2000 (Supp. 00-2). Amended by final rulemaking at 9 A.A.R. 307, effective January 13, 2003 (Supp. 03-1). Amended by final rulemaking at 12 A.A.R. 2401, effective August 5, 2006 (Supp. 06-2). Amended by final rulemaking at 13 A.A.R. 1640, effective June 30, 2007 (Supp. 07-2). Amended by final rulemaking at 15 A.A.R. 1788, effective December 5, 2009 (Supp. 09-4). Amended by final rulemaking at 18 A.A.R. 841, effective May 11, 2012 (Supp. 12-1). Amended by final rulemaking at 25 A.A.R. 404, effective 4/6/2019.

Ariz. Admin. Code § R4-24-102 Expired

History

• Adopted effective June 3, 1982 (Supp. 82-3). Former Section R4-24-102 repealed, former Section R4-24-103 renumbered and amended as Section R4-24-102 effective April 10, 1986 (Supp. 86-2). Former Section R4-24-102 renumbered to R4-24-103; new Section R4-24-102 adopted by final rulemaking at 6 A.A.R. 2399, effective June 9, 2000 (Supp. 00-2). Section expired under A.R.S. § 41-1056(E) at 10 A.A.R. 3897, effective July 31, 2004 (Supp. 04-3).

Ariz. Admin. Code § R4-24-103 Board Officers

The Board shall elect a president, vice-president, and secretary at its first regular Board meeting each year.

1. The president shall preside at all Board meetings.

2. When the president is unable to preside at a Board meeting, the vice-president shall preside.

History

• Adopted effective June 3, 1982 (Supp. 82-3). Former Section R4-24-103 renumbered and amended as Section R4-24-102, former Section R4-24-104 renumbered and amended as Section R4-24-103 effective April 10, 1986 (Supp. 86-2). Former Section R4-24-103 renumbered to Section R4-24-204 effective May 7, 1990 (Supp. 90-2). New Section R4-24-103 renumbered from R4-24-102 and amended by final rulemaking at 6 A.A.R. 2399, effective June 9, 2000 (Supp. 00-2). Amended by final rulemaking at 12 A.A.R. 2401, effective August 5, 2006 (Supp. 06-2).

Ariz. Admin. Code § R4-24-104 Confidential Information and Records

The following information or a record containing this information is confidential and is not provided to the public by the Board:

1. An applicant's, licensee's, or certificate-holder's:

a. Social Security number;

b. Home address or home telephone number unless the address or telephone number is the only address or telephone number of record;

c. Credential evaluation report, education transcript, grades, or examination scores;

d. National physical therapist or physical therapist assistant examination score;

e. Diagnosis and treatment records; and

2. According to A.R.S. § 32-2045, information or a document related to investigations by the Board until the information or document becomes a public record or as required by law.

History

• Adopted effective June 3, 1982 (Supp. 82-3). Former Section R4-24-104 renumbered and amended as Section R4-24-103 effective April 10, 1986 (Supp. 86-2). New Section R4-24-104 adopted by final rulemaking at 6 A.A.R. 2399, effective June 9, 2000 (Supp. 00-2). Amended by final rulemaking at 12 A.A.R. 2401, effective August 5, 2006 (Supp. 06-2).

Ariz. Admin. Code § R4-24-105 Expired

History

• Adopted effective June 3, 1982 (Supp. 82-3). Amended subsection (B) effective April 10, 1986 (Supp. 86-2). Amended effective May 7, 1990 (Supp. 90-2). Amended effective March 14, 1996 (Supp. 96-1). Section repealed; new Section adopted by final rulemaking at 6 A.A.R. 2399, effective June 9, 2000 (Supp. 00-2). Section expired under A.R.S. § 41-1056(E) at 10 A.A.R. 3897, effective July 31, 2004 (Supp. 04-3).

Ariz. Admin. Code § R4-24-106 Repealed

History

• Adopted effective June 3, 1982 (Supp. 82-3). Amended subsection (A) effective April 10, 1986 (Supp. 86-2). Amended effective May 7, 1990 (Supp. 90-2). Amended effective March 14, 1996 (Supp. 96-1). Section repealed; new Section adopted by final rulemaking at 6 A.A.R. 2399, effective June 9, 2000 (Supp. 00-2). Section repealed by final rulemaking at 12 A.A.R. 2401, effective August 5, 2006 (Supp. 06-2).

Ariz. Admin. Code § R4-24-107 Fees

A. Under the authority provided by A.R.S. §§ 32-2029 and 32-2030, the Board establishes and shall collect the following fees:

1. For a physical therapist:

a. Application for an original license if the applicant applies on or after September 1 in an even-numbered year and no later than August 31 in an odd-numbered year, $260;

b. Application for an original license if the applicant applies on or after September 1 in an odd-numbered year and no later than August 31 in an even-numbered year, $190;

c. Renewal of an active license, $160;

d. Renewal of an inactive license, $80;

e. Reinstatement of an administratively suspended license, $100 plus the renewal fee; and

f. Duplicate license, $10.

2. For a physical therapist assistant:

a. Application for an original certificate if the applicant applies on or after September 1 in an even-numbered year and no later than August 31 in an odd-numbered year, $160;

b. Application for an original certificate if the applicant applies on or after September 1 in an odd-numbered year and no later than August 31 in an even-numbered year, $120;

c. Renewal of an active certificate, $55;

d. Renewal of an inactive certificate, $27.50;

e. Reinstatement of an administratively suspended certificate, $50 plus the renewal fee; and

f. Duplicate certificate, $10.

3. For a business entity:

a. Application for an original registration, $50;

b. Renewal, $50;

c. Late fee, $25; and

d. Duplicate registration, $10.

B. Under the authority provided by A.R.S. § 36-3606(A)(3), the Board establishes and shall collect a registration fee from an out-of-state health care provider of telehealth services: $100.

C. The fees specified in subsections (A) and (B) are nonrefundable unless A.R.S. § 41-1077 applies.

B. The Board shall accept fees paid by check or money order payable to the Arizona State Board of Physical Therapy.

History

• Adopted effective June 3, 1982 (Supp. 82-3). Amended effective May 7, 1990 (Supp. 90-2). Section R4-24-107 renumbered to R4-24-306 by final rulemaking at 6 A.A.R. 2399, effective June 9, 2000 (Supp. 00-2). Section R4-24-107 renumbered from R4-24-206 by final rulemaking at 12 A.A.R. 2401, effective August 5, 2006 (Supp. 06-2). Amended by final rulemaking at 18 A.A.R. 841, effective May 11, 2012 (Supp. 12-1). Amended by final rulemaking at 18 A.A.R. 1858, effective July 10, 2012 (Supp. 12-3). Amended by final exempt rulemaking at 27 A.A.R. 1105, effective 6/29/2021.

Ariz. Admin. Code § R4-24-108 Repealed

History

• Adopted effective June 3, 1982 (Supp. 82-3). Repealed effective May 7, 1990 (Supp. 90-2).

Ariz. Admin. Code § R4-24-109 Renumbered

History

• Adopted effective June 3, 1982 (Supp. 82-3). Amended effective May 7, 1990 (Supp. 90-2). Amended effective March 14, 1996 (Supp. 96-1). Section R4-24-109 renumbered to R4-24-307 by final rulemaking at 6 A.A.R. 2399, effective June 9, 2000 (Supp. 00-2).

Article 2 LICENSING PROVISIONS

Ariz. Admin. Code § R4-24-201 Application for a Physical Therapist License

A. An applicant for a physical therapist license shall submit to the Board an application packet that includes:

1. An application form provided by the Board that is signed, dated, and verified by the applicant and contains:

a. The applicant's name, business, residential, and e-mail addresses, business and residential telephone numbers, birth date, and Social Security number;

b. The name and address of each university or college attended by the applicant, the dates of attendance, and the date of graduation and degree received, if applicable;

c. The name and address of the university or college where the applicant completed an accredited educational program and dates of attendance;

d. A statement of whether the applicant has ever been licensed as a physical therapist in any other jurisdiction of the United States or foreign country;

e. Professional employment history for the past five years, including the name, address, and telephone number for each place of employment, job title, description of the work completed, and explanation of any breaks in employment, if applicable;

f. A statement of whether the applicant has ever been convicted of, pled guilty or no contest to, or entered into diversion in lieu of prosecution for any criminal offense in any jurisdiction of the United States or foreign country and if so, an explanation;

g. A statement of whether the applicant has ever had an application for a professional or occupational license, certificate, or registration, other than a driver's license, denied, rejected, suspended, or revoked by any jurisdiction of the United States or foreign country and if so, an explanation;

h. A statement of whether the applicant is currently or ever has been under investigation, suspension, or restriction by a professional licensing board in any jurisdiction of the United States or foreign country for any act that occurred in that jurisdiction that would be the subject of discipline under this Chapter and if so, an explanation;

i. A statement of whether the applicant has ever been the subject of disciplinary action by a professional association or post-secondary educational institution;

j. A statement of whether the applicant has committed any of the actions referenced in the definition of good moral character in R4-24-101;

k. A statement of whether the applicant has ever had a malpractice judgment, has a lawsuit currently pending for malpractice, or entered into a settlement from a malpractice suit and if so, an explanation;

l. A statement of whether the applicant is currently more than 30 days in arrears for payment required by a judgment and order for child support in Arizona or any other jurisdiction;

m. A statement of whether the applicant has any impairment to the applicant's cognitive, communicative, or physical ability to engage in the practice of physical therapy with skill and safety and if so, an explanation;

n. A statement of whether the applicant has, within the past 10 years, used alcohol, any illegal chemical substance, or prescription medications, that in any way has impaired or limited the applicant's ability to practice physical therapy with skill and safety and if so, an explanation;

o. A statement of whether the applicant has, within the past 10 years, been diagnosed as having or is being treated for bipolar disorder, schizophrenia, paranoia, or other psychotic disorder that in any way has impaired or limited the applicant's ability to practice physical therapy with skill and safety and if so, an explanation;

p. A statement of whether the applicant has ever violated A.R.S. § 32-2044(10); and

q. A statement by the applicant attesting to the truthfulness of the information provided by the applicant;

2. A passport photograph of the applicant no larger than 1 1/2 x 2 inches that was taken not more than six months before the date of the application;

3. Documentation, as described under A.R.S. § 41-1080, of the applicant's U.S. citizenship, alien status, legal residency, or lawful presence in the U.S.; and

4. The fee required in R4-24-107.

B. In addition to the requirements in subsection (A), an applicant shall arrange to have submitted directly to the Board:

1. An official transcript or letter showing that the applicant completed all requirements of an accredited educational program that includes the official seal of the university or college where the applicant completed the accredited educational program and signature of the registrar of the university or college,

2. Verification of passing a national examination in physical therapy as evidenced by an original notice of examination results, and

Verification of passing a jurisprudence examination as evidenced by an original notice of examination results.

C. In addition to the requirements in subsections (A) and (B), an applicant for a physical therapist license by endorsement shall submit to the Board:

1. The name of the licensing or certifying agency of any jurisdiction in which the applicant is currently or has been previously licensed;

2. A verification of each license, signed and dated by an official of the agency licensing or certifying the applicant, that includes the official seal of the licensing or certifying agency and all of the following:

a. The name of the applicant;

b. The license number and date of issuance;

c. The current status of the license;

d. The expiration date of the license;

e. A statement of whether the applicant was ever denied a license by the agency and if so, an explanation; and

f. A statement of whether any disciplinary action is pending or has ever been taken against the applicant and if so, an explanation.

D. The Board shall deny a license to an applicant who fails to meet the requirements of this Section or A.R.S. Title 32, Chapter 19. An applicant denied a license may request a hearing under A.R.S. Title 41, Chapter 6, Article 10.

History

• Adopted effective June 3, 1982 (Supp. 82-3). Amended subsection (C) and added subsection (D) effective April 10, 1986 (Supp. 86-2). Amended effective May 7, 1990 (Supp. 90-2). Amended effective March 14, 1996 (Supp. 96-1). Section repealed; new Section adopted by final rulemaking at 5 A.A.R. 2988, effective August 12, 1999 (Supp. 99-3). Amended by final rulemaking at 6 A.A.R. 2399, effective June 9, 2000 (Supp. 00-2). Amended by final rulemaking at 12 A.A.R. 2401, effective August 5, 2006 (Supp. 06-2). Amended by final rulemaking at 14 A.A.R. 3418, effective October 4, 2008, (Supp. 08-3). Amended by final rulemaking at 25 A.A.R. 404, effective 4/6/2019.

Ariz. Admin. Code § R4-24-202 Reinstatement of License or Certificate

A. An applicant whose Arizona license or certificate is administratively suspended for three consecutive years or less after the date of renewal of the license or certificate may apply for reinstatement of the license or certificate by submitting the application in R4-24-208 and the reinstatement fee and renewal fee required in R4-24-107.

B. An applicant whose Arizona license or certificate is administratively suspended for more than three consecutive years after the date of renewal of the license or certificate may apply for reinstatement of the license or certificate by submitting the reinstatement fee and renewal fee in R4-24-107, and:

1. For an applicant educated in the United States requesting reinstatement of a license, the application in R4-24-201(A) and (B);

2. For a foreign-educated applicant requesting reinstatement of a license, the application in R4-24-203; or

3. For an applicant requesting reinstatement of a certificate, the application in R4-24-207(A) and (B).

C. If an applicant submits an application according to subsection (B), the Board shall require the applicant to demonstrate competency by doing one or more of the following:

1. Practice physical therapy or work as a physical therapist assistant under an interim permit that allows the applicant to participate in a supervised clinical practice,

2. Complete one or more courses relevant to the practice of physical therapy or the work of a physical therapist assistant,

3. Complete continuing competence requirements for the period of time of the lapsed license, or

4. Take and pass a jurisprudence examination or national examination.

History

• Adopted effective June 3, 1982 (Supp. 82-3). Amended subsection (C) effective April 10, 1986 (Supp. 86-2). Amended effective May 7, 1990 (Supp. 90-2). Amended effective March 14, 1996 (Supp. 96-1). Former Section R4-24-202 renumbered to R4-24-204; new Section R4-24-202 adopted by final rulemaking at 6 A.A.R. 2399, effective June 9, 2000 (Supp. 00-2). Amended by final rulemaking at 12 A.A.R. 2401, effective August 5, 2006 (Supp. 06-2). Subsection (A) corrected at request of the Board, Office File No. M12-209, filed June 8, 2012 (Supp. 12-1). Amended by final rulemaking at 18 A.A.R. 841, effective May 11, 2012 (Supp. 12-1).

Ariz. Admin. Code § R4-24-203 Foreign-educated Applicant Requirements

A. A foreign-educated applicant shall meet the requirements in A.R.S. § 32-2022(B) and the following:

1. The applicant shall comply with the requirements in R4-24-201.

2. The applicant shall ensure that a document required by R4-24-201 or this subsection is:

a. Submitted to the Board in English; or

b. Accompanied by an original English translation by a qualified translator if the document is submitted to the Board in a language other than English and includes an affidavit of accuracy by the qualified translator affirming:

i. The qualified translator has translated the entire document,

ii. The qualified translator has not omitted anything from or added to the translation, and

iii. The translation is true and accurate.

3. To meet the requirements in A.R.S. § 32-2022(B)(4), the applicant shall state on the application form whether the applicant's practice as a physical therapist was limited in the country where the professional education occurred. If the applicant's practice was limited in the country where the professional education occurred, the applicant shall submit to the Board documentation of the limitation, or arrange to have documentation of limitation sent directly to the Board, that includes:

a. The name, address, and telephone number of the entity that limited the applicant's practice of physical therapy;

b. A description of the action or lack of action that led to the limitation on the applicant's practice as a physical therapist;

c. A description of the limitation on the applicant's practice of physical therapy; and

d. If the limitation is based on citizenship requirements of the country in which the professional education was obtained, the applicant shall provide the Board with the legal reference for the restriction in the laws of the country in which the professional education was obtained, a copy of the referenced laws, and an English translation of the laws that meets the standards in subsection (A)(2)(b).

4. If English is not the native language of the foreign-educated applicant, to meet the requirements in A.R.S. § 32-2022(B)(6), the applicant shall take and pass either of the following tests no more than 18 months before the date on which the application submitted under R4-24-201 is administratively complete and ensure that the test scores are sent directly to the Board by the testing entity:

a. The TOEFL. An applicant who takes the TOEFL passes with the following:

i. A score of 560 or more if a paper-based test or a score of 220 or more if a computer-based test;

ii. Test of Spoken English with a score of 50 or more; and

iii. Test of Written English with a score of 4.5 or more; or

b. The iBT. An applicant who takes the iBT passes with an overall test score of a minimum of 100 and a:

i. Writing section with a minimum score of 25,

ii. Speaking section with a minimum score of 25,

iii. Reading section with a minimum score of 25, and

iv. Listening section with a minimum score of 25.

5. To demonstrate that the applicant meets uniform criteria for educational requirements according to A.R.S. § 32-2022(E)(3), the applicant shall undergo a credential evaluation to determine that the applicant meets the requirements in the course evaluation tool and arrange to have a credential evaluation report, prepared within 18 months from the date of the application, sent directly to the Board by the credential evaluation agency.

6. To meet the requirements in A.R.S. § 32-2022(B)(5), the applicant shall obtain a work visa to reside and seek employment in the United States issued by the Bureau of Citizenship and Immigration Services and submit a copy of the work visa to the Board.

B. After receiving a credential evaluation report from a credential evaluation agency, the Board:

1. If the credential evaluation report does not establish that the education obtained by the foreign-educated applicant is substantially equivalent to the education required of a physical therapist in an accredited education program, may require the applicant to:

a. Complete one or more university or college courses and obtain a grade of C or better in each course;

b. Complete a college level examination program; or

c. If an applicant for a license, complete one or more continuing competence courses; and

2. Shall issue, within the time-frames stated in Table 1, an interim permit to complete a supervised clinical practice to the applicant if:

a. The applicant was required to meet one or more of the requirements in subsection (B)(1) and completes the requirements; or

b. The credential evaluation report establishes that the education obtained by the foreign-educated applicant is substantially equivalent to the education required of a physical therapist in an accredited education program; and

c. The applicant has passed the national examination and jurisprudence examination; and

d. The applicant meets the requirements in A.R.S. Title 32, Chapter 19 and R4-24-201.

History

• Adopted effective June 3, 1982 (Supp. 82-3). Amended subsection (B) effective April 10, 1986 (Supp. 86-2). Amended effective March 14, 1996 (Supp. 96-1). Section repealed; new Section adopted by final rulemaking at 6 A.A.R. 2399, effective June 9, 2000 (Supp. 00-2). Amended by final rulemaking at 12 A.A.R. 2401, effective August 5, 2006 (Supp. 06-2). Amended by final rulemaking at 14 A.A.R. 3418, effective October 4, 2008, (Supp. 08-3). Amended by final rulemaking at 18 A.A.R. 841, effective May 11, 2012 (Supp. 12-1).

Ariz. Admin. Code § R4-24-204 Supervised Clinical Practice

A. An interim permit holder shall complete a supervised clinical practice under onsite supervision. The supervised clinical practice shall consist of at least 500 hours.

B. Before an individual is issued an interim permit, the individual shall submit to the Board:

1. A written request for Board approval of the facility where supervised clinical practice will take place that includes:

a. The name, address, and telephone number of the facility; and

b. A description of the physical therapy services provided at the facility; and

2. The name of the individual who holds an unrestricted license to practice physical therapy in this state and agrees to provide onsite supervision of the individual.

C. The Board shall approve or deny a request made under subsection (B)(1):

1. After assessing whether the facility provides the opportunity for an interim permit holder to attain the knowledge, skills, and attitudes to be evaluated according to the Physical Therapist Assistant Clinical Performance Instrument or Physical Therapist Clinical Performance Instrument; and

2. According to the time-frames in Table 1.

D. An onsite supervisor shall:

1. Observe the interim permit holder during the supervised clinical practice and:

a. Rate the interim permit holder's performance, at both the mid-point and completion of the clinical practice, on each of the clinical performance criteria in the Physical Therapist Clinical Performance Instrument or Physical Therapist Assistant Clinical Performance Instrument, including the dates and hours the onsite supervisor provided onsite supervision;

b. Recommend following the mid-point rating whether the interim permit holder be allowed to continue the clinical practice and changes needed, if any, to ensure successful completion of the clinical practice; and

c. Recommend following the completion rating whether the interim permit holder be licensed or required to complete further supervised clinical practice; and

2. Submit the ratings on the Physical Therapist Clinical Performance Instrument or Physical Therapist Assistant Clinical Performance Instrument to the Board as follows:

a. No later than the 55th day of the clinical practice for the mid-point rating, and

b. No later than 30 days after the end of the supervised clinical practice for the completion rating.

E. After the Board receives the mid-point rating on the Physical Therapist Clinical Performance Instrument or Physical Therapist Assistant Clinical Performance Instrument, the Board shall review the rating and recommendation of the onsite supervisor and decide whether to allow the interim permit holder to continue the clinical practice or recommend changes in the clinical practice to the onsite supervisor.

F. After the Board receives the completion rating on the Physical Therapist Clinical Performance Instrument or Physical Therapist Assistant Clinical Performance Instrument, the Board:

1. May require the interim permit holder to complete additional onsite supervision under the interim permit if the additional onsite supervision does not cause the interim permit holder to exceed six months from the date the interim permit was issued and:

a. The onsite supervisor does not approve one or more of the skills listed on the Physical Therapist Clinical Performance Instrument or Physical Therapist Assistant Clinical Performance Instrument;

b. The onsite supervisor recommends that the interim permit holder complete further supervised clinical practice; or

c. The Board determines that the interim permit holder has not met the requirements in A.R.S. Title 32, Chapter 19 and this Chapter.

2. If the interim permit holder meets all of the requirements in A.R.S. Title 32, Chapter 19 and this Chapter, shall issue:

a. A license to an applicant for a license, or

b. A certificate to an applicant for a certificate.

3. If the applicant, licensee, or certificate-holder does not meet all of the requirements in A.R.S. Title 32, Chapter 19 and this Chapter, shall deny:

a. A license to an applicant for a license, or

b. A certificate to an applicant for a certificate.

G. An applicant who has been denied a license or certificate may request a hearing under A.R.S. Title 41, Chapter 6, Article 10.

History

• Adopted effective June 3, 1982 (Supp. 82-3). Former Section R4-24-103 renumbered and amended as Section R4-24-102, former Section R4-24-104 renumbered and amended as Section R4-24-103 effective April 10, 1986 (Supp. 86-2). Former Section R4-24-204 renumbered to R4-24-205, new Section R4-24-204 renumbered from Section R4-24-103 and amended effective May 7, 1990 (Supp. 90-2). Amended effective march 14, 1996 (Supp. 96-1). Former Section R4-24-204 renumbered to R4-24-206; new Section R4-24-204 renumbered from R4-24-202 and amended by final rulemaking at 6 A.A.R. 2399, effective June 9, 2000 (Supp. 00-2). Amended by final rulemaking at 9 A.A.R. 307, effective January 13, 2003 (Supp. 03-1). Former Section R4-24-204 renumbered to R4-24-205; new Section R4-24-204 made by final rulemaking at 12 A.A.R. 2401, effective August 5, 2006 (Supp. 06-2). Amended by final rulemaking at 14 A.A.R. 376, effective March 8, 2008 (Supp. 08-1). Amended by final rulemaking at 14 A.A.R. 3418, effective October 4, 2008, (Supp. 08-3).

Ariz. Admin. Code § R4-24-205 Examination Scores

A. To be licensed as a physical therapist, an applicant shall obtain:

1. A scaled score of 600 or more, based on a scale ranging from 200 to 800 on a national examination for physical therapists taken on or after March 14, 1996; or

2. A raw score that is no lower than 1.50 standard deviation below the national average for a national examination for physical therapists taken before March 14, 1996.

B. To be certified as a physical therapist assistant, an applicant for certification shall obtain:

1. A scaled score of 600 or more based on a scale ranging from 200 to 800 on a national examination for physical therapist assistants taken on or after March 14, 1996; or

2. A raw score that is no lower than 1.50 standard deviation below the national average for a national examination for physical therapist assistants taken before March 14, 1996.

C. In addition to the requirements in subsections (A) and (B), to be licensed as a physical therapist or certified as a physical therapist assistant, an applicant shall obtain a scaled score of 600 or more based on a scale ranging from 200 to 800 on a jurisprudence examination.

History

• Adopted effective April 10, 1986 (Supp. 86-2). Former Section R4-24-205 renumbered to R4-24-206, new Section R4-24-205 renumbered from Section R4-24-204 and amended effective May 7, 1990 (Supp. 90-2). Section repealed; new Section adopted by final rulemaking at 5 A.A.R. 2988, effective August 12, 1999 (Supp. 99-3). Former Section R4-24-205 renumbered to R4-24-207; new Section R4-24-205 adopted by final rulemaking at 6 A.A.R. 2399, effective June 9, 2000 (Supp. 00-2). Former Section R4-24-205 repealed; new Section R4-24-205 renumbered from R4-24-204 and amended by final rulemaking at 12 A.A.R. 2401, effective August 5, 2006 (Supp. 06-2).

Ariz. Admin. Code § R4-24-206 Renumbered

History

• Section R4-24-205 adopted effective April 10, 1986 (Supp. 86-2). Section R4-24-206 renumbered from Section R4-24-205 and amended effective May 7, 1990 (Supp. 90-2). Amended by final rulemaking at 5 A.A.R. 2988, effective August 12, 1999 (Supp. 99-3). Former Section R4-24-206 repealed; new Section R4-24-206 renumbered from R4-24-204 and amended by final rulemaking at 6 A.A.R. 2399, effective June 9, 2000 (Supp. 00-2). Amended by final rulemaking at 11 A.A.R. 5465, effective February 4, 2006 (Supp. 05-4). Section R4-24-206 renumbered to R4-24-107 by final rulemaking at 12 A.A.R. 2401, effective August 5, 2006 (Supp. 06-2).

Ariz. Admin. Code § R4-24-207 Application for a Physical Therapist Assistant Certificate

A. An applicant for an original physical therapist assistant certificate shall submit to the Board an application packet that includes:

1. An application form provided by the Board, signed, dated, and verified by the applicant that contains:

a. The applicant's name, business, residential, and e-mail addresses, business and residential telephone numbers, birth date, and Social Security number;

b. The name and address of the college or university where the applicant completed an accredited educational program for physical therapist assistants, dates of attendance, and date of completion;

c. A statement of whether the applicant has ever been licensed or certified as a physical therapist assistant in any other jurisdiction of the United States or foreign country;

d. Professional employment history for the five years before the date of application including the name, address, and telephone number for each place of employment, job title, description of the work completed, and explanation of any breaks in employment, if applicable;

e. A statement of whether the applicant has ever been convicted of, pled guilty or no contest to, or entered into diversion in lieu of prosecution for any criminal offense in any jurisdiction of the United States or foreign country and if so, an explanation;

f. A statement of whether the applicant has ever had an application for a professional or occupational license, certificate, or registration, other than a driver's license, denied, rejected, suspended, or revoked by any jurisdiction of the United States or foreign country and if so, an explanation;

g. A statement of whether the applicant is currently or ever has been under investigation, suspension, or restriction by a professional licensing board in any jurisdiction of the United States or foreign country for any act that occurred in that jurisdiction that would be the subject of discipline under this Chapter and if so, an explanation;

h. A statement of whether the applicant has ever been the subject of disciplinary action by a professional association or postsecondary educational institution;

i. A statement of whether the applicant has committed any of the actions referenced in the definition of good moral character in R4-24-101;

j. A statement of whether the applicant has ever had a malpractice judgment or has a lawsuit currently pending for malpractice and if so, an explanation;

k. A statement of whether the applicant is currently more than 30 days in arrears for payment required by a judgment and order for child support in Arizona or any other jurisdiction;

l. A statement of whether the applicant has any impairment to the applicant's cognitive, communicative, or physical ability to participate in therapeutic interventions with skill and safety and if so, an explanation;

m. A statement of whether the applicant has, within the past 10 years, used alcohol, any illegal chemical substance, or prescription medications, that in any way has impaired or limited the applicant's ability to participate in therapeutic interventions with skill and safety and if so, an explanation;

n. A statement of whether the applicant has, within the past 10 years, been diagnosed as having or is being treated for bipolar disorder, schizophrenia, paranoia, or other psychotic disorder that in any way has impaired or limited the applicant's ability to participate in therapeutic interventions with skill and safety and if so, an explanation;

o. A statement of whether the applicant has ever violated A.R.S. § 32-2044(10); and

p. A sworn statement by the applicant verifying the truthfulness of the information provided by the applicant;

2. A passport photograph of the applicant no larger than 1 1/2 x 2 inches that was taken not more than six months before the date of the application;

3. Documentation, as described under A.R.S. § 41-1080, of the applicant's U.S. citizenship, alien status, legal residency, or lawful presence in the U.S.; and

4. The fee required in R4-24-107.

B. In addition to the requirements in subsection (A), an applicant shall arrange to have directly submitted to the Board:

1. An official transcript or letter showing the applicant completed all requirements of an accredited educational program that includes the official seal of the school or college where the applicant completed the accredited educational program and signature of the registrar of the school or college;

2. Verification of passing a national examination for physical therapist assistants as evidenced by an original notice of examination results; and

3. Verification of passing a jurisprudence examination as evidenced by an original notice of examination results.

C. In addition to the requirements in subsections (A) and (B), an applicant for a physical therapist assistant certificate by endorsement shall submit to the Board:

1. The name of the licensing or certifying agency of any jurisdiction in which the applicant is currently or has been previously licensed or certified; and

2. A verification of license or certificate, signed and dated by an official of the agency licensing or certifying the applicant, that includes the official seal of the licensing or certifying agency and all of the following:

a. The name of the applicant;

b. The license or certificate number and date of issuance;

c. The current status of the license or certificate;

d. The expiration date of the license or certificate;

e. A statement of whether the applicant was ever denied a license or certificate by the agency and if so, an explanation; and

f. A statement of whether any disciplinary action is pending or has ever been taken against the applicant and if so, an explanation.

D. The Board shall deny a certificate to an applicant who fails to meet the requirements of this Section or A.R.S. Title 32, Chapter 19. A person denied a certificate may request a hearing under A.R.S. Title 41, Chapter 6, Article 10.

History

• New Section adopted by final rulemaking at 5 A.A.R. 2988, effective August 12, 1999 (Supp. 99-3). Former Section R4-24-207 renumbered to R4-24-209; new Section R4-24-207 renumbered from R4-24-205 and amended by final rulemaking at 6 A.A.R. 2399, effective June 9, 2000 (Supp. 00-2). Amended by final rulemaking at 12 A.A.R. 2401, effective August 5, 2006 (Supp. 06-2). Amended by final rulemaking at 14 A.A.R. 376, effective March 8, 2008 (Supp. 08-1). Amended by final rulemaking at 14 A.A.R. 3418, effective October 4, 2008, (Supp. 08-3). Amended by final rulemaking at 25 A.A.R. 404, effective 4/6/2019.

Ariz. Admin. Code § R4-24-208 License or Certificate Renewal; Address Change

A. A licensee or certificate holder shall submit a renewal application packet to the Board on or before August 31 of an even-numbered year that includes:

1. The following information for the compliance period immediately preceding the renewal application:

a. The licensee's or certificate holder's:

i. Name;

ii. Home, business, and e-mail addresses; and

iii. Home and business telephone numbers;

b. A statement of whether the licensee or certificate holder has been convicted of, pled guilty or no contest to, or entered into diversion in lieu of prosecution for any criminal offense in any jurisdiction of the United States or foreign country and if so, an explanation;

c. A statement of whether the licensee or certificate holder has had an application for a professional or occupational license, certificate, or registration, other than a driver's license, denied, rejected, suspended, or revoked by any jurisdiction of the United States or foreign country and if so, an explanation;

d. A statement of whether the licensee or certificate holder is currently or ever has been under investigation, suspension, or restriction by a professional licensing board in any jurisdiction of the United States or foreign country for any act that occurred in that jurisdiction that would be the subject of discipline under this Chapter and if so, an explanation;

e. A statement of whether the licensee or certificate holder has been the subject of disciplinary action by a professional association or postsecondary educational institution;

f. A statement of whether the licensee or certificate holder has had a malpractice judgment against the licensee or certificate holder or has a lawsuit currently pending for malpractice and if so, an explanation;

g. A statement of whether the licensee or certificate holder is currently more than 30 days in arrears for payment required by a judgment and order for child support in Arizona or any other jurisdiction;

h. A statement of whether the licensee or certificate holder has adhered to the recognized standards of ethics;

i. A statement of whether the licensee or certificate holder has or has not committed any of the actions referenced in the definition of good moral character in R4-24-101;

j. A statement of whether the licensee or certificate holder has been the subject of any criminal investigation by a federal, state, or local agency or had criminal charges filed against the licensee or certificate holder;

k. If a licensee, a statement of whether the licensee has:

i. Any impairment to the licensee's cognitive, communicative, or physical ability to engage in the practice of physical therapy with skill and safety and if so, an explanation;

ii. Used alcohol, any illegal chemical substance, or prescription medicine, that in any way has impaired or limited the licensee's ability to practice physical therapy with skill and safety and if so, an explanation;

iii. Been diagnosed as having or is being treated for bipolar disorder, schizophrenia, paranoia, or other psychotic disorder that in any way has impaired or limited the licensee's ability to practice physical therapy with skill and safety and if so, an explanation;

l. If a certificate holder, a statement of whether the certificate holder has:

i. Any impairment to the certificate holder's cognitive, communicative, or physical ability to work as a physical therapist assistant with skill and safety and if so, an explanation;

ii. Used alcohol, any illegal chemical substance or prescription medicine, that in any way has impaired or limited the certificate holder's ability to work as a physical therapist assistant with skill and safety and if so, an explanation;

iii. Been diagnosed as having or is being treated for bipolar disorder, schizophrenia, paranoia, or other psychotic disorder that in any way has impaired or limited certificate holder's ability to work as a physical therapist assistant with skill and safety and if so, an explanation;

m. A statement of whether the licensee or certificate holder has ever violated A.R.S. § 32-2044(10);

n. If a licensee, a statement of whether the licensee has completed the 20 contact hours of continuing competence for the previous compliance period as required in R4-24-402;

o. If a certificate holder, a statement of whether the certificate holder has completed the 10 contact hours of continuing competence for the previous compliance period as required in R4-24-402;

p. If a licensee, a statement of whether the licensee has complied with the medical records protocol as required in A.R.S. § 32-3211; and

q. If a licensee, a statement of whether the licensee has completed the dry needling course content requirements in A.A.C. R4-24-313.

2. The signature of the applicant attesting to the truthfulness of the information provided by the licensee or certificate holder;

3. If the documentation previously submitted under R4-24-201(A)(3) or R4-24-207(A)(3) did not establish citizenship in the United States or was not a non-expiring work authorization, documentation specified under A.R.S. § 41-1080 that the presence of the licensee or certificate holder in the United States continues to be authorized under federal law; and

4. The fee required by the Board in R4-24-107.

B. Failure of the Board to inform a licensee or certificate holder of license or certificate expiration does not excuse the licensee's or certificate holder's non-renewal or untimely renewal.

C. The Board shall:

1. Approve or deny the application within the time frames in R4-24-209 and Table 1, and

2. Deny the application of an applicant who does not meet the requirements in A.R.S. § 32-2001 et seq. or this Chapter.

D. A licensee or certificate holder denied renewal of a license or certificate may request a hearing under A.R.S. Title 41, Chapter 6, Article 10.

E. A licensee or certificate holder shall send to the Board written notification of a change in any of the information provided under subsection (A)(1)(a) no later than 30 days after the date of the change.

History

• New Section adopted by final rulemaking at 6 A.A.R. 2399, effective June 9, 2000 (Supp. 00-2). Amended by final rulemaking at 12 A.A.R. 2401, effective August 5, 2006 (Supp. 06-2). Amended by final rulemaking at 14 A.A.R. 376, effective March 8, 2008 (Supp. 08-1). Amended by final rulemaking at 14 A.A.R. 3418, effective October 4, 2008, (Supp. 08-3). Amended by final rulemaking at 18 A.A.R. 1858, effective July 10, 2012 (Supp. 12-3). Amended by exempt rulemaking at 26 A.A.R. 926, effective 7/1/2015. Amended by final rulemaking at 25 A.A.R. 404, effective 4/6/2019.

Ariz. Admin. Code § R4-24-209 Time-Frames for Board Approvals

A. The overall time-frame described in A.R.S. § 41-1072(2) for each type of approval granted by the Board is listed in Table 1. The applicant and the Executive Director of the Board may agree in writing to extend the substantive review time-frame and overall time-frame. The overall time-frame and the substantive review time-frame may not be extended by more than 25% of the overall time-frame.

B. The administrative completeness review time-frame described in A.R.S. § 41-1072(1) for each type of approval granted by the Board is listed in Table 1.

1. The administrative completeness review time-frame begins:

a. When the Board receives an application packet for an initial or renewal license or certificate or

b. When the Board receives a request for approval of a facility.

2. If the application packet is incomplete, the Board shall send to the applicant a written notice specifying the missing document or incomplete information.

a. The administrative completeness review time-frame and the overall time-frame are suspended from the postmark date of the notice until the date the Board receives a complete application packet from the applicant.

b. An applicant who disagrees with the Board's statement of deficiencies may request a hearing as provided in A.R.S. § 32-2023.

3. If an application packet is complete, the Board shall send a written notice of administrative completeness to the applicant.

4. If the Board grants a license, certificate, or approval during the time provided to assess administrative completeness, the Board shall not issue a separate written notice of administrative completeness.

C. The substantive review time-frame described in A.R.S. § 41-1072(3) is listed in Table 1 and begins on the postmark date of the notice of administrative completeness.

1. During the substantive review time-frame, the Board may make one comprehensive written request for additional information or documentation. The time-frame for the Board to complete the substantive review is suspended from the postmark date of the comprehensive written request for additional information or documentation until the Board receives the additional information or documentation.

2. The Board shall send a written notice of approval of a license or certificate to an applicant who meets the qualifications in A.R.S. §§ 32-2001 through 32-2027 and this Chapter.

3. The Board shall send a written notice of denial to an applicant who fails to meet the qualifications in A.R.S. §§ 32-2001 through 32-2027 and these rules.

D. The Board shall consider an application withdrawn if within 360 days from the application submission date the applicant fails to:

1. Supply the missing information requested under subsection (B)(2) or (C)(1); or

2. Take the national physical therapist examination or national physical therapist assistant examination.

E. An applicant who does not wish an application withdrawn may request a denial in writing within 360 days from the application submission date.

F. If a time-frame's last day falls on a Saturday, Sunday, or an official state holiday, the Board shall consider the next business day the time-frame's last day.

History

• New Section R4-24-209 renumbered from R4-24-207 and amended by final rulemaking at 6 A.A.R. 2399, effective June 9, 2000 (Supp. 00-2). Amended by final rulemaking at 12 A.A.R. 2401, effective August 5, 2006 (Supp. 06-2).

Ariz. Admin. Code § R4-24-210 Business Entity Registration; Display of Registration Certificate

A. A business entity that offers physical therapy services to the public and is not exempt from registration under A.R.S. § 32-2030(H) shall separately register with the Board each location from which physical therapy services are offered in Arizona.

B. A business entity shall not offer physical therapy services at a location in Arizona until that location is registered with the Board.

C. To register with the Board an Arizona location at which physical therapy services are offered, a business entity shall submit to the Board an application packet that includes the following:

1. An application form, which is available from the Board and requires the following information:

a. Name, primary address, and e-mail address of the business entity;

b. Name, title, address, e-mail address, and telephone number of the manager of the location being registered;

c. Name and business address of each officer or director of the business entity;

d. Name and license number of each physical therapist who provides physical therapy services at the location being registered;

e. Name and certificate number of each physical therapy assistant who works at the location being registered;

f. Description of the physical therapy services offered at the location being registered;

g. For the business entity, a statement of whether any state, territory, district, or country has ever:

i. Refused to issue or renew a registration, permit, license, or other authorization;

ii. Accepted surrender of a registration, permit, license, or other authorization in lieu of other disciplinary action; or

iii. Suspended, revoked, cancelled, or taken other disciplinary action against a registration, permit, license, or other authorization; and

h. Dated signature of an officer or director attesting that:

i. The business entity has a written protocol that meets the standards in A.R.S. § 32-2030(F) for the secure storage, transfer, and access of the physical therapy records of the business entity's patients; and

ii. The information provided is true and correct; and

2. The application fee required under R4-24-107(A)(3).

D. For each location registered, a business entity shall display, in a location accessible to public view, the:

Registration certificate and current renewal verification of the business entity,

2. License and current renewal verification of every physical therapist who provides physical therapy services at the location, and

Certificate and current renewal verification of every physical therapy assistant who works at the location.

History

• New Section made by final rulemaking at 18 A.A.R. 841, effective May 11, 2012 (Supp. 12-1). Amended by final rulemaking at 25 A.A.R. 404, effective 4/6/2019.

Ariz. Admin. Code § R4-24-211 Renewal of Business Entity Registration

A. The registration of a business entity expires for each location registered on August 31 of every odd-numbered year.

B. A business entity shall separately renew the registration of each location from which the business entity offers physical therapy services in Arizona.

C. To renew the registration of an Arizona location from which physical therapy services are offered, a business entity shall submit to the Board an application form, which is available from the Board and requires the following information:

1. Name, primary address, and e-mail address of the business entity;

2. Name, title, address, e-mail address, and telephone number of the manager of the location being registered;

3. Name and business address of each officer or director of the business entity;

4. Name and license number of each physical therapist who provides physical therapy services at the location being registered;

5. Name and certificate number of each physical therapy assistant who works at the location being registered;

Description of the physical therapy services offered at the location being registered;

7. For the business entity, a statement of whether any state, territory, district, or country has ever:

a. Refused to issue or renew a registration, permit, license, or other authorization;

b. Accepted surrender of a registration, permit, license, or other authorization in lieu of other disciplinary action; or

c. Suspended, revoked, cancelled, or taken other disciplinary action against a registration, permit, license, or other authorization;

8. Statement of whether the business entity complies with A.R.S. § 32-2030(F); and

9. Dated signature of an officer or director attesting that the information provided is true and correct.

D. A business entity that timely complies with subsection (C) may continue to offer physical therapy services from the location for which application is made until the Board grants or denies the renewed registration.

E. A business entity that fails to comply timely with subsection (C) shall immediately stop offering physical therapy services from the location for which application is not made. To be authorized to offer physical therapy services again from that location, the business entity shall comply with R4-24-210 and pay both the application and late fee specified in R4-24-107(A)(3).

History

• New Section made by final rulemaking at 18 A.A.R. 841, effective May 11, 2012 (Supp. 12-1). Amended by final rulemaking at 25 A.A.R. 404, effective 4/6/2019.

Ariz. Admin. Code § R4-24-212 Regulation of a Business Entity

A. A business entity may submit a complaint under A.R.S. § 32-2030 or 32-2045(D) by complying with R4-24-305.

B. The Board shall investigate and act on a complaint, whether submitted by or against a business entity, in a manner consistent with R4-24-305, R4-24-306, R4-24-307, R4-24-308, and R4-24-309.

C. As provided under A.R.S. § 32-2047, a business entity that violates a requirement of A.R.S. § 32-2030 is subject to disciplinary action by the Board.

History

• New Section made by final rulemaking at 18 A.A.R. 841, effective May 11, 2012 (Supp. 12-1).

Ariz. Admin. Code § R4-24-213 Business Entity Participation

A registered business entity may provide assistance and advice to the Board relating to the regulation of business entities by:

1. Participating in the rulemaking process in a manner described under A.R.S. Title 41, Chapter 6, Article 3;

2. Submitting a petition under A.R.S. § 41-1033 and R4-24-502;

3. Submitting an appeal under A.R.S. § 41-1056.01 and R4-24-502;

4. Submitting a written criticism under R4-24-506; and

5. Attending a Board meeting.

History

• New Section made by final rulemaking at 18 A.A.R. 841, effective May 11, 2012 (Supp. 12-1).

Article 3 PRACTICE OF PHYSICAL THERAPY

Ariz. Admin. Code § R4-24-301 Lawful Practice

A. A physical therapist shall provide the referring practitioner, if any, with information from the patient assessment, diagnosis, and plan of care. Within one week after a patient is initially evaluated, the physical therapist shall provide this information:

1. In writing and place a copy of the written notice in the patient's record, or

2. Orally and place a contemporaneously made note of the verbal communication in the patient's record.

B. A physical therapist shall maintain the confidentiality of patient records as required by federal and state law.

C. On written request by a patient or the patient's health care decision maker, a physical therapist shall provide access to or a copy of the patient's medical or payment record in accordance with A.R.S. § 12-2293.

D. A physical therapist shall obtain a patient's consent before examination and treatment and document the consent in the patient's record.

E. A physical therapist shall respect a patient's right to make decisions regarding examination and the recommended plan of care including the patient's decision regarding consent, modification of the plan of care, or refusal of examination or treatment. To assist the patient in making these decisions, the physical therapist shall:

1. Communicate to the patient:

a. Examination findings,

b. Evaluation of the findings, and

c. Diagnosis and prognosis,

2. Collaborate with the patient to establish the goals of treatment and the plan of care, and

3. Inform the patient that the patient is free to select another physical therapy provider.

History

• Adopted effective June 3, 1982 (Supp. 82-3). Former Section R4-24-301 repealed, new Section R4-24-301 adopted effective April 10, 1986 (Supp. 86-2). Amended effective March 14, 1996 (Supp. 96-1). Section repealed; new Section adopted by final rulemaking at 6 A.A.R. 2399, effective June 9, 2000 (Supp. 00-2). Amended by final rulemaking at 15 A.A.R. 1788, effective December 5, 2009 (Supp. 09-4).

Ariz. Admin. Code § R4-24-302 Use of Titles

A. As required under A.R.S. § 32-2042, a licensed physical therapist shall use the designation "P.T." immediately following the licensee's name or signature to denote licensure. A licensed physical therapist shall not use the designations "R.P.T." or "L.P.T." in connection with the physical therapist's name or place of business.

B. In addition to and immediately following the "P.T." designation, a physical therapist may list academic degrees earned and professional specialty certifications held.

C. As required under A.R.S. § 32-2042, a physical therapist assistant shall use the designation "P.T.A." immediately following the physical therapist assistant's name to denote certification.

D. As required under A.R.S. § 32-2042, a physical therapist or physical therapist assistant who is on retired status shall use "(retired)" or "(ret.)" immediately after the designation required under subsection (A) or (C), as applicable.

History

• Adopted effective June 1, 1982 (Supp. 82-3). Former Section R4-24-302 repealed, new Section R4-24-302 adopted effective April 10, 1986 (Supp. 86-2). Amended effective March 14, 1996 (Supp. 96-1). Section repealed; new Section adopted by final rulemaking at 6 A.A.R. 2399, effective June 9, 2000 (Supp. 00-2). Amended by final rulemaking at 14 A.A.R. 3418, effective October 4, 2008 (Supp. 08-3). Amended by final rulemaking at 18 A.A.R. 1858, effective July 10, 2012 (Supp. 12-3).

Ariz. Admin. Code § R4-24-303 Patient Care Management

A. A physical therapist is responsible for the scope of patient management in the practice of physical therapy as defined by A.R.S. § 32-2001. For each patient, the physical therapist shall:

1. Perform and document an initial evaluation;

2. Perform and document periodic reevaluation;

3. Document a discharge summary and the patient's response to the course of treatment at discharge;

4. Ensure that the patient's physical therapy record is complete and accurate; and

5. Ensure that services reported for billing, whether billed directly to the patient or through a third party, are accurate and consistent with information in the patient's physical therapy record.

B. On each date of service, a physical therapist shall:

Perform and document each therapeutic intervention that requires the expertise of a physical therapist; and

Determine, based on a patient's acuity and treatment plan, whether it is appropriate to use assistive personnel to perform a selected treatment intervention or physical therapy task for the patient.

C. A physical therapist shall not supervise more than three assistive personnel at any time. If a physical therapist supervises three assistive personnel, the physical therapist shall ensure that:

1. At least one of the assistive personnel is a physical therapist assistant,

No more than two of the assistive personnel are physical therapist assistants performing selected treatment interventions under general supervision, and

3. Assistive personnel other than a physical therapist assistant perform a physical therapy task only under the onsite supervision of a physical therapist.

D. Before delegating performance of a selected treatment intervention to a physical therapist assistant working under general supervision, the supervising physical therapist shall ensure that the physical therapist assistant:

1. Is certified under this Chapter, and

2. Has completed at least 2,000 hours of experience as a physical therapist assistant working with patients under onsite supervision.

E. Before delegating performance of a selected physical therapy intervention or physical therapy task to assistive personnel working under general or onsite supervision, the supervising physical therapist shall ensure that the assistive personnel is qualified by education or training to perform the selected physical therapy intervention or physical therapy task in a safe, effective, and efficient manner.

F. A physical therapist who provides general supervision for a physical therapist assistant shall:

1. Be licensed under this Chapter;

2. Respond to a communication from the physical therapist assistant within 15 minutes;

3. Go to the location at which and on the same day that the physical therapist assistant provides a selected treatment intervention if the physical therapist, after consultation with the physical therapist assistant, determines that going to the location is in the best interest of the patient; and

Perform a reevaluation and provide each therapeutic intervention for the patient that is done on the day of the reevaluation every fourth treatment visit or every 30 days, whichever occurs first.

G. A physical therapist assistant who provides a selected treatment intervention under general supervision shall document in the patient record:

1. The name and license number of the supervising physical therapist;

2. The name of the patient to whom the selected treatment intervention is provided;

3. The date on which the selected treatment intervention is provided;

4. The selected treatment intervention provided; and

5. Whether the physical therapist assistant consulted with the supervising physical therapist during the course of the selected treatment intervention and if so, the subject of the consultation and any decision made.

History

• Adopted effective June 3, 1982 (Supp. 82-3). Repealed effective April 10, 1986 (Supp. 86-2). New Section R-24-303 adopted by final rulemaking at 6 A.A.R. 2399, effective June 9, 2000 (Supp. 00-2). Amended by final rulemaking at 13 A.A.R. 1640, effective June 30, 2007 (Supp. 07-2).

Ariz. Admin. Code § R4-24-304 Adequate Patient Records

A. A physical therapist shall ensure that a patient record meets the following minimum standards:

1. Each entry in the patient record is:

a. Legible,

b. Accurately dated, and

c. Signed with the name and legal designation of the individual making the entry;

2. If an electronic signature is used to sign an entry, the electronic signature is secure;

3. The patient record contains sufficient information to:

a. Identify the patient on each page of the patient record,

b. Justify the therapeutic intervention,

c. Document results of the therapeutic intervention,

d. Indicate advice or cautionary warnings provided to the patient,

e. Enable another physical therapist to assume the patient's care at any point in the course of therapeutic intervention, and

f. Describe the patient's medical history.

4. If an individual other than a physical therapist or physical therapist assistant makes an entry into the patient record, the supervising physical therapist co-signs the entry;

5. If it is determined that erroneous information is entered into the patient record:

a. The error is corrected in a manner that allows the erroneous information to remain legible, and

b. The individual making the correction dates and initials the correct information; and

6. For each date of service there is an accurate record of the physical therapy services provided and billed.

B. Initial evaluation. As required by A.R.S. § 32-2043(F)(1), a physical therapist shall perform the initial evaluation of a patient. The physical therapist who performs an initial evaluation shall make an entry that meets the standards in subsection (A) in the patient record and document:

1. The patient's reason for seeking physical therapy services;

2. The patient's relevant medical diagnoses or conditions;

3. The patient's signs and symptoms;

4. Objective data from tests or measurements;

5. The physical therapist's interpretation of the results of the examination;

6. Clinical rationale for therapeutic intervention;

7. A plan of care that includes the proposed therapeutic intervention, measurable goals, and frequency and duration of therapeutic intervention; and

8. The patient's prognosis.

C. Therapeutic-intervention notes. For each date that a therapeutic intervention is provided to a patient, the individual who provides the therapeutic intervention shall make an entry that meets the standards in subsection (A) in the patient record and document:

1. The patient's subjective report of current status or response to therapeutic intervention;

2. The therapeutic intervention provided or appropriately supervised;

Objective data from tests or measures, if collected;

4. Instructions provided to the patient, if any; and

5. Any change in the plan of care required under subsection (B)(7).

D. Re-evaluation. As required by A.R.S. § 32-2043(F)(2), a physical therapist shall perform a re-evaluation when a patient fails to progress as expected, progresses sufficiently to warrant a change in the plan of care, or in accordance with R4-24-303(F)(4). A physical therapist who performs a re-evaluation shall make an entry that meets the standards in subsection (A) in the patient record and document:

1. The patient's subjective report of current status or response to therapeutic intervention;

2. Assessment of the patient's progress;

3. The patient's current functional status;

4. Objective data from tests or measures, if collected;

5. Rationale for continuing therapeutic intervention; and

6. Any change in the plan of care required under subsection (B)(7).

E. Discharge summary. As required by A.R.S. § 32-2043(F)(3), a physical therapist shall document the conclusion of care in a patient's record regardless of the reason that care is concluded.

1. If care is provided in an acute-care hospital, the entry made under subsection (C) on the last date that a therapeutic intervention is provided constitutes documentation of the conclusion of care if the entry is made by a physical therapist.

2. If care is not provided in an acute-care hospital or if a physical therapist does not make the entry under subsection (C) on the last date that a therapeutic intervention is provided, a physical therapist shall make an entry that meets the standards in subsection (A) in the patient record and document:

a. The date on which therapeutic intervention terminated;

b. The reason that therapeutic intervention terminated;

c. Inclusive dates for the episode of care being terminated;

d. The total number of days on which therapeutic intervention was provided during the episode of care;

e. The patient's current functional status;

f. The patient's progress toward achieving the goals in the plan of care required under subsection (B)(7); and

g. The recommended discharge plan.

History

• New Section adopted by final rulemaking at 6 A.A.R. 2399, effective June 9, 2000 (Supp. 00-2). R4-24-304 renumbered to R4-24-305; new Section R4-24-304 made by final rulemaking at 14 A.A.R. 3418, effective October 4, 2008 (Supp. 08-3).

Ariz. Admin. Code § R4-24-305 Complaints and Investigations

A. A complainant shall ensure that a complaint filed with the Board is about:

An individual licensed or certified under this Chapter; or

2. An individual believed to be engaged in unlawful practice as described in A.R.S. § 32-2048.

B. If the Board determines under A.R.S. § 32-2045(A)(2) that there is reason to believe that an individual may have violated A.R.S. Title 32, Chapter 19, or this Chapter, the Board shall prepare a complaint and serve the complaint as described in subsection (D)(2).

C. Complaint requirements. A complainant shall:

1. Submit the complaint to the Board in writing; and

2. Provide the following information:

a. Name of licensee, certificate holder, or other individual who is the subject of complaint;

b. Name and address of complainant;

c. Nature of the complaint;

d. Details of the complaint with pertinent dates and activities;

e. Whether the complainant has contacted any other organization regarding the complaint; and

f. Whether complainant has contacted the licensee, certificate holder, or other individual concerning the complaint, and if so, the response, if any.

D. Within 90 days after receiving a complaint, the Board shall ensure that the complaint is reviewed to determine whether the complaint is within the Board's jurisdiction, and:

1. If the complaint is not within the Board's jurisdiction, dismiss the complaint and provide written notice of the dismissal to the complainant; or

2. If the complaint is within the Board's jurisdiction, serve a copy of the complaint on the individual complained against and provide the individual complained against with 30 days to respond and admit, deny, or further explain each allegation in the complaint.

E. If a complaint is within the Board's jurisdiction, the Board shall ensure that an investigation regarding the matters alleged in the complaint is conducted.

F. After expiration of the 30 days provided under subsection (D)(2), the Board shall review the complaint, response, and investigation results and take action as prescribed under A.R.S. §§ 32-2045(B) or 32-2046.

History

• New Section adopted by final rulemaking at 6 A.A.R. 2399, effective June 9, 2000 (Supp. 00-2). R4-24-305 renumbered to R4-24-306; new Section R4-24-305 renumbered from R4-24-304 and amended by final rulemaking at 14 A.A.R. 3418, effective October 4, 2008 (Supp. 08-3).

Ariz. Admin. Code § R4-24-306 Hearings

A. To facilitate investigation of a complaint, the Board may conduct an informal hearing. The Board shall send written notice of an informal hearing to the individual who is the subject of the complaint, by personal service or certified mail, return receipt requested, at least 30 days before the informal hearing.

B. The Board shall ensure that the written notice of informal hearing contains the following information:

1. The time, date, and place of the informal hearing;

2. An explanation of the informal nature of the proceedings;

3. The individual's right to appear with or without legal counsel;

4. A statement of the allegations and issues involved with a citation to relevant statutes and rules;

5. The individual's right to a formal hearing under A.R.S. Title 41, Chapter 6, Article 10 instead of the informal hearing;

6. The licensee's or certificate holder's right to request under A.R.S. § 32-3206(A) a copy of information the Board will use in making its determination; and

Notice that the Board may take disciplinary action as a result of the informal hearing if it finds the individual violated A.R.S. Title 32, Chapter 19, or this Chapter;

C. The Board shall ensure that an informal hearing proceeds as follows:

1. Introduction of the respondent and, if applicable, legal counsel for the respondent;

2. Introduction of the Board members, staff, and Assistant Attorney General present;

3. Swearing in of the respondent and witnesses;

4. Brief summary of the allegations and purpose of the informal hearing;

5. Optional opening comment by the respondent;

6. Questioning of the respondent by the Board and questioning of witnesses by the Board and the respondent;

7. Optional additional comments by the respondent; and

Deliberation and deciding the case by the Board.

History

• New Section R4-24-306 renumbered from R4-24-107 and amended by final rulemaking at 6 A.A.R. 2399, effective June 9, 2000 (Supp. 00-2). R4-24-306 renumbered to R4-24-307; new Section R4-24-306 renumbered from R4-24-305 and amended by final rulemaking at 14 A.A.R. 3418, effective October 4, 2008 (Supp. 08-3).

Ariz. Admin. Code § R4-24-307 Subpoenas

A. A party desiring issuance of a subpoena to compel the appearance of a witness or the production of documents or other evidence at a hearing shall file a written request with the Board that includes the following information:

1. The caption and docket number of the matter;

2. A list or description of any documents or other evidence sought;

3. The name and business address of the custodian of the documents or other evidence sought;

4. The name and business or residential address of all persons to be subpoenaed;

5. A brief statement of the reason the evidence is relevant to the matter;

6. The date, time, and place to appear or produce documents or other evidence; and

7. The name, address, and telephone number of the party, or the party's attorney, requesting the subpoena.

B. The party requesting a subpoena be issued shall ensure that the subpoena is served in the manner prescribed by the Arizona Rules of Civil Procedure and pay all costs involved in serving the subpoena.

C. A party or the person served with a subpoena who objects to the subpoena, in whole or in part, may file a written objection with the Board within five days after service of the subpoena or at the beginning of the hearing if the subpoena is served fewer than five days before the hearing.

D. The Board shall quash or modify a subpoena if:

1. It is unreasonable or oppressive,

2. It requests information that is confidential or privileged, or

3. The desired testimony or evidence can be obtained by an alternative method.

History

• New Section R4-24-307 renumbered from R4-24-109 and amended by final rulemaking at 6 A.A.R. 2399, effective June 9, 2000 (Supp. 00-2). R4-24-307 renumbered to R4-24-308; new Section R4-24-307 renumbered from R4-24-306 and amended by final rulemaking at 14 A.A.R. 3418, effective October 4, 2008 (Supp. 08-3).

Ariz. Admin. Code § R4-24-308 Rehearing or Review of Board Decisions

A. The Board shall provide for a rehearing and review of its decisions under A.R.S. Title 41, Chapter 6, Article 10.

B. Except as provided in subsection (I), a party is required to file a motion for rehearing or review of a decision of the Board to exhaust the party's administrative remedies.

C. A party may amend a motion for rehearing or review at any time before the Board rules on the motion.

D. The Board may grant a rehearing or review for any of the following reasons materially affecting a party's rights:

1. Irregularity in the proceedings of the Board or any order or abuse of discretion that deprived the moving party of a fair hearing;

Misconduct of the Board, its staff, or an administrative law judge;

3. Accident or surprise that could not have been prevented by ordinary prudence;

4. Newly discovered material evidence that could not, with reasonable diligence, have been discovered and produced at the hearing;

5. Excessive or insufficient penalty;

6. Error in the admission or rejection of evidence or other errors of law occurring at the hearing or during the progress of the proceedings; and

7. The findings of fact or decision is not justified by the evidence or is contrary to law.

E. The Board may affirm or modify a decision or grant a rehearing or review to any or all of the parties on all or part of the issues for any of the reasons listed in subsection (D). An order modifying a decision or granting a rehearing or review shall specify with particularity the grounds for the order. If a rehearing or review is granted, the rehearing or review shall cover only the matters specified in the order.

F. No later than 30 days after making a decision and after giving the parties notice and an opportunity to be heard, the Board may order a rehearing or review on its own initiative for any of the reasons listed in subsection (D). The Board may grant a motion for rehearing or review, timely served, for a reason not stated in the motion. An order granting a rehearing or review shall specify with particularity the grounds on which the rehearing or review is granted.

G. When a motion for rehearing or review is based upon affidavits, the affidavits shall be served with the motion. An opposing party may, within 15 days after service, serve opposing affidavits. This period may be extended for not more than 20 days by the Board for good cause as described in subsection (I) or by written stipulation of the parties. The Board may permit reply affidavits.

H. If a rehearing is granted, the Board shall hold the rehearing within 60 days after the issue date on the order granting the rehearing.

I. If the Board makes a specific finding that immediate effectiveness of a particular decision is necessary for preservation of the public health, safety, or welfare and that rehearing or review is impracticable, unnecessary, or contrary to public interest, the decision may be issued as a final decision without an opportunity for rehearing or review. If an application for judicial review of the decision is made, it shall be made under A.R.S. § 12-901 et seq.

History

• New Section adopted by final rulemaking at 6 A.A.R. 2399, effective June 9, 2000 (Supp. 00-2). R4-24-308 renumbered to R4-24-309; new Section R4-24-308 renumbered from R4-24-307 and amended by final rulemaking at 14 A.A.R. 3418, effective October 4, 2008 (Supp. 08-3). Amended by final rulemaking at 18 A.A.R. 1858, effective July 10, 2012 (Supp. 12-3).

Ariz. Admin. Code § R4-24-309 Disciplinary Actions

A. As required by A.R.S. § 39-121.01, a record of Board disciplinary actions, including a decree of censure, is a public record open to public inspection.

B. If the Board decides to restrict a license or certificate, the Board shall ensure that the restriction and any required corrective action address the conduct that led to the restriction and protect the public. If the Board decides to require that an individual with a restricted license or certificate be supervised during the period of restriction, the Board shall appoint an unrestricted licensee to provide the supervision.

C. A physical therapist or physical therapist assistant whose license or certificate is suspended, revoked, or voluntarily surrendered shall return the license or certificate to the Board within 10 days after receipt of the Board's final order.

D. At the end of a period of license or certificate restriction, the Board shall terminate the restriction only if the licensee or certificate holder submits to the Board evidence of having completed all required corrective actions and complied with all terms of the restriction. If the Board believes it will help the Board determine whether to terminate a restriction, the licensee or certificate holder shall appear before the Board.

E. An applicant who had a previous license or certificate revoked by the Board shall appear before the Board before the Board acts on the application.

History

• New Section adopted by final rulemaking at 6 A.A.R. 2399, effective June 9, 2000 (Supp. 00-2). R4-24-309 renumbered to R4-24-310; new Section R4-24-309 renumbered from R4-24-308 and amended by final rulemaking at 14 A.A.R. 3418, effective October 4, 2008 (Supp. 08-3).

Ariz. Admin. Code § R4-24-310 Substance Abuse Recovery Program

A. Under A.R.S. § 32-2044(8), practicing as a physical therapist or working as a physical therapist assistant while mentally or physically impaired is grounds for disciplinary action.

B. The Board shall allow an impaired licensee or certificate holder to enter into a substance abuse recovery program rather than conduct a disciplinary proceeding if:

1. The impaired licensee or certificate holder is qualified under A.R.S. § 32-2050(2),

2. The Board believes the proposed program will assist the impaired licensee or certificate holder to recover, and

3. The impaired licensee or certificate holder enters into the written agreement required under A.R.S. § 32-2050(3) and (4).

History

• New Section adopted by final rulemaking at 6 A.A.R. 2399, effective June 9, 2000 (Supp. 00-2). Section expired under A.R.S. § 41-1056(E) at 10 A.A.R. 3897, effective July 31, 2004 (Supp. 04-3). New Section R4-24-310 renumbered from R4-24-309 and amended by final rulemaking at 14 A.A.R. 3418, effective October 4, 2008 (Supp. 08-3).

Ariz. Admin. Code § R4-24-311 Display of License; Disclosure

A. A licensee or certificate holder shall display a copy or provide documentation of the license or certificate and current renewal verification as specified in A.R.S. § 32-2051(G).

B. Upon request, a licensee or certificate holder shall inform a member of the public how to file a complaint by providing the address and telephone number of the Board office and a statement that a complaint against a licensee or certificate holder should be directed to the Board.

C. Before conducting an evaluation or initiating physical therapy, a licensee shall disclose to a patient when a referring practitioner is deriving direct or indirect compensation from the referral. The licensee shall ensure that the disclosure is in writing and states "Under A.R.S. § 32-2051(C), I am required by law to inform you in writing that your referring physician [or specify if different from a physician] derives either direct or indirect compensation related to your physical therapy."

History

• New Section adopted by final rulemaking at 6 A.A.R. 2399, effective June 9, 2000 (Supp. 00-2). Amended by final rulemaking at 14 A.A.R. 3418, effective October 4, 2008 (Supp. 08-3).

Ariz. Admin. Code § R4-24-312 Mandatory Reporting Requirement

A. As required by A.R.S. § 32-3208, an applicant, licensee, or certificate holder who is charged with a misdemeanor involving conduct that may affect patient safety or a felony shall provide written notice of the charge to the Board within 10 working days after the charge is filed.

B. An applicant, licensee, or certificate holder may request a list of reportable misdemeanors from the Board.

History

• New Section made by final rulemaking at 14 A.A.R. 3418, effective October 4, 2008 (Supp. 08-3). Amended by final rulemaking at 18 A.A.R. 1858, effective July 10, 2012 (Supp. 12-3).

Ariz. Admin. Code § R4-24-313 Professional Standards of Care and Training and Education Qualifications for Delivery of Dry Needling Skilled Intervention

A. Effective July 1, 2015 and in accordance with A.R.S. § 32-2044(25), a physical therapist shall meet the qualifications established in subsection (C) before providing the skilled intervention "dry needling", as defined in A.R.S. § 32-2001(4).

B. A physical therapist offering to provide or providing "dry needling" intervention shall provide documented proof of compliance with the qualifications listed in subsection (C) to the board within 30 days of completion of the course content in subsection (C) or within 30 days of initial licensure as a physical therapist in Arizona.

C. Course content that meets the training and education qualifications for "dry needling" shall contain all of the following:

1. The course content shall be approved by one or more of the following entities prior to the course(s) being completed by the physical therapist.

a. Commission On Accreditation In Physical Therapy Education,

b. American Physical Therapy Association,

c. State Chapters Of The American Physical Therapy Association,

d. Specialty Groups Of The American Physical Therapy Association, or

e. The Federation of State Boards Of Physical Therapy.

2. The course content shall include the following components of education and training:

a. Sterile needle procedures to include one of the following standards:

i. The U.S. Centers For Disease Control And Prevention, or

ii. The U.S. Occupational Safety And Health Administration

b. Anatomical Review,

c. Blood Borne Pathogens

d. Contraindications and indications for "dry needling",

3. The course content required in subsection (C) of this Section shall include, but is not limited to, passing of both a written examination and practical examination before completion of the course content. Practice application course content and examinations shall be done in person to meet the qualifications of subsection (C).

4. The course content required in subsection (C) of this subsection shall total a minimum of 24 contact hours of education.

D. The standard of care for the intervention "dry needling" includes, but is not limited to the following:

1. "Dry needling" cannot be delegated to any assistive personnel.

2. Consent for treatment for the intervention "dry needling" is the same as required under R4-24-301.

3. Documentation of the intervention "dry needling" shall be done in accordance with R4-24-304.

History

• Adopted by exempt rulemaking at 26 A.A.R. 926, effective 7/1/2015.

Article 4 CONTINUING COMPETENCE

Ariz. Admin. Code § R4-24-401 Continuing Competence Requirements for Renewal

A. Except as provided in subsection (G), a licensed physical therapist shall earn 20 contact hours of continuing competence for each compliance period to be eligible for license renewal .

1. The licensee shall earn at least 10 contact hours from Category A continuing competence activities. No more than five of the required contact hours from Category A may be obtained from nonclinical course work.

2. No more than 10 contact hours may be earned by the licensee during any compliance period from Categories B and C continuing competence activities. No more than five contact hours from categories B and C may be obtained from nonclinical course work.

3. If the licensee's initial license is for one year or less, the licensee shall earn 10 contact hours from Category A continuing competence activities during the initial compliance period. No more than five of the required contact hours from Category A may be obtained from nonclinical course work.

B. Except as provided in subsection (G), a certified physical therapist assistant shall earn 10 contact hours of continuing competence for each compliance period to be eligible for certificate renewal.

1. The certificate holder shall earn at least six contact hours from Category A continuing competence activities. No more than three of the required contact hours from Category A may be obtained from nonclinical course work.

2. No more than four contact hours may be earned by the certificate holder during any compliance period from Categories B and C continuing competence activities. No more than two contact hours from Categories B and C may be obtained from nonclinical course work.

3. If the certificate holder's initial certificate is for one year or less, the certificate holder shall earn six contact hours from Category A continuing competence activities during the initial compliance period. No more than three of the required contact hours from Category A may be obtained from nonclinical course work.

B C. A licensee or certificate holder shall not receive contact hour credit for repetitions of the same activity.

C D. The continuing competence compliance period for a licensee or certificate holder begins on September 1 following the issuance of an initial or renewal license or certificate and ends on August 31 of even-numbered years.

D E. A licensee or certificate holder shall not carry over contact hours from one compliance period to another.

E F. An applicant for renewal shall submit a signed statement to the Board with the renewal application stating whether continuing competence requirements have been fulfilled for the current compliance period.

F G. The Board may, at its discretion, waive continuing competence requirements on an individual basis for reasons of extreme hardship such as illness, disability, active service in the military, or other extraordinary circumstance as determined by the Board. A licensee or certificate holder who seeks a waiver of the continuing competence requirements shall provide to the Board, in writing, the specific reasons for requesting the waiver and additional information the Board may request in support of the waiver.

G H. A licensee or certificate holder is subject to Board auditing for continuing competence compliance.

1. Selection for audit shall be random and notice of audit sent within 60 calendar days following the renewal deadline.

2. Within 30 days of receipt of a notice of audit, a licensee or certificate holder shall submit evidence to the Board that shows compliance with the requirements of continuing competence. Documentation of a continuing competence activity shall include:

a. The date, place, course title, sponsor, schedule, and presenter;

b. The number of contact hours received for the activity; and

c. Proof of completion, such as an abstract, certificate of attendance, sign-in log, or other certification of completion.

H I. A licensee or certificate holder shall retain evidence of participation in a continuing competence activity for two compliance periods after participation.

I J. The Board shall notify a licensee or certificate holder who has been audited whether the licensee or certificate holder is in compliance with continuing competence requirements. The Board shall provide the notice electronically or by certified mail within 30 working days following the determination by the Board.

J K. The Board shall provide six months from the date of the notice under subsection (J) for a licensee or certificate holder found not in compliance with continuing competence requirements to satisfy the continuing competence requirements. A licensee or certificate holder may request a hearing to contest the Board's decision under A.R.S. Title 41, Chapter 6, Article 10.

L. Penalties for failure to comply with continuing competence requirements may be imposed by the Board under A.R.S § 32-2047 following a hearing conducted under A.R.S. Title 41, Chapter 6, Article 10.

History

• New Section adopted by final rulemaking at 6 A.A.R. 2399, effective June 9, 2000 (Supp. 00-2). Amended by final rulemaking at 25 A.A.R. 404, effective 4/6/2019.

Ariz. Admin. Code § R4-24-402 Continuing Competence Activities

A. Category A continuing competence activities shall be approved by:

1. An accredited medical, health care, or physical therapy program;

2. A state or national medical, health care, or physical therapy association, or a component of the association; or

3. A national medical, health care, or physical therapy specialty society.

B. Category A continuing competence activities include:

1. A physical therapy continuing education course designed to provide necessary understanding of current research, clinical skills, administration, or education related to the practice of physical therapy. Calculation of contact hours is determined by dividing the total minutes of instruction by 60. Breaks shall not be included as part of instructional time;

Coursework towards granting or renewal of a physical therapy clinical specialty certification approved by the Board. Each 60 minutes of instruction equals one contact hour;

3. Coursework in a physical therapy clinical residency program. Each 60 minutes of instruction equals one contact hour; and

Coursework in a postgraduate physical therapy education from an accredited college or university. Each 60 minutes of instruction equals one contact hour.

C. Category B continuing competence activities include:

Study group: Maximum five contact hours for physical therapists and two contact hours for physical therapist assistants.

a. A study group is a structured meeting designed for the study of a clinical physical therapy topic dealing with current research, clinical skills, procedures, or treatment related to the practice of physical therapy.

b. A study group shall have a minimum of three participants and two hours of participation to equal one contact hour.

2. Self instruction: Maximum five contact hours for physical therapists and two contact hours for physical therapist assistants.

a. Self instruction is a structured course of study relating to one clinical physical therapy topic dealing with current research, clinical skills, procedures, or treatment related to the practice of physical therapy. Self instruction may be directed by a correspondence course, video, internet, or satellite program.

b. Each 60 minutes of self instruction equals one contact hour.

3. Inservice education: Maximum five contact hours for physical therapists and two contact hours for physical therapist assistants.

a. Inservice education is attendance at a presentation pertaining to current research, clinical skills, procedures, or treatment related to the practice of physical therapy or relating to patient welfare or safety, including CPR certification.

b. Each 60 minutes of inservice education equals one contact hour.

D. Category C modes of continuing competence include:

1. Physical therapy practice management coursework: Maximum of five contact hours for physical therapists and two contact hours for physical therapist assistants.

a. Physical therapy practice management course work is course work concerning physical therapy administration, professional responsibility, ethical obligations, or legal requirements applicable to physical therapy practice settings.

b. If the course is graded, a licensee or certificate holder shall receive a "pass" in a pass/fail course or a minimum of a C in a graded course to receive credit.

c. Each 60 minutes of practice management coursework equals one contact hour.

2. Teaching or lecturing: Maximum five contact hours for physical therapists and two contact hours for physical therapist assistants.

a. Teaching or lecturing is the presentation of an original educational program dealing with current research, clinical skills, procedures, treatment, or practice management related to the practice of physical therapy principally for health care professionals. Credit may be earned for teaching when the presentation is accompanied by written materials prepared, augmented, or updated by the presenter including course objectives and program content.

b. One 60 minute instructional period equals 2.5 contact hours.

c. Credit shall be given only once for a presentation within a compliance period.

3. Publication: Maximum five contact hours for physical therapists and two contact hours for physical therapist assistants.

a. Publication includes writing for professional publication, platform, or poster presentation abstracts that have direct application to the practice of physical therapy. Credit may be earned for publication of material that is a minimum of 1500 words in length and published by a recognized third-party publisher of physical therapy material.

b. Each article published in a refereed journal, book chapter, or book equals five contact hours for physical therapists and two contact hours for physical therapist assistants. Articles published in non-refereed journals, magazines, newsletters, or periodicals equal two contact hours for physical therapists and one contact hour for physical therapist assistants.

4. Clinical instruction: Maximum five contact hours for physical therapists and two contact hours for physical therapist assistants.

a. Clinical instruction involves assisting a student physical therapist or physical therapist assistant or a physical therapist resident or fellow acquire clinical skills required of a physical therapist or physical therapist assistant.

b. An individual to whom clinical instruction is provided shall be enrolled in:

i. A physical therapist or physical therapist assistant program accredited by the Commission on Accreditation of Physical Therapy Education; or

ii. A physical therapist residency or fellowship program approved by the American Physical Therapy Association.

c. The program referenced under subsection (D)(4)(b) shall provide the enrolled individual with proof of completing the hours of clinical instruction.

d. Each 120 hours of clinical instruction equals one contact hour.

History

• New Section adopted by final rulemaking at 6 A.A.R. 2399, effective June 9, 2000 (Supp. 00-2). Amended by final rulemaking at 25 A.A.R. 404, effective 4/6/2019.

Ariz. Admin. Code § R4-24-403 Activities Not Eligible for Continuing Competence Credit

A licensee or certificate holder shall not receive continuing competence credit for the following activities:

1. A regularly scheduled educational opportunity provided within an institution, such as rounds or case conferences;

2. A staff meeting;

3. A publication or presentation by the licensee or certificate holder to a lay or nonprofessional group; and

4. Routine teaching of personnel, students, or staff as part of a job requirement.

History

• New Section adopted by final rulemaking at 6 A.A.R. 2399, effective June 9, 2000 (Supp. 00-2). Amended by final rulemaking at 25 A.A.R. 404, effective 4/6/2019.

Article 5 PUBLIC PARTICIPATION PROCEDURES

Ariz. Admin. Code § R4-24-501 Expired

History

• New Section adopted by final rulemaking at 6 A.A.R. 2399, effective June 9, 2000 (Supp. 00-2). Section expired under A.R.S. § 41-1056(E) at 10 A.A.R. 3897, effective July 31, 2004 (Supp. 04-3).

Ariz. Admin. Code § R4-24-502 Petition for Rulemaking; Review of Agency Practice or Substantive Policy Statement; Objection to a Section Based upon Economic, Small Business, or Consumer Impact

A petition to adopt, amend, or repeal a Section or to review an existing agency practice or substantive policy statement that the petitioner alleges to constitute a rule under A.R.S. § 41-1033 or to object to a Section in accordance with A.R.S. § 41-1056.01 shall be filed with the Board as prescribed in this Section. Each petition shall contain:

1. The name and current address of the petitioner;

2. For adoption of a new Section, specific language of the proposed new Section;

3. For amendment of a current Section, citation for the applicable Arizona Administrative Code Section number and heading of the current Section and the specific language of the current Section with language to be deleted stricken and new language underlined;

4. For the repeal of a current Section, citation for the applicable A.A.C. Section number and heading of the Section proposed for repeal;

5. The reasons a Section should be adopted, amended, or repealed, and if in reference to an existing Section, why the Section is inadequate, unreasonable, unduly burdensome, or otherwise not acceptable. The petitioner may provide additional supporting information, including:

a. Statistical data or other justification, with clear reference to an attached exhibit;

b. Identification of what person or segment of the public would be affected and how the person or segment would be affected; and

c. If the petitioner is a public agency, a summary of a relevant issue raised in any public hearing, or as a written comment offered by the public;

6. For a review of an existing Board practice or substantive policy statement alleged to constitute a rule, the reason the existing Board practice or substantive policy statement constitutes a rule and the proposed action requested of the Board;

7. For an objection to a Section based upon the economic, small business, or consumer impact, evidence that:

a. The actual economic, small business, or consumer impact significantly exceeded the impact estimated in the economic, small business, and consumer impact statement submitted during the making of the Section;

b. The actual economic, small business, or consumer impact was not estimated in the economic, small business, and consumer impact statement submitted during the making of the Section and that actual impact imposes a significant burden on a person subject to the Section; or

c. The agency did not select the alternative that imposes the least burden and costs to persons regulated by the Section, including paperwork and other compliance costs, necessary to achieve the underlying regulatory objective; and

8. The signature of the person submitting the petition.

History

• New Section adopted by final rulemaking at 6 A.A.R. 2399, effective June 9, 2000 (Supp. 00-2). Amended by final rulemaking at 18 A.A.R. 1858, effective July 10, 2012 (Supp. 12-3).

Ariz. Admin. Code § R4-24-503 Expired

History

• New Section adopted by final rulemaking at 6 A.A.R. 2399, effective June 9, 2000 (Supp. 00-2). Section expired under A.R.S. § 41-1056(E) at 10 A.A.R. 3897, effective July 31, 2004 (Supp. 04-3).

Ariz. Admin. Code § R4-24-504 Expired

History

• New Section adopted by final rulemaking at 6 A.A.R. 2399, effective June 9, 2000 (Supp. 00-2). Section expired under A.R.S. § 41-1056(E) at 10 A.A.R. 3897, effective July 31, 2004 (Supp. 04-3).

Ariz. Admin. Code § R4-24-505 Expired

History

• New Section adopted by final rulemaking at 6 A.A.R. 2399, effective June 9, 2000 (Supp. 00-2). Section expired under A.R.S. § 41-1056(E) at 10 A.A.R. 3897, effective July 31, 2004 (Supp. 04-3).

Ariz. Admin. Code § R4-24-506 Written Criticism of Rule

A. Any person may file a written criticism of an existing rule with the Board.

B. The criticism shall clearly identify the rule and specify why the existing rule is inadequate, unduly burdensome, unreasonable, or otherwise improper.

C. The Board shall acknowledge receipt of a criticism within 15 days and shall place the criticism in the official record for review by the Board under A.R.S. § 41-1056.

History

• New Section adopted by final rulemaking at 6 A.A.R. 2399, effective June 9, 2000 (Supp. 00-2).

Chapter 25 BOARD OF PODIATRY EXAMINERS

Article 1 GENERAL PROVISIONS

Ariz. Admin. Code § R4-25-101 Definitions

The following definitions apply in this Chapter unless otherwise specified:

1. "Administer" has the same meaning as in A.R.S. § 32-1901.

2. "Administrative completeness review" means the Board's process for determining that an applicant has:

a. Provided all the information and documents required by Board statute or rule for an application, and

b. Taken a written examination or oral examination required by the Board.

3. "Applicant" means an individual requesting an approval from the Board.

4. "Application packet" means all forms, documents, and additional information require by the Board to be submitted with an application by an applicant or on the applicant's behalf.

5.2. "Comity" means the procedure for granting an Arizona license to an applicant who is licensed as a podiatrist in another state of the United States.

6. "Contested case" has the same meaning as in A.R.S. § 41-1001 .

7. "Continuing education" means a workshop, seminar, lecture, conference, class, or instruction related to the practice of podiatry.

8.3. "Controlled substance" has the same meaning as in A.R.S. § 32-1901.

9.4. "Council" means the Council of Podiatric Medical Education, an organization approved by the American Podiatric Medical Association to govern podiatric education.

10.5. "Credit hour" means 60 minutes of participation in continuing education.

11.6. "Day" means calendar day.

12. 7. "DEA" means The Drug Enforcement Administration in the Department of Justice

13.8. "DEA Registration" means the DEA Controlled Substance Registration required and permitted by 21 U.S.C. 823 of the Controlled Substances Act.

14.9. "Device" has the same meaning as in A.R.S. § 32-1901 and includes a prescription-only device defined in A.R.S. § 32-1901.

15.10. "Directly supervise" has the same meaning as "direct supervision" in A.R.S. § 32-871(D).

16.11. "Dispense" has the same meaning as in A.R.S. § 32-871(F).

17.12. "Distributor" has the same meaning as in A.R.S. § 32-1901.

18.13. "Drug" has the same meaning as in A.R.S. § 32-1901 and includes a controlled substance, a narcotic drug defined in A.R.S. § 32-1901, a prescription medication, and a prescription-only drug.

19. "Fiscal year" means the period beginning on July 1 and ending on the following June 30.

20. "Hospital" means a classification of health care institution that meets the requirements in A.R.S. Title 36, Chapter 4 and 9 A.A.C. 10, Article 2.

21.14. "Informed consent" means a document signed by a patient or patient's representative that authorizes treatment to the patient after the treating podiatrist informs the patient or the patient's representative of the following:

a. A description of the treatment;

b. A description of the expected benefits of the treatment;

c. Alternatives to the treatment;

d. Associated risks of the treatment, including potential side effects and complications; and

e. The patient's right to withdraw authorization for the treatment at any time.

22. "Label" has the same meaning as in A.R.S. § 32-1901 .

23. "Manufacturer" has the same meaning as in A.R.S. § 32-1901 .

24. "Medical record" has the same meaning as in A.R.S. § 12-2291(4) .

25. "Packaging" means the act or process of a person placing a drug item in a container for the purpose of dispensing or distributing the item to another person.

26.15. "Party" has the same meaning as in A.R.S. § 41-1001.

27.16. "Patient" means an individual receiving treatment from a podiatrist.

28.17. "Prescription medication" has the same meaning as in A.R.S. § 32-1901.

29.18. "Prescription-only device" has the same meaning as in A.R.S. § 32-1901.

30.19. "Prescription-only drug" has the same meaning as in A.R.S. § 32-1901.

31.20. "Prescription order" has the same meaning as in A.R.S. § 32-1901.

32.21. "Regular podiatry license" means a license issued pursuant to the provisions of A.R.S. § 32-826(A).

33.22. "Representative" means a legal guardian, an individual acting on behalf of another individual under written authorization from the individual, or a surrogate according to A.R.S. § 36-3201.

34. "Substantive review" means the Board's process for determining that an applicant meets the requirements of A.R.S. §§ 32-801 through 32-871 and this Article.

35.23. "Treatment" means podiatric medical, surgical, mechanical, manipulative, or electrical treatment according to A.R.S. § 32801.

36. "Visit" means to seek diagnosis or treatment of an ailment of the foot or leg from a podiatrist and be physically present for the diagnosis or treatment.

History

• Former Section R4-25-06 renumbered and amended as Section R4-25-01 effective August 30, 1978 (Supp. 78-4). Amended effective April 3, 1980 (Supp. 80-2). Former Section R4-25-01 renumbered and amended as Section R4-25-101 effective November 18, 1986 (Supp. 86-6). Amended effective July 27, 1995 (Supp. 95-3). Amended by final rulemaking at 5 A.A.R. 1000, effective March 16, 1999 (Supp. 99-1). Amended by final rulemaking at 9 A.A.R. 1846, effective July 19, 2003 (Supp. 03-2). Amended by final rulemaking at 26 A.A.R. 1501, effective 9/6/2020. Amended by final rulemaking at 29 A.A.R. 1551, effective 8/18/2023.

Ariz. Admin. Code § R4-25-102 Postdoctoral, or Residency Program Approval

A. For purposes of satisfying the requirements of A.R.S. § 32-826(A), a postdoctoral or residency program approved by the Council is approved by the Board.

B. A postdoctoral or residency program provisionally approved or placed on probation by the Council is approved by the Board until the Council makes a final adverse determination of the status of the postdoctoral or residency program.

History

• Adopted effective March 16, 1981 (Supp. 81-2). Former Section R4-25-02 renumbered and amended as Section R4-25-102 effective November 18, 1986 (Supp. 86-6). Amended effective July 27, 1995 (Supp. 95-3). Amended by final rulemaking at 9 A.A.R. 1846, effective July 19, 2003 (Supp. 03-2). Amended by final rulemaking at 26 A.A.R. 1501, effective 9/6/2020.

Ariz. Admin. Code § R4-25-103 Fees

The Board shall charge the following fees, which are not refundable unless A.R.S. § 41-1077 applies:

1. Application for license according to A.R.S. §§ 32-822(A) and 32-825, $450.00.

2. Application for license according to A.R.S. § 32-827, $450.00.

3. License issuance, $225.00.

4. Annual renewal, $325.00.

5. Penalty fee for late renewal after July 30, $150.00 in addition to the regular renewal fee.

6. Certification of a licensee to authorities of another state or country, $10.00.

7. For initial registration to dispense drugs and devices, $200.00.

8. For annual renewal of registration to dispense drugs and devices, $100.00.

9. Application for temporary license and issuance of license, $100.00

Application for telehealth registration and issuance of registration, $50.00.

History

• Former Rule 3; Repealed effective August 30, 1978 (Supp. 78-4). Adopted as an emergency effective December 29, 1980, pursuant to A.R.S. § 41-1003, valid for only 90 days (Supp. 80-6). Former emergency adoption now adopted effective April 9, 1981 (Supp. 81-2). Former Section R4-25-03 repealed, new Section R4-25-03 adopted effective April 18, 1984 (Supp. 84-2). Former Section R4-25-03 renumbered without change as Section R4-25-103 effective November 18, 1986 (Supp. 86-6). Amended effective May 7, 1990 (Supp. 90-2). Amended effective July 27, 1995 (Supp. 95-3). Amended by final rulemaking at 9 A.A.R. 1846, effective July 19, 2003 (Supp. 03-2). Amended by final rulemaking at 12 A.A.R. 479, effective April 8, 2006 (Supp. 06-1). Amended by final rulemaking at 26 A.A.R. 1501, effective 9/6/2020. Amended by final rulemaking at 29 A.A.R. 1551, effective 8/18/2023. Amended by final rulemaking at 30 A.A.R. 382, effective 4/8/2024.

Ariz. Admin. Code § R4-25-104 Time-frames for Approvals

A. The overall time-frame described in A.R.S. § 41-1072(2) for each type of approval granted by the Board is set forth in Table 1. The applicant and the Executive Director of the Board may agree in writing to extend the overall time-frame. The substantive review time-frame may not be extended by more than 25% of the overall time-frame.

B. The administrative completeness review time-frame described in A.R.S. § 41-1072 for each type of approval granted by the Board is set forth in Table 1.

1. The administrative completeness review time-frame begins:

a. For approval to take both a written and an oral podiatry examination or only an oral podiatry examination, when the Board receives an application packet required in R4-25-301 or R4-24-302 ;

b.a. For approval of a podiatry license, when the Board receives the application packet required in R4-25-303;

c. b. For approval of a registration to dispense drugs, when the Board receives the application packet required in R4-25-602;

d. For approval of a regular podiatry license, when the applicant sits for both a written and an oral podiatry examination or

c. For approval of an application for renewal of a license or dispensing registration, when a licensee submits an application packet to the Board; or

f. d. For approval of continuing education, when the Board receives a request for approval.

2. If the application packet is incomplete, the Board shall send to the applicant a written notice specifying the missing document or incomplete information. The administrative completeness review time-frame and the overall time-frame are suspended from the postmark date of the notice until the date the Board receives a complete application packet from the applicant.

3. If an application packet is complete, the Board shall send a written notice of administrative completeness to the applicant.

4. If the Board grants a license or approval during the time provided to assess administrative completeness, the Board shall not issue a separate written notice of administrative completeness.

C. The substantive review time-frame described in A.R.S. § 41-1072(3) is set forth in Table 1 and begins on the postmark date of the notice of administrative completeness.

1. During the substantive review time-frame, the Board may make one comprehensive written request for additional information or documentation. The time-frame for the Board to complete the substantive review is suspended from the postmark date of the comprehensive written request for additional information or documentation until the Board receives the additional information or documentation.

2. The Board shall send a written notice of approval to an applicant who meets the qualifications and requirements in A.R.S. Title 4, Chapter 7 and this Chapter.

3. The Board shall send a written notice of denial to an applicant who fails to meet the qualifications and requirements in A.R.S. Title 4, Chapter 7 and this Chapter.

D. The Board shall consider an application withdrawn if, within 365 days from the application submission date, the applicant fails to supply the missing information under subsection (B)(2) or (C)(1).

2. Take both a written and an oral podiatry examination or only an oral podiatry examination.

E. An applicant who does not wish an application withdrawn may request a denial in writing within 365 days from the application submission date.

F. If a time-frame's last day falls on a Saturday, Sunday, or an official state holiday, the Board considers the next business day the time-frame's last day.

History

• Former Rule 4; Repealed effective August 30, 1978 (Supp. 78-4). Adopted effective March 13, 1986 (Supp. 86-2). Former Section R4-25-04 renumbered without change as Section R4-25-104 effective November 18, 1986 (Supp. 86-6). Section repealed effective July 27, 1995 (Supp. 95-3). New Section adopted by final rulemaking at 5 A.A.R. 1000, effective March 16, 1999 (Supp. 99-1). Amended by final rulemaking at 9 A.A.R. 1846, effective July 19, 2003 (Supp. 03-2). Amended by final rulemaking at 26 A.A.R. 1501, effective 9/6/2020.

Ariz. Admin. Code § R4-25-105 Repealed

History

• Former Rule 5; Repealed effective August 30, 1978 (Supp. 78-4). Former Section R4-25-05 renumbered without change as Section R4-25-105 effective November 18, 1986 (Supp. 86-6).

Ariz. Admin. Code § R4-25-106 Renumbered

History

• Former Rule 6; Former Section R4-25-06 renumbered and amended as Section R4-25-01 effective August 30, 1978 (Supp. 78-4). Former Section R4-25-06 renumbered without change as Section R4-25-106 effective November 18, 1986 (Supp. 86-6).

Ariz. Admin. Code § R4-25-107 Repealed

History

• Former Rule 7; Repealed effective August 30, 1978 (Supp. 78-4). Former Section R4-25-07 renumbered without change as Section R4-25-107 effective November 18, 1986 (Supp. 86-6).

Article 2 EXAMINATIONS

Ariz. Admin. Code § R4-25-201 Examination of Applicants

A. The Board administers the state oral examination each year in June and December.

B. An applicant who meets the requirements in A.R.S. § 32-827 for licensure by comity shall pass the state oral examination with a grade of 75% or more.

C. A. An applicant who does not meet the requirements in A.R.S. § 32-827 for licensure by comity shall pass the National Board Written Examinations with a grade of 75% or more.

D. B. An applicant licensed to practice podiatry in a state other than Arizona who is applying to the Board for a license by comity and who passed The National Board Written Examinations in a state other than Arizona with a score of 75% or more within five years of the application submission date meets the examination requirements of A.R.S. § 32-823.

2. Did not pass the PMLexis examination in any state with a score of 75% or more does not meet the examination requirements of A.R.S. § 32-825 and shall pass the PMLexis examination with a score of 75% or more to be licensed in this state.

History

• Adopted as an emergency effective April 21, 1978, pursuant to A.R.S. § 41-1003, valid for only 90 days (Supp. 78-2). Adopted effective August 30, 1978 (Supp. 78-4). Amended subsection (A) effective March 16, 1981 (Supp. 81-2). Former Section R4-25-20 renumbered and amended as Section R4-25-201 effective November 18, 1986 (Supp. 86-6). Section repealed, new Section adopted effective July 27, 1995 (Supp. 95-3). Amended by final rulemaking at 9 A.A.R. 1846, effective July 19, 2003 (Supp. 03-2). Amended by final rulemaking at 26 A.A.R. 1501, effective 9/6/2020.

Ariz. Admin. Code § R4-25-202 Repealed

History

• Adopted effective November 18, 1986 (Supp. 86-6). Amended effective July 27, 1995 (Supp. 95-3). Section repealed by final rulemaking at 5 A.A.R. 1000, effective March 16, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-25-203 [Repealed]

History

• Adopted effective November 18, 1986 (Supp. 86-6). Amended effective July 27, 1995 (Supp. 95-3). Amended by final rulemaking at 9 A.A.R. 1846, effective July 19, 2003 (Supp. 03-2). Repealed by final rulemaking at 26 A.A.R. 1501, effective 9/6/2020.

Article 3 LICENSES

Ariz. Admin. Code § R4-25-301 Application for a Regular Podiatry License

A. An applicant for a regular license shall submit:

1. An application form approved by the Board, signed and dated by the applicant that contains questions approved by the Board.

a. The applicant's name, address, social security number, telephone number, and date of birth;

b. The name and address of the applicant's employer at the time of application;

c. The name, address, and type of facility at which the applicant served as an intern or resident in podiatric medicine;

d. The name and address of each university or college from which the applicant graduated, dates of attendance, date of graduation, and degree received;

e. The name and address of the podiatric medical school from which the applicant graduated, dates of attendance, and date of graduation;

f. The name of each state or jurisdiction in which the applicant is currently or has been licensed as a podiatrist and address of the licensing agency;

g. A statement of whether the applicant has taken and passed a national podiatric examination in any state and date of passage, if applicable;

h. A statement of whether the applicant has ever been convicted of a felony or misdemeanor involving moral turpitude;

i. A statement of whether the applicant has ever had an application for a license, certification, or registration, other than a driver's license, denied or rejected by any state or jurisdiction;

j. A statement of whether the applicant has ever had a license, certification, or registration, other than a driver's license, suspended or revoked by any state or jurisdiction;

k. A statement of whether the applicant has ever entered into a consent agreement or stipulation with any state or jurisdiction;

l. A statement of whether the applicant has ever been named as a defendant in any medical malpractice matter that resulted in a settlement or judgment against the applicant;

m. A statement of whether the applicant has any medical condition that in any way impairs or limits the applicant's ability to practice podiatric medicine; and

n. A statement, verified under oath by the applicant, that the information on the application pertains to the applicant, is true and correct, and was not procured through fraud or misrepresentation.

o. A statement of whether the applicant has taken at least three hours of opioid related clinical education if applicant was enrolled in a public or private medical program in Arizona.

2. Two passport-type photographs of the applicant taken not more than six months before the date of application;

A photocopy of the diploma issued to the applicant upon completion of podiatric school;

4. A photocopy of the residency certificate issued to the applicant upon completion of residency; and

5. The fee required in R4-25-103.

B. An applicant shall arrange to have a transcript of examination scores of a national board examination in podiatry sent directly to the Board office by the professional examination service preparing the examination.

History

• Adopted effective August 30, 1978 (Supp. 78-4). Amended effective April 3, 1980 (Supp. 80-2). Former Section R4-25-30 renumbered without change as Section R4-25-301 effective November 18, 1986 (Supp. 86-6). Section repealed effective July 27, 1995 (Supp. 95-3). New Section adopted by final rulemaking at 5 A.A.R. 1000, effective March 16, 1999 (Supp. 99-1). Amended by final rulemaking at 26 A.A.R. 1501, effective 9/6/2020. Amended by final rulemaking at 29 A.A.R. 1551, effective 8/18/2023.

Ariz. Admin. Code § R4-25-302 Application for a Podiatrist's License by Comity

A. Under A.R.S. § 32-827, an applicant for a podiatrist's license by comity shall submit to the Board, an application form approved by the Board, signed and dated by the applicant that contains questions approved by the Board and the following:

1. A photocopy of a current podiatric license in good standing issued in another state or jurisdiction;

2. Written documentation of having been engaged in the practice of podiatric medicine for five of seven years immediately preceding the application;

3. Two passport-type photographs of the applicant taken not more than six months before the date of application;

4. The fee required in R4-25-103.

B. An applicant shall arrange to have a transcript of examination scores of a national board examination in podiatry sent directly to the Board office by the professional examination service preparing the examination.

History

• Adopted effective August 30, 1978 (Supp. 78-4). Former Section R4-25-31 renumbered and amended as Section R4-25-302 effective November 18, 1986 (Supp. 86-6). Amended effective July 27, 1995 (Supp. 95-3). Section repealed, new Section adopted by final rulemaking at 5 A.A.R. 1000, effective March 16, 1999 (Supp. 99-1). Amended by final rulemaking at 26 A.A.R. 1501, effective 9/6/2020. Amended by final rulemaking at 29 A.A.R. 1551, effective 8/18/2023.

Ariz. Admin. Code § R4-25-303 Expired

History

• Adopted effective August 30, 1978 (Supp. 78-4). Amended effective February 5, 1979 (Supp. 79-1). Former Section R4-25-32 renumbered and amended as Section R4-25-303 effective November 18, 1986 (Supp. 86-6). Amended effective July 27, 1995 (Supp. 95-3). former Section R4-25-303 renumbered to R4-25-305, new Section R4-25-303 adopted by final rulemaking at 5 A.A.R. 1000, effective March 16, 1999 (Supp. 99-1). Section expired under A.R.S. § 41-1056(J) at 20 A.A.R. 727, effective November 28, 2013 (Supp. 14-1).

Ariz. Admin. Code § R4-25-304 Repealed

History

• Adopted effective August 30, 1978 (Supp. 78-4). Former Section R4-25-33 renumbered without change as Section R4-25-304 effective November 18, 1986 (Supp. 86-6). Amended effective July 27, 1995 (Supp. 95-3). Section repealed by final rulemaking at 5 A.A.R. 1000, effective March 16, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-25-305 Expired

History

• Adopted effective August 30, 1978 (Supp. 78-4). Amended effective February 5, 1979 (Supp. 79-1). Section R4-25-305 renumbered from R4-25-303 by final rulemaking at 5 A.A.R. 1000, effective March 16, 1999 (Supp. 99-1). Amended by final rulemaking at 9 A.A.R. 1846, effective July 19, 2003 (Supp. 03-2). Section expired under A.R.S. § 41-1056(J) at 20 A.A.R. 727, effective November 28, 2013 (Supp. 14-1).

Ariz. Admin. Code § R4-25-306 License Renewal

On or before June 30 of each year, a licensee shall submit the renewal fee required in R4-25-103 and

1. A renewal application approved by the Board that contains questions approved by the Board.

a. The licensee's name, home and business mailing addresses, and location of practice;

b. Whether the licensee has been named as a defendant in a medical malpractice matter during the 12 months before the date of the renewal application, including:

i. The name of the court having jurisdiction over the medical malpractice matter and case number assigned to the medical malpractice matter, and

ii. Copies of all court documents relating to the medical malpractice matter;

c. Whether the licensee has been convicted of a felony or a misdemeanor involving moral turpitude during the 12 months before the date of the renewal application;

d. Whether the licensee's malpractice or professional liability insurance has been denied, suspended, or revoked during the 12 months before the date of the renewal application;

e. Whether the licensee's Drug Enforcement Administration Certificate of Registration required in R4-25-602 has been suspended or revoked during the 12 months before the date of the renewal application, or is currently under investigation;

f. Whether the licensee has had a license, certification, or registration, other than a driver's license, suspended or revoked by any state or jurisdiction during the 12 months before the date of the renewal application;

g. Whether the licensee has been treated for alcoholism or drug abuse during the 12 months before the date of the renewal application;

h. Whether the licensee has a medical condition that in any way impairs or limits the licensee's ability to practice podiatric medicine;

i. Whether the licensee has been denied staff membership in a hospital or other health care institution, as defined in A.R.S. § 36-401, during the 12 months before the date of the renewal application;

j. Whether the licensee has been investigated by a health insurance company for health insurance fraud during the 12 months before the date of the renewal application; and

k. A statement by the licensee that the information on the renewal application is true and correct and the licensee's signature;

2. If the licensee answers yes to any of the questions in subsections (1)(c) through (1)(j), an explanation of each answer including applicable dates, outcomes, and current status; and

3.2. The written report required in R4-25-503 for continuing education, including an attestation of attendance signed by the licensee.

History

• New Section made by final rulemaking at 9 A.A.R. 1846, effective July 19, 2003 (Supp. 03-2). Amended by final rulemaking at 29 A.A.R. 1551, effective 8/18/2023.

Article 4 REHEARING OR REVIEW

Ariz. Admin. Code § R4-25-401 Rehearing or Review

A. Except as provided in subsection (G), a party who is aggrieved by a decision issued by the Board may file with the Board no later than 30 days after service of the decision, a written motion for rehearing or review of the decision specifying the grounds for rehearing or review. For purposes of this Section, a decision is considered to have been served when personally delivered to the party's last known home or business address or five days after the decision is mailed by certified mail to the party or the party's attorney.

B. A party filing a motion for rehearing or review may amend the motion at any time before it is ruled upon by the Board. Other parties may file a response within 15 days after the date the motion or amended motion by any other party for rehearing or review is filed. The Board may require a party to file a supplemental memorandum explaining the issues raised in the motion or response and may permit oral argument.

C. The Board may grant a rehearing or review of the decision for any of the following reasons materially affecting the moving party's rights:

1. Irregularity in the Board's administrative proceedings or an abuse of discretion that deprived the party of a fair hearing,

Misconduct of the Board or the prevailing party,

3. Accident or surprise that could not have been prevented by ordinary prudence,

4. Newly discovered material evidence that could not with reasonable diligence have been discovered and produced at the original hearing,

5. Excessive or insufficient penalties,

6. Error in the admission or rejection of evidence or other errors of law occurring at the administrative hearing, or

7. That the decision is not supported by the evidence or is contrary to law.

D. The Board may affirm or modify the decision or grant a rehearing or review on all or part of the issues for any of the reasons in subsection (C). An order granting a rehearing or review shall specify the ground for the rehearing or review.

E. No later than 30 days after a decision is issued by the Board, the Board may, on its own initiative, grant a rehearing or review of its decision for any reason in subsection (C). An order granting a rehearing or review shall specify the grounds for the rehearing or review.

F. When a motion for rehearing or review is based upon affidavits, a party shall serve the affidavits with the motion. An opposing party may, within 10 days after service, serve opposing affidavits. The Board may extend the time for serving opposing affidavits for no more than 20 days for good cause or by written stipulation of the parties. The Board may permit reply affidavits.

G. If the Board makes specific findings that the immediate effectiveness of a decision is necessary to preserve the public health and safety and determines that a rehearing or review of the decision is impracticable, unnecessary, or contrary to the public interest, the Board may issue the decision as a final decision without an opportunity for rehearing or review. If a decision is issued as a final decision without an opportunity for a rehearing or review, an aggrieved party that makes an application for judicial review of the decision shall make the application within the time limits permitted for an application for judicial review of the Board's final decision at A.R.S. § 12-904.

History

• Adopted effective August 30, 1978 (Supp. 78-4). Former Section R4-25-40 renumbered and amended as Section R4-25-401 effective November 18, 1986 (Supp. 86-6). Amended effective July 27, 1995 (Supp. 95-3). Amended by final rulemaking at 9 A.A.R. 1846, effective July 19, 2003 (Supp. 03-2).

Article 5 CONTINUING EDUCATION

Ariz. Admin. Code § R4-25-501 Continuing Education Hours Required

A. Unless a licensee obtains a waiver according to R4-25-505, the licensee shall complete 25 hours or more of continuing education credit hours every fiscal year.

B. A licensee who has been licensed for less than 12 months before license renewal shall complete two continuing education credit hours for each month of licensure.

C. For a licensee authorized to prescribe schedule II controlled substances and who has a valid DEA registration, at least three hours of the 25 hours required in subsection (A) shall be obtained in the area of opioid-related, substance use disorder-related or addiction-related continuing education.

History

• Adopted effective August 30, 1978 (Supp. 78-4). Former Section R4-25-50 renumbered and amended as Section R4-25-501 effective November 18, 1986 (Supp. 86-6). Amended by final rulemaking at 9 A.A.R. 1846, effective July 19, 2003 (Supp. 03-2). Amended by final rulemaking at 26 A.A.R. 1501, effective 9/6/2020.

Ariz. Admin. Code § R4-25-502 Approval of Continuing Education

A. A licensee may submit a written request to the Board for approval of continuing education before submission of a renewal application.

B. A request under subsection (A) shall contain:

1. A brief summary of the continuing education;

2. The educational objectives of the continuing education;

3. The date, time, and place of the provision of the continuing education;

4. The name of the individual providing the continuing education, if available; and

5. The name of the organization providing the continuing education, if applicable.

C. In determining whether to approve continuing education, the Board shall consider whether the continuing education:

1. Is designed to provide current developments, skills, procedures, or treatments related to the practice of podiatry;

2. Is developed and provided by an individual with knowledge and experience in the subject area; and

3. Contributes directly to the professional competence of a licensee.

D. The Board may accept a maximum of 10 continuing education credit hours or less for the following:

1. Teaching a graduate level course approved by the American Podiatry Medical Association,

2. Self-study which can include the following:

a. Reading educational literature that relates to the practice of podiatry.

b. A work or study group that relates to the practice of podiatry.

c. Having authored or co-authored a book, book chapter, or article in a peer-reviewed journal that was published within the last year and that relates to the practice of podiatry.

Serving as a Board member or Complaint consultant for the Board.

E. The Board shall approve or deny a request for approval according to the time-frames set forth in R4-25-104 and Table 1.

F. According to A.R.S. § 32-829(E), if approval of a continuing education request is denied, a licensee has 60 days from the date of the denial to meet the continuing education requirements.

G. Any opioid-related course that is approved by the Arizona State Board of Podiatry Examiners, Arizona State Board of Pharmacy, Arizona Board of Osteopathic Examiners, Arizona Medical Board or the Arizona State Board of Nursing is approved by the Board.

History

• Adopted effective August 30, 1978 (Supp. 78-4). Amended effective April 3, 1980 (Supp. 80-2). Former Section R4-25-51 renumbered and amended as Section R4-25-502 effective November 18, 1986 (Supp. 86-6). Amended effective July 27, 1995 (Supp. 95-3). Amended by final rulemaking at 9 A.A.R. 1846, effective July 19, 2003 (Supp. 03-2). Amended by final rulemaking at 26 A.A.R. 1501, effective 9/6/2020.

Ariz. Admin. Code § R4-25-503 Documentation

A. A licensee shall submit a written report of completed continuing education with a renewal application that includes:

1. The name of the licensee,

2. The title of each continuing education,

3. A description of the continuing education's content and educational objectives,

4. The date of completion of each continuing education,

5. The number of credit hours of each continuing education, and

6. A statement signed by the licensee verifying the information in the report.

B. The Board may audit continuing education reports every 12 months for conformance with A.R.S. § 32-829 and this Article:

1. Randomly; or

2. Selectively for licensees who previously submitted reports that did not conform with the requirements in A.R.S. § 32-829 or this Article.

History

• Adopted effective August 30, 1978 (Supp. 78-4). Former Section R4-25-52 renumbered and amended as Section R4-25-503 effective November 18, 1986 (Supp. 86-6). Amended by final rulemaking at 9 A.A.R. 1846, effective July 19, 2003 (Supp. 03-2).

Ariz. Admin. Code § R4-25-504 Repealed

History

• Adopted effective August 30, 1978 (Supp. 78-4). Former Section R4-25-53 renumbered and amended as Section R4-25-504 effective November 18, 1986 (Supp. 86-6). Amended effective July 27, 1995 (Supp. 95-3). Section repealed by final rulemaking at 9 A.A.R. 1846, effective July 19, 2003 (Supp. 03-2).

Ariz. Admin. Code § R4-25-505 Waiver of Continuing Education

A. A licensee who is unable to complete 25 hours of continuing education for any of the reasons in A.R.S. § 32-829(C) may submit a written request for a waiver to the Board by August 31 that contains:

1. The name, address, and telephone number of the licensee;

2. The report required in R4-25-503;

3. An explanation of why the licensee was unable to meet the Board's continuing education requirements that includes one of the reasons in A.R.S. § 32-829(C); and

4. The signature of the licensee.

B. The Board shall send written notice of approval or denial of the request for waiver within seven days of receipt of the request.

C. If the Board denies a request for a waiver, a licensee has 60 days from the date of the denial to meet the requirements for continuing education.

History

• Adopted effective November 18, 1986 (Supp. 86-6). Amended effective July 27, 1995 (Supp. 95-3). Amended by final rulemaking at 9 A.A.R. 1846, effective July 19, 2003 (Supp. 03-2).

Article 6 DISPENSING DRUGS AND DEVICES

Ariz. Admin. Code § R4-25-602 Registration Requirements

An individual currently licensed as a podiatrist in this state who wishes to dispense drugs and devices shall register with the Board by submitting all of the following:

The podiatrist's current Drug Enforcement Administration Certificate of Registration issued by the Department of Justice under 21 U.S.C. 801 et seq.;

2. The fee required in R4-25-103; and

3. An application form provided by the Board, signed and dated by the podiatrist, that contains questions approved by the Board.

a. The podiatrist's name,

b. The address of each location where the podiatrist intends to dispense drugs and devices, and

c. The types of drugs and devices the podiatrist intends to dispense.

History

• Adopted effective July 27, 1995 (Supp. 95-3). Amended by final rulemaking at 5 A.A.R. 1000, effective March 16, 1999 (Supp. 99-1). Amended by final rulemaking at 9 A.A.R. 1846, effective July 19, 2003 (Supp. 03-2). Amended by final rulemaking at 29 A.A.R. 1551, effective 8/18/2023.

Ariz. Admin. Code § R4-25-603 Prescribing and Dispensing Requirements

A podiatrist shall:

1. Not dispense schedule II controlled substances that are opioids.

1. 2. Not dispense a drug unless the drug is obtained from a manufacturer or distributor licensed in any state or jurisdiction;

2. 3. Ensure that a drug or device is dispensed only to a patient being treated by the podiatrist;

3. 4. Before dispensing a drug, provide a patient with a written prescription order that:

a. Contains the following statement in bold type: "This prescription may be filled by the prescribing podiatrist or by a pharmacy of your choice," and

b. Is signed by the podiatrist;

4. 5. Directly supervise each individual involved in preparing a drug that is dispensed;

5. 6. Ensure that a drug is:

a. Dispensed in a prepackaged container or in a light resistant container with a consumer safety cap; and

b. Labeled with the following information:

i. The podiatrist's name, address, and telephone number;

ii. The date the drug is dispensed;

iii. The patient's name; and

iv. The name, strength of the drug, and directions for the drug's use;

6. 7. Ensure that the original prescription order for a drug is countersigned and dated by the individual who prepared the drug for dispensing;

7. 8. Before a drug or device is dispensed to a patient:

a. Review the drug or device to ensure compliance with the prescription order;

b. Ensure the patient is informed of the following:

i. The name of the drug or device,

ii. Directions for taking the drug or using the device,

iii. Precautions for the drug or device, and

iv. Directions for storing the drug or device;

8. 9. Document in the medical record the following for each patient:

a. Name of the drug or device dispensed,

b. Strength of the drug dispensed,

c. Date the drug or device is dispensed, and

d. Therapeutic reasons for dispensing the drug or device;

9. 10. Maintain an inventory record for each drug that contains:

a. Name of the drug,

b. Strength of the drug,

c. Date the drug was received by the podiatrist,

d. Amount of the drug received by the podiatrist,

e. Name of the manufacturer and distributor of the drug, and

f. A unique identifying number provided by the manufacturer or distributor of the drug;

10. 11. Store a drug in a locked cabinet or room and:

a. Establish a written policy for access to the locked cabinet or room, and

b. Make the written policy available to the Board or its authorized agent with within 72 hours of a Board request;

11. 12. Ensure that a drug is stored at temperatures recommended by the manufacturer of the drug; and

12. 13. Maintain a dispensing log, separate from the inventory record for each drug dispensed that includes the:

a. Name of the drug,

b. Strength of the drug,

c. Amount of the drug,

d. Patient's name,

e. Date the drug was dispensed, and

f. The name and signature of the podiatrist who dispensed the drug.

History

• Adopted effective July 27, 1995 (Supp. 95-3). Amended by final rulemaking at 9 A.A.R. 1846, effective July 19, 2003 (Supp. 03-2). Amended by final rulemaking at 26 A.A.R. 1501, effective 9/6/2020.

Ariz. Admin. Code § R4-25-604 Recordkeeping and Reporting Shortages

A. A prescription order written by a podiatrist for a drug shall:

1. Contain the:

a. Name of the patient,

b. Date the prescription order is written, and

c. Name and signature of the podiatrist;

2. Be numbered consecutively; and

3. Be maintained separately from a medical record.

B. A podiatrist shall maintain an invoice of a drug purchased from a manufacturer or distributor for three years from the date purchased.

C. A podiatrist shall maintain the inventory record in R4-25-603(9) and the dispensing log in R4-25-603(12) for seven years from the date of entry.

D. A podiatrist who discovers that a drug identified in the podiatrist's inventory record cannot be accounted for shall:

1. Within 48 hours of discovery or the next business day if a weekend or holiday, whichever is later, notify the appropriate law enforcement agency and the federal Drug Enforcement Administration; and

2. Provide written notification to the Board within seven days from the date of the discovery, including the name of the law enforcement agency notified.

E. A podiatrist shall report controlled substances dispensing as required per A.R.S. § 36-2608.

History

• Adopted effective July 27, 1995 (Supp. 95-3). Amended by final rulemaking at 9 A.A.R. 1846, effective July 19, 2003 (Supp. 03-2). Amended by final rulemaking at 26 A.A.R. 1501, effective 9/6/2020.

Ariz. Admin. Code § R4-25-605 Registration Renewal

A. A podiatrist shall renew a registration no later than June 30 of each year by submitting to the Board:

1. An application form provided by the Board, signed and dated by the podiatrist, that contains questions approved by the Board.

a. The podiatrist's name,

b. The address of each location where the podiatrist dispenses drugs and devices,

c. The types of drugs and devices the podiatrist dispenses, and

d. The podiatrist's Drug Enforcement Administration registration number issued by the Department of Justice under 21 U.S.C. 801 et seq.; and

2. The fee required in R4-25-103.

B. If a podiatrist fails to submit the information required in subsection (A) and the registration renewal fee required in R4-25-103 by June 30, the podiatrist's registration expires. If a registration expires, the podiatrist shall:

Immediately cease dispensing drugs or devices, and

2. Register pursuant to R4-25-602 before dispensing drugs and devices.

History

• Adopted effective July 27, 1995 (Supp. 95-3). Amended by final rulemaking at 9 A.A.R. 1846, effective July 19, 2003 (Supp. 03-2). Amended by final rulemaking at 29 A.A.R. 1551, effective 8/18/2023.

Article 7 PODIATRIC MEDICAL ASSISTANTS

Ariz. Admin. Code § R4-25-701 Approval of Podiatric Medical Assistant Clinical Certification and Radiology Certification

A. For purposes of this Section, a Board-approved clinical certification program is a program accredited by the American Society of Podiatric Medical Assistants.

B. For purposes of this Section, a Board-approved radiology certification program is a program accredited by the American Society of Podiatric Medical Assistants.

History

• New Section made by final exempt rulemaking at 29 A.A.R. 1551, effective 8/18/2023.

Ariz. Admin. Code § R4-25-702 Podiatric Medical Assistants - Authorized Procedures

A. A podiatric medical assistant not working under the direct supervision of a licensed podiatric physician may:

1. Order supplies, store supplies, stock treatment rooms;

2. Clean treatment rooms;

3. Answer phones;

4. Schedule appointments;

5. Check patients in.

B. A podiatric medical assistant working under the direct supervision of a licensed podiatric physician may:

1. Obtain medical history from a patient;

2. Obtain and record vital signs of a patient;

3. Explain treatment procedures to a patient;

4. Take off a patient's shoes and put the patient's shoes back on;

5. Clip toenails on a patient;

6. Apply bandages to the feet of a patient;

7. Prepare a patient for a procedure;

8. Take x-rays if the podiatric medical assistant is certified in radiology as described in R4-25-701, subsection (B). A podiatric medical assistant shall not take x-rays if the podiatric medical assistant does not meet the requirement of R4-25-701, subsection (B);

9. The supervising licensed podiatric physician shall ensure that the podiatric medical assistant is properly trained and shall be responsible for all acts or missions of a podiatric medical assistant.

History

• New Section made by final exempt rulemaking at 29 A.A.R. 1551, effective 8/18/2023.

Chapter 26 BOARD OF PSYCHOLOGIST EXAMINERS

Article 1 GENERAL PROVISIONS

Ariz. Admin. Code § R4-26-101 Definitions

A. The definitions in A.R.S. § 32-2061 apply to this Chapter.

B. Additionally, in this Chapter:

1. "Additional examination" means an examination administered by the Board to determine the competency of an applicant and may include questions about the applicant's knowledge and application of Arizona law, the practice of psychology, ethical conduct, and psychological assessment and treatment practices.

2. "Administrative completeness review" means the Board's process for determining that an applicant has provided all of the information and documents required by the Board to determine whether to grant a license to the applicant.

"Advertising" means any media used to disseminate information regarding the qualifications of a psychologist or to solicit clients or patients for psychological services, regardless of whether the psychologist pays for the advertising. Methods of advertising include a published statement or announcement, directory listing, business card, personal resume, brochure, or any electronic communication conveying the psychologist's professional qualifications or promoting use of the psychologist's professional services.

4. "Applicant" means an individual requesting licensure, renewal, or approval from the Board.

5. "Application packet" means the forms and documents the Board requires an applicant to submit to the Board.

6. "Applied psychology," as used in A.R.S. § 32-2071(A), means the practice of psychology in the area of health service delivery. The Board shall consider education and training in applied psychology as qualification for licensure only if the education and training meet the standards specified in A.R.S. § 32-2071.

7. "Case," in the context of R4-26-106(G), means a legal cause of action instituted before an administrative tribunal or in a judicial forum that relates to a psychologist's practice of psychology.

8. "Case conference" means a meeting that includes the discussion of a particular client or patient or case that is related to the practice of psychology.

9. "Client or patient record" means "adequate records" as defined in A.R.S. § 32-2061(2), "medical records" as defined in A.R.S. § 12-2291(6), and all records pertaining to assessment, evaluation, consultation, intervention, treatment, or the provision of psychological services in any form or by any medium.

10. "Complaint Screening Committee" means the committee of the Board established under A.R.S. § 32-2081(H) to conduct an initial review of complaints.

11. "Confidential record" means:

a. Minutes of an executive session of the Board;

b. A record that is classified as confidential by a statute or rule applicable to the Board;

c. All materials relating to an investigation by the Board, including a complaint, response, client or patient record, witness statement, investigative report, and any other information relating to a client's or patient's diagnosis, treatment, or personal or family life; and

d. The following regarding an applicant or licensee:

i. College or university transcripts;

ii. Home address, home telephone number, and e-mail address;

iii. Examination scores;

iv. Date of birth

v. Place of birth;

vi.v. Social Security number; and

vii. vi. Candidate identification number for the national examination required under A.R.S. § 32-2072(A).

12. "Credentialing agency" means the Association of State and Provincial Psychology Boards, the National Register of Health Service Providers in Psychology, or the American Board of Professional Psychology.

13. "Day" means a calendar day except in A.R.S. § 32-2075(A)(4), "day" means a total of eight hours in providing psychological services regardless of the number of calendar days over which the hours are accumulated.

14. "Diplomate or specialist" means a status bestowed on a person by the American Board of Professional Psychology after successful completion of the work and examinations required.

"Directly available," as used in A.R.S. § 32-2071(F)(2), means immediately available in person or by telephone or electronic transmission.

16. "Disaster," as used in A.R.S. § 32-2075(A)(4), means a contingency or situation for which the governor declares a state of emergency under the authority provided at A.R.S. § 35-192. The Board acknowledges any state of emergency declared by the governor or determined by the Board.

17. "Dissertation" means a document prepared as part of a graduate doctoral program that includes, at a minimum, separate sections that:

a. Review the literature on the psychology topic being investigated and state each research question and hypothesis under investigation;

b. Describe the method or procedure used to investigate each research question or hypothesis;

c. Describe and summarize the findings and results of the investigation;

d. Discuss the findings and compare them to the relevant literature presented in the literature review section; and

e. List the references used in the various sections of the dissertation, a majority of which are either journals of the American Psychological Association, Psychological Abstracts, or classified as a psychology subject by the Library of Congress.

18. "Fellow" means a status bestowed on a person by a psychology association or society.

19. "Gross negligence" means an extreme departure from the ordinary standard of care.

20. "Internship training program" means the supervised professional experience required in A.R.S. § 32-2071(F).

21. "Last client or patient activity," as used in R4-26-106, means the last date a particular client or patient received direct clinical contact from the psychologist retaining the client's or patient's record.

22. "License period" means:

a. For a licensee who holds an odd-numbered license, the two years between the first day of the month after the licensee's birth month of one odd-numbered year and the last day of the licensee's birth month of the next odd-numbered year; and

b. For a licensee who holds an even-numbered license, the two years between the first day of the month after the licensee's birth month of one even-numbered year and the last day of the licensee's birth month of the next even-numbered year.

23. "National examination" means Parts 1 and 2 of the Examination for Professional Practice in Psychology provided by the Association of State and Provincial Psychology Boards.

24. "Party" means the Board, an applicant, a licensee, or the state.

"Practice monitor," as used in R4-26-310, means a Board-approved licensed psychologist who monitors or oversees the remediation of the practice of another psychologist as part of a disciplinary process.

26. "Primarily psychological," in the context of A.R.S. § 32-2071(A)(6), means subject matter that covers the practice of psychology as defined in A.R.S. § 32-2061.

27. "Psychologist on staff," as used in A.R.S. § 32-2071(F)(2), means a psychologist who is designated by the staff psychologist specified in A.R.S. § 32-2071(F)(1) to fulfill the responsibilities of a supervising psychologist in the training program.

28. "Psychometric testing" means measuring cognitive and emotional processes and learning through the administration of psychological tests.

29. "Raw test data" means test scores, client or patient responses to test questions or stimuli, and notes and recordings concerning client or patient statements and behavior during a psychologist's assessment and evaluation.

"Regulatory jurisdiction" means a state or territory of the U.S., the District of Columbia, or a foreign country with authority to grant or deny entry into a profession or occupation.

"Renewal year" means:

a. Each odd-numbered year for a licensee who holds an odd-numbered license, and

b. Each even-numbered year for a licensee who holds an even-numbered license.

32. "Retired," as used in A.R.S. § 32-2073(G), means a psychologist has stopped practicing psychology, as defined in A.R.S. § 322061.

33. "Stipend" means a fee paid to a supervisee that is not based on productivity or revenue generated.

34. "Substantive review" means the Board's process for determining whether an applicant meets the requirements of A.R.S. § 322071 through § 32-2076 and this Chapter.

35. "Successfully completing," as used in A.R.S. § 32-2071(A)(4), means receiving a passing grade in a course from an institution of higher education.

36. "Supervision," as used in R4-26-310, means review and oversight of the professional work of a psychologist by a Board-approved licensed psychologist as part of a disciplinary process.

37. "Supervise" means to control, oversee, and review the activities of an employee, intern, trainee, or resident who provides psychological services.

38. "Supervisor," as referenced in A.R.S. § 32-2071(F)(2), means an individual who is:

a. Licensed or registered as a psychologist at the independent level in the regulatory jurisdiction in which the supervision occurs,

b. On staff as a supervisor with the training program for which supervision is provided, and

c. Directly available to the supervisee in case of an emergency or ensures another supervisor is directly available to the supervisee.

39. "Year," as used in A.R.S. § 32-2075(A)(4) means a calendar year.

History

• Former Rule 1; Former Section R4-26-01 repealed, new Section R4-26-01 adopted effective July 27, 1979 (Supp. 79-4). Amended effective June 17, 1981 (Supp. 81-3). Former Section R4-26-101 renumbered to R4-26-102; new Section R4-26-101 adopted effective March 3, 1995 (Supp. 95-1). Corrections made to text; agency filed different versions of text in original and copies; corrections reflect the original version (Supp. 95-2). Pursuant to the advice of the Attorney General, the text of this Section now contains the text certified by the Attorney General and filed as a copy effective March 3, 1995 (Supp. 95-3). Amended by final rulemaking at 5 A.A.R. 737, effective February 19, 1999 (Supp. 99-1). Amended by final rulemaking at 6 A.A.R. 3297, effective August 7, 2000 (Supp. 00-3). Amended by final rulemaking at 9 A.A.R. 778, effective April 12, 2003 (Supp. 03-1). Amended by final rulemaking at 10 A.A.R. 4743, effective January 1, 2005 (Supp. 04-4). Amended by final rulemaking at 13 A.A.R. 1493, effective June 2, 2007 (Supp. 07-2). Amended by final rulemaking at 21 A.A.R. 3444, effective 1/30/2016. Amended by final rulemaking at 22 A.A.R. 3083, effective 10/4/2016. Amended by final rulemaking at 28 A.A.R. 3879, effective 1/29/2023.

Ariz. Admin. Code § R4-26-102 Board Officers

A. Under A.R.S. § 32-2063(A)(8), the Board shall annually elect a chairperson, vice chairperson, and secretary.

B. Officers elected under subsection (A) shall take office on January 1 following election and serve until December 31.

C. If a vacancy occurs in the office of chairperson, vice chairperson, or secretary, the Board shall elect a replacement officer at the next scheduled Board meeting.

History

• Former Rule 2; Amended effective November 22, 1977 (Supp. 77-6). Repealed effective September 15, 1978 (Supp. 78-5). New Section R4-26-02 adopted effective July 27, 1979 (Supp. 79-4). Amended effective July 3, 1991 (Supp. 91-3). Former Section R4-26-102 renumbered to R4-26-103; new Section R4-26-102 renumbered from R4-26-101 and amended effective March 3, 1995 (Supp. 95-1). Pursuant to the advice of the Attorney General, the text of this Section now contains the text certified by the Attorney General and filed as a copy effective March 3, 1995 (Supp. 95-3). Amended by final rulemaking at 6 A.A.R. 3297, effective August 7, 2000 (Supp. 00-3). Amended by final rulemaking at 21 A.A.R. 3444, effective 1/30/2016.

Ariz. Admin. Code § R4-26-103 [Repealed]

History

• Former Rule 3; Amended effective November 22, 1977 (Supp. 77-6). Repealed effective September 15, 1978 (Supp. 78-5). New Section R4-26-03 adopted effective July 27, 1979 (Supp. 79-4). Former Section R4-26-103 renumbered to R4-26-104; new Section R4-26-103 renumbered from R4-26-102 and amended effective March 3, 1995 (Supp. 95-1). Pursuant to the advice of the Attorney General, the text of this Section now contains the text certified by the Attorney General and filed as a copy effective March 3, 1995 (Supp. 95-3). Amended by final rulemaking at 6 A.A.R. 3297, effective August 7, 2000 (Supp. 00-3). Repealed by final rulemaking at 21 A.A.R. 3444, effective 1/30/2016.

Ariz. Admin. Code § R4-26-104 [Repealed]

History

• Former Rule 4; Former Section R4-26-04 repealed effective November 22, 1977 (Supp. 77-6). New Section R4-26-04 adopted effective September 15, 1978 (Supp. 78-5). Former Section R4-26-04 repealed, new Section R4-26-04 adopted effective July 27, 1979 (Supp. 79-4). Amended effective June 17, 1981 (Supp. 81-3). Correction, paragraph (2), subparagraph (f) as amended effective June 17, 1981 (Supp. 84-1). Amended effective July 3, 1991 (Supp. 91-3). Former Section R4-26-104 renumbered to R4-26-105; new Section R4-26-104 renumbered from R4-26-103 and amended effective March 3, 1995 (Supp. 95-1). Pursuant to the advice of the Attorney General, the text of this Section now contains the text certified by the Attorney General and filed as a copy effective March 3, 1995 (Supp. 95-3). Amended by final rulemaking at 21 A.A.R. 3444, effective 1/30/2016. Repealed by final rulemaking at 28 A.A.R. 3879, effective 1/29/2023.

Ariz. Admin. Code § R4-26-105 [Repealed]

History

• Former Rule 5; Former Section R4-26-05 repealed effective November 22, 1977 (Supp. 77-6). New Section R4-26-05 adopted effective September 15, 1978 (Supp. 78-5). Former Section R4-26-05 repealed effective September 15, 1978 (Supp. 78-5). Former Section R4-26-05 repealed, new Section R4-26-05 adopted effective July 27, 1979 (Supp. 79-4). Former Section R4-26-105 renumbered to R4-26-107; new Section R4-26-105 renumbered from R4-26-104 and amended effective March 3, 1995 (Supp. 95-1). Pursuant to the advice of the Attorney General, the text of this Section now contains the text certified by the Attorney General and filed as a copy effective March 3, 1995 (Supp. 95-3). Amended by final rulemaking at 6 A.A.R. 3297, effective August 7, 2000 (Supp. 00-3). Amended by final rulemaking at 21 A.A.R. 3444, effective 1/30/2016. Repealed by final rulemaking at 28 A.A.R. 3879, effective 1/29/2023.

Ariz. Admin. Code § R4-26-106 Client or Patient Records

A. A psychologist shall not condition release of a client or patient record on payment for services by the client, patient, or a third party.

B. Except as provided in subsection (C), a psychologist shall, with a client's or patient's written consent, provide access to or a copy of the client's or patient's record, including raw test data and other information as provided by law to the client or patient or the client's or patient's health care decision maker unless the release violates copyright or other laws or violates one of the standards incorporated by reference at R4-26-301.

C. A psychologist may deny a request to provide access to or a copy of a client's or patient's record if the psychologist determines:

1. Access by the client or patient is reasonably likely to endanger the life or physical safety of the client or patient or another person;

2. The record makes reference to a person other than a health professional and access by the client or patient or the client's or patient's health care decision maker is reasonably likely to cause substantial harm to that other person;

3. Access by the client's or patient's health care decision maker is reasonably likely to cause substantial harm to the client or patient or another person;

4. Access by the client or patient or the client's or patient's health care decision maker will reveal information obtained under a promise of confidentiality with someone other than a health professional and access is reasonably likely to reveal the source of the information; or

5. Access by the client or patient or the client's or patient's health care decision maker may result in misuse or misrepresentation of the information and potentially harm the client or patient.

D. Without a client's or patient's consent, a psychologist shall release the client's or patient's raw test data only to the extent required by law or under court order compelling production.

E. A psychologist shall retain all client or patient records under the psychologist's control, including records of a client or patient who died, for at least six years from the date of the last client or patient activity. If a client or patient is a minor, the psychologist shall retain all client or patient records for at least three years past the client's or patient's 18th birthday or six years from the date of the last client or patient activity, whichever is longer.

F. Audio or video recordings created primarily for training or supervisory purposes are exempt from the requirement of subsection (E).

G. A psychologist who is notified by the Board or municipal, state, or federal officials of an investigation or pending case shall retain all records relating to that investigation or case until the psychologist receives written notice that the investigation is completed, the case is closed, or the matter has been fully adjudicated.

H. The provisions of this Section apply to all psychologists including a psychologist who is on inactive status under A.R.S. § 32-2073(G).

I. A psychologist may retain client or patient records in electronic form. The psychologist shall ensure that client or patient records in electronic form are legible, stored securely, and an electronic backup copy is maintained.

History

• Former Rule 6; Repealed effective November 22, 1977 (Supp. 77-6). New Section adopted effective March 3, 1995 (Supp. 95-1). Corrections made to text; agency filed different versions of text in original and copies; corrections reflect the original version (Supp. 95-2). Pursuant to the advice of the Attorney General, the text of this Section now contains the text certified by the Attorney General and filed as a copy effective March 3, 1995 (Supp. 95-3). Amended by final rulemaking at 6 A.A.R. 3297, effective August 7, 2000 (Supp. 00-3). Amended by final rulemaking at 13 A.A.R. 1493, effective June 2, 2007 (Supp. 07-2). Amended by final rulemaking at 21 A.A.R. 3444, effective 1/30/2016. Amended by final rulemaking at 28 A.A.R. 3879, effective 1/29/2023.

Ariz. Admin. Code § R4-26-107 Change of Name, Mailing, Residential, or E-mail Address, or Telephone Number

A. The Board shall communicate with a psychologist using the contact information provided to the Board. To ensure timely communication from the Board, a psychologist shall notify the Board, in writing, within 30 days of any change of name, mailing, residential, or e-mail address (giving both the old and new addresses), or residential, business, or mobile telephone number.

B. A psychologist who reports a name change shall submit to the Board legal documentation that substantiates the name change.

C. A psychologist's failure to receive a renewal notice or other mail that the Board sends to the most recent address on file with the Board office does not excuse an untimely license renewal or the omission of any other action required by the psychologist.

History

• Former Rule 7; Repealed effective September 15, 1978 (Supp. 78-5). New Section R4-26-107 renumbered from R4-26-105 and amended effective March 3, 1995 (Supp. 95-1). Pursuant to the advice of the Attorney General, the text of this Section now contains the text certified by the Attorney General and filed as a copy effective March 3, 1995 (Supp. 95-3). Amended by final rulemaking at 6 A.A.R. 3297, effective August 7, 2000 (Supp. 00-3). Amended by exempt rulemaking at 21 A.A.R. 3444, effective 1/30/2016.

Ariz. Admin. Code § R4-26-108 Fees and Charges

A. As specifically authorized by A.R.S. § 32-2067(A), the Board establishes and shall collect the following fees:

1. Application for an active license to practice psychology: $350. If the applicant applies through the Psychology Licensure Universal System of the Association of State and Provincial Psychology Boards, the Board shall ensure the ASPPB receives the applicable portion of the fee;

2. Application for a temporary license under A.R.S. § 32-2073(B): $200

3. Reapplication for an active license: $200;

4. Issuance of an initial active or temporary license (prorated, as applicable): $500;

5. Duplicate license: $25;

6.4. Biennial renewal of an active license: $500;

7.5. Biennial renewal of an inactive license: $85;

8.6. Reinstatement of an active or inactive license: $200; and

9.7. Delinquent compliance with continuing education requirements: $200.

B. Under the specific authority provided by A.R.S. § 36-3606(A)(3), the Board establishes and shall collect the following fee to register as an out-of-state health care provider of telehealth services: $600.

C. As specifically authorized by A.R.S. § 32-2067(A), the Board establishes the following charges for the services provided. The specified charge is not applicable if the Board's executive director determines the requestor demonstrates the data will be used for a non-commercial purpose or the data are obtained from the Board's online directory:

1. Duplicate renewal receipt: $5;

2. Copy of statutes and rules: $5;

3. Verification of a license: $2;

4. Audio recording of a Board or Committee meeting: $10;

5.1. Electronic medium containing the name and address of each licensee: $.05 per name;

6.2. Customized electronic medium containing the name and address of each current licensee: $.25 per name;

7.3. Customized electronic medium containing additional, non-confidential, licensee information: $.35 per name; and

8.4. Copies of Board records, documents, letters, minutes, applications, files, and policy statements: $.25 per page.

D. Except as provided by law, including A.R.S. § 41-1077, the fees listed in subsections (A) and (B) are not refundable.

History

• Former Rule 8; Amended as an emergency effective June 15, 1978, pursuant to A.R.S. § 41-1003, valid for only 90 days (Supp. 78-3). Amended effective September 15, 1978 (Supp. 78-5). Repealed effective July 27, 1979 (Supp. 79-4). New Section R4-26-108 adopted effective March 3, 1995 (Supp. 95-1). Pursuant to the advice of the Attorney General, the text of this Section now contains the text certified by the Attorney General and filed as a copy effective March 3, 1995 (Supp. 95-3). Former Section R4-26-108 renumbered to R4-26-201 by final rulemaking at 6 A.A.R. 3297, effective August 7, 2000 (Supp. 00-3). New Section adopted by final rulemaking at 7 A.A.R. 1258, effective February 20, 2001 (Supp. 01-1). Amended by final rulemaking at 13 A.A.R. 1493, effective June 2, 2007 (Supp. 07-2). Amended by final rulemaking at 21 A.A.R. 3444, effective 1/30/2016. Amended by final rulemaking at 22 A.A.R. 3083, effective 10/4/2016. Amended by final exempt rulemaking at 27 A.A.R. 1272, effective 9/1/2021. Amended by final rulemaking at 28 A.A.R. 3879, effective 1/29/2023.

Ariz. Admin. Code § R4-26-109 General Provisions Regarding Telepractice

A. Except as otherwise provided by law, a licensee who provides psychological service or supervision by telepractice to a client or patient or supervisee located outside Arizona shall comply with not only A.R.S. Title 32, Chapter 19.1, § 36-3602 and this Chapter but also the laws and rules of the jurisdiction in which the client or patient or supervisee is located.

B. Before providing psychological service or supervision by telepractice, a licensee shall establish competence in use of telepractice that conforms to prevailing standards of scientific and professional knowledge.

C. A licensee who provides psychological service or supervision by telepractice shall maintain competence in use of telepractice through continuing education, consultation, or other procedures designed to address changing technology used in telepractice.

D. A licensee who provides psychological service or supervision by telepractice shall take all reasonable steps to ensure confidential communications stored electronically cannot be recovered or accessed by an unauthorized person when the licensee disposes of electronic equipment or data.

History

• Former Rule 9; Repealed effective July 27, 1979 (Supp. 79-4). Adopted by final rulemaking at 22 A.A.R. 3084, effective 10/4/2016. Amended by final rulemaking at 28 A.A.R. 3879, effective 1/29/2023.

Ariz. Admin. Code § R4-26-110 Providing Psychological Service by Telepractice

A. Before providing psychological service by telepractice, a licensee who is in compliance with A.R.S. § 36-3602 and R4-26-109 shall conduct a risk analysis as clinically indicated and document in the client or patient's record required under R4-26-106 whether use of telepractice:

1. Is consistent with the client or patient's knowledge and skill regarding use of the technology involved in providing psychological service by telepractice or with ready access to assistance with use of the technology, and

2. Is in the best interest of the client or patient.

B. A licensee shall not provide psychological service by telepractice unless both conditions of the risk analysis conducted under subsection (A) are met.

C. Before providing psychological service by telepractice, a licensee shall:

1. Obtain the written informed consent of the client or patient, using language that is clear and understandable and consistent with accepted professional and legal requirements. The licensee shall ensure the written informed consent addresses the following and a copy is placed in the client or patient's record required under R4-26-106 :

a. The manner in which the licensee will verify the identity of the client or patient before each psychological service if the telepractice does not involve video;

b. The manner in which the licensee will ensure the client or patient's electronic communications are received only by the licensee or supervisee;

c. Limitations and innovative nature of using technology to provide psychological service;

d. Inherent confidentiality risk resulting from use of technology;

e. Potential risk of technology failure that disrupts provision of psychological service and how to re-establish communication if disruption occurs;

f. When and how the licensee will respond to routine electronic communications;

g. The circumstances under which the licensee and client or patient will use an alternative means of communication;

h. Who is authorized to access the electronic communication between the licensee and client or patient;

i. The manner in which the licensee stores the electronic communication between the licensee and the client or patient; and

j. The type of secure electronic technology the licensee will use to communicate with the client or patient;

2. Establish a written agreement with the client or patient that specifies contact information for sources of face-to-face emergency services in the client or patient's geographical area and requires the client or patient to contact a source of face-to-face emergency services when the client or patient experiences a suicidal or homicidal crisis or other emergency. If the licensee has knowledge the client or patient is experiencing a suicidal or homicidal crisis or other emergency, the licensee shall assist the client or patient to contact a source of face-to-face emergency services. The licensee shall place a copy of the written agreement required under this subsection in the client or patient's record required under R4-26-106.

3. Obtain the name and contact information for an emergency contact;

4. Obtain information about an alternative means of contacting the client or patient; and

5. Provide the client or patient with information about an alternative means of contacting the licensee.

D. A licensee who provides psychological service by telepractice shall repeat the risk analysis required under subsection (A) as clinically indicated.

E. If a licensee does not provide psychological service by telepractice to a client or patient, the provisions of this Section do not apply to electronic communications with the client or patient regarding:

1. Scheduling an appointment, billing, establishing benefits, or determining eligibility for services; and

2. Checking the welfare of the client or patient in accord with reasonable professional judgment.

History

• Adopted effective November 22, 1977 (Supp. 77-6). Repealed and readopted as Section R4-26-57 effective July 27, 1979 (Supp. 79-4). Adopted by final rulemaking at 22 A.A.R. 3084, effective 10/4/2016. Amended by final rulemaking at 28 A.A.R. 3879, effective 1/29/2023.

Ariz. Admin. Code § R4-26-111 Providing Supervision through Telepractice

A. As specified under A.R.S. § 32-2071(F) and (G), a licensee who provides individual supervision shall ensure that

1. No more than 50 percent of the supervision is provided through telepractice; and

2. supervision provided through telepractice is conducted using secure, confidential, real-time telecommunication technology. The licensee shall ensure at least 50 percent of individual supervision is either in person or using visual technology.

B. Before providing supervision by telepractice, a licensee who is in compliance with R4-26-109 shall conduct a risk analysis as clinically indicated and document whether providing supervision by telepractice:

1. Is appropriate for the issue presented by the supervisee's client or patient involved in the supervisory process,

2. Is consistent with the supervisee's knowledge and skill regarding use of the technology involved in providing supervision by telepractice, and

3. Is in the best interest of both the supervisee and the supervisee's client or patient involved in the supervisory process.

C. A licensee shall not provide supervision by telepractice unless all conditions of the risk analysis conducted under subsection (B) are met.

D. Before providing supervision by telepractice, a licensee shall:

1. Enter a written agreement with the supervisee, using language that is clear and understandable and consistent with accepted professional and legal requirements. The licensee shall ensure the written agreement addresses the following and a copy is provided to the supervisee:

a. The manner in which the licensee will identify the supervisee before each supervisory session that does not involve video;

b. Limitations and innovative nature of using technology to provide supervision;

c. Potential risk of technology failure that disrupts provision of supervision and how to re-establish communication if disruption occurs;

d. When and how the licensee will respond to routine electronic communications from the supervisee;

e. The circumstances under which the licensee and supervisee will use an alternative means of communication; and

f. The type of secure electronic technology the licensee will use to communicate with the supervisee;

2. Obtain information about an alternative means of contacting the supervisee; and

3. Provide the supervisee with information about an alternative means of contacting the licensee.

History

• Adopted by final rulemaking at 22 A.A.R. 3084, effective 10/4/2016. Amended by final rulemaking at 28 A.A.R. 3879, effective 1/29/2023.

Ariz. Admin. Code § R4-26-120 Renumbered

History

• Former Section R4-26-120 renumbered to R4-26-201 effective July 27, 1979 (Supp. 79-4).

Ariz. Admin. Code § R4-26-121 Renumbered

History

• Former Section R4-26-120 renumbered to R4-26-202 effective July 27, 1979 (Supp. 79-4).

Ariz. Admin. Code § R4-26-122 Renumbered

History

• Former Section R4-26-120 renumbered to R4-26-203 effective July 27, 1979 (Supp. 79-4).

Ariz. Admin. Code § R4-26-123 Renumbered

History

• Former Section R4-26-120 renumbered to R4-26-204 effective July 27, 1979 (Supp. 79-4).

Ariz. Admin. Code § R4-26-124 Renumbered

History

• Former Section R4-26-120 renumbered to R4-26-205 effective July 27, 1979 (Supp. 79-4).

Ariz. Admin. Code § R4-26-125 Renumbered

History

• Former Section R4-26-120 renumbered to R4-26-206 effective July 27, 1979 (Supp. 79-4).

Ariz. Admin. Code § R4-26-126 Renumbered

History

• Former Section R4-26-120 renumbered to R4-26-207 effective July 27, 1979 (Supp. 79-4).

Ariz. Admin. Code § R4-26-127 Renumbered

History

• Former Section R4-26-120 renumbered to R4-26-208 effective July 27, 1979 (Supp. 79-4).

Ariz. Admin. Code § R4-26-128 Renumbered

History

• Former Section R4-26-120 renumbered to R4-26-209 effective July 27, 1979 (Supp. 79-4).

Ariz. Admin. Code § R4-26-150 Renumbered

History

• Former Section R4-26-120 renumbered to R4-26-301 effective July 27, 1979 (Supp. 79-4).

Ariz. Admin. Code § R4-26-151 Renumbered

History

• Former Section R4-26-120 renumbered to R4-26-302 effective July 27, 1979 (Supp. 79-4).

Ariz. Admin. Code § R4-26-152 Renumbered

History

• Former Section R4-26-120 renumbered to R4-26-303 effective July 27, 1979 (Supp. 79-4).

Ariz. Admin. Code § R4-26-153 Renumbered

History

• Former Section R4-26-120 renumbered to R4-26-304 effective July 27, 1979 (Supp. 79-4).

Ariz. Admin. Code § R4-26-154 Renumbered

History

• Former Section R4-26-120 renumbered to R4-26-305 effective July 27, 1979 (Supp. 79-4).

Ariz. Admin. Code § R4-26-155 Renumbered

History

• Former Section R4-26-120 renumbered to R4-26-306 effective July 27, 1979 (Supp. 79-4).

Ariz. Admin. Code § R4-26-156 Renumbered

History

• Former Section R4-26-120 renumbered to R4-26-307 effective July 27, 1979 (Supp. 79-4).

Ariz. Admin. Code § R4-26-157 Renumbered

History

• Former Section R4-26-120 renumbered to R4-26-201 effective July 27, 1979 (Supp. 79-4).

Article 2 LICENSURE

Ariz. Admin. Code § R4-26-201 Application Deadline

A. The Board shall consider a license application at the Board's next scheduled meeting if an administratively complete application packet is received by the Board office at least 18 days before the date of the meeting.

B. The Board shall consider a license application that is received fewer than 18 days before a scheduled meeting at a subsequent meeting.

History

• Adopted effective July 27, 1979 (Supp. 79-4). Amended subsection (A) statute reference, effective June 30, 1981 (Supp. 81-3). Renumbered from R4-26-120 and amended effective July 3, 1991 (Supp. 91-3). Repealed effective March 3, 1995 (Supp. 95-1). Pursuant to the advice of the Attorney General, the text of this Section now contains the text certified by the Attorney General and filed as a copy effective March 3, 1995 (Supp. 95-3). New Section R4-26-201 renumbered from R4-26-108 and amended by final rulemaking at 6 A.A.R. 3297, effective August 7, 2000 (Supp. 00-3). Amended by final rulemaking at 9 A.A.R. 778, effective April 12, 2003 (Supp. 03-1). Amended by final rulemaking at 21 A.A.R. 3444, effective 1/30/2016. Amended by final rulemaking at 28 A.A.R. 3879, effective 1/29/2023.

Ariz. Admin. Code § R4-26-202 Doctorate

A. The Board shall apply the following criteria to determine whether a doctoral program provided by an institution of higher education met the standards in A.R.S. § 32-2071(A)(2) at the time an applicant began the degree program:

1. The program is identified and labeled as a psychology program if there were institutional catalogues and brochures that specified the intent of the institution of higher education to educate and train psychologists;

The program stands as a recognized, coherent organizational entity if there was an organized sequence of courses comprising a psychology curriculum; and

3. The program has clearly identified entry and exit criteria within its psychology curriculum if there were specific prerequisites for entrance into the program and delineated requirements for graduation.

B. The Board shall verify that an applicant completed the hours in the subject areas described in A.R.S. § 32-2071(A)(4). For this purpose, the applicant shall have the institution of higher education that the applicant attended provide directly to the Board an official transcript of all courses taken and verification of the dissertation or similar project.

1. The Board shall verify that an applicant's transcripts have been prepared solely by the institution under A.R.S. § 32-2071(A)(7) by determining whether the applicant had any input into the transcript drafting process.

2. 1. The Board may require additional documentation from the applicant or from the institution to determine whether the applicant satisfied the requirements of A.R.S. § 32-2071(A)(4).

3. 2. The Board shall count five quarter hours or six trimester hours as the equivalent of three semester hours, as required under A.R.S. § 32-2071(A)(4). When an academic term is other than a semester, quarter, or trimester, 15 classroom contact hours equals one semester hour.

C. To determine whether a comprehensive examination taken by an applicant as part of a doctoral program in psychology satisfies the requirements of A.R.S. § 32-2071(A)(4), the Board shall review documentation provided directly to the Board by the institution of higher education that granted the doctoral degree, that demonstrates how the applicant's comprehensive examination was constructed, lists criteria for passing, and provides the information used to determine that the applicant passed.

D. The Board shall not accept as core program hours required under A.R.S. § 32-2071(A)(4) credit:

For workshops, practica, undergraduate courses, life experiences, continuing education courses, or experiential or correspondence courses;

2. Transferred from institutions that are not accredited under A.R.S. § 32-2071(A)(1); or

3. For seminars, readings courses, or independent study unless the applicant proves that the course was an in-depth study devoted to a particular core program content area by submitting one or more of the following:

a. Course description in the official catalogue of the institution of higher education,

b. Course syllabus, or

c. Signed statement from a dean or psychology department head affirming that the course was an in-depth study devoted to a particular core program content area.

E. The Board shall count a course or comprehensive examination only once to satisfy a requirement of A.R.S. § 32-2071(A)(4).

F. An honorary doctorate degree does not qualify an applicant for licensure as a psychologist.

G. The Board shall not accept as core program credits practica, workshops, continuing education courses, experiential or correspondence courses, or life experiences. The Board shall not accept core program credits for seminar or readings courses or independent study unless the applicant provides evidence that the course was an in-depth study devoted to a particular core area. The applicant shall submit evidence of one or more of the following:

1. Course description in official college catalogue,

2. Course syllabus, or

3. Signed statement from a dean or psychology department head detailing that the course was an in-depth study devoted to a particular core area.

History

• Adopted effective July 27, 1979 (Supp. 79-4). Amended effective June 17, 1981 (Supp. 81-3). Renumbered from R4-26-121 and amended effective July 3, 1991 (Supp. 91-3). Amended effective March 3, 1995 (Supp. 95-1). Corrections made to text; agency filed different versions of text in original and copies; corrections reflect the original version (Supp. 95-2). Pursuant to the advice of the Attorney General, the text of this Section now contains the text certified by the Attorney General and filed as a copy effective March 3, 1995 (Supp. 95-3). Amended by final rulemaking at 6 A.A.R. 3297, effective August 7, 2000 (Supp. 00-3). Amended by final rulemaking at 9 A.A.R. 778, effective April 12, 2003 (Supp. 03-1). Amended by final rulemaking at 21 A.A.R. 3444, effective 1/30/2016.

Ariz. Admin. Code § R4-26-203 Application for Initial License

A. An individual who wishes to be licensed as a psychologist shall submit an application packet to the Board that includes an application form approved by the Board, which is available from the Board office and on its website, with an attestation that is signed and dated by the applicant.

B. Additionally, an applicant shall submit:

1. An original, un-retouched, photograph of the applicant that is no larger than 1.5 X 2 inches and taken no more than 60 days before the date of application;

2. The results of a self-query from the National Practitioner Data Bank;

A copy of a valid fingerprint clearance card issued by the Department of Public Safety under A.R.S. Title 41, Chapter 12, Article 3.1 or evidence of application for a valid fingerprint clearance card;

3.4. As required under A.R.S. § 41-1080(A), the specified documentation of citizenship or alien status indicating the applicant's presence in the U.S. is authorized under federal law;

4.5. The Board's Mandatory Confidential Information form;

5.6. Name, position, and address of at least two individuals to serve as references who:

a. Are psychologists licensed or certified to practice psychology in a United States or Canadian regulatory jurisdiction and who are not members of the Arizona Board of Psychologist Examiners;

b. Are familiar with the applicant's work experience in the field of psychology or in a postdoctoral program within the three years immediately before the date of application. If more than three years have elapsed since the applicant last engaged in professional activities in the field of psychology or in a postdoctoral program, the references may pertain to the most recent three-year period in which the applicant engaged in professional activities in the field of psychology or in a postdoctoral program; and

c. Recommend the applicant for licensure;

6.7. The fee required under R4-26-108; and

7.8. Any other information authorized by statute.

C. In addition to the requirements in subsections (A) and (B), an applicant shall arrange to have the following directly submitted to the Board:

1. An official transcript from each university or college from which the applicant attended a graduate program or received a graduate degree that contains the date the degree was conferred;

An official document from the degree-granting institution indicating that the applicant completed a residency that satisfies the requirements of A.R.S. § 32-2071(K);

3. For an applicant applying supervised preinternship hours toward licensure, an attestation submitted by the doctoral program training director, faculty supervisor, or other official of the doctoral-granting institution who is knowledgeable of the applicant's preinternship experience verifying that the applicant's preinternship experience meets the requirements of A.R.S. § 32-2071(D).

4. An attestation from the applicant's supervisor, if available, or a psychologist knowledgeable of the applicant's internship training program, verifying that the applicant's internship training program meets the requirements in A.R.S. § 32-2071(F). If the supervisor or knowledgeable psychologist is not available, the Board shall accept primary source verification received from the Association of State and Provincial Psychology Boards. In this subsection, "not available" means the supervisor or knowledgeable psychologist is deceased or all reasonable efforts to locate the supervisor or knowledgeable psychologist were unsuccessful;

5. For an applicant applying supervised postdoctoral experience toward licensure, an attestation from the applicant's postdoctoral supervisor, if available, or a psychologist knowledgeable of the applicant's postdoctoral experience verifying that the applicant's postdoctoral experience meets the requirements in A.R.S. § 32-2071(G). If the supervisor or knowledgeable psychologist is not available, the Board shall accept primary source verification received from the Association of State and Provincial Psychology Boards. In this subsection, "not available" means the supervisor or knowledgeable psychologist is deceased or all reasonable efforts to locate the supervisor or knowledgeable psychologist were unsuccessful;

6. Verification of all other psychology licenses or certificates ever held in any regulatory jurisdiction; and

7. An official notification of the applicant's score on the national examination. An applicant who passed the national examination in accordance with the standard established at A.R.S. § 32-2072(A), shall have the examination score sent directly to the Board by the Association of State and Provincial Psychology Boards or by the regulatory jurisdiction in which the applicant originally passed the examination.

History

• Adopted effective July 27, 1979 (Supp. 79-4). Amended effective April 25, 1980 (Supp. 80-2). Amended Introductory paragraph statute reference, effective June 30, 1981 (Supp. 81-3). Renumbered from R4-26-122 and amended effective July 3, 1991 (Supp. 91-3). Former Section R4-26-203 repealed, new Section R4-26-203 renumbered from R4-26-204 and amended effective March 3, 1995 (Supp. 95-1). Corrections made to text; agency filed different versions of text in original and copies; corrections reflect the original version (Supp. 95-2). Pursuant to the advice of the Attorney General, the text of this Section now contains the text certified by the Attorney General and filed as a copy effective March 3, 1995 (Supp. 95-3). Section repealed; new Section adopted by final rulemaking at 6 A.A.R. 3297, effective August 7, 2000 (Supp. 00-3). Amended by final rulemaking at 9 A.A.R. 778, effective April 12, 2003 (Supp. 03-1). Amended by final rulemaking at 13 A.A.R. 1493, effective June 2, 2007 (Supp. 07-2). Amended by final rulemaking at 21 A.A.R. 3444, effective 1/30/2016. Amended by final rulemaking at 26 A.A.R. 1010, effective 7/4/2020. Amended by final rulemaking at 28 A.A.R. 3879, effective 1/29/2023.

Ariz. Admin. Code § R4-26-203.01 Application for Licensure by Credential

A. An applicant for a psychologist license by credential under A.R.S. § 32-2071.01(D) shall submit an application packet to the Board that includes:

1. An application form approved by the Board, which is available from the Board office and on its website, with an attestation that is signed and dated by the applicant;

2. A copy of a valid fingerprint clearance card issued by the Department of Public Safety under A.R.S. Title 41, Chapter 12, Article 3.1 or evidence of application for a valid fingerprint clearance card;

3. As required under A.R.S. § 41-1080(A), the specified documentation of citizenship or alien status indicating the applicant's presence in the U.S. is authorized under federal law;

2.4. Verification sent directly to the Board by the credentialing agency that the applicant:

a. Holds a current Certificate of Professional Qualification in Psychology (CPQ) issued by the Association of State and Provincial Psychology Boards;

b. Holds a current National Register of Health Service Providers in Psychology (NRHSPP) credential and has practiced psychology independently at the doctoral level for at least five years; or

c. Is a diplomate or specialist of the American Board of Professional Psychology (ABPP); and

3.5. Verification of all other psychology licenses or certificates ever held in any jurisdiction.

B. An applicant for a psychologist license by credential based on a National Register of Health Service Providers in Psychology credential shall have notification that the applicant obtained a passing score on the national examination sent directly to the Board by the Association of State and Provincial Psychology Boards or by the regulatory jurisdiction in which the applicant originally passed the examination.

C. If the Board determines an application for licensure by credential requires clarification, the Board may require an applicant submit or cause the applicant's credentialing agency to submit directly to the Board any documentation including transcripts, course descriptions, catalogues, brochures, supervised experience verifications, examination scores, application for credential, or any other information deemed necessary by the Board.

History

• New Section made by final rulemaking at 9 A.A.R. 778, effective April 12, 2003 (Supp. 03-1). Amended by final rulemaking at 13 A.A.R. 1493, effective June 2, 2007 (Supp. 07-2). Amended by final rulemaking at 21 A.A.R. 3444, effective 1/30/2016. Amended by final rulemaking at 26 A.A.R. 1010, effective 7/4/2020. Amended by final rulemaking at 28 A.A.R. 3879, effective 1/29/2023.

Ariz. Admin. Code § R4-26-203.02 Application to Take National Examination before Completing Supervised Professional Experience Required for Licensure

A. As provided under A.R.S. § 32-2072(C), an individual who has completed the education requirements specified in A.R.S. § 32-2071(A) but has not completed the supervised professional experience requirements specified in A.R.S. § 32-2071(D) may apply to the Board for approval to take the national examination.

B. To apply under subsection (A) for approval to take the national examination, an individual shall submit to the Board the application form and applicable documents required under R4-26-203(A) through (C) except the document required under R4-26-203(B)(3).

C. The Board shall administratively close an approved application to take the national examination when the Board receives the applicant's examination score. If necessary, an individual granted approval to take the national examination may request an extension under R4-26-204.

D. An individual whose application to take the national examination is approved may apply for an initial license under R4-26-203 after completing the supervised professional experience requirements specified in A.R.S. § 32-2071(D) as follows:

1. Within 36 months after the application to take the national examination submitted under subsection (B) was administratively closed under subsection (C), request that the Board re-open the application submitted under subsection (B); and

2. Submit the portions of the application packet required under R4-26-203 that were not submitted under subsection (B).

History

• Adopted by final rulemaking at 21 A.A.R. 3444, effective 1/30/2016. Amended by final rulemaking at 28 A.A.R. 3879, effective 1/29/2023.

Ariz. Admin. Code § R4-26-203.03 Reapplication for License; Applying Anew

A. The following may reapply for a license:

1. An individual who failed the national examination required under A.R.S. § 32-2072 and R4-26-204 no more than three times, and

2. An individual whose application submitted under R4-26-203 or R4-26-203.01 was administratively closed by the Board under R4-26-208(H) less than one year before reapplication.

B. An individual identified in subsection (A) may ask the Board to base a licensing decision, in part, on applicable forms and documents previously submitted.

C. An individual eligible under subsection (B) to reapply for licensure shall:

1. Submit a reapplication form, which is available from the Board office and on its website, to the Board;

2. If previously submitted references were submitted more than 12 months before the date of reapplication, provide the names, positions, and addresses of at least two individuals to serve as references who:

a. Are psychologists licensed or certified to practice psychology in a United States or Canadian regulatory jurisdiction and are not members of the Arizona Board of Psychologist Examiners;

b. Are familiar with the applicant's work experience in the field of psychology or in a postdoctoral program within the three years immediately before the date of reapplication. If more than three years have elapsed since the applicant last engaged in professional activities in the field of psychology or in a postdoctoral program, the references may pertain to the most recent three-year period in which the applicant engaged in professional activities in the field of psychology or in a postdoctoral program; and

c. Recommend the applicant for licensure;

3. List all professional employment since the date of the most recent application or reapplication including:

a. Beginning and ending dates of employment,

b. Number of hours worked per week,

c. Name and address of employer,

d. Position title,

e. Nature of work, and

f. Nature of supervision;

4. Submit the results of a self-query from the National Practitioner Data Bank;

5. Submit a copy of a valid fingerprint clearance card issued by the Department of Public Safety under A.R.S. Title 41, Chapter 12, Article 3.11 or evidence of application for a valid fingerprint clearance card; and

5.6. Pay the fee required under R4-26-108(A)(2).

D. The following shall apply anew for a license rather than reapplying:

1. An individual whose application submitted under R4-26-203 or R4-26-203.01 was denied by the Board,

2. An individual who was permitted by the Board to withdraw an application submitted under R4-26-203 or R4-26-203.01 before the Board acted on the application,

3. An individual whose application submitted under R4-26-203 or R4-26-203.01 was administratively closed by the Board under R4-26-208(H) more than one year before another application is submitted,

4. An individual whose license was revoked under A.R.S. § 32-2081(N)(1),

5. An individual whose license expired under A.R.S. § 32-2074,

6. An individual whose license was canceled under A.R.S. 32-2074, and

7. An individual who retired under A.R.S. § 32-2073(G).

History

• Adopted by final rulemaking at 21 A.A.R. 3444, effective 1/30/2016. Amended by final rulemaking at 22 A.A.R. 3084, effective 10/4/2016. Amended by final rulemaking at 28 A.A.R. 3879, effective 1/29/2023.

Ariz. Admin. Code § R4-26-203.04 Temporary License under A.R.S. Section 32-2073(B)

A. To be eligible to be issued a temporary license under A.R.S. § 32-2073(B), an individual shall:

1. Have completed the educational requirements specified in A.R.S. § 32-2071(A) through (C);

2. Have completed 1,500 hours of supervised professional experience as described in A.R.S. § 32-2071(F); and

3. Be participating in a supervised postdoctoral professional experience as described in A.R.S. § 32-2071(G).

B. An applicant seeking a temporary license under A.R.S. § 32-2073(B), shall submit an application packet to the Board that includes:

1. The application form required under R4-26-203 and all information required under R4-26-203(B) and (C) except that specified in R4-26-203(C)(3), (5), and (7);

2. The written training plan required under A.R.S. § 32-2071(G)(7) from the entity at which the supervised postdoctoral professional experience is occurring that includes at least the following:

a. Goal and content of each training experience,

b. Expectations regarding the nature, quality, and quantity of work to be done by the supervisee during the supervised postdoctoral professional experience,

c. Methods of evaluating the supervisee and the supervised postdoctoral professional experience,

d. Total number of hours to be accrued during the supervised postdoctoral professional experience,

e. Total number of face-to-face contact hours the supervisee is to have with clients or patients during the supervised postdoctoral professional experience,

f. Total number of hours of supervision the supervisee is to receive during the supervised postdoctoral professional experience,

g. Qualifications of all individuals who provide supervision during the supervised postdoctoral professional experience including documentation that each is qualified under the standards at A.R.S. § 32-2071(G),

h. Acknowledgment that ethics training is included in the training experience; and

3. A written request for approval to take the national examination specified under A.R.S. § 32-2072, if applicable, using a form approved by the Board and available in the Board office and on its website.

C. An individual issued a temporary license under A.R.S. § 32-2073(B) shall practice psychology only under supervision. It is unprofessional conduct for the holder of a temporary license issued under A.R.S. § 32-2073(B) to practice psychology without supervision.

D. A temporary license issued under A.R.S. § 32-2073(B) is valid for 36 months and is not renewable. If the Board denies an active license under R4-26-203 to the holder of a temporary license issued under A.R.S. § 32-2073(B), the temporary license terminates at the time of license denial.

E. The holder of a temporary license issued under A.R.S. § 32-2073(B) shall:

1. Comply fully with all provisions of A.R.S. Title 32, Chapter 19.1, and this Chapter;

2. Not practice psychology outside the postdoctoral experience specified in the written training plan required under subsection (B)(2); and

3. Submit to the Board a proposed new training plan if the written training plan required under subsection (B)(2) is modified. The proposed new training plan shall be submitted within 10 days after the effective date of the modification.

F. The holder of a temporary license who was not previously approved to take the national examination may submit to the Board a written request for approval to take the national examination using a form approved by the Board and available in the Board office.

History

• Adopted by final rulemaking at 22 A.A.R. 3084, effective 10/4/2016. Amended by final rulemaking at 28 A.A.R. 3879, effective 1/29/2023.

Ariz. Admin. Code § R4-26-204 Examinations

A. General rules

1. Under A.R.S. § 32-2072(C), an applicant who fails the national examination three times in any regulatory jurisdiction shall, before taking the national examination again, review the applicant's areas of deficiency and implement a program of study or practical experience designed to remedy the deficiencies. This remedial program may consist of any combination of course work, self-study, internship experience, and supervision.

2. An applicant required under subsection (A)(1) to implement a program of study or practical experience may apply anew for licensure. The applicant shall submit a new application packet, as described in R4-26-203, and include information about any actions proposed under subsection (A)(1).

3. The holder of a temporary license issued under A.R.S. § 32-2073(B) who:

a. Fails the national examination three times and complies with subsection (A)(1) may submit to the Board a written request to retake the national examination using a form that is approved by the Board and available at the Board office and on its website; or

b. Fails to take the national examination within one year after the Board's authorization to do so shall submit a written request for approval to take the national examination using a form that is approved by the Board and available at the Board office and on its website.

3.4. Examination deadline. The Board shall administratively close the file of an applicant authorized by the Board to take an examination specified in subsection (B) or (C) who fails to take the examination within one year from the date of the Board's authorization.

5. Extension of examination deadline. An applicant or the holder of a temporary license issued under A.R.S. § 32-2073(B) may obtain an extension of the examination deadline specified in subsection (A)(3)(b) or (A)(4). To obtain an extension of the examination deadline, the applicant or temporary licensee shall submit a written request to the Board's Executive Director on or before the examination deadline. The Board shall grant the applicant or temporary licensee one extension of up to six months to take the examination. The applicant or temporary licensee may request additional extensions for good cause, which includes but is not limited to illness or injury of the licensee or a close family member, death of a close family member, birth or adoption of a child, military service, relocation, natural disaster, financial hardship, or residence in a foreign country for at least 12 months of the license period. The Board shall ensure that an extension is for no more than six months.

4.6. The Board shall deny or revoke a license, as applicable, if an applicant or temporary licensee commits any of the following acts with respect to a licensing examination specified under subsection (B) or (C):

a. Violates the confidentiality of examination materials;

b. Removes any examination materials from the examination room;

c. Reproduces any portion of a licensing examination;

d. Aids in the reproduction or reconstruction of any portion of a licensing examination;

e. Pays or uses another person to take a licensing examination or to reconstruct any portion of the licensing examination;

f. Obtains examination material, either before, during, or after an examination, for the purpose of instructing or preparing applicants for examinations;

g. Sells, distributes, buys, receives, or has possession of any portion of a future, current, or previously administered licensing examination that is not authorized by the Board or its authorized agent for release to the public;

h. Communicates with any other examinee during the administration of a licensing examination;

i. Copies answers from another examinee or permits the copying of answers by another examinee;

j. Possesses during the administration of a licensing examination any books, equipment, notes, written or printed materials, or data of any kind, other than material distributed during the examination; or

k. Impersonates another examinee.

B. National examination. Under A.R.S. § 32-2072, the Board shall require that an applicant or temporary licensee take and pass the national examination. An applicant or temporary licensee authorized by the Board to take the national examination passes the examination by obtaining a score that equals or exceeds the passing score specified in A.R.S. § 32-2072(A). After the Board receives the examination results, the Board shall notify the applicant or temporary licensee in writing of the results.

C. Additional examination.

1. The Board shall require an applicant or temporary licensee to pass the national examination specified in subsection (B) before allowing the applicant or temporary licensee to take an additional examination.

2. Under A.R.S. § 32-2072(B), the Board may administer an additional examination to an applicant or temporary licensee to determine the adequacy of the applicant's or temporary licensee's knowledge and application of Arizona law. The additional examination may also cover the practice of psychology, ethical conduct, and psychological assessment and treatment practices.

a. The Board shall review and approve the additional examination before administration;

b. The additional examination may be developed and administered by the Board, a committee of the Board, consultants to the Board, or independent contractors; and

c. Examiners and consultants to the Board shall execute a security acknowledgment form and agree to maintain examination security.

History

• Adopted effective July 27, 1979 (Supp. 79-4). Amended Introductory paragraph statute reference, effective June 30, 1981 (Supp. 81-3). Renumbered from R4-26-123 and amended effective July 3, 1991 (Supp. 91-3). Former Section R4-26-204 renumbered to R4-26-203, new Section R4-26-204 renumbered from R4-26-205 and amended effective March 3, 1995 (Supp. 95-1). Corrections made to text; agency filed different versions of text in original and copies; corrections reflect the original version (Supp. 95-2). Pursuant to the advice of the Attorney General, the text of this Section now contains the text certified by the Attorney General and filed as a copy effective March 3, 1995 (Supp. 95-3). Amended by final rulemaking at 6 A.A.R. 3297, effective August 7, 2000 (Supp. 00-3). Amended by final rulemaking at 9 A.A.R. 778, effective April 12, 2003 (Supp. 03-1). Amended by final rulemaking at 10 A.A.R. 4743, effective January 1, 2005 (Supp. 04-4). Amended by final rulemaking at 13 A.A.R. 1493, effective June 2, 2007 (Supp. 07-2). Amended by final rulemaking at 21 A.A.R. 3444, effective 1/30/2016. Amended by final rulemaking at 28 A.A.R. 3879, effective 1/29/2023.

Ariz. Admin. Code § R4-26-205 Renewal of License

A. Beginning May 1, 2017, a A license issued by the Board, whether active or inactive, expires on the last day of a licensee's birth month during the licensee's renewal year.

B. The Board considers a license renewal application packet timely if submitted to the online renewal system on or before the last day of a licensee's birth month during the licensee's renewal year.

C. To renew a license, a licensee shall submit to the Board a renewal application form approved by the Board and available on its website, with an attestation that is signed and dated by the licensee.

D. Additionally, to renew a license, a licensee shall submit to the Board:

1. The license renewal fee required under R4-26-108;

2. A copy of a valid fingerprint clearance card issued by the Department of Public Safety under A.R.S. Title 41, Chapter 12, Article 3.1;

2.3. If the documentation previously submitted under R4-26-203(B)(3) was a limited form of work authorization issued by the federal government, evidence that the work authorization has not expired;

3.4. The following information about the continuing education completed during the previous license period:

a. Title of the continuing education;

b. Date completed;

c. Sponsoring organization, publication, or educational institution;

d. Number of hours in the continuing education; and

e. Brief description of the continuing education; and

4.5. Any other information authorized by statute.

E. If a completed application is timely submitted under subsections (C) and (D), the licensee may continue to practice psychology under the active license until notified by the Board that the application for renewal has been approved or denied. If the Board denies license renewal, the licensee may continue to practice psychology until the last day for seeking review of the Board's decision or a later date fixed by a reviewing court.

F. Under A.R.S. § 32-2074(C), the license of a licensee who fails to submit a renewal application, including the information about continuing education completed, on or before the last day of the licensee's birth month during the licensee's renewal year expires and the licensee shall immediately stop practicing psychology.

G. A psychologist whose license expires under subsection (F) may have the license reinstated by submitting the following to the Board within two months after the last day of the licensee's birth month during the licensee's renewal year:

1. The license renewal application required under subsection (C) and the documents required under subsections (D)(2) through (4); and

2. The license renewal and reinstatement fees required under R4-26-108.

H. A psychologist whose license expires under subsection (F) and who fails to have the license reinstated under subsection (G) may have the license reinstated by:

Complying with subsection (G) within one year after the last day of the licensee's birth month during the licensee's renewal year, and

2. Paying the fee for reinstatement of an active or inactive license as specified in R4-26-108.

I. A psychologist whose license expires under subsection (F) and who fails to have the license reinstated under subsection (G) or (H) may be licensed again only by complying with R4-26-203.

J. If the Board audits the continuing education records of a licensee and determines that some of the hours do not conform to the standards listed in R4-26-207, the Board shall disallow the non-conforming hours. If the remaining hours are less than the number required, the Board shall deem the licensee as failing to satisfy the continuing education requirements and provide notice of the disallowance to the licensee. The licensee has 90 days from the mailing date of the Board's notification of disallowance to complete the continuing education requirements for the past reporting period and shall provide the Board with an affidavit documenting completion. If the Board does not receive an affidavit within 90 days of the mailing date of notification of disallowance or the Board deems the affidavit insufficient, the Board may take disciplinary action under A.R.S. § 32-2081.

History

• Adopted effective July 27, 1979 (Supp. 79-4). Amended subsections (A) and (B) statute references, effective June 30, 1981 (Supp. 81-3). Amended effective November 1, 1985 (Supp. 85-6). Renumbered from R4-26-124 and amended effective July 3, 1991 (Supp. 91-3). Former Section R4-26-205 renumbered to R4-26-204; new Section R4-26-205 renumbered from R4-26-206 and amended effective March 3, 1995 (Supp. 95-1). Corrections made to text; agency filed different versions of text in original and copies; corrections reflect the original version (Supp. 95-2). Pursuant to the advice of the Attorney General, the text of this Section now contains the text certified by the Attorney General and filed as a copy effective March 3, 1995 (Supp. 95-3). Amended by final rulemaking at 6 A.A.R. 3297, effective August 7, 2000 (Supp. 00-3). Amended by final rulemaking at 10 A.A.R. 4743, effective January 1, 2005 (Supp. 04-4). Amended by final rulemaking at 13 A.A.R. 1493, effective June 2, 2007 (Supp. 07-2). Amended by final rulemaking at 21 A.A.R. 3444, effective 1/30/2016. Amended by final rulemaking at 22 A.A.R. 3084, effective 10/4/2016. Amended by final rulemaking at 26 A.A.R. 1010, effective 7/4/2020. Amended by final rulemaking at 28 A.A.R. 3879, effective 1/29/2023.

Ariz. Admin. Code § R4-26-206 Reinstatement of License from Inactive to Active Status; Cancellation of License

A. Except as provided in subsection (C), when considering reinstatement of a psychologist from inactive to active status, the Board shall presume that the psychologist has maintained and updated the psychologist's professional knowledge and capability to practice as a psychologist if the psychologist presents to the Board documentation of completion of a prorated amount of continuing education, calculated under subsection (B).

B. A psychologist who is on inactive status for at least two years may reinstate the license to active status by presenting to the Board:

1. A copy of a valid fingerprint clearance card issued by the Department of Public Safety under A.R.S. Title 41, Chapter 12, Article 3.1;

2. If the documentation previously submitted under R4-26-203(B)(3) was a limited form of work authorization issued by the federal government, evidence that the work authorization has not expired; and

3. Documentation of completion of at least 40 hours of continuing education that meets the standards in R4-26-207. A psychologist who is on inactive status for less than two years may reinstate the license to active status by presenting to the Board documentation of completion of a prorated amount of continuing education. To calculate the prorated amount of continuing education hours required, the Board shall multiply 1.67 by the number of months from the date of inactive status until the date the application for reinstatement is received by the Board. For every six months of inactive status, the Board shall require one hour of continuing education in ethics.

C. A psychologist may request that the Board cancel the psychologist's license if the psychologist is not under investigation by any regulatory jurisdiction. Fees paid to obtain a license are not refundable when the license is canceled. If an individual whose request for license cancellation is approved by the Board subsequently decides to practice psychology, the individual shall submit a new application under R4-26-203 and meet the requirements in A.R.S. § 32-2071.

History

• Adopted effective July 27, 1979 (Supp. 79-4). Amended effective June 17, 1981 (Supp. 81-3). Renumbered from R4-26-125 effective July 3, 1991 (Supp. 91-3). Former Section R4-26-206 renumbered to R4-26-205; new Section R4-26-206 adopted effective March 3, 1995 (Supp. 95-1). Corrections made to text; agency filed different versions of text in original and copies; corrections reflect the original version (Supp. 95-2). Pursuant to the advice of the Attorney General, the text of this Section now contains the text certified by the Attorney General and filed as a copy effective March 3, 1995 (Supp. 95-3). Section repealed; new Section made by final rulemaking at 11 A.A.R. 2007, effective July 2, 2005 (Supp. 05-2). Amended by final rulemaking at 13 A.A.R. 1493, effective June 2, 2007 (Supp. 07-2). Amended by final rulemaking at 21 A.A.R. 3444, effective 1/30/2016. Amended by final rulemaking at 22 A.A.R. 3084, effective 10/4/2016. Amended by final rulemaking at 28 A.A.R. 3879, effective 1/29/2023.

Ariz. Admin. Code § R4-26-207 Continuing Education

A. A licensee shall complete at least 40 hours of continuing education during each license period. Unless specified otherwise, one clock hour of instruction, training, or making a presentation equals one hour of continuing education.

B. A licensee shall ensure the continuing education hours obtained include at least four hours in professional ethics

C. During the license period in which an individual is initially licensed, the Board shall pro-rate the number of continuing education hours, including a pro-rated number of hours addressing ethics, that the new licensee must complete during the initial license period. To calculate the number of continuing education hours that a new licensee must obtain, the Board shall divide the 40 hours of continuing education required in a license period by 24 and multiply the quotient by the number of whole months from the date of initial licensure until the end of the license period. During the first license period, for every six months from the month of license issuance to the end of the license period, the Board shall require one hour of continuing education in ethics.

D. If the standards in subsection (F) are met, the Board shall accept the following for continuing education hours.

1. Post-doctoral study sponsored by a university or college that is regionally accredited under A.R.S. § 32-2071(A)(1) and provides a graduate-level degree program;

2. A course, seminar, workshop, or home study for which a certificate of attendance or completion is provided;

3. A continuing education program offered by a national, international, regional, or state association, society, board, or continuing education provider;

4. Teaching a graduate-level course in applied psychology at a university or college that is regionally accredited under A.R.S. § 32-2071(A)(1). A licensee who teaches a graduate-level course in applied psychology receives the same number of continuing education hours as number of classroom hours for those who take the graduate-level course;

5. Organizing and presenting a continuing education activity. A licensee who organizes and presents a continuing education activity receives the same number of continuing education hours as those who attend the continuing education activity;

6. Serving as a complaint consultant. During a license period, a licensee who serves as a Board complaint consultant to review Board complaints and provides written reports to the Board or provides expert testimony on behalf of the Board may receive continuing education hours equal to the actual number of hours served as a complaint consultant to a maximum of 20 hours. A licensee who is paid by the Board for services rendered shall not receive continuing education credit for the time or services for which payment was made;

7. The Board shall allow a maximum of 10 continuing education hours for each of the following during a license period:

a. Attending a Board meeting or serving as a member of the Board. A licensee receives up to six continuing education hours in professional ethics for attending both morning and afternoon sessions of a Board meeting and three continuing education hours for attending either the morning or afternoon session or at least four hours of a Board meeting. A licensee shall complete documentation provided by the Board at the time the licensee attends a Board meeting;

b. Having an authored or co-authored psychology book, psychology book chapter, or article in a peer-reviewed psychology journal published. A licensee who has an authored or co-authored psychology book, psychology book chapter, or article in a peer-reviewed psychology journal published receives 10 continuing education hours in the year of publication;

c. Participating in a study group for professional growth and development as a psychologist. A licensee receives one hour of continuing education for each hour of participation to a maximum of 10 continuing education hours for participating in a study group. The Board shall allow continuing education hours for participating in a study group only if the licensee maintains the documentation required under subsection (G)(5);

d. Presenting a symposium or paper at a state, regional, national, or international psychology meeting. A licensee who presents a symposium or paper receives the same number of continuing education hours as hours of the session, as published in the agenda of the meeting, at which the symposium or paper is presented to a maximum of 10 continuing education hours;

e. Presenting a poster during a poster session at a state, regional, national, or international psychology meeting. A licensee who presents a poster receives an hour of continuing education for each hour the licensee is physically present with the poster during the poster session, as published in the agenda of the meeting, to a maximum of 10 continuing education hours; and

f. Serving as an elected officer of an international, national, regional, or state psychological association or society. A licensee who serves as an elected officer may receive continuing education hours equal to the actual number of hours served to a maximum of 10 continuing education hours.

E. The Board shall not allow continuing education credit more than once in a license period for:

1. Teaching the same graduate-level course,

2. Organizing and presenting a continuing education activity on the same topic or content area, or

3. Presenting the same symposium or paper at a state, regional, national, or international psychology meeting.

F. Standards for continuing education. To be acceptable for continuing education credit, an activity identified in subsections (D)(1) through (4) shall:

1. Focus on the practice of psychology, as defined at A.R.S. § 32-2061, for at least 75 percent of the program hours; and

2. Be taught by an instructor who is readily identifiable as competent in the subject of the continuing education by having an advanced degree, teaching experience, work history, published professional articles, or previously presented continuing education on the same subject.

G. The Board shall accept the following documents as evidence of completion of continuing education hours:

1. A certificate of attendance or completion;

Statement signed by the provider verifying participation in the activity;

3. Copy of transcript of course completed under subsection (D)(1);

4. Documents indicating a licensee's participation as an elected officer or appointed member as specified in subsection (D)(7)(f); or

5. An attestation signed by all participants of a study group under subsection (D)(7)(c) that includes a description of the activity, subject covered, dates, and number of hours.

H. A licensee shall maintain the documents listed in subsection (G) through the license period following the license period in which the documents were obtained.

I. The Board may audit a licensee's compliance with continuing education requirements. The Board may deny renewal or take other disciplinary action against a licensee who fails to obtain or document required continuing education hours.

The Board may discipline a licensee who commits fraud, deceit, or misrepresentation regarding continuing education hours.

J. A licensee who cannot meet the continuing education requirement for good cause may seek an extension of time to complete the continuing education requirement by submitting a written request to the Board with the timely submission of the renewal application required under R4-26-205.

1. Good cause includes but is not limited to illness or injury of the licensee or a close family member, death of a close family member, birth or adoption of a child, military service, relocation, natural disaster, financial hardship, or residence in a foreign country for at least 12 months of the license period.

2. The Board shall not grant an extension longer than one year.

3. A licensee who cannot complete the continuing education requirement within the extension may apply to the Board for inactive license status under A.R.S. § 32-2073(G).

K. No continuing education hours may be carried over to the next licensing period.

L. The Board shall not accept for continuing education hours a course, workshop, seminar, or symposium designed to increase income or office efficiency.

History

• Adopted effective July 27, 1979 (Supp. 79-4). Amended effective January 23, 1981 (Supp. 81-1). Renumbered from R4-26-126 and amended effective July 3, 1991 (Supp. 91-3). Former Section R4-26-207 repealed; new Section R4-26-207 adopted effective March 3, 1995 (Supp. 95-1). Corrections made to text; agency filed different versions of text in original and copies; corrections reflect the original version (Supp. 95-2). Pursuant to the advice of the Attorney General, the text of this Section now contains the text certified by the Attorney General and filed as a copy effective March 3, 1995. Text corrected. (Supp. 95-3). Amended by final rulemaking at 6 A.A.R. 3297, effective August 7, 2000 (Supp. 00-3). Amended by final rulemaking at 9 A.A.R. 778, effective April 12, 2003 (Supp. 03-1). Amended by final rulemaking at 10 A.A.R. 4743, effective January 1, 2005 (Supp. 04-4). Amended by final rulemaking at 21 A.A.R. 3444, effective 1/30/2016. Amended by final rulemaking at 22 A.A.R. 3084, effective 10/4/2016. Amended by final rulemaking at 26 A.A.R. 1010, effective 7/4/2020.

Ariz. Admin. Code § R4-26-208 Time Frames for Processing Applications

A. For the purpose of A.R.S. § 41-1073, the Board establishes the time frames listed in Table 1. An applicant or a person requesting an approval from the Board and the Board's Executive Director may agree in writing to extend the substantive review and overall time frames by no more than 25 percent of the overall time frame.

B. The administrative completeness review time frame begins when the Board receives an application packet or request for approval. During the administrative completeness review time frame, the Board shall notify the applicant or person requesting approval that the application packet or request for approval is either complete or incomplete. If the application packet or request for approval is incomplete, the Board shall specify in the notice what information is missing.

1. The administrative completeness review time-frame begins, for approval or denial of:

a. An application to take the national examination, on the date the Board receives an application packet and ends on the date the Board sends an applicant a written notice of administrative completeness;

b. An application for licensure from an applicant licensed in another jurisdiction who is applying for an examination waiver under A.R.S. § 32-2072(A), on the date the Board receives an application packet and ends on the date the Board sends an applicant a written notice of administrative completeness;

c. An application for licensure by credential, on the date the Board receives an application packet and ends on the date the Board sends a notice of administrative completeness and if the application does not require substantive review, a request for payment of licensing fee;

d. An application to take an additional examination, on the date the Board receives an application packet for the additional examination, and ends on the date the Board sends an applicant a written notice of administrative completeness;

e. A license renewal application, on the date the Board receives a renewal application packet and ends on the date the Board sends an applicant a written renewal receipt;

f. A request for reinstatement of an expired license, on the date the Board receives the request for reinstatement and ends on the date the Board sends an applicant a written renewal receipt; and

g. A request for an extension in which to complete continuing education requirements, on the date the Board receives a request for extension, and ends on the date the Board sends an applicant written notice of completeness of the request.

2. C. If an applicant or person requesting approval receives a notice of incompleteness under subsection (B), the applicant or person requesting approval shall submit the missing information to the Board within the time to complete listed in Table 1.

Both the administrative completeness review and overall time frames are suspended from the date of the Board's notice under subsection (B) until the Board receives all of the missing information.

3. If a renewal application is incomplete, the Board shall send an applicant a written notice specifying deficiencies. The administrative completeness time-frame and the overall time-frame are suspended from the date of mailing this notice until the date that the Board receives a complete application packet from the applicant.

4. D. Upon receipt of all missing information, the Board shall send a written notice of administrative completeness to the applicant or person requesting approval. The Board shall not send a separate notice of completeness if the Board grants or denies a license or approval within the administrative completeness time frame listed in Table 1.

C. E. The substantive review time frame listed in Table 1 begins on the date of the Board's notice of administrative completeness sent under subsection (D).

1. The substantive review time-frame begins for approval or denial of:

a. An application to take the national examination, on the date the Board sends an applicant written notice of administrative completeness and ends on the date the Board approves or denies the application to take the national examination;

b. An application for licensure from an applicant licensed in another jurisdiction, who is applying for an examination waiver under A.R.S. § 32-2072(A), on the date the Board sends the applicant written notice of administrative completeness and ends on the date the Board approves or denies the application;

c. An application for licensure by credential that requires substantive review, on the date the Board sends the applicant written notice of administrative completeness and ends on the date the Board approves or denies the application;

d. An application to take an additional examination, on the date the Board sends the applicant written notice of administrative completeness and ends on the date the Board approves or denies the application to take the additional examination;

e. An application for license renewal that is deficient under subsection (B)(3), on the date an applicant submits the missing information, and ends on the date the Board approves or denies the renewal application;

f. A request for reinstatement of an expired license, on the date the Board sends written notice of administrative completeness and ends on the date the Board approves or denies the request; and

g. A request for an extension in which to complete continuing education requirements, on the date the Board office sends an applicant written notice of completeness and ends on the date the Board approves or denies the request.

2. F. If the Board determines during the substantive review that additional information is needed, the Board shall send the applicant or person requesting approval a comprehensive written request for additional information.

G. An applicant or person requesting approval who receives a request under subsection (F) shall submit the additional information to the Board within the time for response listed in Table 1. Both the substantive review and overall time frames are suspended from the date of the Board's request until the Board receives the additional information.

H. An applicant or person requesting approval may receive a 30-day extension of the time provided under subsection (C) or (G) by providing written notice to the Board before the time expires. If an applicant or person requesting approval fails to submit to the Board the missing or additional information within the time provided under Table 1 or the time as extended, the Board shall administratively close the applicant's or person's file.

E. I. At any time before the overall time frame provided in Table 1 expires, an applicant or person requesting approval may, with approval by the Board, withdraw the application or request.

F. J. Within the overall time frame listed in Table 1, the Board shall:

1. Grant a license or approval if the Board determines that the applicant or person requesting approval meets all criteria required by statute and this Chapter; or

2. Deny a license or approval if the Board determines that the applicant or person requesting approval does not meet all criteria required by statute and this Chapter.

K. If the Board denies a license or approval, the Board shall send the applicant or person requesting approval a written notice explaining:

1. The reason for denial, with citations to supporting statutes or rules;

2. The right to appeal the denial by filing an appeal under A.R.S. Title 41, Chapter 6, Article 10;

3. The time for appealing the denial; and

4. The right to request an informal settlement conference.

I. L. If the last day of a time frame falls on a Saturday, Sunday, or an official state holiday, the time frame ends on the next business day.

History

• Adopted effective July 27, 1979 (Supp. 79-4). Amended effective January 23, 1981 (Supp. 81-1). Amended effective July 3, 1984 (Supp. 84-4). Amended effective February 24, 1988 (Supp. 88-1). Renumbered from R4-26-127 effective July 3, 1991 (Supp. 91-3). Former Section R4-26-208 repealed; new Section R4-26-208 amended effective March 3, 1995 (Supp. 95-1). Pursuant to the advice of the Attorney General, the text of this Section now contains the text certified by the Attorney General and filed as a copy effective March 3, 1995 (Supp. 95-3). Amended by final rulemaking at 5 A.A.R. 737, effective February 19, 1999 (Supp. 99-1). Amended by final rulemaking at 6 A.A.R. 3297, effective August 7, 2000 (Supp. 00-3). Amended by final rulemaking at 9 A.A.R. 778, effective April 12, 2003 (Supp. 03-1). Amended by final rulemaking at 13 A.A.R. 1493, effective June 2, 2007 (Supp. 07-2). Amended by final rulemaking at 21 A.A.R. 3444, effective 1/30/2016. Amended by final rulemaking at 22 A.A.R. 3084, effective 10/4/2016.

Ariz. Admin. Code § R4-26-209 General Supervision

A. Under A.R.S. § 32-2071(D), an applicant is required to obtain 3,000 hours of supervised professional experience.

B. A supervising psychologist shall not supervise a member of the psychologist's immediate family or the psychologist's employer or business partner.

C. Payment between a supervisor and supervisee.

1. A supervising psychologist may pay a monetary stipend or fee to a supervisee if the amount paid by the supervisor is not based on the supervisee's productivity or revenue generated by the supervisee;

2. A supervising psychologist who accepts a fee for providing the supervisory service in Arizona may be subject to disciplinary action by the Board; and

3. The Board shall look to the law of the jurisdiction in which the supervision occurred to determine whether to include as part of the 3,000 hours of supervised professional experience required under A.R.S. § 32-2071(D) hours for which an applicant paid the supervisor.

D. A psychologist who supervises the professional experience of an unlicensed individual is professionally responsible for all work done by the individual during the supervised experience.

E. The Board shall include in the 3,000 hours of supervised professional experience required under A.R.S. § 32-2071(D), hours obtained through a training program only if the training program provides the supervision required under A.R.S. § 32-2071(F)(2).

History

• Adopted effective January 23, 1981 (Supp. 81-1). Renumbered from R4-26-128 and amended effective July 3, 1991 (Supp. 91-3). Former Section R4-26-209 renumbered to R4-26-208; new Section R4-26-209 adopted effective March 3, 1995 (Supp. 95-1). Pursuant to the advice of the Attorney General, the text of this Section now contains the text certified by the Attorney General and filed as a copy effective March 3, 1995 (Supp. 95-3). Amended by final rulemaking at 6 A.A.R. 3297, effective August 7, 2000 (Supp. 00-3). Amended by final rulemaking at 21 A.A.R. 3444, effective 1/30/2016.

Ariz. Admin. Code § R4-26-210 Supervised Professional Experience

A. The Board shall use the following criteria to determine whether an applicant's supervised preinternship professional experience complies with A.R.S. § 32-2071(E):

1. The supervised preinternship professional experience was part of the applicant's doctoral program from an institution of higher education that meets the standards in A.R.S. § 32-2071(A);

2. The applicant completed appropriate academic preparation before beginning the supervised preinternship professional experience. The Board shall not include any assessment or treatment conducted as part of the required academic preparation in the hours of supervised preinternship professional experience; and

3. For each supervised preinternship professional experience training site, the applicant has a written training plan with both the training site and the institution of higher education at which the applicant is pursuing a doctoral degree that includes at least the following:

a. Training activities included and the amount of time allotted to each activity,

b. Goals and objectives of each training activity,

c. Methods of evaluating the supervisee and the supervised preinternship professional experiences provided,

d. Approval of all individuals providing supervision at sites external to the training site,

e. Total number of hours to be accrued during the supervised preinternship professional experience,

f. Total number of hours of face-to-face contact hours with clients or patients during the supervised preinternship professional experience,

g. Total number of hours of supervision during the supervised preinternship professional experience,

h. Qualifications of all individuals who provide supervision during the supervised preinternship professional experience, and

i. Acknowledgment that ethics training will be included in all activities.

B. The Board shall use the following criteria to determine whether an applicant's internship or training program qualifies as supervised professional experience under A.R.S. § 32-2071(F):

1. The written statement required under A.R.S. § 32-2071(F)(9):

a. Was established no later than the time the applicant entered the internship or training program; and

b. Corresponds to the internship or training program the applicant completed;

2. A supervisor was directly available to the applicant when decisions were made regarding emergency psychological services provided to a client or patient as required under A.R.S. § 32-2071(F)(2);

3. Course work used to satisfy the requirements of A.R.S. § 32-2071(A) or dissertation time is not credited toward the face-to-face, individual supervision time required by A.R.S. § 32-2071(F)(6);

4. The two hours a week of other learning activities required under A.R.S. § 32-2071(F)(6) include one or more of the following:

a. Case conferences involving a case in which the applicant was actively involved,

b. Seminars involving clinical issues,

c. Co-therapy with a professional staff person including discussion,

d. Group supervision, or

e. Additional individual supervision;

5. The training program had the applicant work with other doctoral level psychology trainees and included in the written statement required under A.R.S. § 32-2071(F)(9) a description of the program policy specifying the opportunities and resources provided to the applicant for working or interacting with other doctoral level psychology trainees in the same or other sites; and

6. Time spent fulfilling academic degree requirements, such as course work applied to the doctoral degree, practicum, field laboratory, dissertation, or thesis credit, is not credited toward the 1,500 hours of supervised professional experience hours required by A.R.S. § 32-2071(F). This subsection does not restrict a student from participating in activities designed to fulfill other doctoral degree requirements. However, the Board shall not credit time spent participating in activities to fulfill academic degree requirements toward the hours required under A.R.S. § 32-2071(F).

C. Under A.R.S. § 32-2071(G)(5), at least 40 percent of an applicant's supervised postdoctoral experience shall involve direct client or patient contact. If an applicant's supervised postdoctoral hours applied toward licensure include less than 40 percent direct contact hours, the applicant shall work additional time to achieve the required percentage of direct contact hours. While additional direct contact hours may be obtained to meet this requirement, the Board shall count no more than 1,500 hours of total postdoctoral experience for the purpose of licensure.

D. An applicant shall ensure the written training plan required under A.R.S. § 32-2071(G)(7) is from the organization at which the supervised postdoctoral professional experience is occurring and includes the following:

1. Goal and content of each training experience;

2. Expectations regarding the nature, quality, and quantity of work to be done by the supervisee during the supervised postdoctoral professional experience;

3. Methods of evaluation the supervisee and the supervised postdoctoral professional experience;

4. Total number of hours to be accrued during the supervised postdoctoral professional experience;

5. Total number of face-to-face contact hours the supervisee is to have with clients or patients during the supervised postdoctoral professional experience;

6. Total number of hours of supervision the supervisee is to receive during the supervised postdoctoral professional experience;

7. Qualifications of all individuals who provide supervision during the supervised postdoctoral professional experience including documentation that each is qualified under the standards at A.R.S. § 32-2071(G); and

8. Acknowledgement that ethics training is included in the supervised postdoctoral professional experience.

History

• Adopted effective March 3, 1995 (Supp. 95-1). Pursuant to the advice of the Attorney General, the text of this Section now contains the text certified by the Attorney General and filed as a copy effective March 3, 1995 (Supp. 95-3). Amended by final rulemaking at 6 A.A.R. 3297, effective August 7, 2000 (Supp. 00-3). Amended by final rulemaking at 13 A.A.R. 1493, effective June 2, 2007 (Supp. 07-2). Amended by final rulemaking at 21 A.A.R. 3444, effective 1/30/2016. Amended by final rulemaking at 22 A.A.R. 3084, effective 10/4/2016. Amended by final rulemaking at 28 A.A.R. 3879, effective 1/29/2023.

Ariz. Admin. Code § R4-26-211 Foreign Graduates

A. Under A.R.S. § 32-2071(B), an applicant for licensure whose application is based on graduation from an institution of higher education located outside the U.S. and its territories shall demonstrate that the applicant's formal education is equivalent to a doctoral degree in psychology from a regionally accredited educational institution as described in A.R.S. § 32-2071(A).

B. The Board shall find that the institution of higher education from which an applicant under subsection (A) graduated is equivalent to a regionally accredited education institution only if the institution of higher education is included in one of the following:

1. International Handbook of Universities, published for the International Association of Universities by Stockton Press, 345 Park Avenue South, 10th floor, New York, NY 10010-1708;

2. Commonwealth Universities Yearbook, published for the Association of Commonwealth Universities by John Foster House, 36 Gordon Square, London, England, WC1H OPF; or

3. Another source the Board determines provides reliable information.

B. C. The academic transcript of an applicant under subsection (A) who graduated from an institution included under subsection (B) shall be translated into English and evaluated by a member organization of the National Association of Credential Evaluation Services (NACES). The applicant is responsible for paying all expenses incurred to obtain a translation and review of the academic transcript. An applicant can find information about obtaining a professional credential review atwww.naces.org.

1. An original and a copy of the doctoral diploma or certificate of graduation. The original shall be returned, and the copy shall be retained by the Board;

2. An official transcript or comparable document recording all course work completed, containing an original university seal;

3. A certified English translation of all documents submitted;

4. Evidence of completion of the requirements of A.R.S. § 32-2071(C), (D), and (E) ; and

5. Evidence that the doctoral dissertation or project was primarily psychological. The Board may require the applicant to submit the doctoral dissertation or project.

D. When the credential review required under subsection (C) is completed, the NACES member organization shall submit the review report to the Board. The Board shall review the report and determine whether the applicant's education meets the standard in subsection (A).

E. Upon written request, the Board may waive the credential review required under subsection (C) for an applicant who graduated from a doctoral program that is accredited by the accreditation panel of the Canadian Psychological Association.

F. After the Board determines that the formal education of an applicant under subsection (A) is equivalent to a doctoral degree in psychology from a regionally accredited educational institution, the applicant shall provide evidence to the Board that the applicant has met all other requirements for licensure.

History

• Adopted effective March 3, 1995 (Supp. 95-1). Pursuant to the advice of the Attorney General, the text of this Section now contains the text certified by the Attorney General and filed as a copy effective March 3, 1995 (Supp. 95-3). Amended by final rulemaking at 6 A.A.R. 3297, effective August 7, 2000 (Supp. 00-3). Amended by final rulemaking at 10 A.A.R. 4743, effective January 1, 2005 (Supp. 04-4). Amended by final rulemaking at 21 A.A.R. 3444, effective 1/30/2016.

Article 3 REGULATION

Ariz. Admin. Code § R4-26-301 Rules of Professional Conduct

A. The Board incorporates by reference standards 1.01 through 10.10 of the "Ethical Principles of Psychologists and Code of Conduct" adopted by the American Psychological Association, effective June 1, 2003. The incorporated materials do not include any later amendments or editions. A copy of the standards is available from the American Psychological Association Order Department, 750 First Street, NE, Washington, DC 20002-4242, www.apa.org/ethics/code, or the Board office.

B. A licensee shall practice psychology in accordance with the standards incorporated under subsection (A).

History

• Adopted effective July 27, 1979 (Supp. 79-4). Amended effective June 17, 1981. Amended effective June 30, 1981 (Supp. 81-3). Renumbered from R4-26-150 and amended effective July 3, 1991 (Supp. 91-3). Repealed effective March 3, 1995 (Supp. 95-1). Corrections made to text; agency filed different versions of text in original and copies; corrections reflect the original version (Supp. 95-2). Pursuant to the advice of the Attorney General, the text of this Section now contains the text certified by the Attorney General and filed as a copy effective March 3, 1995 (Supp. 95-3). New Section made by final rulemaking at 13 A.A.R. 1493, effective June 2, 2007 (Supp. 07-2). Amended by final rulemaking at 21 A.A.R. 3444, effective 1/30/2016.

Ariz. Admin. Code § R4-26-302 Informal Interviews

A. When a complaint is scheduled for informal interview, the Board shall send written notice of an informal interview to the licensee who is the subject of the complaint, by personal service or certified mail, return receipt requested, at least 20 days before an informal interview.

B. The Board shall include the following in the written notice of an informal interview:

1. The time, date, and place of the interview;

2. An explanation of the informal nature of the proceedings;

3. The licensee's right to appear at the informal interview with legal counsel licensed in Arizona or without legal counsel;

4. A statement of the allegations and issues involved;

The licensee's right to a formal hearing instead of the informal interview; and

6. Notice that the Board may take disciplinary action at the conclusion of the informal interview;

C. The procedure used during an informal interview may include the following:

1. Swearing in and taking testimony from the licensee, complainant, and witnesses, if any;

2. Optional opening and closing remarks by the licensee;

3. An opportunity for the complainant to address the Board, if requested;

3. 4. Board questions to the licensee, complainant, and witnesses, if any; and

4. 5. Deliberation and discussion by the Board

5. Optional opening comments by licensee;

6. Interviewing of the licensee;

7. Swearing in of the complainant, if complainant is present and wishes to speak;

8. Optional additional comments by licensee;

9. If desired by the licensee, questioning of the complainant by the licensee through the Board Chairperson; and

10. Deliberation and deciding the case by the Board.

a. The Board Chairperson shall decide whether to allow clarifying information as defined in R4-26-101 during deliberations.

b. The Board Chairperson may reopen and repeat the steps in subsections (C)(6) through (8) if the clarifying information suggests a need for further questioning of the licensee.

History

• Renumbered from R4-26-151 effective July 3, 1991 (Supp. 91-3). New Section made by final rulemaking at 13 A.A.R. 1493, effective June 2, 2007 (Supp. 07-2). Amended by final rulemaking at 21 A.A.R. 3444, effective 1/30/2016.

Ariz. Admin. Code § R4-26-303 Titles

A person shall not use a title that claims a potential or future degree or qualification such as "Ph.D. (Cand)," "Ph.D. (ABD)," "License Eligible," "Candidate for Licensure," or "Board Eligible." The use of a title that claims a potential or future degree or qualification is a violation of A.R.S. § 32-2061 et seq.

History

• Renumbered from R4-26-151 effective July 3, 1991 (Supp. 91-3). New Section adopted effective March 3, 1995 (Supp. 95-1). Pursuant to the advice of the Attorney General, the text of this Section now contains the text certified by the Attorney General and filed as a copy effective March 3, 1995 (Supp. 95-3). Amended by final rulemaking at 6 A.A.R. 3297, effective August 7, 2000 (Supp. 00-3). Amended by final rulemaking at 21 A.A.R. 3444, effective 1/30/2016.

Ariz. Admin. Code § R4-26-304 Representation before the Board by Attorney Not Admitted to State Bar of Arizona

An attorney who is not a member of the State Bar of Arizona shall not represent a party before the Board unless the attorney is admitted to practice pro hac vice before the Board under Rule 38(a) of the Rules of the Supreme Court of Arizona.

History

• Renumbered from R4-26-151 effective July 3, 1991 (Supp. 91-3). New Section made by final rulemaking at 13 A.A.R. 1493, effective June 2, 2007 (Supp. 07-2). Amended by final rulemaking at 21 A.A.R. 3444, effective 1/30/2016. Amended by final rulemaking at 22 A.A.R. 3084, effective 10/4/2016.

Ariz. Admin. Code § R4-26-305 Confidentiality of Investigative Materials

A. A psychologist shall not disclose a confidential record, as defined by R4-26-101, that relates to a Board investigation to any person or entity other than the psychologist's attorney, except:

1. A redacted summary that ensures the anonymity of the client or patient;

2. Information regarding the nature of a complaint, the processes utilized by the Board, and the outcomes of a case;

3. As required by law;

4. As required by a court order compelling production; or

If disclosure is protected under the United States or Arizona Constitutions.

B. A psychologist who violates this Section commits an act of unprofessional conduct.

History

• Renumbered from R4-26-151 effective July 3, 1991 (Supp. 91-3). New Section made by final rulemaking at 13 A.A.R. 1493, effective June 2, 2007 (Supp. 07-2). Amended by final rulemaking at 21 A.A.R. 3444, effective 1/30/2016.

Ariz. Admin. Code § R4-26-306 Renumbered

History

• Renumbered from R4-26-151 effective July 3, 1991 (Supp. 91-3).

Ariz. Admin. Code § R4-26-307 Renumbered

History

• Renumbered from R4-26-151 effective July 3, 1991 (Supp. 91-3).

Ariz. Admin. Code § R4-26-308 Rehearing or Review of Decision

A. Except as provided in subsection (G), any party in a contested case or appealable agency action before the Board who is aggrieved by a Board order or decision may file with the Board, not later than 30 days after service of the decision, a written motion for rehearing or review of the decision specifying the particular grounds for rehearing or review. For purposes of this subsection, service is complete on personal service or five days after the date that a Board order or decision is mailed to the party's last known address.

B. A motion for rehearing or review may be amended at any time before it is ruled upon by the Board. A party may file a response within 15 days after service of the motion or amended motion by any other party. The Board may require written briefs regarding the issues raised in the motion and may provide for oral argument.

C. The Board may grant rehearing or review of a Board order or decision for any of the following causes materially affecting the moving party's rights:

1. An irregularity in the administrative proceedings of the agency, its hearing officer, or the prevailing party, or any order or abuse of discretion that caused the moving party to be deprived of a fair hearing;

2. Misconduct of the Board, its hearing officer, or the prevailing party;

3. An accident or surprise that could not be prevented by ordinary prudence;

Newly discovered material evidence that could not with reasonable diligence be discovered and produced at the original hearing;

5. Excessive or insufficient penalties;

6. An error in the admission or rejection of evidence or other errors of law occurring at the administrative hearing or during the progress of the case; or

7. The order or decision is not justified by the evidence or is contrary to law.

D. The Board may affirm or modify a Board order or decision or grant a rehearing or review to all or any of the parties, on all or part of the issues, for any of the reasons specified in subsection (C). An order granting a rehearing or review shall specify the grounds on which the rehearing or review is granted, and the rehearing or review shall cover only the matters specified.

E. Not later than 30 days after a Board order or decision is rendered, the Board may on its own initiative order a rehearing or review of its order or decision for any reason specified in subsection (C). After giving the parties or their counsel notice and an opportunity to be heard on the matter, the Board may grant a motion for rehearing or review for a reason not stated in the motion.

F. When a motion for rehearing or review is based on affidavits, the party shall serve the affidavits with the motion. An opposing party may, within 15 days after service, serve opposing affidavits. The Board for good cause or by written agreement of all parties may extend the period for service of opposing affidavits to a total of 20 days. Reply affidavits are permitted.

G. If the Board finds that the immediate effectiveness of a Board order or decision is necessary to preserve public peace, health, or safety and that a rehearing or review of the Board order or decision is impracticable, unnecessary, or contrary to the public interest, the Board order or decision may be issued as a final order or decision without an opportunity for a rehearing or review. If a Board order or decision is issued as a final order or decision without an opportunity for rehearing or review, any application for judicial review of the order or decision shall be made within the time permitted for final orders or decisions.

H. For purposes of this Section, "contested case" is defined in A.R.S. § 41-1001 and "appealable agency action" is defined in A.R.S. § 41-1092.

I. A person who files a complaint with the Board against a licensee:

1. Is not a party to:

a. A Board administrative action, decision, or proceeding; or

b. A court proceeding for judicial review of a Board decision under A.R.S. §§ 12-901 through 12-914; and

2. Is not entitled to seek rehearing or review of a Board action or decision under this Section.

History

• Former Section R4-26-10 renumbered and adopted as R4-26-57 effective July 27, 1979 (Supp. 79-4). Amended subsection (c)(4) effective June 30, 1981 (Supp. 81-3). Renumbered from R4-26-157 effective July 3, 1991 (Supp. 91-3). Amended effective March 3, 1995 (Supp. 95-1). Pursuant to the advice of the Attorney General, the text of this Section now contains the text certified by the Attorney General and filed as a copy effective March 3, 1995 (Supp. 95-3). Amended by final rulemaking at 6 A.A.R. 3297, effective August 7, 2000 (Supp. 00-3). Amended by final rulemaking at 10 A.A.R. 4743, effective January 1, 2005 (Supp. 04-4). Amended by final rulemaking at 21 A.A.R. 3444, effective 1/30/2016.

Ariz. Admin. Code § R4-26-309 Complaints against Judicially Appointed Psychologists

A. A.R.S. § 32-2081(B) applies when a complaint is filed against a psychologist who conducts an evaluation, treatment, or psycho-education under a court order even if the psychologist is not specifically named in the court order.

B. If a complaint is filed against a psychologist who conducts an evaluation, treatment, or psycho-education under a court order, the Board shall return the complaint to the complainant with instructions that the court issuing the order must find there is a substantial basis to refer the complaint for consideration by the Board.

History

• Adopted by final rulemaking at 21 A.A.R. 3444, effective 1/30/2016.

Ariz. Admin. Code § R4-26-310 Disciplinary Supervision; Practice Monitor

A. If the Board determines, after a hearing conducted under A.R.S. Title 41, Chapter 6, Article 10, after an informal interview under A.R.S. § 32-2081(K), or through an agreement with the Board, that to protect public health and safety and ensure a licensee's ability to engage safely in the practice of psychology, it is necessary to require that the licensee practice psychology for a specified term under another licensee who provides supervision or service as a practice monitor, the Board shall enter into an agreement with the licensee or issue an order regarding the disciplinary supervision or practice monitoring.

B. Payment between a licensee and supervisor or practice monitor.

1. A licensed psychologist who enters into an agreement with the Board or is ordered by the Board to practice psychology under the supervision of another licensee may pay the supervising licensee for the supervisory service;

2. A licensed psychologist who provides supervisory service to a licensed psychologist who has been ordered by the Board or entered into an agreement with the Board to practice psychology under supervision may accept payment for the supervisory service;

3. A licensed psychologist who enters into an agreement with the Board or is ordered by the Board to practice psychology under a practice monitor may pay the practice monitor for the service provided; and

4. A licensed psychologist who provides practice monitoring to a licensed psychologist who has been ordered by the Board or entered into an agreement with the Board to practice psychology under a practice monitor may accept payment for the service provided.

C. A licensed psychologist who supervises or serves as a practice monitor for a licensed psychologist who has entered an agreement with the Board or been ordered by the Board to practice psychology under supervision or with a practice monitor is professionally responsible only for work specified in the agreement or order.

History

• Adopted by final rulemaking at 21 A.A.R. 3444, effective 1/30/2016. Amended by final rulemaking at 22 A.A.R. 3084, effective 10/4/2016.

Article 4 BEHAVIOR ANALYSIS

Ariz. Admin. Code § R4-26-401 Definitions

A. The definitions in A.R.S. § 32-2091 apply in this Article.

B. Additionally, in this Article:

"Accredited" means an institution of higher education:

a. In the U.S. is listed with the Council for Higher Education Accreditation,

b. In Canada is a member of the Universities Canada, and

c. Outside of the U.S. or Canada is determined by a member of the National Association of Credential Evaluation Services to have standards substantially similar to those of an institution of higher education in the U.S. or Canada.

2. "Advertising" means any media used to disseminate information regarding the qualifications of a behavior analyst in order to solicit clients for behavior analysis services, regardless of whether the behavior analyst pays for the advertising.

3. "Applicant" means an individual who applies to the Board for an initial or renewal license.

4. "BACB" means the Behavior Analyst Certification Board, Inc.^®.

5. "Confidential information" means:

a. Minutes of an executive session of the Board exceptas provided under A.R.S. § 38-431.03(B);

b. A record that is classified as confidential by a statute or rule applicable to the Board;

c. Materials relating to an investigation by the Board, including a complaint, response, client record, witness statement, investigative report, and any information relating to a client's diagnosis, treatment, or personal family life; and

d. The following regarding an applicant or licensee:

i. College or university transcripts if requested from the Board by a person other than the applicant or licensee;

ii. Home address, telephone number, and e-mail address;

iii. Test scores;

iv. Date of birth;

v. Place of birth; and

vi. Social Security number.

"Gross negligence" means an extreme departure from the ordinary standard of care.

7. "Inactive status" means a behavior analyst maintains a license as a behavior analyst but is prohibited from practicing behavior analysis or holding oneself out as practicing behavior analysis in Arizona.

8. "License period" means:

a. For a licensee who holds an odd-numbered license, the two years between the first day of the month after the licensee's birth month of one odd-numbered year and the last day of the licensee's birth month of the next odd-numbered year; and

b. For a licensee who holds an even-numbered license, the two years between the first day of the month after the licensee's birth month of one even-numbered year and the last day of the licensee's birth month of the next even-numbered year.

9. "Mitigating circumstances that prevent resolution" means factors the Board considers in reviewing allegations against an applicant or licensee of unprofessional conduct occurring in another regulatory jurisdiction when the allegations would not prohibit licensure in Arizona. The factors may include:

a. Nature of the alleged conduct,

b. Severity of the alleged conduct,

c. Recentness of the alleged conduct,

d. Actions taken by the applicant to remedy potential violations, and

e. Whether the alleged conduct was an isolated incident or part of a recurring pattern.

10. "Party" means the Board, an applicant, a licensee, or the state.

"Psychometric testing materials" means manuals, instruments, protocols, and questions or stimuli used in testing.

12. "Raw test data" means test scores, client responses to test questions or stimuli, and a behavior analyst's notes and recordings concerning client statements and behavior during examination.

13. "Regulatory jurisdiction" means a state or territory of the United States, the District of Columbia, or a foreign country with authority to grant or deny entry into a profession or occupation.

"Renewal year" means:

a. Each odd-numbered year for a licensee who holds an odd-numbered license, and

b. Each even-numbered year for a licensee who holds an even-numbered license.

15. "Supervised experience" means supervised independent fieldwork, practicum, or intensive practicum.

History

• Section made by final rulemaking at 18 A.A.R. 2490, effective September 11, 2012 (Supp. 12-3). Amended by final rulemaking at 23 A.A.R. 215, effective 3/5/2017. Amended by final rulemaking at 26 A.A.R. 1017, effective 7/4/2020.

Ariz. Admin. Code § R4-26-402 Fees and Charges

A. As specifically authorized by A.R.S. §§ 32-2091.01(A) and 32-2091.07(B), the Board establishes and shall collect the following fees:

1. Application for an active license: $350;

2. Renewal of an active license: $500;

3. Renewal of an inactive license: $85; and

4. Issuance of an initial license: $500; and

5.4. Reinstatement of expired license: $200.

B. Under the specific authority provided by A.R.S. § 36-3606(A)(3), the Board establishes and shall collect the following fee to register as an out-of-state health care provider of telehealth services: $600.

C. As specifically authorized by A.R.S. § 32-2091.01(B), the Board establishes the following charges for the services specified. The specified charge is not applicable if the Board's executive director determines the requestor demonstrated the data will be used for a non-commercial purpose or the data are obtained from the Board's online directory:

1. Duplicate license: $25;

2. Duplicate renewal receipt: $5;

3. Copy of the Board's statutes and rules: $5;

4. Verification of a license: $2;

5. Audio recording of a Board meeting: $10 per meeting;

6.1. Electronic medium containing the name and address of all licensees: $.05 per name;

7.2. Customized electronic medium containing the name and address of all licensees: $.25 per name;

8.3. Customized electronic medium: $.35 per name; and

9.4. Copy of Board records, letters, minutes, applications, files, policy statements, and other non-confidential documents: $.25 per page.

D. Except as provided by law, including A.R.S. § 41-1077, the fees listed in subsections (A) and (B) are not refundable.

History

• Section made by final rulemaking at 18 A.A.R. 2490, effective September 11, 2012 (Supp. 12-3). Amended by final exempt rulemaking at 27 A.A.R. 1272, effective 9/1/2021. Amended by final rulemaking at 28 A.A.R. 3891, effective 1/29/2023.

Ariz. Admin. Code § R4-26-403 Application for Initial License; Application for License by Reciprocity

A. An individual who wishes to practice as a behavior analyst and is qualified under A.R.S. § 32-2091.02 for an initial license or under A.R.S. § 32-2091.04 for a license by reciprocity shall complete and submit an application form, which is available from the Board office and on its website.

B. Additionally, an applicant shall submit:

1. An original, un-retouched, photograph that is no larger than 1.5 X 2 inches in size and taken no more than 60 days before the date of application;

2. The application fee required under R4-26-402;

3. A copy of a valid fingerprint clearance card issued by the Department of Public Safety under A.R.S. Title 41, Chapter 12, Article 3.1 or evidence of application for a valid fingerprint clearance card;

3.4. A written request that Board staff verify with the BACB that the applicant passed the examination referenced in R4-26-404;

4.5. As required under A.R.S. § 41-1080(A), the specified documentation of citizenship or alien status indicating the applicant's presence in the U.S. is authorized under federal law; and

5.6. The Board's Mandatory Confidential Information form.

C. Application for initial license. Additionally, an applicant for an initial license under A.R.S. § 32-2091.02 shall ensure the following is submitted directly to the Board:

1. Verification of supervised experience that meets the standards specified in R4-26-404.2. For the purpose of licensure, the Board shall accept the following as verification of supervised experience:

a. From the supervisor of the experience:

i. A copy of the BACB final experience verification form, signed by the supervisor, submitted by the applicant to the BACB when the applicant applied to the BACB for certification; or

ii. A completed Board verification form; or

b. From the applicant. If the applicant demonstrates to the Board that a supervisor cannot be located, or at the request of the Board, the applicant may submit a copy of each BACB final experience verification form the applicant submitted to the BACB when the applicant applied to the BACB for certification; and

c. If the Board requires additional information, the Board shall accept from the applicant or supervisor of the experience:

i. A copy of the plan required under R4-26-404.2(C)(6), and

ii. Letters or other documentation from third parties who observed the supervisory relationship;

2. Official transcript for the graduate degree required under R4-26-404.1 submitted by the accredited institution of higher education that awarded the degree; and

3. Official transcript or other official document demonstrating the applicant completed the coursework required under R4-26-405 submitted by the accredited institution of higher education or BACB-approved program in which the coursework was completed.

4. Verification of licensure, certification, or registration by another regulatory jurisdiction submitted by the regulatory jurisdiction.

D. Application for license by reciprocity. Additionally, an applicant for license by reciprocity under A.R.S. § 32-2091.04 shall ensure the following is submitted directly to the Board:

1. Verification of supervised experience that meets the requirements specified by the BACB at the time the applicant was initially certified. For the purpose of licensure, the Board shall accept the verification of supervised experience specified in subsection (C)(1);

2. Official transcript for the graduate degree submitted by the accredited institution of higher education that awarded the degree;

3. Official transcript or other official document demonstrating the applicant completed coursework that meets the Verified Course Sequence requirements specified by the Association for Behavior Analysis, International, at the time the applicant was initially certified and submitted by the accredited institution of higher education providing the coursework; and

4. Official verification of licensure from every jurisdiction that issued a license to the applicant and a statement of whether the license is in good standing.

History

• Section made by final rulemaking at 18 A.A.R. 2490, effective September 11, 2012 (Supp. 12-3). Amended by final rulemaking at 23 A.A.R. 215, effective 3/5/2017. Amended by final rulemaking at 24 A.A.R. 3100, effective 12/11/2018. Amended by final rulemaking at 26 A.A.R. 1017, effective 7/4/2020. Amended by final rulemaking at 28 A.A.R. 3891, effective 1/29/2023.

Ariz. Admin. Code § R4-26-404 Examination Requirement

A. To be licensed as a behavior analyst in Arizona, an individual shall take and pass the examination administered by the BACB for Board Certified Behavior Analysts as part of its certification process.

B. An individual who fails the BACB examination three times, regardless of jurisdiction, shall not take the examination again until the individual complies with additional requirements that the Board specifies based on an assessment of the knowledge and skill inadequacies causing the individual to fail.

History

• Section made by final rulemaking at 18 A.A.R. 2490, effective September 11, 2012 (Supp. 12-3). Amended by final rulemaking at 23 A.A.R. 215, effective 3/5/2017.

Ariz. Admin. Code § R4-26-404.1 Education Requirement

A. This Section does not apply to an applicant who was certified as a behavior analyst by the BACB before January 1, 2015.

B. To be licensed as a behavior analyst in Arizona, an individual shall have a master's degree or higher completed:

1. From an accredited institution of higher education and

2. In a program that met the requirements specified by the BACB at the time of graduation.

History

• Adopted by final rulemaking at 23 A.A.R. 215, effective 3/5/2017. Amended by final rulemaking at 26 A.A.R. 1017, effective 7/4/2020. Amended by final rulemaking at 28 A.A.R. 3891, effective 1/29/2023.

Ariz. Admin. Code § R4-26-404.2 Supervised Experience Requirement

A. Application of this Section:

1. This Section does not apply to an individual who was certified by the BACB with at least 1500 hours of supervised experience before January 1, 2015

2. This Section applies in part to an individual who was certified by the BACB with fewer than 1500 hours of supervised experience before January 1, 2015. To be licensed in Arizona, the individual shall complete additional hours of supervised experience to the meet the 1500-hour requirement under A.R.S. § 32-2091.03 and ensure all hours of supervised experience obtained after December 31, 2014, meet the requirements of this Section.

B. To be licensed as a behavior analyst in Arizona, an individual shall have completed 1500 hours of supervised experience. The Board shall accept, for the purpose of licensure, hours of supervised experience obtained on or after January 1, 2015, that meet the following standards:

1. Supervised independent fieldwork. The supervisee shall be supervised at a frequency that meets the standards of the BACB at the time of supervision;

Practicum. The supervisee shall:

a. Participate in a practicum in behavior analysis within a program approved by the BACB;

b. Achieve a passing grade in the practicum;

c. Obtain graduate-level academic credit for the practicum; and

d. Be supervised at a frequency that meets the standard of the BACB at the time of supervision;

3. Intensive practicum. The supervisee shall:

a. Participate in an intensive practicum in behavior analysis within a program approved by the BACB;

b. Achieve a passing grade in the intensive practicum;

c. Obtain graduate-level academic credit for the intensive practicum; and

d. Be supervised at a frequency that meets the standards of the BACB at the time of supervision;

4. Combination of experience categories. The supervisee may accrue hours of supervised experience in a single category or may combine any two or three categories listed in subsections (B)(1) through (3). However, the supervisee shall accrue supervised experience in only one category in each supervisory period; and

5. For all categories of supervised experience, the supervisee shall accrue:

a. No fewer than 20 hours and no more than 130 hours, including time spent in supervision, each month; or

b. The number of hours that meets the standards of the BACB at the time of supervision.

C. Standards for supervised experience.

1. Onset of supervised experience. The Board shall not accept, for the purpose of licensure, hours of supervised experience completed before attending courses required under R4-26-405. However, the Board shall accept hours of supervised experience completed concurrent with attending courses required under R4-26-405.

2. Appropriate activities. The Board shall accept, for the purpose of licensure, hours of supervised experience that demonstrate participation in supervised experiences with various populations, at various sites, with multiple supervisors, and including all of the following activity areas:

a. Conducting assessments related to behavioral intervention;

b. Designing, implementing, and monitoring skill-acquisition and behavior-reduction programs;

c. Overseeing implementation of behavior-analytic programs by others;

d. Training, designing behavioral systems, and managing performance; and

e. Performing other activities directly related to behavior analysis such as attending planning meetings regarding the behavior analytic program, researching literature related to the program, and talking with others about the program.

Appropriate clients. The Board shall accept, for the purpose of licensure, hours of supervised experience with appropriate clients.

a. An appropriate client is one for whom behavior-analytic services are suitable.

b. A client is not appropriate if:

i. The client is related to the supervisee,

ii. The client's primary caretaker is related to the supervisee, or

iii. The supervisee is the client's primary caretaker.

Supervisor qualifications. The Board shall accept, for the purpose of licensure, hours of supervised experience only if the supervisor:

a. Was licensed by the state in which the supervision occurred during the period of supervised experience; or

b. If licensure of behavior analysts was not available or not in effect in the state in which the supervision occurred or during the period of supervised experience, was certified as a behavior analyst by the BACB; and

c. Was not related to, subordinate to, or employed by the supervisee during the period of supervised experience. Employment does not include payment made to the supervisor by the supervisee for supervisory services.

5. Nature of supervision. The Board shall accept, for the purpose of licensure, hours of supervised experience that are effective in improving and maintaining the behavior-analytic, professional, and ethical skills of the supervisee.

a. Effective supervision includes:

i. Developing performance expectations for the supervisee;

ii. Observing the supervisee and providing performance feedback on behavior-analytic activities with clients in the natural environment. In person, on-site observation is preferred but use of web cameras, video record, videoconferencing, or a similar means that provides synchronous or asynchronous observation is acceptable;

iii. Modeling technical, professional, and ethical behavior for the supervisee;

iv. Guiding behavioral case conceptualization, problem solving, and decision making skills of the supervisee;

v. Reviewing written materials prepared by the supervisee such as behavior programs, data sheets, and reports;

vi. Providing oversight and evaluation of the effects of the supervisee's delivery of behavioral service; and

vii. Evaluating the effects of supervising the supervisee; and

b. Effective supervision may be conducted:

i. Individually for at least half of the total supervised hours in each supervisory period; and

ii. In groups of two to 10 supervisees for no more than half of the total supervised hours in each supervisory period.

Supervision plan. The Board shall accept, for the purpose of licensure, hours of supervised experience for which the supervisee and supervisor executed a written plan before starting the supervised experience, which includes the following:

a. States the responsibilities of both the supervisor and supervisee;

b. Requires the supervisor to complete eight hours of supervision training provided by BACB;

c. Includes a description of appropriate activities and instructional objectives;

d. Specifies the measurable circumstance under which the supervisor will complete the supervisee's Experience Verification Form;

e. Delineates the consequences if either supervisor or supervisee does not comply with the plan;

f. Requires the supervisee to obtain written permission from the supervisee's employer or manager when applicable; and

g. Requires both the supervisor and supervisee to comply with the ethical standard specified at R4-26-406.

7. Multiple supervisors or settings. The Board shall accept, for the purpose of licensure, hours of supervised experience provided by multiple supervisors or at multiple settings if all the hours of supervised experience meet the standards specified in subsections (C)(1) through (6)

History

• Adopted by final rulemaking at 24 A.A.R. 3100, effective 12/11/2018. Amended by final rulemaking at 26 A.A.R. 1017, effective 7/4/2020. Amended by final rulemaking at 28 A.A.R. 3891, effective 1/29/2023.

Ariz. Admin. Code § R4-26-405 Coursework Requirement

A. This Section does not apply to an applicant who was certified as a behavior analyst by the BACB before January 1, 2015.

B. To be licensed as a behavior analyst in Arizona, an individual shall complete, as part of or in addition to the coursework necessary to obtain the graduate degree required under R4-26-404.1, a minimum of 270 classroom hours of graduate-level instruction, the content of which is consistent with the minimum verified course sequence of the Association for Behavior Analysis International in effect at the time the instruction is obtained.

1. Ethical and professional conduct in behavior analysis: 45 hours;

2. Concepts and principles of behavior analysis: 45 hours;

3. Research methods in behavior analysis: 45 hours:

a. Measurement and data analysis: 25 hours; and

b. Experimental design: 20 hours;

4. Applied behavior analysis: 105 hours:

a. Fundamental elements of behavior change and specific behavior change procedures: 45 hours;

b. Identification of the problem and assessment: 30 hours;

c. Intervention and behavior change considerations: 10 hours;

d. Behavior change systems: 10 hours; and

e. Implementation, management, and supervision: 10 hours; and

5. Discretionary content related to behavior analysis: 30 hours.

C. The Board shall accept classroom hours of graduate-level instruction completed at an accredited institution of higher education or in a program consistent with the minimum verified course sequence of the Association for Behavior Analysis International in effect at the time the instruction is obtained.

History

• Section made by final rulemaking at 18 A.A.R. 2490, effective September 11, 2012 (Supp. 12-3). Amended by final rulemaking at 23 A.A.R. 215, effective 3/5/2017. Amended by final rulemaking at 28 A.A.R. 3891, effective 1/29/2023.

Ariz. Admin. Code § R4-26-406 Ethical Standard

The Board incorporates by this reference the Ethics Code for Behavior Analysts, 2020 edition, updated February 2024, and published by the BACB. The incorporated material is available at https://bacb.com/wp-content/ethics-code-for-behavior-analysts and on the Board's website. This incorporation by reference does not include later amendments or editions of the incorporated material.

History

• Section made by final rulemaking at 18 A.A.R. 2490, effective September 11, 2012 (Supp. 12-3). Amended by final rulemaking at 23 A.A.R. 215, effective 3/5/2017. Amended by final rulemaking at 26 A.A.R. 1017, effective 7/4/2020. Amended by final rulemaking at 31 A.A.R. 1255, effective 5/31/2025.

Ariz. Admin. Code § R4-26-407 [Repealed]

History

• Section made by final rulemaking at 18 A.A.R. 2490, effective September 11, 2012 (Supp. 12-3). Amended by final rulemaking at 23 A.A.R. 215, effective 3/5/2017. Amended by final rulemaking at 24 A.A.R. 3100, effective 12/11/2018. Repealed by final rulemaking at 26 A.A.R. 1017, effective 7/4/2020.

Ariz. Admin. Code § R4-26-408 License Renewal

A. A license issued by the Board, whether active or inactive, expires on the last day of a licensee's birth month during the licensee's renewal year.

B. The Board shall provide a licensee with 60 days' notice of the license renewal deadline. Failure to receive the notice does not excuse failure to renew timely.

C. To renew a license, a licensee shall, on or before the last day of the licensee's birth month during the licensee's renewal year, submit to the Board a renewal application form, which is available from the Board office and on its website.

D. Additionally, to renew a license, a licensee shall submit:

1. The license renewal fee required under R4-26-402;

2. A copy of a valid fingerprint clearance card issued by the Department of Public Safety under A.R.S. Title 41, Chapter 12, Article 3.1; and

2.3. If the documentation previously submitted under R4-26-404(B) was a limited form of work authorization issued by the federal government, evidence that the work authorization has not expired.

E. If a completed application is timely submitted under subsections (C) and (D) to renew an active license, the licensee may continue to practice behavior analysis under the active license until notified by the Board that the application for renewal has been approved or denied. If the Board denies license renewal, the licensee may continue to practice behavior analysis until the last day for seeking review of the Board's decision or a later date fixed by a reviewing court.

F. Under A.R.S. § 32-2091.07, the license of a licensee who fails to submit a renewal application on or before the last day of the licensee's birth month during the licensee's renewal year expires and the licensee shall immediately stop practicing as a behavior analyst in Arizona.

G. A behavior analyst whose license expires under subsection (F) may have the license reinstated by submitting the following to the Board within two months after last day of the licensee's birth month during the licensee's renewal year:

1. The license renewal application required under subsection (C) and the document required under subsection (D)(2),

2. A sworn affidavit that the applicant has not practiced as a behavior analyst in Arizona since the applicant's license expired, and

3.2. The license renewal and license reinstatement fees.

H. A behavior analyst whose license expires under subsection (F) and who fails to have the license reinstated under subsection (G) may have the license reinstated by:

1. Complying with subsection (G) within one year after the last day of the licensee's birth month during the licensee's renewal year, and

2. Providing proof of competency and qualifications to the Board.

I. A behavior analyst whose license expires under subsection (F) and who fails to have the license reinstated under subsection (G) or (H) may be licensed again only by complying with R4-26-403.

History

• Section made by final rulemaking at 18 A.A.R. 2490, effective September 11, 2012 (Supp. 12-3). Amended by final rulemaking at 23 A.A.R. 215, effective 3/5/2017. Amended by final rulemaking at 26 A.A.R. 1017, effective 7/4/2020. Amended by final rulemaking at 28 A.A.R. 3891, effective 1/29/2023.

Ariz. Admin. Code § R4-26-409 Continuing Education Requirement

A. A licensee shall complete a minimum of 30 hours of continuing education during each license period. A licensee shall ensure a minimum of four hours of continuing education during each license period addresses ethics.

B. During a licensee's first license period, the licensee shall complete a pro-rated number of continuing education hours. To determine the number of continuing education hours required during the first license period, the licensee shall multiply the number of whole months from the month of license issuance to the end of the license period by 1.25.

C. A licensee shall ensure that each continuing education program provides the necessary understanding of current developments, skills, or procedures related to the practice of behavior analysis. The following provide the necessary understanding of current developments, skills, or procedures related to the practice of behavior analysis:

1. College or university graduate coursework that directly relates to behavior analysis and is provided by an accredited educational institution: 15 hours of continuing education for each semester hour completed and 10 hours of continuing education for each quarter hour completed; a course syllabus and transcript are required for documentation;

2. Continuing education programs offered by a BACB-approved provider: One hour of continuing education for each hour of participation; a certificate or letter from the BACB-approved provider is required for documentation;

3. Self-study or correspondence course that is directly related to behavior analysis and offered by a BACB-approved provider or approved or offered by an accredited educational institution: Hours of continuing education determined by the course provider; a certificate or letter from the BACB-approved provider or a course syllabus and transcript from the accredited educational institution are required for documentation;

4. Online course that is directly related to behavior analysis and offered by a BACB-approved provider or approved or offered by an accredited educational institution: Hours of continuing education determined by the course provider; a certificate or letter from the BACB-approved provider or a course syllabus and transcript from the accredited educational institution are required for documentation;

5. Teaching a continuing education program offered by a BACB-approved provider or teaching a graduate university or college course offered by an accredited educational institution: One hour of continuing education for each hour taught; for graduate courses taught, 15 hours of continuing education for each semester hour completed and 10 hours of continuing education for each quarter hour completed;

6. Credentialing activities or events pre-approved for continuing education and initiated by the BACB: One hour of continuing education for each hour of participation; documentation from the BACB is required;

7. Publication of a peer-reviewed article or text book on the practice of behavior analysis or serving as a reviewer or action editor of an article pertaining to behavior analysis: eight hours of continuing education for one publication and one hour of continuing education for one review; and

8. Attending a meeting of the Board or Committee on Behavior Analysts: Three hours for attending a morning or afternoon session of a meeting and six hours for attending a full-day meeting.

D. The number of hours of continuing education is limited as follows:

1. No more than 50 percent of the required hours may be obtained from teaching a continuing education program or course under subsection (C)(5). A licensee shall not obtain continuing education hours for teaching the same continuing education program or course more than once during each licensing period. A licensee shall earn no continuing education hours for participating as a member of a panel at a continuing education program or course;

2. No more than 25 percent of the required hours may be obtained from continuing education under each of subsections (C)(3), (6) and (7).

3. No more than six of the required hours may be obtained under subsection (C)(8). Hours obtained under subsection (C)(8) may be used to complete the ethics requirement under subsection (A).

4. Hours obtained in excess of the minimum required during a license period shall not be carried over to a subsequent license period.

E. A licensee shall obtain a certificate or other evidence of attendance from the provider of each continuing education program or course attended that includes the following:

1. Name of the licensee;

2. Title of the continuing education;

3. Name of the continuing education provider;

Date, time, and location of the continuing education; and

5. Number of hours of continuing education obtained.

F. A licensee shall maintain the evidence of attendance described in subsection (E) for two licensing periods and make the evidence available to the Board upon request.

G. The Board may audit a licensee's compliance with the continuing education requirement. The Board may deny license renewal or take other disciplinary action against a licensee who fails to obtain or document the required continuing education hours. The Board may discipline a licensee who commits fraud, deceit, or misrepresentation regarding the continuing education hours.

H. A licensee who cannot comply with the continuing education requirement for good cause may seek an extension of time in which to comply by submitting a written request to the Board with the timely submission of the renewal application required under R4-26-408.

1. Good cause includes but is not limited to illness or injury of the licensee or a close family member, death of a close family member, birth or adoption of a child, military service, relocation, natural disaster, financial hardship, or residence in a foreign country for at least 12 months of the license period.

2. The Board shall not grant an extension longer than one year.

3. A licensee who obtains hours of continuing education during an extension of time provided by the Board shall ensure the hours are reported only for the license period extended.

4. A licensee who cannot comply with the continuing education requirement within an extension may apply to the Board for inactive license status under A.R.S. § 32-2091.06(E).

History

• Section made by final rulemaking at 18 A.A.R. 2490, effective September 11, 2012 (Supp. 12-3). Amended by final rulemaking at 23 A.A.R. 215, effective 3/5/2017. Amended by final rulemaking at 24 A.A.R. 3100, effective 12/11/2018. Amended by final rulemaking at 28 A.A.R. 3891, effective 1/29/2023.

Ariz. Admin. Code § R4-26-410 Voluntary Inactive Status

A. A licensed behavior analyst may request that the Board place the license on inactive status for one of the following reasons:

1. The behavior analyst no longer provides behavior analysis services in Arizona,

2. The behavior analyst is retired, or

3. The behavior analyst is physically or mentally incapacitated or otherwise disabled.

B. To place a license on inactive status, a licensee shall comply with R4-26-408.

C. To remain licensed, a licensee on inactive status shall comply with R4-26-408 on or before the last day of the licensee's birth month during the licensee's renewal year.

History

• Section made by final rulemaking at 18 A.A.R. 2490, effective September 11, 2012 (Supp. 12-3). Amended by final rulemaking at 23 A.A.R. 215, effective 3/5/2017.

Ariz. Admin. Code § R4-26-411 License Reinstatement

A licensee seeking reinstatement from an inactive to an active license shall:

1. Comply with the provisions of R4-26-408(C) and (D);

2. Submit evidence of completing a pro-rated number of hours of continuing education. The licensee shall calculate the number of continuing education hours required by multiplying the number of whole months that the license was on inactive status by 1.25; and

3. Complete any other requirements the Board determines are necessary to ensure that the licensee has maintained and updated the licensee's ability to practice as a behavior analyst.

History

• Section made by final rulemaking at 18 A.A.R. 2490, effective September 11, 2012 (Supp. 12-3).

Ariz. Admin. Code § R4-26-412 Client Records

A. A licensee shall not condition release of a client's record on payment for services by the client or a third party.

B. A licensee shall release a client's raw test data to another licensed behavior analyst only after obtaining the client's informed, written consent to the release. Without a client's informed, written consent, a licensee shall release the client's raw test data only to the extent required by law or under court order compelling production.

C. A licensee shall retain all client records under the licensee's control for at least six years from the date of the last client activity. If a client is a minor, the licensee shall retain the client's record for at least three years past the client's 18th birthday or six years from the date of the last client activity, whichever is longer.

D. Audio or video tapes created primarily for training or supervisory purposes are exempt from the requirement of subsection (C).

E. A licensee who is notified by the Board or municipal, state, or federal officials of an investigation or pending case shall retain all records relating to the investigation or case until the licensee receives written notice that the investigation is complete or the case is closed.

F. A licensee may retain client records in electronic form. The licensee shall ensure that client records in electronic form are stored securely and a backup copy is maintained.

G. The provisions of this Section apply to all licensees including those on inactive status.

History

• Section made by final rulemaking at 18 A.A.R. 2490, effective September 11, 2012 (Supp. 12-3).

Ariz. Admin. Code § R4-26-413 Change of Name, Mailing Address, E-mail Address, or Telephone Number

A. The Board shall communicate with a licensee using the contact information provided to the Board. To ensure timely communication from the Board, a licensee shall notify the Board, in writing, within 30 days of any change of name, mailing address, e-mail address, or residential or business telephone number.

B. A licensee who reports a name change shall submit to the Board legal documentation that explains the name change.

History

• Section made by final rulemaking at 18 A.A.R. 2490, effective September 11, 2012 (Supp. 12-3).

Ariz. Admin. Code § R4-26-414 Complaints and Investigations

A. Anyone, including the Board, may file a complaint. A complainant shall ensure that a complaint filed with the Board involves:

1. An individual licensed under this Article; or

2. An individual, including an applicant, believed to be engaged in the unlicensed practice of behavior analysis.

B. Complaint requirements. A complainant shall:

1. Submit the complaint to the Board in writing; and

2. Provide the following information:

a. Name and business address of licensee or other individual who is the subject of complaint;

b. Name and address of complainant;

c. Allegations constituting unprofessional conduct;

d. Details of the complaint with pertinent dates and activities;

e. Whether the complainant has contacted any other organization regarding the complaint; and

f. Whether the complainant has contacted the licensee or other individual concerning the complaint and if so, the response, if any.

History

• Section made by final rulemaking at 18 A.A.R. 2490, effective September 11, 2012 (Supp. 12-3). Amended by final rulemaking at 23 A.A.R. 215, effective 3/5/2017.

Ariz. Admin. Code § R4-26-415 Informal Interview

A. As authorized by A.R.S. § 32-2091.09, the Board may facilitate investigation of a complaint by conducting an informal interview. The Board shall send written notice of an informal interview to the individual who is the subject of the complaint, by personal service or certified mail, return receipt requested, at least 30 days before the informal interview.

B. The Board shall ensure that the written notice of informal interview contains the following information:

1. The time, date, and place of the informal interview;

2. An explanation of the informal nature of the proceedings;

3. The individual's right to appear with legal counsel who is authorized to practice law in Arizona or without legal counsel;

4. A statement of the allegations and issues involved with a citation to relevant statutes and rules;

5. The individual's right to a formal hearing under A.R.S. Title 41, Chapter 6, Article 10 instead of the informal interview;

6. The licensee's right, as specified in A.R.S. § 32-3206, to request a copy of information the Board will consider in making its determination; and

7. Notice that the Board may take disciplinary action as a result of the informal interview if it finds the individual violated A.R.S. Title 32, Chapter 19.1, Article 4, or this Article;

C. The Board shall ensure that an informal interview proceeds as follows:

1. Introduction of the respondent and, if applicable, the complainant, any other witnesses, and legal counsel for the respondent;

2. Introduction of the Board members, staff, and Assistant Attorney General present;

3. Swearing in of the respondent, complainant, and witnesses;

Brief summary of the allegations and purpose of the informal interview;

5. Optional opening comment by the respondent and complainant;

6. Questioning of the respondent and witnesses by the Board;

Questioning of the complainant by the respondent through the Chair;

8. Optional additional comments by the respondent and complainant; and

Deliberation by the Board.

History

• Section made by final rulemaking at 18 A.A.R. 2490, effective September 11, 2012 (Supp. 12-3). Amended by final rulemaking at 26 A.A.R. 1017, effective 7/4/2020.

Ariz. Admin. Code § R4-26-416 Rehearing or Review of Decision

A. The Board shall provide for a rehearing and review of its decisions under A.R.S. Title 41, Chapter 6, Article 10.

B. Except as provided in subsection (H), a party is required to file a motion for rehearing or review of a decision of the Board to exhaust the party's administrative remedies.

C. A party may amend a motion for rehearing or review at any time before the Board rules on the motion.

D. The Board may grant a rehearing or review for any of the following reasons materially affecting a party's rights:

1. Irregularity in the proceedings of the Board or any order or abuse of discretion that deprived the moving party of a fair hearing;

Misconduct of the Board, its staff, or an administrative law judge;

3. Accident or surprise that could not have been prevented by ordinary prudence;

4. Newly discovered material evidence that could not, with reasonable diligence, have been discovered and produced at the hearing;

5. Excessive or insufficient penalty;

6. Error in the admission or rejection of evidence or other errors of law occurring at the hearing or during the progress of the proceedings; and

7. The findings of fact or a decision is not justified by the evidence or is contrary to law.

E. The Board may affirm or modify a decision or grant a rehearing or review to all or some of the parties on all or some of the issues for any of the reasons listed in subsection (D). An order modifying a decision or granting a rehearing or review shall specify with particularity the grounds for the order. If a rehearing or review is granted, the rehearing or review shall cover only the matters specified in the order.

F. Within 30 days after the date of a decision and after giving the parties notice and an opportunity to be heard, the Board may, on its own initiative, order a rehearing or review of its decision for any reason it might have granted a rehearing or review on motion of a party. The Board may grant a motion for rehearing or review, timely served, for a reason not stated in the motion. An order granting a rehearing or review shall specify with particularity the grounds on which the rehearing or review is granted.

G. When a motion for rehearing is based upon affidavits, they shall be served with the motion. An opposing party may, within 15 days after service, serve opposing affidavits.

H. If, in a particular decision, the Board makes a specific finding that the immediate effectiveness of the decision is necessary for preservation of the public health, safety, or welfare and that a rehearing or review of the decision is impracticable, unnecessary, or contrary to the public interest, the decision may be issued as a final decision without an opportunity for a rehearing or review.

I. An application for judicial review of any final Board decision may be made under A.R.S. § 12-901 et seq.

History

• Section made by final rulemaking at 18 A.A.R. 2490, effective September 11, 2012 (Supp. 12-3).

Ariz. Admin. Code § R4-26-417 Licensing Time Frames

A. For the purpose of A.R.S. § 41-1073, the Board establishes the following time frames:

1. Initial license.

a. Overall time frame: 120 days,

b. Administrative completeness review time frame: 30 days, and

c. Substantive review time frame: 90 days;

2. Renewal license.

a. Overall time frame: 150 days,

b. Administrative completeness review time frame: 60 days, and

c. Substantive review time frame: 90 days; and

3. Initial registration as an out-of-state health care provider of telehealth services.

a. Overall time frame: 120 days,

b. Administrative completeness review time frame: 30 days, and

c. Substantive review time frame: 90 days.

B. An applicant and the Executive Director of the Board may agree in writing to extend the substantive review and overall time frames by no more than 25 percent of the overall time frame.

C. The administrative completeness review time frame begins when the Board receives the application materials required under R4-26-403, R4-26-408(C) and (D), or as prescribed under A.R.S. § 36-3606. During the administrative completeness review time frame, the Board shall notify the applicant that the application is either complete or incomplete. If the application is incomplete, the Board shall specify in the notice what information is missing.

D. An applicant whose application is incomplete shall submit the missing information to the Board within 240 days for an initial license. Both the administrative completeness review and overall time frames are suspended from the date of the Board's notice under subsection (C) until the Board receives all of the missing information.

E. Upon receipt of all missing information, the Board shall notify the applicant that the application is complete. The Board shall not send a separate notice of completeness if the Board grants or denies a license within the administrative completeness review time frame listed in subsection (A)(1)(b) or (A)(2)(b).

F. The substantive review time frame begins on the date of the Board's notice of administrative completeness.

G. If the Board determines during the substantive review that additional information is needed, the Board shall send the applicant a comprehensive written request for additional information.

H. An applicant who receives a request under subsection (G) shall submit the additional information to the Board within 240 days. Both the substantive review and overall time frames are suspended from the date of the Board's request until the Board receives the additional information.

I. An applicant may receive a 30-day extension of the time provided under subsection (D) or (H) by providing written notice to the Board before the time expires. If an applicant fails to submit to the Board the missing or additional information within the time provided under subsection (D) or (H) or the time as extended, the Board shall close the applicant's file. To receive further consideration, a person whose file is closed shall re-apply.

J. Within the overall time frame listed in subsection (A), the Board shall:

1. Grant a license if the Board determines that the applicant meets all criteria required by statute and this Article; or

2. Deny a license if the Board determines that the applicant does not meet all criteria required by statute and this Article.

K. If the Board grants a license under subsection (J)(1), the Board shall send the applicant a notice explaining that the Board shall issue the license only after the applicant pays the license issuance fee specified under R4-26-402 and pro-rated as prescribed under A.R.S. § 32-2091.07(A) .

L. K. If the Board denies a license, the Board shall send the applicant a written notice explaining:

1. The reason for denial, with citations to supporting statutes or rules;

2. The applicant's right to appeal the denial by filing an appeal under A.R.S. Title 41, Chapter 6, Article 10;

3. The time for appealing the denial; and

4. The applicant's right to request an informal settlement conference.

M. L. If a time frame's last day falls on a Saturday, Sunday, or official state holiday, the next business day is the time frame's last day.

History

• Section made by final rulemaking at 18 A.A.R. 2490, effective September 11, 2012 (Supp. 12-3). Amended by final rulemaking at 23 A.A.R. 215, effective 3/5/2017. Amended by final exempt rulemaking at 27 A.A.R. 1272, effective 9/1/2021. Amended by final rulemaking at 28 A.A.R. 3891, effective 1/29/2023.

Ariz. Admin. Code § R4-26-418 Mandatory Reporting Requirement

A. As required by A.R.S. § 32-3208, an applicant or licensee who is charged with a misdemeanor involving conduct that may affect client safety or a felony shall provide written notice of the charge to the Board within 10 days after the charge is filed.

B. A list of reportable misdemeanors is available on the Board's website.

History

• Section made by final rulemaking at 18 A.A.R. 2490, effective September 11, 2012 (Supp. 12-3).

Chapter 28 STATE REAL ESTATE DEPARTMENT

Article 1 GENERAL PROVISIONS

Ariz. Admin. Code § R4-28-101 Definitions

In addition to the definitions listed in A.R.S. § 32-2101 the following terms apply to this Chapter:

"Active license" or "active status license" means a current license issued by the Department to a broker or salesperson that states the name of the broker that employs the broker or salesperson and the location at which the salesperson or broker is employed. If referring to an employing broker, it means a currently licensed employing broker with a currently licensed designated broker of record.

"ADEQ" means the Arizona Department of Environmental Quality.

"ADWR" means the Arizona Department of Water Resources.

"Closing" means the final step of a real estate transaction, such as when the consideration is paid, all documents relating to the transaction are executed and recorded, or the deed is delivered or placed in escrow.

"Credit hour" means 50 minutes of instruction.

"Course" means a class, seminar, or presentation.

"D.b.a." means 'doing business as' and is a name, other than a person's legal name, authorized by the Department for a licensee's use in conducting business.

"Distance learning course" means a course of instruction outside a traditional classroom situation consisting of computer-based interactive instructional material, requiring completion in the credit hours specified. A course that requires a student to read text, listen to audio tapes, or view video material without student participation, feedback, and remedial instruction is not a distance learning course.

"Immediate family" means persons related to an individual by blood, marriage, or adoption, including spouse, siblings, parents, grandparents, children, and grandchildren.

"Individual" means a natural person.

"Material change" means any significant change in the size or character of the development, development plan, or interest being offered, or a change that has a significant effect on the rights, duties, or obligations of the developer or purchaser, or use and enjoyment of the property by the purchaser.

"Non-resident license" means a license authorized under the provisions of 32-2122(A) issued to a person who has been domiciled in this state for less than one year and who does not meet any of the following:

Has an Arizona driver's license;

Has an Arizona motor vehicle registration;

Has been employed in Arizona;

Has an Arizona voter registration;

Has transferred banking services to Arizona;

Has changed permanent address on all pertinent records;

Is a domestic corporation or limited liability company;

Has filed an Arizona income tax return with the Department of Revenue during the previous or current tax year; or

Has received benefits from any Arizona public service department or agency, such as welfare, food stamps, unemployment benefits, or worker's compensation.

"Property interest" means a person's ownership or control of a lot, parcel, unit, share, use in a development, including any right in a subdivided or unsubdivided land, a cemetery plot, a condominium, a time-share interval, a membership camping contract, or a stock cooperative.

History

• Former Section R4-28-01 repealed, new Section R4-28-01 adopted effective May 1, 1980 (Supp. 80-3). Amended effective August 1, 1986 (Supp. 86-4). Former Section R4-28-01 renumbered without change as Section R4-28-101 (Supp. 87-1). Former Section R4-28-101 renumbered to R4-28-102, new Section R4-28-101 adopted by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1). Amended by final rulemaking at 6 A.A.R. 1886, effective May 2, 2000 (Supp. 00-2). Amended by final rulemaking at 8 A.A.R. 3640, effective August 6, 2002 (Supp. 02-3). Amended by final rulemaking at 11 A.A.R. 506, effective March 5, 2005 (Supp. 05-1).

Ariz. Admin. Code § R4-28-102 Document Filing; Computation of Time

A. All documents shall be considered filed on the date received by the Department. An original or renewal application postmarked on or before the end of the application or renewal deadline shall be considered timely.

B. In computing any period of time allowed by these rules or by an order of the Commissioner, the day of the act, event, or default from which the designated period of time begins to run is not included. The last day of the period is included unless it is Saturday, Sunday, or a legal holiday in which event the period runs until the end of the next day that is not a Saturday, Sunday, or legal holiday. Unless the time period is specified as calendar days, when the period of time allowed is less than 11 days, intermediate Saturdays, Sundays, and legal holidays are excluded from the computation.

History

• Former Section R4-28-02 repealed, new Section R4-28-02 adopted effective May 1, 1980 (Supp. 80-3). Amended effective March 13, 1981 (Supp. 81-2). Former Section R4-28-02 renumbered without change as Section R4-28-102 (Supp. 87-1). Former Section R4-28-102 repealed, new Section R4-28-102 renumbered from R4-28-101 and amended by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1). Amended by final rulemaking at 11 A.A.R. 506, effective March 5, 2005 (Supp. 05-1).

Ariz. Admin. Code § R4-28-103 Licensing Time-frames

A. Overall time-frame. The Department shall issue or deny a license within the overall time-frames listed in Table 1 after receipt of a complete application. The overall time-frame is the total of the number of days provided for in the administrative completeness review and the substantive review.

B. Administrative completeness review.

1. The applicable administrative completeness review time-frame established in Table 1 begins on the date the Department receives the application. The Department shall notify the applicant in writing within the administrative completeness review time-frame whether the application is incomplete. The notice shall specify what information is missing. If the Department does not provide notice to the applicant, the license application shall be considered complete.

2. An applicant with an incomplete license application shall supply the missing information within the completion request period established in Table 1. The administrative completeness review time-frame is suspended from the date the Department mails the notice of missing information to the applicant until the date the Department receives the information.

3. If the applicant fails to submit the missing information before expiration of the completion request period, the Department shall close the file, unless the applicant requests an extension in writing from the Department before expiration of the Response to Completion Request period in Table 1. The Department shall grant the applicant one extension for the number of days identified as the Response to Completion Request period for the type of license. An applicant whose file has been closed may obtain a license by submitting a new application.

C. Substantive review. The substantive review time-frame established in Table 1 begins after the application is administratively complete.

The Department may schedule an inspection.

2. If the Department makes a comprehensive written request for additional information, the applicant shall submit the additional information identified by the request within the additional information period provided in Table 1. The substantive review time-frame is suspended from the date the Department mails the request until the information is received by the Department. If the applicant fails to provide the information identified in the written request the Department shall consider the application withdrawn unless the applicant requests in writing an extension from the Department before expiration of the Response to Additional Information period in Table 1. The Department shall grant the applicant one extension for the number of days identified in the Response to Additional Information period for the type of license.

3. If the application is denied, the Department shall send the applicant written notice explaining the reason for the denial with citations to supporting statutes or rules, the applicant's right to seek a fair hearing, and the time period for appealing the denial.

D. Renewals. If an applicant for renewal of a salesperson's or broker's license submits a complete renewal application:

Before the expiration date and there are no changes in the applicant's license or qualifications pursuant to R4-28-301(A), the Department shall send the applicant notice that the license is renewed;

2. After the expiration date, or if a substantive review is required because the applicant wishes to make changes to or has answered in the affirmative any question on the license questionnaire, the Department shall process the application as a modified or amended application.

History

• Amended as an emergency effective June 20, 1975 (Supp. 75-1). Former Section R4-28-03 repealed, new Section R4-28-03 adopted effective May 1, 1980 (Supp. 80-3). Former Section R4-28-03 renumbered without change as Section R4-28-103 (Supp. 87-1). Former Section R4-28-103 repealed, new Section R4-28-103 adopted by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1). Amended by final rulemaking at 6 A.A.R. 1886, effective May 2, 2000 (Supp. 00-2). Amended by final rulemaking at 11 A.A.R. 506, effective March 5, 2005 (Supp. 05-1).

Ariz. Admin. Code § R4-28-104 Development Inspection Fee

A fee shall be charged for a development site inspection pursuant to A.R.S. §§ 32-2182, 32-2194.02, 32-2195.02, 32-2197.05, and 32-2198.04, before or after issuance of a public report. Multiple inspections and fees may be required based on development circumstances.

History

• New Section R4-28-104 adopted by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1). Amended by final rulemaking at 8 A.A.R. 4917, effective January 5, 2003 (Supp. 02-4). Amended by final rulemaking at 11 A.A.R. 506, effective March 5, 2005 (Supp. 05-1).

Ariz. Admin. Code § R4-28-105 Expired

History

• New Section R4-28-105 made by exempt rulemaking at 19 A.A.R. 201, effective January 16, 2013 (Supp. 13-1). Section expired under A.R.S. § 41-1056(J) at 25 A.A.R. 971, effective March 1, 2019 (Supp. 19-2).

Article 2 REPEALED

Ariz. Admin. Code § R4-28-201 Repealed

History

• Former Section R4-28-04 repealed, new Section R4-28-04 adopted effective May 1, 1980 (Supp. 80-3). Amended effective March 13, 1981 (Supp. 81-2). Amended effective August 1, 1986 (Supp. 86-4). Former Section R4-28-04 renumbered and amended as R4-28-201 effective February 28, 1987 (Supp. 87-1). Amended effective February 28, 1995 (Supp. 95-1). Section R4-28-201 repealed by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1).

Article 3 LICENSURE

Ariz. Admin. Code § R4-28-301 General License Requirements; Non-resident License

A. An applicant for any Department-issued license or license renewal including, if an entity, any officer, director, member, manager, partner, owner, trust beneficiary holding 10% or more beneficial interest, stockholder owning 10% or more stock, or other person exercising control of the entity, shall submit the following information to the Department:

1. A signed original licensure or renewal questionnaire, as applicable, disclosing any:

a. Conviction for a misdemeanor or felony, or deferral of a judgment or sentencing for a misdemeanor or felony;

b. Order, judgment, or adverse decision entered against the applicant involving fraud or dishonesty, or involving the conduct of any business or transaction in real estate, cemetery property, time-share intervals, membership camping contracts, or campgrounds;

c. Restriction, suspension, or revocation of a professional or occupational license, or registration currently or previously held by the applicant in any state, district, or possession of the United States or under authority of any federal or state agency; any civil penalty imposed under the license, or any denial of a license; or

d. Order, judgment, or decree permanently or temporarily enjoining the applicant from engaging in or continuing any conduct or practice in connection with the sale or purchase of real estate or cemetery property, time-share intervals, membership camping contracts, campgrounds, securities, or involving consumer fraud or violation of the racketeering laws by the applicant, or payment from a recovery fund or fund of last resort due to the applicant's action or inaction.

2. If the applicant discloses information under subsection (A)(1), the applicant shall provide all of the following written documentation:

a. A signed written statement describing in detail the circumstances surrounding the matter disclosed;

b. A certified copy of any police report and court record that pertains to each crime for which the applicant has been convicted or for which sentencing or judgment has been deferred. If the applicant is unable to provide documents for each crime, the applicant shall provide written documentation from the court or agency having jurisdiction, stating the reason the records are unavailable.

c. Three written and dated references from individuals, 18 years or older and not related by blood or marriage to the applicant, who have known the applicant for at least one year before the date of the Department's receipt of the application. Each reference shall be dated no more than one year from the date the application is submitted to the Department and include the writer's name, address, and telephone number;

d. A 10-year work history, stating each employer's name and address, supervisor's name and telephone number, position held, and dates of employment, specifying any periods of unemployment;

e. A certified copy of all documents pertaining to every reprimand, censure or sanction, order assessing a civil penalty, or denying, suspending, restricting, or revoking any professional or occupational license currently held or held by the applicant within the last 10 years;

f. A certified copy of any civil judgment awarded by a court of competent jurisdiction against the applicant that included findings of fraud or dishonest dealings by the applicant;

g. A certified copy of any document evidencing a payment of a judgment on behalf of the applicant by any recovery fund administered by any state or professional or occupational licensing board, or repayment by the applicant as a judgment debtor to any recovery fund administered by any state or professional or occupational licensing board. If an Arizona real estate or subdivision recovery fund matter, a written disclosure of the file number, approximate date, and approximate amount of payment and current repayment status satisfies this requirement.

h. A certified copy of any temporary or permanent order of injunction entered against the applicant;

i. Any other documentation that the applicant believes supports the applicant's qualifications for licensure.

3. A full set of fingerprints as prescribed in A.R.S. § 32-2108.01;

4. The appropriate license application and fee; and

5. Social security number, if the applicant is an individual.

B. In addition to the information required in subsection (A), an applicant for a salesperson's or broker's license shall provide information showing the person meet the qualifications listed in A.R.S. § 32-2124, A.A.C. R4-28-401, and R4-28-403. If disclosing censure, sanction, disciplinary action, or other order against any professional or occupational license currently or previously held by the applicant, the applicant shall submit a certified license history from each state in which the applicant holds, or has held, a professional or occupational license within the five years before the application.

C. The Department shall not issue a broker's license to any person who holds an active salesperson's license in this state. An active-status salesperson applying for broker's license may simultaneously submit a severance signed by the designated broker on behalf of the salesperson's employing broker under R4-28-303(E)(10) or may request to be administratively severed under R4-28-303(G).

D. The Department shall issue to a qualified person a license bearing the legal name of the licensee and any additional nickname, corporate, or dba name that the Commissioner finds is not detrimental to the public interest. A professional corporation or professional limited liability company licensed under A.R.S. § 32-2125(B) shall not adopt a dba name.

E. Every salesperson and broker holding a current license shall file with the Commissioner both the address of the salesperson's or broker's principal place of business, if any, and a current residence address.

F. Each salesperson, broker, school owner, director, administrator, and instructor shall, within 10 days of each occurrence, notify the Commissioner in writing of any change in information provided under subsection (A)(1)(a) through (d) and provide documentation listed in subsection (A)(2).

G. A licensee shall, within 14 calendar days or a later date determined by the Department, respond to a request from the Commissioner or the Commissioner's representative for any documents, electronic files, written statements, or other information required as a part of a complaint investigation, regardless of whether the licensee is named in the complaint.

History

• Adopted effective May 1, 1980 (Supp. 80-3). Amended effective March 13, 1981 (Supp. 81-2). Amended effective August 1, 1986 (Supp. 86-4). Former Section R4-28-05 renumbered without change as Section R4-28-301 (Supp. 87-1). Amended subsection (C) effective May 3, 1988 (Supp. 88-2). Amended subsection (J) effective February 28, 1989 (Supp. 89-1). Amended effective February 28, 1995 (Supp. 95-1). Amended by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1). Amended by final rulemaking at 6 A.A.R. 1886, effective May 2, 2000 (Supp. 00-2). Amended by final rulemaking at 11 A.A.R. 506, effective March 5, 2005 (Supp. 05-1).

Ariz. Admin. Code § R4-28-302 Employing Broker's License; Non-resident Broker

A. A person applying for an employing broker's license shall provide the following information:

1. The name, business address, telephone number, fax number and e-mail address, if any, and designated broker's name, license number and expiration date, and the signature of the designated broker;

2. Whether the broker is an individual, a sole proprietorship, corporation, partnership, limited liability company, professional corporation or professional limited liability company;

3. The mailing address, if different than the business address;

4. The d.b.a. name, if applicable;

5. The bank name and location of each of the broker's trust accounts, if any; and

6. The name and number of the trust account.

B. Partnership.

1. When the applicant is a partnership, the applicant shall name a broker to serve as designated broker:

a. The designated broker shall be a partner of the general partner if the general partner is a partnership.

b. The designated broker shall be a corporate officer of the corporate partner if the general partner is a corporation.

c. The designated broker shall be a member of the member-managed limited liability company or manager of the manager-managed limited liability company if the general partner is a limited liability company.

d. A limited partner of a partnership shall not be designated broker for the partnership.

2. In addition to the information provided in subsection (A), an applicant for an employing broker's license as a partnership shall, if applicable, provide:

a. The name and address of each partner, and the name of any other person with a beneficial or membership interest in the partnership;

b. An agreement signed by all partners, stating the name of the partner appointed to act as the designated broker for the partnership;

c. A written statement signed by the designated broker stating that:

i. The partnership has applied for a broker's license in Arizona;

ii. Each partner has read the complete application on the named partnership as submitted to the Department;

iii. All the information contained in the application is true;

iv. Each general partner is qualified to do business in Arizona; and

v. The name of the partnership complies with A.R.S. § 29-245 and subsections (H) and (I), and is not likely to be misleading or confusing;

d. A copy of the partnership agreement and any amendments;

e. A copy of the application for partnership registration stamped "Received and Filed" by the Arizona Secretary of State; and

f. Any other information required by the Department to verify the applicant's qualifications.

C. Corporation. In addition to the information provided in subsection (A), an applicant for an employing broker's license for a corporation shall provide:

The name and address of each officer and director, and the name and address of each shareholder controlling or holding more than 10% of the issued and outstanding common shares, or 10% of any other proprietary, beneficial, or membership interest in the corporation;

2. A copy of the Articles of Incorporation and any amendments stamped "Received and Filed" by the Arizona Corporation Commission. If more than one year has elapsed between the date the Articles were stamped "Filed" by the Arizona Corporation Commission and the application for the corporate license, a Certificate of Good Standing from the Arizona Corporation Commission is required;

3. A corporate resolution stating that the designated broker was elected or appointed as a corporate officer, naming the office held, and stating that the individual was appointed to act as designated broker for the corporation;

4. A written statement signed by the designated broker stating that:

a. The corporation has applied for a broker's license in Arizona;

b. Each officer and director has read the complete application on the named corporation as submitted to the Department;

c. All the information contained in the application is true;

d. The name of the corporation complies with A.R.S. § 10-401 and 4 A.A.C. 28, Article 10, and is not likely to be misleading or confusing; and

e. Each corporation is qualified to do business in Arizona; and

5. Any other information required by the Department to verify the applicant's qualifications.

D. Limited liability company. In addition to the information provided in subsection (A), an applicant for an employing broker's license for a limited liability company shall provide:

1. The name and address of each member and manager, and the name and address of any person controlling or holding more than 10% of the membership interest in the limited liability company;

2. A copy of the Articles of Organization and any amendments stamped "Received and Filed" by the Arizona Corporation Commission. If more than one year has elapsed between the date the Articles were stamped "Filed" by the Arizona Corporation Commission and the application for the limited liability company license, a Certificate of Good Standing from the Arizona Corporation Commission is required;

3. A company resolution signed by all members stating whether management of the limited liability company is established as manager-controlled or member-controlled and the name of the member or manager appointed to act as the designated broker;

4. A written statement signed by the designated broker stating that:

a. The limited liability company has applied for a broker's license in Arizona;

b. Each member and manager has read the complete application on the limited liability company as submitted to the Department;

c. All of the information contained in the application is true;

d. The name of the limited liability company complies with A.R.S. § 29-602 and 4 A.A.C. 28, Article 10, and is not likely to be misleading or confusing; and

e. The limited liability company is qualified to do business in Arizona.

5. A copy of the operating agreement and any amendments; and

6. Any other information required by the Department to verify the applicant's qualifications.

E. Foreign entity. In addition to the requirements in this Section, the Department may require any of the following information from an entity applying for a broker's license if a partner, member, officer, or director of the entity is domiciled in another state:

1. The agreement and plan of merger;

2. The Certificate of Good Standing;

The Certificate of Merger on file in the state in which the applicant is domiciled;

4. The Certificate of Merger on file with the Arizona Corporation Commission;

5. A filed and stamped Articles of Merger;

6. A filed and stamped application for registration of the foreign limited liability company, foreign corporation, or partnership;

7. Any other information required by the Department to verify the applicant's qualifications.

F. Self-employed broker. In addition to the information provided in subsection (A), any person applying as a self-employed broker shall provide a sworn statement attesting that the applicant is the sole proprietor of the business.

G. If any information prescribed in subsections (A) through (F) changes, the designated broker shall, within 10 days after the change, file a supplemental statement in writing with the Department listing the change and include the appropriate fee, if any.

H. The Department shall not license an employing broker or authorize an employing broker to do business under a dba name similar to that of any employing broker already licensed if the name would cause uncertainty or confusion to the public. If there is a conflict of names between two employing brokers, the Commissioner shall require the employing broker seeking licensure to supplement or otherwise modify the broker's name.

I. The Department shall not license an employing broker under more than one dba name and a person shall not conduct or promote real estate business under any name other than the name under which the person is licensed.

J. A broker shall not employ a salesperson or associate broker and allow the salesperson or associate broker to establish and carry on a brokerage business if the broker's only interest is the receipt of a fee for the use of the license and the broker does not exercise supervision over the salesperson or associate broker.

K. Change of designated broker.

1. To resign as an employing broker's designated broker a broker shall submit to the Department a copy of the broker's letter of resignation and shall return the licenses issued to the designated broker and the employing broker to the Department.

2. A licensed entity may remove its designated broker by submitting to the Department a copy of the partnership agreement, corporate or company resolution removing the broker and returning to the Department the licenses issued to the employing broker and designated broker.

3. The employing broker whose designated broker has resigned or been removed shall cease conducting business until the employing broker has complied with subsection (K)(4).

4. An employing broker whose designated broker has resigned or been removed may continue business without interruption if the incoming designated broker on the same day as, or the next business day following, the departure or removal of the outgoing designated broker:

a. Completes, signs, and submits the Change Form as prescribed in R4-28-303; and

b. If the entity is a corporation or limited liability company, submits a resolution appointing the new broker to act on its behalf; or

c. If the entity is a partnership, submits an amendment to the partnership agreement naming the new broker to act on its behalf.

L. Non-resident employing broker.

1. An employing broker that holds a non-resident license and maintains a principal office outside this state shall:

a. Maintain a trust account or licensed escrow account situated in Arizona for monies received from Arizona transactions;

b. Maintain, in Arizona, copies of all documents pertaining to any Arizona transactions handled by the broker;

c. Provide a written statement to the Department identifying the name, address, and telephone number of the person residing in Arizona, such as a statutory agent or attorney, who has possession of the records; and

d. Identify the physical location of the records.

2. An employing broker that holds a non-resident license and employs a licensed salesperson or broker within the state shall:

a. Establish an office in Arizona and appoint a branch manager; and

b. Provide a statement describing how the licensed employee shall be supervised.

3. An employing broker who holds a non-resident license shall notify the Department within 10 days of any change to any information required under this Section.

History

• Adopted effective May 1, 1980 (Supp. 80-3). Amended effective March 13, 1981 (Supp. 81-2). Correction, Supp. 80-3 should read Adopted effective May 1, 1980 (Supp. 83-3). Amended subsection (B) effective August 1, 1986 (Supp. 86-4). Former Section R4-28-06 renumbered without change as Section R4-28-302 (Supp. 87-1). Amended effective February 28, 1995 (Supp. 95-1). Former Section R4-28-302 repealed, new Section R4-28-302 adopted by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1). Amended by final rulemaking at 11 A.A.R. 506, effective March 5, 2005 (Supp. 05-1).

Ariz. Admin. Code § R4-28-303 License Renewal; Reinstatement; Changes of Personal Information, License, or License Status; Professional Corporation or Professional Limited Liability Company Licensure; Administrative Severance

A. Renewal.

1. If a salesperson or broker makes a timely and sufficient application for license renewal or a new license with reference to any activity of a continuing nature, the existing license does not expire until the application has been finally determined by the Department, and, in case the application is denied or the terms of the new license limited, until the last day for seeking review of the Commissioner's order or a later date fixed by order of the reviewing court.

2. Any salesperson or broker applying for a license renewal shall submit the following information on the Application for License Renewal form:

a. Any change or correction to the applicant's licensing information;

b. Whether the renewal application is late;

c. If the renewal is for an active license and is filed in paper format, the Department shall require the application to include the date and signature of the designated broker, authorized branch office manager, or authorized designee under A.R.S. § 32-2127(D). If signed by a branch manager or designee, the branch manager or designee shall attach a copy of the authorization or designation;

d. The signature of the applicant, attesting to the truthfulness of the application information;

e. A completed certification questionnaire, providing details and supporting documents for any affirmative response not previously disclosed in writing to the Department concerning judgments, orders, professional licenses, or convictions, as required under R4-28-301(A).

f. To renew as designated broker for an employing broker, the designated broker shall complete and submit a signed Broker Supervision & Control Audit Declaration for the sole proprietorship or entity on whose behalf the broker acts as designated broker. The completed declaration shall:

i. Be dated and filed before or with the broker's renewal application, and submitted to the Department no earlier than 90 days before the broker's license expiration date;

ii. Be in the form prescribed by the Department;

iii. State the broker's compliance or non-compliance with, or the non-applicability of, specified statutes and rules; and

iv. Identify all of the broker's property management and trust accounts.

B. Late renewal. In addition to the information required in subsection (A), any person applying for renewal after the date of license expiration shall specify whether the person conducted unlawful license activities as described in R4-28-306.

C. Reinstatement.

1. Any salesperson or broker applying for license reinstatement under A.R.S. § 32-2131 shall, in addition to the requirements in R4-28-301(A), submit the following information on the Application For Reinstatement form:

a. The type of license and status requested;

b. The applicant's legal name, business address, and telephone number;

c. Whether the license was suspended, canceled, terminated, or revoked, and the date of and reason for the action;

d. The license number of the applicant;

e. The mailing address, if different than the business address;

f. The name, address, and telephone number of the employing broker, if applicable;

g. The employer's trade or d.b.a. name, if any;

h. The date of the application; and

i. The signature of the applicant attesting to the above information and that the applicant is aware of the provisions in A.R.S. §§ 32-2131, 32-2153, and 32-2160.01.

2. If the license was active at the time of suspension, cancellation, revocation, or termination, the applicant shall provide the information required under R4-28-306.

D. A salesperson or broker shall notify the Department in writing within 10 days of any change in the individual's personal information or qualifications. The salesperson or broker shall include in the notice the individual's name, signature, license number, and:

1. If disclosing information required under R4-28-301, such as a criminal conviction, adverse judgment, denial or restriction of or disciplinary action against a professional or occupational license, or recovery fund payment on the person's behalf, a written statement providing detailed information and, upon request by the Department, the supporting documentation identified in R4-28-301(A)(2);

2. If requesting a change of personal name, written notice stating the prior name and new name, supporting documentation for the change, and applicable fee;

3. If changing residence address or residential mailing address, written notice stating the prior address, new address and the date of the change;

4. If changing residence telephone number or providing an additional telephone number or e-mail address, written notice of the prior and current number or e-mail address; or

5. If becoming licensed as a professional corporation or professional limited liability company, or changing licensure as a professional corporation or professional limited liability company, the information required under subsection (F).

E. A designated broker shall notify the Department in writing within 10 days of any change in the employing broker's qualifications under R4-28-301, and shall provide notice of any proposed change in the employing broker's business information under this Section. An employing broker shall not conduct business under information described in subsections (E)(2), (3), (7), (9), (12), or (13) until the change is approved by the Department. The designated broker shall include in the notice the designated broker's name and signature, the employing broker's legal name, and:

1. If disclosing information required under R4-28-301 such as an adverse judgment, denial, or restriction of or disciplinary action against a professional or occupational license, or recovery fund payment on the person's own behalf or on behalf of any officer, director, member, manager, partner, owner, trust beneficiary holding 10 percent or more beneficial interest, stockholder owning 10 percent or more stock, or other person exercising control of the employing broker, file with the Department a written statement within 10 days of the occurrence, providing detailed information and, upon request by the Department, the supporting documentation identified in R4-28-301(A)(2);

2. If changing the employing broker's legal name, written notice stating the current name and proposed name, supporting documentation, and applicable fee;

3. If changing the employing broker's dba name, written notice stating the current dba name, if any, the proposed dba name, and applicable fee;

4. If changing the employing broker's physical address, changing or adding a business mailing address, or changing the address of any branch office, written notice within 10 days of the change stating the prior address and new address, return all current licenses issued to the former address, and pay the applicable fee;

5. If changing business telephone number, written notice within 10 days of the change, providing the prior and current number. The broker may provide additional telephone numbers or e-mail addresses;

6. If changing the structure or membership of the employing broker as provided in A.R.S. § 32-2125(G), written notice within 10 days of the change including supporting documentation identified in R4-28-302;

7. If changing branch office managers at an established branch office of the employing broker, or changing the authority delegated to the branch office manager, the application form, applicable fee, and letter of authority that identifies the person appointed and specifies the duties delegated as provided by R4-28-304;

8. If closing a branch office, a written statement informing the Department within 10 days of the closure, accompanied by the branch office license and Department form severing the employment of or transferring to another branch office each employee at the branch;

9. If hiring a salesperson or broker, or transferring a salesperson or broker employed by the employing broker to another office of the employing broker, a change form that includes the name, license number, signature of the employee, and the branch office address where the employee will work, and applicable fee;

10. If severing a licensee employed by the employing broker, written notice and return of the employee's license within 10 days of the severance;

11. If opening or closing a broker's trust account, written notice within 10 days of the opening or closing that provides the name of the account, the account number, and the name and address of the bank where the account is located. If relocating or changing the name of a trust account, the designated broker shall include the information for the previous and new accounts;

12. If appointing a temporary broker, submit the information specified in R4-28-305 and in accordance with provisions of A.R.S. §§ 32-2127 or 32-2133, as applicable; or

13. If an employing broker is changing designated brokers, the information and documentation provided in R4-28-302(K).

F. In addition to the applicant's name, signature, license number, the name and address of the employing broker's office where the employee will work, and the change fee, a salesperson or broker shall submit the following information to be licensed as a professional corporation or professional limited liability company, to add or remove members of a licensed professional corporation or professional limited liability company, or to change the name of a licensed professional corporation or professional limited liability company:

Professional corporation.

a. The name of the professional corporation that includes the full or last name of each officer, director, and shareholder of the professional corporation as it appears in the Articles of Incorporation;

b. The name and business address of each officer, director, and shareholder in the corporation and a written statement that each holds a current and active real estate license;

c. A copy of the Articles of Incorporation, as amended, stamped "Received and Filed" by the Arizona Corporation Commission;

i. The Articles of Incorporation shall state that the corporation's sole purpose is to provide professional real estate, cemetery, or membership camping services, or real estate, cemetery, and membership camping services.

ii. If more than one year has elapsed between the date the Articles of Incorporation were stamped "Filed" by the Arizona Corporation Commission and the date of the application for a license as a professional corporation, the Department shall require the salesperson or associate broker to submit a Certificate of Good Standing from the Arizona Corporation Commission; and

d. Evidence that membership in the professional corporation is limited to the designated broker and does not include any other person if the applicant for licensure as a professional corporation is licensed as a designated broker;

2. Professional limited liability company.

a. The name of the professional limited liability company which includes the full or last name of each member of the professional limited liability company as it appears in the Articles of Organization;

b. The name and address of each member and manager in the limited liability company and a written statement that each holds a current and active real estate license;

c. A copy of the Articles of Organization, as amended, stamped "Received and Filed" by the Arizona Corporation Commission:

i. The Articles of Organization shall state that the limited liability company's sole purpose is to provide professional real estate, cemetery, or membership camping services, or real estate, cemetery, and membership camping services.

ii. If more than one year has elapsed between the date the Articles of Organization were stamped "Filed" by the Arizona Corporation Commission and the date of the application for a license as a professional limited liability company, the Department shall require the salesperson or associate broker to submit a certificate of Good Standing from the Arizona Corporation Commission.

d. A copy of the operating agreement, as amended; and

e. Evidence that membership in the professional limited liability company is limited to the designated broker and does not include any other person if the applicant for licensure as a professional limited liability company is licensed as a designated broker.

3. To return a license from professional corporation or professional limited liability company status to individual status:

a. The name, license number, and dated signature of the salesperson or broker;

b. A written statement that the salesperson or broker no longer wishes to be licensed as a professional corporation or professional limited liability company; and

c. The change fee.

G. Administrative severance.

1. A salesperson or broker may request that the Department sever the salesperson's or broker's license from the employing broker. The salesperson or broker shall provide the following information on a form or in the manner prescribed by the Department:

a. The name, license number, and dated signature of the salesperson or broker seeking the severance; and

b. The name of the employing broker from whom the license is being severed.

2. Upon receipt of the written request for severance as provided in subsection (G)(1)(a), the Department shall administratively sever the license and provide written notice to the employing broker, who shall return the severed person's license to the Department under subsection (E)(10).

History

• Adopted effective May 1, 1980 (Supp. 80-3). Amended effective March 13, 1981 (Supp. 81-2). Amended effective August 1, 1986 (Supp. 86-4). Former Section R4-28-07 renumbered without change as Section R4-28-303 (Supp. 87-1). Amended by adding a new subsection (K) effective May 3, 1988 (Supp. 88-2). Amended effective February 28, 1995 (Supp. 95-1). Former Section R4-28-303 repealed, new Section R4-28-303 adopted by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1). Subsection (F) amended to correct a manifest clerical error, filed in the Office of the Secretary of State March 29, 1999 (Supp. 99-3). Amended by final rulemaking at 6 A.A.R. 1886, effective May 2, 2000 (Supp. 00-2). Amended by final rulemaking at 11 A.A.R. 506, effective March 5, 2005 (Supp. 05-1).

Ariz. Admin. Code § R4-28-304 Branch Office; Branch Office Manager

A. To obtain a branch office license, the designated broker shall submit to the Department before operating the branch office the following information for each branch office of the employing broker on the Application for Branch Office form:

The name, date, and signature of the designated broker;

2. The license number and license expiration date of the employing broker;

The name, address, telephone, and license number of the main office;

4. The type of employing broker's license;

5. The employing broker's dba name, if applicable;

6. The address, telephone number, and fax number, if any, of the branch office; and

7. The name and license status of the salesperson or broker who is the branch office manager and the authority granted to the branch office manager, including any designation of authority under subsection (B).

B. Branch office manager. A designated broker may authorize in writing an associate broker or salesperson to act as a branch office manager to perform any of the following duties of the designated broker at the branch office. This designation does not relieve the designated broker from any responsibilities. Upon change of the branch manager, the designated broker shall submit a new authorization to the Department within 10 days of the change and shall retain a copy in the broker's main office for five years.

1. If the branch manager is an associate broker, the associate broker may, when dealing with branch office transactions:

a. Review and initial contracts,

b. Supervise the activity of salespersons and associate brokers,

c. Hire or sever a salesperson or associate broker,

d. Sign compensation checks,

e. Be a signer on the branch office trust account and property management trust account,

f. Write checks from the broker's trust accounts, and

g. Be responsible for the handling of all trust account funds administered by the branch manager.

2. If the branch manager is a salesperson, the salesperson may, when dealing with branch office transactions:

a. Perform office management tasks that are not statutory duties of the employing broker, and

b. Be a signer on the broker's trust account and property management trust account.

C. Temporary office. An additional license is not required for a temporary office established for the original on-site sale of properties within the immediate area of a subdivision or unsubdivided land.

1. The broker named in the application for public report shall supervise operation of the temporary office to sell or lease the subdivided or unsubdivided land.

2. The broker shall display the subdivision or unsubdivided land name and the licensed name of the employing broker marketing the development in a prominent manner at the entrance to the temporary office.

History

• Adopted effective May 1, 1980 (Supp. 80-3). Amended subsection (A) effective June 23, 1983 (Supp. 83-3). Amended subsection (A)(4) effective August 1, 1986 (Supp. 86-4). Former Section R4-28-08 renumbered and amended as Section R4-28-304 effective February 28, 1987 (Supp. 87-1). Former Section R4-28-304 repealed, new Section R4-28-304 adopted by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1). Amended by final rulemaking at 11 A.A.R. 506, effective March 5, 2005 (Supp. 05-1).

Ariz. Admin. Code § R4-28-305 Temporary License, Certificate of Convenience

A. Any individual applying for a temporary cemetery salesperson's license, a temporary broker's license, or a membership camping salesperson's certificate of convenience shall submit the following information and applicable fee to the Department:

1. The type of license requested;

2. The name, address, telephone number, and date of birth of the applicant;

The mailing address if different from the address in subsection (A)(2);

4. The name, business address, telephone number, fax number, if any, and license number of the employing broker; and

5. The branch office number, address, telephone number, and fax number, if any, where employed, if different than the employing broker in subsection (A)(4).

B. The designated broker shall submit an affidavit under A.R.S. § 32-2134 or 32-2134.01 for:

1. An applicant for temporary cemetery license stating that the applicant has been trained in cemetery and contract law; or

2. An applicant for a membership camping certificate of convenience stating that the applicant will be trained in membership camping and contract laws.

C. In addition to the information required in subsection (A), an applicant for a temporary broker's license pursuant to A.R.S. § 32-2133 shall submit the following information to the Department:

1. A copy of the death certificate or notice, if applicable, or a letter advising the Department of the broker's illness or disability; and

2. A letter from the surviving spouse, an attorney representing the broker or the broker's family, personal representative, or other responsible party, appointing an individual to serve as a temporary broker for 90 days.

History

• Adopted effective May 1, 1980 (Supp. 80-3). Amended subsection (A) effective June 23, 1983 (Supp. 83-3). Amended subsection (A)(4) and (5) effective August 1, 1986 (Supp. 86-4). Former Section R4-28-09 renumbered without change as Section R4-28-305 (Supp. 87-1). Former Section R4-28-305 repealed, new Section R4-28-305 adopted by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1). Amended by final rulemaking at 11 A.A.R. 506, effective March 5, 2005 (Supp. 05-1).

Ariz. Admin. Code § R4-28-306 Unlawful License Activity

A. Unlawful license activity is:

1. The performance of acts requiring a license under A.R.S. § 32-2122 by a person who does not hold a current and active license;

2. The performance of acts requiring a license by a person on behalf of a broker other than the person's employing broker; or

3. A broker's employment of a person as a salesperson or broker if the person does not hold a current and active license issued to the person under that employing broker.

B. A person who conducts unlawful license activity shall submit to the Department, as soon as the person becomes aware that the activity has occurred, the following:

1. A written explanation of why the unlawful license activity occurred;

2. A signed statement from the person that the person will not conduct activities requiring licensure under A.R.S. § 32-2122 unless the person holds a current and active license to perform those acts;

3. A signed statement from the employing broker's designated broker, identifying all unlawful activity by the person on behalf of the employing broker;

4. Upon request by the Department:

a. A copy of all listing and employment agreements, offers or contract to buy, sell, lease, exchange, transfer, or manage real estate, cemetery property, or membership camping contracts prepared, negotiated or executed by the person while the person was not properly licensed under the employing broker;

b. Documentation listing all compensation received or to be received by the person based on transactions that occurred while the person was not properly licensed;

c. Documentation listing all compensation received or to be received by the person's employing broker and designated broker, if any, resulting from transactions that occurred while the person was not properly licensed if not provided in response to subsection (B)(4)(b); and

d. A signed statement from the person stating that the information provided under subsection (B)(4) is true and complete and that the copies provided are true copies of all contracts, agreements, statements, and leases and no relevant documents are omitted.

C. A person who has no prior history of engaging in unlawful license activity under this Section, who conducted unlawful license activity for not more than 30 days and against whom there are no pending complaints may apply to renew the person's license or for license change to active status. The Department shall not delay processing the application based on the unlawful licensed activity. The Department shall issue an Advisory Letter of Concern to the person.

D. The Commissioner may take disciplinary action under A.R.S. § 32-2153 against a person who engages in unlawful license activity under this Section for longer than 30 days, has previously conducted unlawful license activity, or is the subject of a pending complaint.

History

• New Section made by final rulemaking at 11 A.A.R. 506, effective March 5, 2005 (Supp. 05-1).

Article 4 EDUCATION

Ariz. Admin. Code § R4-28-401 Prelicensure Education Requirements; Waiver

A. Any individual applying for a real estate license shall either:

1. Complete the required 90-hour prelicensure education as prescribed in A.R.S. § 32-2124; or

2. Except for the 27-hour Arizona-specific course, apply for and be granted a waiver of the prelicensure courses.

B. If the waiver request is based on prior education, the applicant shall submit a letter to the Commissioner that includes or demonstrates:

1. The name, mailing, and business address, daytime telephone number, and signature of the applicant;

2. The type of license sought;

3. The name and address of the school;

4. The course description or curriculum, including credit hours; and

5. Completion of one or more real estate courses. Acceptable evidence includes;

a. A signed letter from a school representative or official transcript from a college or university, which indicates:

i. The starting and ending dates of the course;

ii. The number of semesters, quarters, and credit hours awarded per course; and

iii. Whether the course examination was passed.

b. Evidence of course completion provided as part of a certified license history from a state in which the applicant is currently or was previously licensed.

C. If the waiver request is based on experience, or education and experience, the applicant shall submit a letter to the Commissioner that includes:

1. A detailed resume covering the previous 10 years, indicating duties performed and the name and telephone number for each employer; and

2. An original certified license history, including disciplinary action if any, from the real estate regulatory agency in each state in which the applicant is currently licensed and from any other state in which the applicant was licensed during the preceding 10 years; and

3. One or more of the following:

a. Completion of one or more real estate courses. Acceptable evidence includes a signed letter from a school representative, or official transcript from a college or university, which identifies:

i. The starting and ending dates of the course;

ii. The number of semesters, or quarters, and credit hours awarded per course;

iii. Whether the course examination was satisfactorily passed.

b. Evidence of more than five years' experience in a real estate related field; or

c. Evidence of course completion provided as part of a certified license history from a state in which the applicant is currently or was previously licensed.

D. The Department shall provide a copy of the prelicensure course content to any person requesting it.

E. A person shall not receive credit for more than 10 hours of prelicensure education classes per day.

History

• Adopted effective May 1, 1980 (Supp. 80-3). Amended subsections (F) and (G) effective March 13, 1981 (Supp. 81-2). Former Section R4-28-10 renumbered without change as Section R4-28-401 (Supp. 87-1). Amended by adding a new subsection (E) and renumbering accordingly effective March 7, 1988 (Supp. 88-1). Amended subsection (G) effective June 6, 1989 (Supp. 89-2). Amended effective February 28, 1995 (Supp. 95-1). Section R4-28-401 amended by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-28-402 Continuing Education Requirements; Waiver; Distance Learning

A. Continuing education requirements.

1. To be eligible for license renewal, a real estate salesperson or broker shall complete continuing education courses approved by the Department under R4-28-404, presented by a real estate school approved under R4-28-404, and taken since the salesperson's or broker's original licensure or effective date of the preceding license, whichever is later.

2. A real estate salesperson or associate broker applying for renewal shall submit proof of satisfactory completion of 24 credit hours of continuing education courses in the categories specified in subsection (A)(5). The renewal applicant shall complete a minimum of three hours in each of the mandatory categories under subsections (A)(5)(a) through (A)(5)(f). The renewal applicant shall take additional courses in the mandatory categories, or shall take courses in the business brokerage or general real estate categories described in subsection (A)(5)(g) and (A)(5)(h) to fulfill the required 24 credit hours.

3. A real estate designated broker applying for renewal shall submit proof of satisfactory completion of 24 credit hours of continuing education courses. The renewal applicant shall complete a minimum of three hours in each of the mandatory categories under subsections (A)(5)(a) through (A)(5)(f) and shall complete a Broker Management Clinic under A.R.S. 32-2136 approved in the Commissioner's Standards category under subsection (A)(5)(c). The renewal applicant shall take additional courses in the mandatory categories, or shall take courses in the business brokerage or general real estate categories described in subsection (A)(5)(g) and (A)(5)(h) to fulfill the required 24 credit hours.

4. A salesperson renewing for the first time may include credit for attendance at the Contract Writing class taken under A.R.S. § 32-2124(L) if taken within one year before the date of the salesperson's original licensure. A broker renewing for the first time may include credit for attendance at the Broker Management Clinic under A.R.S. § 32-2136 taken before the broker's original licensure date.

5. The categories for real estate continuing education courses are:

a. Agency law. The majority of class material concerns agency relationships and disclosure.

b. Contract law. The majority of class material concerns the contract formation and implementation, or the results of contract use, including:

i. Various contract forms and clauses, fundamentals, updates, options, offers, counter offers, first right of refusal, and exchanges;

ii. Contract writing;

iii. Required disclosures, problem-solving, and law and rule requirements;

iv. Recent court decisions and case law studies;

v. Breach of contract issues;

vi. Legal, ethical and agency considerations, procedures, and disclosures;

vii. Accommodating current financing procedures, requirements, and options.

c. Commissioner's standards. The majority of class material relates to license laws, including:

i. Article 26 of the Arizona Constitution;

ii. A.R.S. Title 32, Chapter 20, and A.A.C. Title 4, Chapter 28, which includes trust accounts, recordkeeping, license requirements, exemptions to licensure, commission payments, recovery fund provisions, development requirements, processes for public reports for and sale of subdivided and unsubdivided land, membership campgrounds and time-shares, cemetery regulations, and grounds for disciplinary action and hearings.

iii. A.R.S. Title 44, Chapter 10, Article 3.1, Trade Names and Business Practices.

d. Real estate legal issues. The majority of class material concerns existing real estate law, including:

i. Sources of real estate law (constitutions, statutes, zoning, common), and the legal system;

ii. Land and its elements (air, mineral rights, real and personal property);

iii. Land, title, and interests in land, homestead, encumbrances, and the Landlord and Tenant Act;

iv. Easements, fixtures, land descriptions, ownership, deeds, and building restrictions;

v. Escrow procedures, financing documents, and lending laws and regulations, including Regulation Z;

vi. Wills and estates, taxes, bankruptcy law, securities laws, title insurance, and appraisal law;

vii. Case law studies, real estate fraud, disclosure law, interstate and international real estate;

viii. Commission issues and forms of business ownership;

ix. Homeowners Association regulations;

x. Real Estate Settlement Procedures Act (RESPA); and

xi. Environmental issues.

e. Fair housing. The majority of class material concerns equal opportunities in housing, including:

i. Americans with Disabilities Act, ADA architectural designs (construction and development), and pertinent court cases;

ii. Arizona and federal fair housing laws, including advertising, marketing, information, and enforcement;

iii. Housing developments, deed restrictions, affordable housing, elder housing, zoning, local ordinances, and disclosures;

iv. Commercial and residential concerns; and

v. Administrative procedures and business practices.

f. Disclosure. The majority of class material concerns the following:

i. Licensee's disclosure obligations to client and others;

ii. Seller's and buyer's disclosure obligations to each other;

iii. Common material facts warranting disclosure, and liability for failure to disclose;

iv. Avoiding inadvertent non-disclosures;

v. Transaction documents that should be reviewed;

vi. Common "red flags" in a real estate transaction;

vii. Homeowner associations and buyers' obligations to homeowner associations; and

viii. Advising buyers and sellers of common "red flags."

g. Business brokerage. The majority of class material concerns business brokerage including:

i. Business brokerage basics including introducing licensees to business brokerage, associated terminology, marketing, prospecting, listing, pricing, closing practices, the use of contracts related to and unique to business brokerage, and the application of business brokerage contracts;

ii. Business valuations and appraisals, and establishing an in-depth review of proper business valuation techniques for small, medium, and large businesses;

iii. Tax structure and considerations, tax law, and policy including subjects such as financing tools available, options available, and tax implications;

iv. Accounting for business brokers;

v. Agency in business brokerages, the use of contracts related to and unique to business brokerage, and the application of business brokerage contracts; and

vi. Disclosure issues in business brokerage, including common "red flags" in a business opportunity transaction, and advising buyers and sellers of common "red flags."

h. General real estate. The majority of class material concerns real estate, but does not fall within any of the categories listed in subsections (A)(5)(a) through (A)(5)(g), including:

i. Appraisal methodology;

ii. General finance, use of financial calculators, mathematics, and managing cash flow;

iii. History of development in metropolitan areas; and

iv. Introduction to property management.

6. The Department may require an individual applying for renewal to obtain credit hours based upon significant current issues in the real estate community. The Department shall notify licensees of a new requirement by written notice published in printed or electronic format.

7. The Department may grant continuing education credit for a course that does not have a certificate of approval under R4-28-404 if the applicant demonstrates to the satisfaction of the Commissioner that the course meets the requirements prescribed in R4-28-404 and the course content requirements of this Section.

8. An applicant may substitute subject matter hours within a 90-hour broker's prelicensure course that meet the criteria for credit under subsections (A)(5)(a) through (A)(5)(h), if taken since the last license renewal, for the continuing education credit required in subsection (A)(2) or (3).

9. If any change in the continuing education course requirements occurs during a renewal applicant's license period and the applicant has fully complied with the continuing education requirement in effect before the change occurs, the Department shall consider the renewal applicant to be in compliance with the continuing education requirements for the license period.

B. Continuing education waiver. Under A.R.S. § 32-2130, the Commissioner may waive all or a portion of the continuing education requirement or grant additional time to complete a continuing education requirement when a salesperson or broker submits a written request to the Commissioner and shows good cause for the waiver or additional time.

1. Good cause may include:

a. A person employed by the state or political subdivision establishes to the satisfaction of the Commissioner that the person's employment during the prior license period involved real estate-related matters;

b. Any officer or employee of the state whose license is on an inactive status due to a possible conflict of interest or other employment requirement;

c. The person demonstrates successful completion of a course on topics specifically related to the person's field of real estate practice;

d. An approved real estate instructor requests a waiver for a course the instructor has taught;

e. The salesperson or broker demonstrates other extraordinary circumstances.

2. A salesperson or broker is granted additional time by the Commissioner to complete the continuing education requirement for license renewal shall complete the continuing education hours by the deadline or be subject to disciplinary action.

C. The Department shall not grant a person credit for more than nine hours of continuing education per day.

D. Distance learning.

1. Only a school holding a Certificate of Approval shall offer a distance learning course. The school shall obtain course approval from the Department before advertising the course as approved by the Department for credit hours and before issuing Department credit hours for the course to students.

2. The Department shall not approve a distance learning course unless it contains:

a. Individual modules of instruction for delivery on a computer or other interactive program;

b. At least one learning objective for each module of instruction. The learning objective shall ensure that if all the objectives are met, the entire content of the course is understood;

c. A structured learning method to enable the student to attain each learning objective;

d. A diagnostic assessment of the student's performance during each module of instruction;

i. The assessment shall measure what the student learned throughout the module of instruction, and

ii. Assess the comprehension of each concept covered in the module;

e. Remediation.

i. Repetition of a module if a student is deficient in a diagnostic assessment; and

ii. Continuous repetition of the module until the student understands the content material.

3. An approved instructor shall teach and an approved instructor or the school director shall grade distance learning courses. The instructor or school director shall:

a. Provide the student with assistance, if required;

b. Obtain a signed certification statement from the student indicating that the student has completed each assignment of instruction; and

c. Certify the student as completing a distance learning course only if the student:

i. Completes all required instructional modules,

ii. Attends any required hours of live instruction or testing, or both, for a given course; and

iii. Passes a final examination.

4. As part of its application for approval of a distance learning course, a school shall file a plan with the Department describing how the school will deal with hardware and software failure.

History

• Adopted effective May 1, 1980 (Supp. 80-3). Amended subsection (F) effective March 13, 1981 (Supp. 81-2). Former Section R4-28-11 renumbered without change as Section R4-28-402 (Supp. 87-1). Amended by deleting subsections (C) and (E) and renumbering accordingly effective March 7, 1988 (Supp. 88-1). Former Section R4-28-402 renumbered to Section R4-28-403, new Section R4-28-402 adopted by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1). Amended by final rulemaking at 6 A.A.R. 1886, effective May 2, 2000 (Supp. 00-2). Amended by final rulemaking at 11 A.A.R. 506, effective March 5, 2005 (Supp. 05-1).

Ariz. Admin. Code § R4-28-403 License Examinations

A. The Department shall hold, or contract for, at least one state licensing examination each week.

B. A state license examination shall not be returned to the applicant. The applicant shall be notified in person of the results of the examination by the words "passed" or "did not pass." The results notification for an applicant who did not pass the examination shall also show the score for the examination and the relative score for each content area.

C. Qualifying to take or passing a license examination does not constitute a waiver of the Commissioner's right to deny issuance of a license if grounds exist pursuant to A.R.S. § 32-2153 or any other applicable statute.

History

• Adopted effective May 1, 1980 (Supp. 80-3). Former Section R4-28-12 repealed, new Section R4-28-12 adopted effective August 28, 1986 (Supp. 86-4). Former Section R4-28-12 renumbered without change as Section R4-28-403 (Supp. 87-1). Amended effective February 28, 1995 (Supp. 95-1). Former Section R4-28-403 renumbered to R4-28-404, new Section R4-28-403 renumbered from R4-28-402 and amended by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-28-404 Real Estate School Requirements, Course and Instructor Approval

A. Certificate of School Approval. Except for a community college or university accredited by the Council on Post Secondary Accreditation or the U.S. Department of Education offering courses in real estate, any school offering a course of study for original or renewal licensure of a real estate applicant shall apply for and possess a Certificate of School Approval from the Department. The school's authorized representative shall provide the following information on or with the Certificate of School Approval form:

The name, address, telephone number, and fax number, if any, of the school;

2. The name of the owner and d.b.a. name, if any;

3. Whether the owner is a sole proprietorship, partnership, trust, limited liability company, or corporation;

4. The name, address, telephone number, and percentage ownership of each person, entity, or beneficiary holding or controlling 10% or more financial interest in the school;

5. The name of each individual authorized to act on behalf of the school and sign continuing education certificates or prelicensure verifications, or both;

6. The name, business address, and telephone number of all current and prospective administrators, directors, and instructors;

7. In addition to the information required in R4-28-301(A), each school owner, administrator, director, and instructor shall provide a statement of the individual's:

a. Education,

b. Teaching experience, and

c. Employment history.

8. If the owner is a partnership, a copy of the partnership agreement naming the partner authorized to act on its behalf;

If the owner is a corporation or limited liability company, a copy of:

a. A corporate or company resolution or operating agreement naming the officer, member, or manager authorized to execute the Certificate of Approval form;

b. A current Certificate of Good Standing from the Arizona Corporation Commission;

c. The latest annual report on file with the Arizona Corporation Commission;

d. The Articles of Incorporation or Organization, as amended.

10. The location of school registration and licensing certification records.

B. Certificate of Course Approval. Any school offering a course of study for original or renewal licensure of a real estate applicant shall apply for and possess a Certificate of Course Approval for each course offered by the school. The school's authorized representative shall submit the following information:

1. The school name, address, telephone number, and fax number, if any;

2. The authorized representative's name, title, and signature;

3. The title of the course;

4. A detailed outline of course material content that clearly lists the subject matter to be covered;

5. The date, time, and location of the anticipated presentation, if known;

6. The number of credit hours requested. The time allocated by a school for examination shall not be included in calculating credit hours if the examination is used for overall evaluation.

7. The category of approval requested;

8. A definition of segments if the course is to be offered in part and in its entirety;

9. If video or audio tapes will be used as instructional aids, the percentage of the class they will comprise;

10. The name of every instructor who will teach the course; and

11. The date of the application.

C. Instructor approval. Any person wishing to teach an approved real estate course shall apply for an instructors approval, and shall have at least one of the following in the proposed subject area:

1. A bachelor's or master's degree in an area traditionally associated with real estate, such as business, law, economics, marketing, and finance;

2. An award of a generally-recognized professional real estate designation, such as Certified Commercial Investment Member, Graduate Realtor Institute, Certified Residential Specialist, Independent Fee Appraiser, or Member of the Appraisal Institute, and two years of postsecondary education from an accredited institution;

3. Experience in real estate, and a bachelor's degree in education with a valid certificate issued within 15 years of the date of application for instructor approval;

4. A real estate salesperson's or broker's license, and is an employee or former employee of a regulatory agency;

5. A Distinguished Real Estate Instructor designation, with credentials in the specific subject;

6. At least three years real estate or specific subject experience; or

7. Other education or experience determined by the Commissioner to qualify the applicant as an instructor.

D. The school shall maintain a record for five years of each student attending the school. The record shall include:

1. The name of each student;

2. The dates of attendance;

3. The title of each course taken;

4. The course number, category, and credit hours awarded;

5. The final grade or score in each prelicensure course; and

6. The original signature roster for each course or course segment taught.

E. The prospective student shall sign an agreement or application to enroll, presented to the student by the school representative, that includes the following, in bold type and capital letters:

1. The course or course segment title within a curriculum,

2. The total credit hours applicable for licensure or renewal,

3. The cost of each course,

4. A statement of the refund policy, and

5. A statement of any job placement service.

F. The Department does not consider lists of employers given to graduates to be a placement service. The school may advertise job placement services only if:

1. Student referrals result from direct contact between the school placement service and prospective employers,

2. Documented evidence of student referrals is maintained and includes:

a. The number of referrals to prospective employers per student,

b. Results of referrals,

c. Final placement or other disposition.

G. Complaints. The Commissioner may, and upon a verified complaint in writing shall, investigate and observe the classes of any school, owner, administrator, director, or instructor acting on behalf of the school and may examine the books and records of the school in connection with the offering of approved courses.

H. Change in school, course, or instructor. Each school owner, operator, director, and instructor shall:

1. Provide a written notice and supporting documentation within 10 days of any:

a. Change of personal name or address,

b. Change of business address,

c. Change of business mailing address,

d. School closing, or

e. Disclosure of certification information pursuant to R4-28-301(A),

2. Provide a written notice and supporting documentation within 30 days after any change in structure of a licensed entity, including any change of a:

a. Director, officer, or person holding or controlling 10% or more of the shares, if a corporation;

b. Partner, if a partnership;

c. Member or manager, if a limited liability company.

3. Obtain approval from the Commissioner before conducting business when:

a. Changing a business name,

b. Establishing a school location,

c. Changing the course content,

d. Changing the course length, or

e. Offering a new course.

4. Provide written notice as soon as practical of a last minute change of instructor due to illness or emergency.

History

• Section R4-28-404 renumbered from R4-28-403 and amended by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-28-405 Expired

History

• New Section made by final rulemaking at 11 A.A.R. 506, effective March 5, 2005 (Supp. 05-1). Section expired under A.R.S. § 41-1056(J) at 21 A.A.R. 757, effective February 28, 2015 (Supp. 15-2).

Article 5 ADVERTISING

Ariz. Admin. Code § R4-28-501 Repealed

History

• Adopted effective May 1, 1980 (Supp. 80-3). Former Section R4-28-13 renumbered without change as Section R-28-501 (Supp. 87-1). Former Section R4-28-501 repealed by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-28-502 Advertising by a Licensee

A. A salesperson or broker acting as an agent shall not advertise property in a manner that implies that no salesperson or broker is taking part in the offer for sale, lease, or exchange.

B. Any salesperson or broker advertising the salesperson's or broker's own property for sale, lease, or exchange shall disclose the salesperson's or broker's status as a salesperson or broker, and as the property owner by placing the words "owner/agent" in the advertisement.

C. A salesperson or broker shall ensure that all advertising contains accurate claims and representations, and fully states factual material relating to the information advertised. A salesperson or broker shall not misrepresent the facts or create misleading impressions.

D. A school shall include its name, address and telephone number in all advertising of Department-approved courses. The school owner, director, or administrator shall supervise all advertising. The school owner shall ensure that the school's advertising is accurate.

E. A salesperson or broker shall ensure that all advertising identifies in a clear and prominent manner the employing broker's legal name or the dba name contained on the employing broker's license certificate.

F. A licensee who advertises property that is the subject of another person's real estate employment agreement shall display the name of the listing broker in a clear and prominent manner.

G. The designated broker shall supervise all advertising, for real estate, cemetery, or membership camping brokerage services.

H. A licensee shall not use the term "acre," either alone or modified, unless referring to an area of land representing 43,560 square feet.

I. Before placing or erecting a sign giving notice that specific property is being offered for sale, lease, rent, or exchange, a salesperson or broker shall secure the written consent of the property owner, and the sign shall be promptly removed upon request of the property owner.

J. The provisions of subsections (E) and (G) do not apply to advertising that does not refer to specific property.

K. Trade Names.

1. Any broker using a trade name owned by another person on signs displayed at the place of business shall place the broker's name, as licensed by the Department on the signs;

2. The broker shall include the following legend, "Each (TRADE NAME or FRANCHISE) office is independently owned and operated," or a similar legend approved by the Commissioner, in a manner to attract the attention of the public.

L. The use of an electronic medium, such as the Internet or web site technology, that targets residents of this state with the offering of a property interest or real estate brokerage services pertaining to property located in this state constitutes the dissemination of advertising as defined in A.R.S. § 32-2101(2).

History

• Former Section R4-28-14 repealed, new Section R4-28-14 adopted effective May 1, 1980 (Supp. 80-3). Amended subsection (D) effective August 1, 1986 (Supp. 86-4). Former Section R4-28-14 renumbered without change as Section R4-28-502 (Supp. 87-1). Section R4-28-502 amended by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1). Amended by final rulemaking at 11 A.A.R. 506, effective March 5, 2005 (Supp. 05-1).

Ariz. Admin. Code § R4-28-503 Promotional Activities

A. A licensee shall not describe a premium offered at no cost or reduced cost to promote sales or leasing as an "award," or "prize," or use a similar term.

B. A licensee shall clearly disclose to a person in writing the terms, costs, conditions, restrictions, and expiration date of an offer of a premium before the person participates in the offer.

C. Unless otherwise provided by law, a person shall not solicit, sell, or offer to sell an interest in a development by conducting a lottery contest, drawing, or game of chance.

D. A subdivider, time-share developer, or membership camping operator may apply for approval to conduct a lottery, contest, drawing, or game of chance, or award a premium under A.R.S. § 32-2197.17(J), by submitting to the Department the information under A.R.S. §§ 32-2183.01(I), 32-2197.17(J) or 32-2198.10(D), the applicable fee, if any, and:

1. The name, address, telephone number, and fax number, if any, of the subdivider, time-share developer, or operator;

2. The legal name of the broker;

3. The public report number;

4. The time and location for collecting entries for the lottery, contest, or drawing;

5. The date, time, and site for selection of a winner; and

6. The conditions and restrictions to enter, if any.

History

• Former Section R4-28-15 repealed, new Section R4-28-15 adopted effective May 1, 1980 (Supp. 80-3). Amended effective August 1, 1986 (Supp. 86-4). Former Section R4-28-15 renumbered without change as Section R4-28-503 (Supp. 87-1). Section R4-28-503 amended by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1). Amended by final rulemaking at 11 A.A.R. 506, effective March 5, 2005 (Supp. 05-1).

Ariz. Admin. Code § R4-28-504 Development Advertising

A. If a developer obtains a conditional sales exemption, under R4-28-B1202, or registers a notice of intent with the Department to accept lot reservations under A.R.S. § 32-2181.03, the developer shall disclose on all advertising that only reservations or conditional sales contracts will be taken until the public report has been issued.

B. Only a developer or the developer's authorized representative shall file advertising for a development under A.R.S. §§ 32-2183.01(A), 32-2194.05(A), 32-2195.05(A), 32-2197.17(A) or 32-2198.01(A)(6) with the Department.

C. A developer shall ensure that advertisement of property in a development includes the name of the development as registered with the Department. The Commissioner may waive application of this subsection if the Commissioner determines that the public interest is not affected.

D. A developer shall not advertise a monthly payment, total price, or interest rate that is not available to all prospective purchasers or is restricted, unless the lack of availability or the restriction is conspicuously disclosed to all prospective purchasers within the advertisement.

E. A developer shall not advertise proposed or incomplete improvements unless the following requirements are met:

1. The estimated date of completion is specified or, if there is no estimated date of completion, the developer includes a prominent disclosure in the advertisement that the improvement is proposed only and no warranty is given or implied that the improvement will be completed; and

2. If a completion date is specified, the developer has submitted to the Department evidence to satisfactorily demonstrate to the Department that the completion and operation of the facilities are assured and that completion will be within the time represented in the advertisement or promotional material.

F. The developer shall not reference a proposed public facility or project that purports to effect the value or utility of an interest in a development without disclosing in writing the existing status of the proposed facility. The developer shall base the disclosure upon information supplied or verified by the authority responsible for the public facility or project and shall forward the information to the Department.

G. Pictorial or illustrative depictions, other than unmodified photographs of the property being offered, shall bear a prominent disclosure identifying the nature of the depiction, such as an artist's conception, and shall identify those improvements that are proposed and not in existence.

H. When a pictorial representation is used in an advertisement for a specific development and is not an actual or accurate representation of the property, a statement within the advertisement shall prominently disclose the distance of the pictorial representation from the advertised property.

I. If a map or diagram is used to show the location of the development in relation to other facilities, actual road miles from each facility to the development shall be shown on the map or diagram.

J. A developer shall not expressly state or imply that a facility is available for the exclusive use of purchasers of lots or interests if a public right of access or public use of the facility exists.

K. A developer shall not refer to availability for use of private clubs or facilities in which the owner will not acquire a proprietary interest through purchase of an interest in the development unless a disclosure is made in the advertisement. The disclosure shall affirmatively state the existence of the facilities and that availability for use by owners of an interest in the development is at the pleasure of the owners of the facility.

L. When a standing body of water is described as a feature of a development, all advertising shall indicate the average surface area of the body of water. If a standing body of water or a flowing waterway described as a feature of a development is not permanent, or fluctuates substantially in size or volume, the developer shall disclose this fact in all advertisements describing the feature.

M. At the time an incentive is offered to visit any place where a sales presentation for a development is to be made and before the recipient of the incentive makes the trip, the developer shall disclose in writing all conditions, limitations, or recipient qualifications that will be applied.

N. A developer shall not include in advertising testimonials or endorsements that contain statements that a salesperson or broker would be precluded by law from making on the salesperson's or broker's behalf.

History

• Editorial correction new language subsection (D)(2) (Supp. 75-1). Former Section R4-28-16 repealed, new Section R4-28-16 adopted effective May 1, 1980 (Supp. 80-3). Amended by adding subsection (T) effective March 13, 1981 (Supp. 81-2). Amended subsection (F) effective June 9, 1982 (Supp. 82-3). Amended effective August 1, 1986 (Supp. 86-4). Former Section R4-28-16 renumbered without change as Section R4-28-504 (Supp. 87-1). Section R4-28-504 amended by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1). Amended by final rulemaking at 11 A.A.R. 506, effective March 5, 2005 (Supp. 05-1).

Article 6 REPEALED

Ariz. Admin. Code § R4-28-601 Repealed

History

• Former Section R4-28-17 repealed, new Section R4-28-17 adopted effective May 1, 1980 (Supp. 80-3). Former Section R4-28-17 renumbered without change as Section R4-28-601 (Supp. 87-1). Repealed effective February 28, 1995 (Supp. 95-1).

Article 7 COMPENSATION

Ariz. Admin. Code § R4-28-701 Compensation Sharing Disclosure

A real estate broker shall disclose to all the parties in a transaction, in writing before closing, the name of each employing broker who represents a party to the transaction and who will receive compensation from the transaction.

History

• Former Section R4-28-18 repealed, new Section R4-28-18 adopted effective May 1, 1980 (Supp. 80-3). Amended by adding subsection (B) effective March 13, 1981 (Supp. 81-2). Former Section R4-28-18 renumbered without change as Section R4-28-701 (Supp. 87-1). Section R4-28-701 amended by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1). Amended by final rulemaking at 6 A.A.R. 1886, effective May 2, 2000 (Supp. 00-2). Amended by final rulemaking at 8 A.A.R. 3640, effective August 6, 2002 (Supp. 02-3).

Article 8 DOCUMENTS

Ariz. Admin. Code § R4-28-801 Repealed

History

• Former Section R4-28-19 repealed, new Section R4-28-19 adopted effective May 1, 1980 (Supp. 80-3). Amended effective August 28, 1986 (Supp. 86-4). Former Section R4-28-19 renumbered without change as Section R4-28-801 (Supp. 87-1). Amended subsection (A) effective November 27, 1987 (Supp. 87-4). Correction to subsection (D), from "...management shall..." to "...management agreement shall..." as certified effective August 28, 1986. Amended subsections (A), (C) and (D) effective June 6, 1989 (Supp. 89-2). Amended effective February 28, 1995 (Supp. 95-1). Former Section R4-28-801 repealed by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-28-802 Conveyance Documents

A. Upon execution of any transaction document a salesperson or broker shall, as soon as practical, deliver a legible copy of the signed document and final agreement to each party signing the document.

B. During the term of a listing agreement, a salesperson or broker shall promptly submit to the salesperson's or broker's client all offers to purchase or lease the listed property. Upon receiving permission from the seller or lessor, the salesperson or broker acting on behalf of the seller or lessor may disclose to all offerors or their agents the existence and terms of all additional offers on the listed property. The salesperson or broker shall submit to the client all offers made prior to closing and is not released from this duty by the client's acceptance of an offer unless the client instructs the salesperson or broker in writing to cease submitting offers or unless otherwise provided in the listing agreement, lease, or purchase contract. The salesperson or broker may voluntarily submit offers to the seller or lessor regardless of any limitations contained in the listing agreement and may submit offers after the listing agreement is terminated.

C. Transaction statements. In addition to the requirements of A.R.S. §§ 32-2151.01 and 32-2174, the broker shall retain true copies of all receipts and disbursements, or copies of the executed and delivered escrow closing statements that evidence all receipts and disbursements in the transaction.

History

• Former Section R4-28-20 repealed, new Section R4-28-20 adopted effective May 1, 1980 (Supp. 80-3). Amended effective March 13, 1981 (Supp. 81-2). Former Section R4-28-20 renumbered without change as Section R4-28-802 (Supp. 87-1). Amended effective February 28, 1995 (Supp. 95-1). Section R4-28-802 amended by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1). Amended by final rulemaking at 8 A.A.R. 3640, effective August 6, 2002 (Supp. 02-3).

Ariz. Admin. Code § R4-28-803 Contract Disclosures

A. A developer or the developer's agent shall ensure that any agreement or contract for the sale or lease of a property interest in a development that requires a public report contains substantially the following language in bold print or print larger than the other print used in the document above the signature portion of the document:

THE DEVELOPER SHALL GIVE A PROSPECTIVE PURCHASER A COPY OF THE PUBLIC REPORT AND AN OPPORTUNITY TO READ AND REVIEW IT BEFORE THE PROSPECTIVE PURCHASER SIGNS THIS DOCUMENT.

B. A developer or the developer's agent shall ensure that any agreement or contract for the sale or lease of a property interest in a development conspicuously discloses the nature of the document at or near the top of the document.

C. The contract shall indicate where the earnest money or down payment, if any, will be deposited and shall include the name of the title company, the name of the broker's trust account, or other depository.

D. Any agreement or contract for the sale or lease of a property interest in a development where a down payment, earnest money deposit, or other advanced money, if any, is paid directly to the seller and not placed in a neutral escrow depository, shall conspicuously disclose this fact within the document, and the purchaser shall sign or initial this provision indicating approval in the space adjacent to or directly below the disclosure in the purchase contract or agreement of sale. The following disclosure shall be written in large or bold print and shall be included in the public report, purchase contract, and agreement of sale.

Prospective purchasers are advised that earnest money deposits, down payments, and other advanced money will not be placed in a neutral escrow. This money will be paid directly to the seller and may be used by the seller. This means the purchaser assumes a risk of losing the money if the seller is unable or unwilling to perform under the terms of the purchase contract.

History

• Adopted effective May 1, 1980 (Supp. 80-3). Amended Exhibit effective March 13, 1981 (Supp. 81-2). Former Section R4-28-21 renumbered without change as Section R4-28-803 (Supp. 87-1). Section R4-28-803 amended by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1). Amended by final rulemaking at 6 A.A.R. 1886, effective May 2, 2000 (Supp. 00-2). Amended by final rulemaking at 11 A.A.R. 506, effective March 5, 2005 (Supp. 05-1).

Ariz. Admin. Code § R4-28-804 Rescission of Contract

A. Any agreement or contract for the purchase or lease of an unimproved subdivided lot, or any unsubdivided land, shall contain substantially the following language in bold print or print larger than the other print used in the document above the signature portion of the document:

The purchaser or lessee has the legal right to rescind (cancel) this agreement without cause or reason of any kind, and to the return of any money or other consideration by sending or delivering a written notice of rescission to the seller or lessor by midnight of the seventh calendar day following the day the purchaser or lessee executed the agreement. If the purchaser or lessee does not inspect the lot or parcel before the execution of the agreement, the purchaser or lessee shall have six months to inspect the lot or parcel, and at the time of inspection shall have the right to unilaterally rescind the agreement.

B. Any agreement or contract for the purchase or lease of a time-share interval shall contain substantially the following language in bold print or print larger than the other print used in the document above the signature portion of the document:

The purchaser or lessee has the legal right to rescind (cancel) this agreement without cause or reason of any kind by sending or delivering a written notice of rescission to the seller or lessor by midnight of the seventh calendar day following the day the purchaser or lessee executed the agreement.

C. An opportunity to exercise the seven-day right of rescission shall be provided by conspicuously disclosing the complete current name, address, and telephone number of the seller on the face of all agreements and contracts.

History

• Adopted effective May 1, 1980 (Supp. 80-3). Former Section R4-28-22 renumbered without change as Section R4-28-804 (Supp. 87-1). Section R4-28-804 amended by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1). Amended by final rulemaking at 6 A.A.R. 1886, effective May 2, 2000 (Supp. 00-2).

Ariz. Admin. Code § R4-28-805 Public Report Receipt

When a public report is required, the developer shall complete the following public report receipt and obtain the purchaser's signature to verify that the prospective purchaser has received a copy of the public report:

PUBLIC REPORT RECEIPT

The developer shall furnish you, as a prospective customer, with a copy of the public report required by the Arizona Department of Real Estate. It is recommended that you read the report before you make any written offer to purchase or lease an interest in the development and before you pay any money or other consideration toward the purchase or lease of an interest in the development.

FOR YOUR PROTECTION, DO NOT SIGN THIS RECEIPT UNTIL YOU HAVE RECEIVED A COPY OF THE REPORT AND HAVE HAD THE OPPORTUNITY TO READ IT. BY SIGNING THIS RECEIPT, THE BUYER HAS ACCEPTED THE PUBLIC REPORT AND ACKNOWLEDGES THE INFORMATION IT CONTAINS.

_____________________ ______________________

Public Report Registration No. Development Name and Lot No.

I understand the report is not a recommendation or endorsement of the development by the Arizona Department of Real Estate, but is for information only.

_____________________ ______________________

Buyer's Name Address

_____________________ ______________________

Date

History

• New Section R4-28-805 adopted by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1).

Article 9 REPEALED

Ariz. Admin. Code § R4-28-901 Repealed

History

• Adopted effective May 1, 1980 (Supp. 80-3). Amended by adding subsection (E) effective August 28,1986 (Supp. 864). Former Section R4-28-23 renumbered without change as Section R4-28-901 (Supp. 87-1). Repealed effective February 28, 1995 (Supp. 95-1).

Ariz. Admin. Code § R4-28-902 Repealed

History

• Adopted effective May 1, 1980 (Supp. 90-3). Amended effective March 13, 1981 (Supp. 81-2). Former Section R4-28-24 renumbered without change as Section R4-28-902 (Supp. 87-1). Repealed effective February 28, 1995 (Supp. 95-1).

Article 10 REPEALED

Ariz. Admin. Code § R4-28-1001 Repealed

History

• Adopted effective May 31, 1980 (Supp. 80-3). Amended subsection (A) effective August 1, 1986 (Supp. 864). Former Section R4-28-26 renumbered without change as Section R4-28-1001 (Supp. 87-1). Section R4-28-1001 amended by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1). Section repealed by final rulemaking at 11 A.A.R. 506, effective March 5, 2005 (Supp. 05-1).

Ariz. Admin. Code § R4-28-1002 Expired

History

• New Section R4-28-1002 adopted by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1). Section expired under A.R.S. § 41-1056(E) at 10 A.A.R. 1893, effective February 29, 2004 (Supp. 04-2).

Article 11 PROFESSIONAL CONDUCT

Ariz. Admin. Code § R4-28-1101 Duties to Client

A. A licensee owes a fiduciary duty to the client and shall protect and promote the client's interests. The licensee shall also deal fairly with all other parties to a transaction.

B. A licensee participating in a real estate transaction shall disclose in writing to all other parties any information the licensee possesses that materially or adversely affects the consideration to be paid by any party to the transaction, including:

1. Any information that the seller or lessor is or may be unable to perform;

2. Any information that the buyer or lessee is, or may be, unable to perform;

3. Any material defect existing in the property being transferred; and

The existence of a lien or encumbrance on the property being transferred.

C. A licensee shall expeditiously perform all acts required by the holding of a license. A licensee shall not delay performance, either intentionally or through neglect.

D. A licensee shall not allow a controversy with another licensee to jeopardize, delay, or interfere with the initiation, processing, or finalizing of a transaction on behalf of a client. This prohibition does not obligate a licensee to agree to alter the terms of any employment or compensation agreement or to relinquish the right to maintain an action to resolve a controversy.

E. A real estate salesperson or broker shall not act directly or indirectly in a transaction without informing the other parties in the transaction, in writing and before the parties enter any binding agreement, of a present or prospective interest or conflict in the transaction, including that the:

1. Salesperson or broker has a license and is acting as a principal;

2. Purchaser or seller is a member of the salesperson's, broker's, or designated broker's immediate family;

3. Purchaser or seller is the salesperson's or broker's employing broker, or owns or is employed by the salesperson's or broker's employing broker; or

Salesperson or broker, or a member of the salesperson's or broker's immediate family, has a financial interest in the transaction other than the salesperson's or broker's receipt of compensation for the real estate services.

F. A salesperson or broker shall not accept compensation from or represent more than one party to a transaction without the prior written consent of all parties.

G. A salesperson or broker shall not accept any compensation, including rebate or other consideration, directly or indirectly, for any goods or services provided to a person if the goods or services are related to or result from a real estate transaction, without that person's prior written acknowledgement of the compensation. This prohibition does not apply to compensation paid to a broker by a broker who represents a party in the transaction.

H. The services that a salesperson or broker provides to a client or a customer shall conform to the standards of practice and competence recognized in the professional community for the specific real estate discipline in which the salesperson or broker engages. A salesperson or broker shall not undertake to provide professional services concerning a type of property or service that is outside the salesperson's or broker's field of competence without engaging the assistance of a person who is competent to provide those services, unless the salesperson's or broker's lack of expertise is first disclosed to the client in writing and the client subsequently employs the salesperson or broker.

I. A salesperson or broker shall exercise reasonable care in ensuring that the salesperson or broker obtains information material to a client's interests and relevant to the contemplated transaction and accurately communicates the information to the client. A salesperson or broker is not required to have expertise in subject areas other than those required to obtain the salesperson's or broker's license. A salesperson or broker shall take reasonable steps to assist a client in confirming the accuracy of information relevant to the transaction.

J. A salesperson or broker shall not:

1. Permit or facilitate occupancy in a person's real property by a third party without prior written authorization from the person; or

2. Deliver possession prior to closing unless expressly instructed to do so by the owner of the property or property interest being transferred.

K. A salesperson or broker shall recommend to a client that the client seek appropriate counsel from insurance, legal, tax, and accounting professionals regarding the risks of pre-possession or post-possession of a property.

History

• Adopted effective May 1, 1980 (Supp. 80-3). Former Section R4-28-27 renumbered without change as Section R4-28-1101 (Supp. 87-1). Section R4-28-1101 amended by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1). Amended by final rulemaking at 8 A.A.R. 3640, effective August 6, 2002 (Supp. 02-3). Amended by final rulemaking at 11 A.A.R. 506, effective March 5, 2005 (Supp. 05-1).

Ariz. Admin. Code § R4-28-1102 Property Negotiations

Except for owner listed properties, negotiations shall be conducted exclusively through the principal's broker or the broker's representative unless:

1. The principal waives this requirement in writing, and

2. No licensed representative of the broker is available for 24 hours.

History

• Adopted effective May 1, 1980 (Supp. 80-3). Former Section R4-28-28 renumbered without change as Section R4-28-1102 (Supp. 87-1). Section R4-28-1102 amended by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-28-1103 Broker Supervision and Control

A. An employing broker and a designated broker shall exercise reasonable supervision and control over the activities of brokers, salespersons, and others in the employ of the broker. Reasonable supervision and control includes the establishment and enforcement of written policies, procedures, and systems to:

Review and manage:

a. Transactions requiring a salesperson's or broker's license; and

b. Use of disclosure forms and contracts and, if a real estate broker, real estate employment agreements under A.R.S. § 32-2151.02;

2. Manage:

a. Filing, storing, and maintaining documents pertaining to transactions under subsection (A)(5)(a);

b. Handling of trust funds; and

c. Use of unlicensed assistants by a salesperson or broker;

3. Oversee delegation of authority to others to act on behalf of the broker;

Familiarize salespersons and associate brokers with the requirements of federal, state, and local laws relating to the practice of real estate, or the sale of cemetery property or membership camping contracts; and

5. Review and inspect:

a. Documents that may have a material effect upon the rights or obligations of a party to a transaction; and

b. Advertising and marketing by the broker and by salespersons, brokers, and others in the broker's employ.

B. A designated broker shall establish a system for monitoring compliance with statutes, rules, and the employing broker's policies, procedures, and systems.

C. A designated broker shall supervise associate brokers, salespersons, and employees of the employing broker and shall exercise reasonable supervision and control over activities by the employing broker for which a license is required.

D. An employing broker is responsible for the acts of all associate brokers, salespersons, and other employees acting within the scope of their employment.

E. A designated broker may use the services of employees to assist in administering the provisions of this Section but shall not relinquish overall responsibility for supervision and control of the acts of the employing broker's employees.

F. A designated broker who, upon learning of a violation of real estate statutes or rules by a salesperson or associate broker under the broker's supervision, immediately reports the violation to the Department is not subject to disciplinary action by the Department for failure to supervise the salesperson or broker.

G. If an employing broker maintains one office and employs a designated broker, no more than one other licensed person, and no more than one unlicensed person, the employing broker and designated broker are not required to develop and maintain written policies, procedures, and systems as described in subsection (A).

History

• New Section made by final rulemaking at 8 A.A.R. 3640, effective August 6, 2002 (Supp. 02-3). Amended by final rulemaking at 11 A.A.R. 506, effective March 5, 2005 (Supp. 05-1). Amended by final rulemaking at 11 A.A.R. 1496, effective June 4, 2005 (Supp. 05-2).

Article 12 DEVELOPMENTS

Ariz. Admin. Code § R4-28-1201 Renumbered

History

• Adopted effective May 1, 1980 (Supp. 80-3). Amended subsection (B) effective June 9, 1982 (Supp. 82-3). Former Section R4-28-29 renumbered without change as Section R4-28-1201 (Supp. 87-1). Former Section R4-28-1201 renumbered to R4-28-B1205 by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-28-1202 Repealed

History

• Former Section R4-28-30 repealed effective May 1, 1980, new Section R4-28-30 adopted effective May 1, 1980 (Supp. 80-3). Amended effective March 13, 1981 (Supp. 81-2). Former Section R4-28-30 renumbered without change as Section R4-28-1202 (Supp. 87-1). Repealed effective February 28, 1995 (Supp. 95-1).

Ariz. Admin. Code § R4-28-1203 Renumbered

History

• Adopted effective May 1, 1980 (Supp. 80-3). Former Section R4-28-31 renumbered without change as Section R4-28-1203 (Supp. 87-1). Former Section R4-28-1203 renumbered to R4-28-B1203 by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-28-1204 Repealed

History

• Adopted effective May 1, 1980 (Supp. 80-3). Former Section R4-28-32 renumbered without change as Section R4-28-1204 (Supp. 87-1). Section R4-28-1204 repealed by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1).

Article 13 ADMINISTRATIVE PROCEDURES

Ariz. Admin. Code § R4-28-1301 Repealed

History

• Adopted effective May 1, 1980 (Supp. 80-3). Amended effective March 13, 1981 (Supp. 81-2). Former Section R4-28-33 renumbered without change as Section R4-28-1301 (Supp. 87-1). Section R4-28-1301 repealed by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-28-1302 Service of Pleadings Subsequent to Complaint and Notice

A. Service of pleadings subsequent to complaint and notice of hearing shall be made by personal service or by mail to the last known address of record of the party or the party's counsel. If service is made by mail, response time shall be increased by five days. Service by mail is complete upon mailing.

B. Any person filing a pleading or brief with the Department shall also file with the Attorney General.

History

• Adopted effective May 1, 1980 (Supp. 80-3). Former Section R4-28-34 renumbered without change as Section R4-28-1302 (Supp. 87-1). Section R4-28-1302 amended by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-28-1303 Information Obtained in an Investigation

A. The Department shall ensure that information and documents in open audits and investigations remain confidential. Officers and employees of the Department shall not make confidential information or documents available to anyone other than the Attorney General or the Attorney General's representative, or authorized employees of the Department, unless the Commissioner authorizes disclosure of the information or production of documents as being in the public interest.

B. Upon request, the Department shall disclose the existence of and make available for review audit and investigative files that were closed within five years of the request for the information, subject to redaction of confidential or privileged information such as date of birth, social security number, bank and trust account numbers, home address and telephone number of active-status licensees, criminal history reports, attorney-client privileged communications, work product, and information regarding settlement negotiations.

History

• Adopted effective May 1, 1980 (Supp. 80-3). Former Section R4-28-35 renumbered without change as Section R4-28-1303 (Supp. 87-1). Section R4-28-1303 amended by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1). Amended by final rulemaking at 11 A.A.R. 506, effective March 5, 2005 (Supp. 05-1).

Ariz. Admin. Code § R4-28-1304 Response; Default

A. A response shall specifically admit, deny, or state that the party does not have, or is unable to obtain, sufficient information to admit or deny each allegation in the complaint. A statement of a lack of information shall have the effect of a denial. Any allegation not denied is deemed to be admitted. When a party intends in good faith to deny only a part of an allegation, the party shall admit so much of it as is true and shall deny the remainder.

B. If the party fails to file a response or after being served notice, fails to appear at a hearing within the time provided by the statute under which the hearing is commenced, the Department may file an Affidavit of Default against the party, and proceed to take action against the party based upon the allegations of the charges. This action may be taken before the hearing date established in the Notice of Hearing. The party may file a motion to vacate the default and any action taken by the Commissioner within 15 days after receiving a copy of the default and the action or order by the Commissioner. For good cause, the Commissioner may vacate a default and any action taken and reschedule a hearing.

C. Every response filed pursuant to this Section shall be signed by the filing party or by at least one attorney, in the attorney's individual name, who represents the party, and shall be verified.

History

• Adopted effective May 1, 1980 (Supp. 80-3). Former Section R4-28-36 renumbered without change as Section R4-28-1304 (Supp. 87-1). Amended subsection (D) effective November 27, 1987 (Supp. 87-4). Section R4-28-1304 amended by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-28-1305 Notice of Appearance of Counsel

A. A party may participate in the party's own behalf or be represented by a member of the State Bar of Arizona.

B. Any person intending to appear at a contested case hearing or appealable agency action as counsel or representative of a party shall file a Notice of Appearance which shall advise the Department of the person's intent to appear on behalf of a party. The notice shall be filed with the Office of Administrative Hearings and served on all parties and shall contain:

1. The title of the case,

2. The name of the agency ordering the hearing,

3. The current address and telephone number of the person appearing, and

4. The name of the party for whom the person is appearing.

History

• Adopted effective May 1, 1980 (Supp. 80-3). Former Section R4-28-37 renumbered without change as Section R4-28-1305 (Supp. 87-1). Amended subsections (B) and (C) effective November 27, 1987 (Supp. 87-4). Section R4-28-1305 amended by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-28-1306 Repealed

History

• Adopted effective May 1, 1980 (Supp. 80-3). Former Section R4-28-38 renumbered without change as Section R4-28-1306 (Supp. 87-1). Amended subsections (A), (B), and (C) effective November 27, 1987 (Supp. 87-4). Section R4-28-1306 repealed by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-28-1307 Expired

History

• Adopted effective May 1, 1980 (Supp. 80-3). Amended subsection (E) effective March 13, 1981 (Supp. 81-2). Former Section R4-28-39 renumbered without change as Section R4-28-1307 (Supp. 87-1). Amended effective November 27, 1987 (Supp. 87-4). Section R4-28-1307 amended by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1). Section expired under A.R.S. § 41-1056(E) at 10 A.A.R. 1893, effective February 29, 2004 (Supp. 04-2).

Ariz. Admin. Code § R4-28-1308 Repealed

History

• Adopted effective May 1, 1980 (Supp. 80-3). Amended effective March 13, 1981 (Supp. 81-2). Former Section R4-28-40 renumbered without change as Section R4-28-1308 (Supp. 87-1). Amended effective November 27, 1987 (Supp. 87-4). Section R4-28-1308 repealed by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-28-1309 Repealed

History

• Adopted effective May 1, 1980 (Supp. 80-3). Amended effective June 23, 1983 (Supp. 83-3). Former Section R4-28-41 renumbered without change as Section R4-28-1309 (Supp. 87-1). Amended effective November 27, 1987 (Supp. 87-4). Section R4-28-1309 repealed by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-28-1310 Rehearing or Review of Decision; Response; Decision

A. Unless otherwise provided by statute or rule, any party to a hearing before the Office of Administrative Hearings who is aggrieved by a decision rendered in a case may, pursuant to A.R.S. § 41-1092.09, file with the Commissioner a written motion for rehearing or review of the decision. The motion shall specify the particular grounds for rehearing or review. The moving party shall serve copies upon all other parties. A motion for rehearing or review under this Section may be amended at any time before the Commissioner rules upon the motion.

B. A rehearing or review of the decision may be granted for any one of the following causes that materially affect the moving party's rights:

1. Irregularity in the proceedings or any order or abuse of discretion by the administrative law judge that deprived a party of a fair hearing;

2. Misconduct by the Department, administrative law judge, or the prevailing party;

3. Accident or surprise that could not have been prevented by ordinary prudence;

4. Newly discovered material evidence that could not with reasonable diligence have been discovered and produced at the original hearing;

5. Excessive or insufficient penalties;

6. Error in the admission or rejection of evidence or other errors of law occurring during the proceeding;

7. That the findings of fact or decision is arbitrary, capricious, or an abuse of discretion;

8. That the findings of fact or decision is not supported by the evidence or is contrary to law.

C. Presenting specific grounds for rehearing or review, affidavits and relief sought.

1. Each party filing a motion for rehearing or review shall specify in the motion which of the grounds listed in subsection (B) the motion is based upon and shall set forth specific facts and law in support of the rehearing or review. The party may cite relevant portions of testimony by reference to pages or lines of the reporter's transcript of the hearing or to the date and time range of the Office of Administrative Hearings audio record, and may cite hearing exhibits by reference to the exhibit number.

2. When a party files a motion for rehearing or review based upon an affidavit, the person shall attach the affidavit to the motion before filing the motion unless leave for later filing of an affidavit is granted by the Commissioner. The leave may be granted ex parte.

3. Each party filing a motion for rehearing or review shall specify the specific relief sought by the motion, such as a different decision or penalty, a new hearing, a dismissal of the complaint, or other relief. A party may seek multiple forms of relief, in the alternative.

D. Any party may file a written response to the motion. An affidavit may be attached to and filed with the response and shall not be later filed unless leave for later filing of affidavits is granted by the Commissioner. The original response shall be filed with the Department pursuant to R4-28-102, within 15 days after the date the motion for rehearing or review is filed, and a copy shall be served upon all other parties to the hearing.

E. Within 30 days after a decision is rendered, the Commissioner may, on the Commissioner's own initiative, order a rehearing or review of a decision for any reason for which a motion for rehearing or review might have been granted. The Commissioner shall specify the grounds for rehearing or review in the order.

F. Upon review of a motion for rehearing or review of the decision, and any response, the Commissioner shall issue a ruling granting or denying the motion. If granted, the Commissioner may modify the decision or grant a rehearing. An order granting a rehearing shall specify with particularity the grounds on which the rehearing is granted, and the rehearing shall cover only those matters specified. All parties to the hearing may participate as parties at any rehearing.

History

• Adopted effective May 1, 1980 (Supp. 80-3). Amended effective March 13, 1981 (Supp. 81-2). Amended effective June 23, 1983 (Supp. 83-3). Former Section R4-28-42 renumbered without change as Section R4-28-1310 (Supp. 87-1). Amended subsections (B), (C), and (D) effective November 27, 1987 (Supp. 87-4). Section R4-28-1310 amended by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1). Amended by final rulemaking at 11 A.A.R. 506, effective March 5, 2005 (Supp. 05-1).

Ariz. Admin. Code § R4-28-1311 Repealed

History

• Adopted effective May 1, 1980 (Supp. 80-3). Amended effective June 23, 1983 (Supp. 83-3). Former Section R4-28-43 renumbered without change as Section R4-28-1311 (Supp. 87-1). Amended subsections (A), (B), and (C) effective November 27, 1987 (Supp. 87-4). Section R4-28-1311 repealed by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-28-1312 Repealed

History

• Adopted effective May 1, 1980 (Supp. 80-3). Amended subsection (B) effective March 13, 1981 (Supp. 81-2). Amended effective June 23, 1983 (Supp. 83-3). Former Section R4-28-44 renumbered without change as Section R4-28-1312 (Supp. 87-1). Section R4-28-1312 repealed by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-28-1313 Correction of Clerical Mistakes

Clerical mistakes in opinions, orders, rulings, any process issued by the Department, or other parts of the record, and errors arising from oversight or omission, may be corrected by the administrative law judge before transmission of the Department hearing file to the Commissioner, or by the Commissioner after transmission of the file, either upon the initiative of the administrative law judge or Commissioner, or upon motion of any party.

History

• Adopted effective May 1, 1980 (Supp. 80-3). Former Section R4-28-45 renumbered without change as Section R4-28-1313 (Supp. 87-1). Amended effective November 27, 1987 (Supp. 87-4). Section R4-28-1313 amended by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1).

Article 14 REPEALED

Ariz. Admin. Code § R4-28-1401 Repealed

History

• Adopted effective May 1, 1980 (Supp. 80-3). Former Section R4-28-46 renumbered without change as Section R4-28-1401 (Supp. 87-1). Repealed effective November 27, 1987 (Supp. 87-4).

Article 12 DEVELOPMENTS

Part A APPLICATION FOR PUBLIC REPORT, CERTIFICATE OF AUTHORITY, OR SPECIAL ORDER OF EXEMPTION

Ariz. Admin. Code § R4-28-A1201 Development Name; Lot Sales; Applicant

A. Any person may submit a development application for a public report, a certificate of authority, or a special order of exemption, provided the applicant has a recorded ownership interest in the land, such as a deed, option, beneficial interest in a trust, or other recorded interest approved by the Commissioner. The application for a public report or certificate of authority shall contain the following information, as applicable:

1. The name of the development or cemetery, as shown on the recorded map, and the marketing name if one will be used;

2. The list of the lots to be offered, including the description of the sales offering;

3. The name, address, telephone number, and fax number, if any, of the applicant; and

4. The applicable information in this Article, Parts A and B.

B. If the applicant is a corporation, the application shall contain the following information:

1. A Certificate of Good Standing from the Arizona Corporation Commission, dated no earlier than one year from the date of the application;

2. A corporate resolution, authorizing the person signing the application on behalf of the corporation; and

3. The name and address of each officer, director, and shareholder controlling or holding more than 10% of the issued and outstanding common shares, or 10% of any other proprietary, beneficial, or membership interest in the entity.

C. If the applicant is a partnership, the application shall contain the following information:

1. A copy of all partnership agreements;

2. Proof of registration with the Secretary of State if any partnership is a limited partnership, foreign or domestic;

3. If the general partner is a corporation, the information requested in subsection (B);

4. If the general partner is a limited liability company, the information requested in subsection (D); and

5. The name and address of each partner in the partnership.

D. If the applicant is a limited liability company, the application shall contain the following information:

1. A copy of the Articles of Organization, stamped "Received and Filed" by the Arizona Corporation Commission. If more than one year has elapsed between the original filing with the Arizona Corporation Commission and the filing date of the development application, a Certificate of Good Standing from the Arizona Corporation Commission is required;

2. A copy of the operating agreement and any amendments;

3. If not included in the operating agreement or Articles of Organization, a copy of the company resolution signed by all members stating whether management of the limited liability company is established as manager-controlled or member-controlled and the name of the member or manager appointed to act on behalf of the company and sign the application;

4. The name and address of each member, manager, and managerial employee, and the name and address of any person controlling or holding more than 10% of the membership interest in the limited liability company;

5. If a member is a corporation, the information requested in subsection (B);

6. If a member is a partnership, the information requested in subsection (C).

E. If the applicant is a trust, the application shall contain the name and address of each trustee, beneficiary, and anyone in control of the trust.

F. If the applicant is a subsidiary corporation, the application shall contain the name and address of the parent corporation.

History

• Section R4-28-A1201 adopted by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-28-A1202 Development Map; Location; Land Characteristics

A. The applicant shall submit a legible copy, no larger than 11" x 17", of the recorded development map showing, as applicable:

1. The county recorder's recording information, including the book and page of maps and recording date;

2. County or city approval;

3. Applicable dedications;

4. Monuments, distances, and bearings; and

Registered land surveyor certification.

B. The applicant shall identify the location of the development, including the street, city, county, and state, and:

1. The miles and direction from the nearest city or town, if applicable; and

The most direct route for getting to the development from a federal, state, county, or city road.

C. The application shall include a description of the physical characteristics of the land and any unusual factors that may affect it, such as if it has level or hilly terrain, rocky, loose, or alkaline soil, and

1. The gross acreage of the development;

2. The total number of lots within the development, including a description of phasing, if applicable; and

3. Whether and how lots are permanently or temporarily staked or marked for easy location.

History

• Section R4-28-A1202 adopted by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-28-A1203 Flood and Drainage; Land Uses; Adverse Conditions

The applicant shall state, or include as applicable:

1. Whether the development is subject to any known flooding or drainage problems and a letter bearing the signature and seal of a professional civil, city, and county engineer, or county flood district detailing the drainage conditions and flood hazards. The letter shall include the effect of any flood plain and its location, the effect of a 100 year frequency storm, and whether flood insurance is required.

2. Whether the development lots are subject to subsidence or expansive soils. If subsidence or expansive soils exist, a professional engineer's letter addressing the effects of the condition, remedies, and a buyer's on-going responsibilities in plain language;

3. A description of the existing and proposed land uses in the vicinity of the development that may cause a nuisance or adversely affect lot owners, such as freeways, airports, sewer plants, railroads, and canals, including:

a. Any unusual safety factors within or near the development, and

b. A description of all current and proposed adjacent land uses.

Whether the development is affected by any unusual or unpleasant odors, noises, pollutants, or other nuisances;

A description of any agricultural activity or condition in the area that may adversely affect a lot owner, including any odors, cultivation and related dust, agricultural burning, application of pesticides, or irrigation and drainage;

6. Whether the development lots are subject to any known geological or environmental condition that would or may be detrimental to a purchaser's health, safety, or welfare; or

7. Whether the development lots are located within the boundary of a federal, designated Superfund site or a state designated Water Quality Assurance Revolving Fund site.

History

• Section R4-28-A1203 adopted by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-28-A1204 Utilities

The applicant shall include information about electrical, telephone, and natural gas utilities available to the development, including:

1. The names, addresses, and telephone numbers of the electrical, telephone, and natural gas company that will provide service;

2. The location of existing electrical, telephone, and natural gas utilities in relation to the development;

3. The name of each person responsible for extending each utility to the lot lines;

4. The estimated completion date for extending each utility to the lot lines;

5. If the developer will only install conduit, a description of the arrangement made to complete operational utilities to lot lines;

6. The estimated cost a lot purchaser will be required to pay for completion of each utility to the purchaser's lot line, and, if the offer is for unimproved lots, the estimated costs to provide service from the lot line to the dwelling;

7. Upon completion of the utilities, other costs or requirements that must be addressed before the lot purchaser receives service, including the current service charges, hookup fees, turn-on fees, meter fees, and fees for pulling wire through conduit;

8. If propane gas will be used, a letter from the supplier stating that it will be providing service to the development, with a description of requirements to be met and costs to be paid by the lot purchaser for receiving the service; and

9. If street lights will be available, the person responsible for completion, the estimated completion date and the person who will pay for the electricity.

History

• Section R4-28-A1204 adopted by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-28-A1205 Water Supply

An applicant shall include information about any water supply to the development, including:

1. The type of water provider such as a municipal system, improvement district, public utility, private water company, co-operative, irrigation district, private well, water hauler, or other source;

2. The name, address, and telephone number of the water provider;

3. The compliance status of the water provider with federal and state environmental laws, as of the date of the application. If in noncompliance, provide an explanation;

4. The location of the water lines closest to the development;

5. The name of the person responsible for extending the water lines to the lot lines;

6. The estimated completion date for extending the water lines to the lot lines;

7. The estimated cost a lot purchaser will be required to pay for completion of the water lines to the purchaser's lot line;

8. The estimated cost a lot purchaser will pay for completion of water lines from the lot line to a dwelling;

9. Other costs or requirements before the lot purchaser receives water service, including the current service charges, hookup fees, turn-on fees, meter fees, and development fees;

10. The name of the person responsible for maintenance of the water lines within the development, other than from lot line to dwelling;

The name of the person who is or will be responsible for maintenance of the water lines outside the development;

12. If a private well will be used, a description of the requirements and costs involved to install an operational domestic water system;

13. If the source of water is a private well and domestic water cannot be obtained from a private well, whether the purchaser will be offered a refund of the purchase price and if so, an explanation of any condition or restriction involving the refund;

14. The name and location of the water provider if domestic water will be transported or hauled by the lot purchaser. A cost estimate computed on a monthly basis for a four-member family, including the cost of water, cistern, and other holding tanks, pumps, or any other costs necessary to install an operational water system;

15. A water adequacy report from ADWR if the development is a subdivision or part of a subdivision located outside of a groundwater active management area;

16. A water availability report from ADWR if the development is unsubdivided land. A copy of the report or a brief summary of the report, approved by the Department, shall be displayed in all promotional material and contracts for sale; and

17. If a water provider is a public service corporation, whether a Certificate of Convenience and Necessity from the Arizona Corporation Commission has been issued and, if not, an explanation of why a Certificate has not been issued.

History

• Section R4-28-A1205 adopted by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1). Amended by final rulemaking at 6 A.A.R. 1886, effective May 2, 2000 (Supp. 00-2).

Ariz. Admin. Code § R4-28-A1206 Sewage Disposal

The applicant shall include information about sewage disposal for the development, including:

1. Whether the sewage disposal will be provided by a municipality, improvement district, public utility, private company, or individual sewage disposal system;

2. The name, address, and telephone number of the sewage disposal company;

3. The compliance status of the sewage disposal provider with the ADEQ as of the date of the application. If in noncompliance, provide an explanation;

4. The name of the person responsible for extending the sewage disposal utility to the lot lines;

5. The estimated completion date for extending the utility to the lot lines;

6. The estimated cost the lot purchaser will be required to pay for completion of the utility to the purchaser's lot line;

7. If offering an unimproved lot, the estimated cost a lot purchaser will pay for completion of the utility from the lot line to the dwelling;

8. Upon completion of the utility, other costs or requirements that must be addressed before the lot purchaser receives service, including the service charge, hookup fees, tap-in fees, and development fees;

9. The name of the person responsible for maintenance of the sewage disposal utility within the development, other than from lot line to dwelling;

10. The name of the person who is or will be responsible for maintenance of the sewage disposal utility outside the development;

11. What cost, if any, will the lot purchaser pay toward maintenance of the sewage disposal utility;

12. If a sewage disposal provider is a for-profit public service corporation, whether a Certificate of Convenience and Necessity from the Arizona Corporation Commission has been issued, and if not, an explanation of why a Certificate has not been issued;

13. A description of the type of individual sewage disposal system the lot purchaser will be required to install in accordance with the standards and requirements of ADEQ or its designee;

14. A description of all requirements and costs involved to install an operational individual sewage disposal system, including any cost for governmental licensing and permitting, equipment, and other installation, maintenance, and operation costs;

15. If an operational individual sewage disposal system cannot be installed, will the lot purchaser be offered a refund of the purchase price, and if so, an explanation of any condition or restriction involving the refund; and

16. If a dry sewer system will be installed for future connection to a future provider, the name of the future provider, all requirements and costs for lot purchasers, and the estimated connection date.

History

• Section R4-28-A1206 adopted by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-28-A1207 Streets and Access

A. The applicant shall include a statement attesting that:

1. Exterior streets providing access are private; or federal, state, and county highways; or municipal streets;

2. The interior streets are public or private; and

a. If any streets are private, a description of what provisions have been made to assure purchasers of a legal right to use the private streets;

b. Whether the streets are completed;

c. The standards to which the streets will be or are constructed;

d. If the streets are not completed, the person responsible for completion and the estimated completion date;

e. The type of existing and proposed surfacing;

f. The cost, if any, the lot purchaser will pay toward street completion;

g. The name of the person responsible for exterior and interior street maintenance;

h. Whether a city or county is responsible for maintaining the streets and the approximate date when streets will be accepted for maintenance; and

i. The cost, if any, the lot purchaser will pay toward street maintenance.

B. The applicant shall demonstrate that there is permanent access to the land over terrain that may be traversed by conventional 2-wheel drive automobiles and emergency vehicles by providing any of the following information or documents necessary to make the demonstration:

1. A statement from a title insurance company, signed by an authorized title officer, affirming that legal access exists to the development and lots within the development. The statement shall:

a. Describe the legal access by listing all recorded instruments which establish legal access,

b. Be accompanied by a map on which legal access is shown with accurate references to the recorded instruments,

c. Be accompanied by a legible copy of each recorded instrument listed in the statement.

2. A statement bearing the seal and signature of a registered land surveyor or professional engineer, affirming that legal access to and within the development, as described in the title insurance company legal access statement, is over terrain that can be traversed by conventional 2-wheel drive automobiles and emergency vehicles. The statement shall affirm that:

a. The legal access corresponds with the actual physical access to the development and to the lots,

b. The legal access is permanent and describe how that permanence is assured.

3. The recorded subdivision map which shows approval by the applicable city or county officials.

4. Recorded easements or road dedications whether public or private. If private, the applicant shall ensure that development lot owners, emergency vehicles, and utility service providers have access rights.

5. Land, on which easements and roads are provided, is traversable by conventional 2-wheel drive automobiles and emergency vehicles.

6. Road maintenance programs that assure permanent access. Road maintenance programs include those administered by city or county governments, city or county improvement districts, or private property owner associations.

Recorded documentation that establishes legal and permanent access for development lot owners through federal or state lands.

History

• Section R4-28-A1207 adopted by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-28-A1208 Flood Protection and Drainage Improvements

The applicant shall include with the application the following information about flood protection and drainage improvement:

1. A description of any current or proposed improvement;

2. The name of the person responsible for completion of the improvement;

3. The estimated completion date of the improvement;

4. The cost, if any, the lot purchaser will pay for completion of the improvement;

5. The name of the person responsible for the continuing maintenance and expense of the improvement;

6. If a city or county is responsible for maintenance, the approximate date when the improvement will be accepted for maintenance; and

7. The cost, if any, the lot purchaser will pay toward completion and maintenance of the improvement.

History

• Section R4-28-A1208 adopted by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-28-A1209 Common, Community, or Recreational Improvements

The applicant shall provide with the application a list of all common, community, or recreational improvements, located within the development, and include the following information:

1. The name of the person responsible for completion of each improvement;

The estimated completion date of each improvement;

3. The estimated cost a lot purchaser will be required to pay for the completion of each improvement;

4. The name of the person responsible for the continuing maintenance and expense of each improvement; and

5. The cost, if any, the lot purchaser will be responsible for paying toward the maintenance of each improvement.

History

• Section R4-28-A1209 adopted by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-28-A1210 Master Planned Community

The applicant shall include the following information about a master planned community:

1. A list of all improvements located outside the development, but included in the development offering, including all common, community and recreational improvements;

2. The name of the person responsible for completing each improvement;

3. The estimated completion date of each improvement;

4. The name of the person responsible for the continuing maintenance and expense of each improvement; and

5. The cost, if any, the lot purchaser will pay toward the completion and maintenance of each improvement.

History

• Section R4-28-A1210 adopted by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-28-A1211 Assurances for Completion and Maintenance of Improvements

A. The applicant shall identify:

1. Whether arrangements have been made to assure the completion, delivery, and continued maintenance of the improvements listed in subsections R4-28-A1204 through R4-28-A1210; and

2. Whether the assurances to complete and deliver the improvements have been approved by the county or city, where applicable, and if so, submit a copy of the county or city approval;

B. An applicant shall provide one or more of the following assurances for completion:

1. A surety or completion bond from an insurance company licensed in Arizona with a rating of good or higher from a rating agency and a copy of the rating. The bond shall specify which improvements are included and shall:

a. Be stipulated by and payable to a third party who is not the developer;

b. Be accepted and signed by all parties;

c. Include an expiration date not less than 90 days beyond the last improvement estimated completion date;

d. State when and how the third party may draw on the funds;

e. Be in an amount 10% greater than the estimated amount to complete all improvements; and

f. Include a registered engineer's, architect's, or contractor's cost estimate to complete the improvements.

2. An irrevocable letter of credit from a financial institution licensed to do business in Arizona. The irrevocable letter of credit shall specify which improvements are included and shall:

a. Be stipulated by and payable to a third party who is not the developer;

b. Be accepted and signed by all parties;

c. Include an expiration date not less than 90 days beyond the last improvement estimated completion date;

d. State when and how the third party may draw on the funds;

e. Be in an amount 10% greater than the estimated amount to complete all improvements;

f. Include a registered engineer's, architect's, or contractor's cost estimate to complete the improvements;

g. State that repayment is the responsibility of the developer and not of the third party; and

h. State that the irrevocable letter of credit is noncancelable.

3. A loan commitment and agreement from a lender licensed in Arizona. The loan commitment and agreement shall specify which improvements are included and shall:

a. Be stipulated by and payable to a third party who is not the developer;

b. Be accepted and signed by all parties;

c. Include an expiration date not less than 90 days beyond the last improvement estimated completion date;

d. State when and how the third party may draw on the funds;

e. Be in an amount 10% greater than the estimated amount to complete all improvements;

f. Include a registered engineer's, architect's, or contractor's cost estimate to complete the improvements; and

g. State that repayment is the responsibility of the developer and not of the third party even if the third party draws on the funds.

4. A trust or escrow account with a financial institution or escrow company licensed in Arizona. The trust or escrow account shall specify which improvements are included and shall:

a. Be stipulated by and payable to a third party who is not the developer;

b. Be accepted and signed by all parties;

c. Include an expiration date not less than 90 Days beyond the last improvement estimated completion date;

d. State when and how the third party may draw on the funds;

e. Be in an amount 10% greater than the estimated amount to complete all improvements;

f. Include a registered engineer's, architect's, or contractor's cost estimate to complete the improvements; and

g. Directly pay for the improvements completed or release funds to the developer upon written verification from a registered engineer that the improvements have been completed in accordance with the plan.

5. City and county trust agreement. A municipal or county government may enter into an assurance agreement with a trustee to hold a lot conveyance until improvements are completed:

a. The trustee is an escrow company licensed in Arizona, and

b. The agreement is recorded.

6. Written escrow agreement. A developer may enter into a written escrow agreement with a title insurance company or escrow company to escrow all funds and prohibit close of escrow until all improvements are complete. The agreement shall contain the following stipulations:

a. The funds are not released nor the purchaser's deed or other relevant documents recorded until the developer's architect or engineer certifies to the Department and the escrow agent that the project is complete, ready for occupancy, and in compliance with all city and county requirements;

b. If the completion date is not met:

i. The developer will give purchasers notice that completion dates were not met and an updated completion schedule,

ii. A purchaser may, within 30 days of receiving the notice specified in subsection (B)(6)(b)(i), cancel and receive a full refund by sending written notice to the escrow agent,

iii. The public report is invalid and all sales are suspended; and

iv. The Department considers the public report valid if improvements are completed at a later date and the public report is complete and accurate.

7. Subdivision assurances. The municipal or county government shall prohibit occupancy and an subdivider shall not close escrow on lots sold in a subdivision until all proposed or promised subdivision improvements are complete.

a. The subdivider shall submit an agreement or copy of the ordinance from the city or county prohibiting occupancy until all proposed or promised subdivision improvements are complete.

b. If improvements are completed in phases, the subdivider shall submit complete details of the phasing program, including approval of the phasing by the city or county and the completion schedule for the phases to the Department.

c. The subdivider shall submit a written statement that no escrow will close on any lot until all subdivision improvements are complete. If a lot is within a phase of the subdivision where all improvements are complete and can be used and maintained separately from the improvements required for the entire subdivision the escrow may be closed.

d. The subdivider shall submit a copy of the subdivider's purchase contract containing in large or bold print the condition that escrow will not close until the city or county issues its occupancy clearance and all subdivision improvements are complete.

e. Any improvement offered or promised to a purchaser that is scheduled for completion in a later phase of completion shall have its completion assured by an alternative method of assurance listed in this Section.

f. If the subdivider's sales include unimproved (vacant) lots, the subdivider shall deposit all earnest money into a neutral escrow depository until escrow closes.

8. Any other assurance satisfactory to the Department that is not listed in subsections (B)(1) through (B)(7).

C. If the construction of any improvement is completed in phases, the applicant shall provide a description of the phased schedule of completion, including the lots in each phase and estimated completion dates.

History

• Section R4-28-A1211 adopted by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1). Amended by final rulemaking at 6 A.A.R. 1886, effective May 2, 2000 (Supp. 00-2).

Ariz. Admin. Code § R4-28-A1212 Schools and Services

A. The applicant shall include the following information about schools:

1. The location of and distance to the nearest public elementary, junior, and high schools and whether school bus or other transportation is available;

2. The type and location of any other school located within a 1/2 mile radius of the exterior boundaries of the development.

B. The applicant shall include the following information about services:

1. Community shopping. The location and distance from the development of the nearest community shopping area where food, drink, and medical supplies may be purchased;

2. Public transportation. The type, provider, location, and distance to the nearest access point to public transportation for the development;

3. Medical facility. The type, provider, location, and distance to the nearest medical facility;

4. Fire protection. Whether fire protection is available to the development, the name of the provider and the cost to the lot purchaser;

5. Ambulance service. Whether ambulance service is available to the development and whether the development is in a 911 service area. If 911 service is not available, the name, address, and telephone number of the ambulance service.

Police service. Whether police service is available to the development, and the name of the provider;

7. Refuse collection. Whether provisions have been made for refuse collection, the name of the service provider, and the cost to the lot purchaser. If no provisions have been made, what a buyer will do to dispose of refuse.

History

• Section R4-28-A1212 adopted by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-28-A1213 Property Owners' Association

The applicant shall provide the following information about a property owner's association:

1. The name of the association, if any;

The name of the master property owners' association, if any;

3. The amount of the association assessment that property owners will be required to pay, and how it will be paid;

4. Whether the association is legally formed and operational;

When and under what conditions control of the association will be released to lot purchasers;

6. When and under what conditions title to the common areas will be transferred to the association;

7. Whether the common areas are subject to any lien or encumbrance. If yes, explain how purchasers' use and enjoyment of common areas will be protected in the event of default;

8. Whether all lot owners will be required to be members of the association. If not, explain;

9. Whether nonmembers will be liable for payments to the association; and

10. A copy of the Articles of Incorporation and Bylaws in effect.

History

• Section R4-28-A1213 adopted by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-28-A1214 Development Use

The applicant shall provide the following information about development use:

1. Whether unimproved (vacant) lots or improved (with building) lots will be sold or leased;

2. The use for which development lots will be offered and an identification of the lots and their proposed use if more than one use is contemplated;

3. Whether the development or any lot is subject to adult occupancy or age restrictions;

a. If yes, explain the restriction;

b. If yes, explain whether this restriction is in compliance with the Federal Fair Housing Act.

4. Whether all or any portion of the development is located in an open range or area in which livestock may roam at large under the laws of this State and what provisions, if any, have been made for the fencing of the development to prevent livestock from roaming within the development and on a purchaser's lot. If land is located in an open range or area in which livestock may roam at large, the purchase contract shall contain:

a. Any provisions for the fencing of the development to prevent livestock from roaming within the development; and

b. Any fencing requirements for the buyers to prevent livestock from roaming on their property.

5. Whether mineral rights are, or will be, reserved from the development lots and what the effect will be on lot owners if the minerals are extracted from the development; and

6. A full written disclosure of any condition or provision not specified in subsections (1) through (5) that may limit the use or occupancy of the property.

History

• Section R4-28-A1214 adopted by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-28-A1215 Development Sales

The applicant shall provide a description of the sales offering and:

1. A description of how sales or leases will be made and the manner by which title, right, or other interest is to be conveyed to the purchaser, including copies of sales and lease transaction documents;

Indicate whether cash sales are allowed and when the purchaser takes title;

3. Indicate where the purchaser's deposit and earnest monies will be deposited and held;

4. If the deposit monies are available for use by the seller, when and under what conditions the monies will be refunded;

5. Indicate when the lot purchaser will be permitted to use and occupy the lot;

6. An explanation if the purchaser will not receive title free and clear of all liens;

7. The estimated average sales price for the lots;

8. Indicate whether any of the property will be leased, and if so;

a. Provide a description of any provision for increase of rental payments during the term of the lease and any provisions in the lease prohibiting assignment or subletting, or both;

b. Indicate whether the lease prohibits the lessee from mortgaging or otherwise encumbering the leasehold; and

c. Indicate whether the lessee is permitted to remove an improvement when the lease expires.

9. The name, address, and telephone number of the Arizona broker who will be responsible for sales. If none, explain why;

The name and telephone number of the custodian of the development records and the physical location where the records will be kept;

11. Indicate whether the property has been or will be offered for sale before the date of the development application. If yes, explain; and

12. Indicate whether the sales documents contain all contract disclosures required by rule and statute.

History

• Section R4-28-A1215 adopted by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1). Amended by final rulemaking at 11 A.A.R. 506, effective March 5, 2005 (Supp. 05-1).

Ariz. Admin. Code § R4-28-A1216 Title Reports and Encumbrances

The applicant shall provide the following information concerning title reports and encumbrances:

1. Copies of any unrecorded liens or encumbrances against the property;

2. A title report showing:

a. An effective date not more than 30 days before Department receipt. The Department may request that the applicant update the title report so that it is not more than 30 days old when the public report is issued;

b. A legal description based upon a recorded map, condominium or timeshare declaration. Metes and bounds legal descriptions shall be used only for membership camping application title reports;

c. The applicant's interest in the property;

d. The name and telephone number of the person who prepared the title report;

e. A requirement page, if applicable; and

f. The following statement after the title exceptions: "There are no further matters of record affecting the land."

Legible copies of all recorded and unrecorded documents reflected by the title report, or known to applicant, such as restrictions, easements, liens, encumbrances, trust agreements, options, and maps.

History

• Section R4-28-A1216 adopted by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-28-A1217 ADEQ Approval

The applicant shall obtain subdivision approval from ADEQ or its designee.

History

• Section R4-28-A1217 adopted by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-28-A1218 Property Registrations in Other Jurisdictions

The applicant shall provide a list of the jurisdictions where a property registration was filed with or accepted by another department of real estate or similar regulatory agency.

History

• Section R4-28-A1218 adopted by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-28-A1219 Condominium Developments

The applicant shall provide the following information about condominium developments:

1. A copy of the recorded condominium declaration, map, and amendments in effect, and

2. An opinion letter from an attorney licensed to practice in Arizona, stating that the condominium plat and declaration of condominium are in compliance with the requirements of A.R.S. §§ 33-1215 and 33-1219.

History

• Section R4-28-A1219 adopted by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-28-A1220 Foreign Developments

A. Unless exempt pursuant to A.R.S. § 32-2181.02, an applicant shall ensure that any development located outside the state that is advertised, promoted, or sold within the state complies with all Arizona laws and rules as if the land was located in the state.

B. Any law or rule that is specific to Arizona may be waived by the Department, or the Department may request and accept the domicile state or country's equivalent form of documentation.

C. The applicant shall provide evidence that the domicile state or country has authorized the sale of lots and that the development is in compliance and good standing. If the domicile state or country issues a public report or equivalent, the application shall include the report.

History

• Section R4-28-A1220 adopted by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-28-A1221 Expired

History

• Section R4-28-A1221 adopted by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1). Section expired under A.R.S. § 41-1056(J) at 30 A.A.R. 3144, effective 10/1/2024.

Ariz. Admin. Code § R4-28-A1222 Membership Camping Developments

The applicant shall provide the following information about a membership camping development:

If the interest of the operator is evidenced by a lease, license, franchise, or a reciprocal agreement, a copy of the document and any amendments;

2. A description of any lakes or streams available for recreational use; and

3. A description of any exchange network and the responsibilities, obligations, and rights of the operator and purchaser, and copies of all exchange network documents.

History

• Section R4-28-A1222 adopted by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-28-A1223 Affidavit

The applicant shall sign an affidavit attesting that the information found in the application is true and correct.

History

• Section R4-28-A1223 adopted by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1).

Part B GENERAL INFORMATION

Ariz. Admin. Code § R4-28-B1201 Expired

History

• Section R4-28-B1201 adopted by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1). Section expired under A.R.S. § 41-1056(J) at 30 A.A.R. 3144, effective 10/1/2024.

Ariz. Admin. Code § R4-28-B1202 Conditional Sales Exemption

A. Any developer applying for a special order of exemption authorizing the offer for sale of a subdivision lot or unsubdivided land before issuance of a public report shall provide the following information to the Department:

1. The completed and executed Petition for Conditional Sales Exemption;

2. The completed and executed subdivision or unsubdivided land application for a public report;

3. The purchase contract containing all required contract disclosures and the Conditional Sales Addendum;

4. A current title report showing the ownership interest of the developer and acceptable condition of title;

5. A copy of the recorded development map, or if not recorded, a copy of the unrecorded map;

6. A copy of the Condominium Declaration, if applicable;

7. A Certificate of Assured Water Supply, or a letter from the ADWR or other evidence that the property is located in an area designated as having an assured water supply, if the property is located in a groundwater active management area;

8. A water adequacy report from the ADWR or evidence that the property is located in an area designated as having an adequate water supply, if the property is located outside of a groundwater active management area; and

9. Any other information revealed necessary after preliminary review.

B. The conditional sales exemption shall expire upon issuance or denial of the public report, or upon issuance of an order to summarily suspend sales, to cease and desist, or a voluntary suspension of sales by the developer or owner.

History

• Section R4-28-B1202 adopted by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-28-B1203 Material Change; Public Report Amendments

A. The developer shall notify the Department of all material changes in the information required by A.R.S. Title 32, Chapter 20, Articles 4, 7, 9, and 10, or 4 A.A.C. 28, Article 12, Part A.

B. According to material changes reported in subsection (A), the Department may require the developer to amend the public report.

C. Completion Date Extension.

1. A developer may apply to the Department for an amendment to a public report to extend the completion date of any improvement by providing an affidavit from the developer attesting that each purchaser, owner, and the city or county officials responsible for improvements were provided written notice of the completion status of the improvement, including a list of all people who were provided notice.

2. The Department may deny the application to extend the completion date beyond the first extension if a purchaser, owner, or city or county official opposes issuance of an amended public report to extend a completion date.

3. If an extension is denied, the developer shall provide the Department with a written agreement to suspend sales until the improvement is complete or the Department may issue a summary suspension order as provided in A.R.S. § 32-2157(B).

D. To amend a public report, a developer shall submit payment of the applicable amendment fee and the following information:

1. The name and registration number of the development;

2. The name and signature of the developer;

3. A list of the changes to the development and sales offering or in the information previously provided to the Department;

4. Status of sales as prescribed in subsections (C) and (E); and

5. A purchase contract addendum, to be signed and dated by both seller and purchaser, acknowledging that the sale is conditioned upon issuance of the amended public report and purchaser's receipt and acceptance of the amended public report.

E. Suspension of sales.

1. If necessary for the protection of purchasers, the Department may suspend approval to sell or lease pending amendment of the report.

2. In lieu of issuing a suspension order under A.R.S. § 32-2157, the Department may accept a developer's written agreement to suspend sales until the amended public report has been issued by the Department.

F. If the Department determines that a suspension of sales is not necessary for the protection of purchasers and approves the proposed disclosure of the change, sales may continue if the prospective purchaser is provided a copy of the current public report and disclosure of all changes before signing a contract. Completion of sales is conditioned upon the developer obtaining and delivering to each purchaser under contract the amended public report.

G. Upon obtaining the amended report, the developer shall provide a copy to prospective purchasers in place of the earlier public report and obtain a receipt for the amended public report.

H. If an application to amend a public report is denied, the Department shall notify the developer in writing of the statutory basis for the denial and of the developer's right to a fair hearing.

History

• Section R4-28-B1203 renumbered from R4-28-1203 and amended by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1). Amended by final rulemaking at 6 A.A.R. 1886, effective May 2, 2000 (Supp. 00-2).

Ariz. Admin. Code § R4-28-B1204 Cemetery Notice; Amendments

A change to information required pursuant to the provisions of Title 32, Chapter 20, Article 6, R4-28-301(A), or any other Section, requires amendment of the notice filed pursuant to A.R.S. 32-2194.01.

History

• Section R4-28-B1204 adopted by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-28-B1205 Expired

History

• Section R4-28-B1205 renumbered from R4-28-1201 and amended by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1). Section expired under A.R.S. § 41-1056(J) at 30 A.A.R. 3144, effective 10/1/2024.

Ariz. Admin. Code § R4-28-B1206 Filing with HUD

If the subdivider requests that a subdivision public report be certified by the Department for filing with HUD, the subdivider shall comply with the terms, conditions, and requirements of the HUD certification agreement.

History

• Section R4-28-B1206 adopted by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-28-B1207 Subsequent Owner

A. Except as provided in A.R.S. § 32-2181.02, any developer who is a successor in interest to six or more lots within a subdivision on which the Department previously issued a public report shall file an application for and obtain a new public report before offering or selling any lot.

B. Any developer who is a successor in interest to six or more parcels within an unsubdivided land development on which the Department previously issued a public report shall file an application for and obtain a new public report before offering or selling any parcel.

C. Any developer who is a successor in interest to 12 or more time-share intervals within a time-share project on which the Department previously issued a public report shall file an application for and obtain a new public report, before offering or selling any interval.

D. The Department shall not issue a new public report to a subsequent owner of a development if the previous developer failed to complete proposed improvements in accordance with estimated completion dates specified in the previously issued public report until one of the following occurs:

1. The subsequent owner makes financial arrangements, as described in R4-28-A1211, in favor of the local governmental authority and for the benefit of purchaser, securing the owner's promise to complete the previously proposed improvements by a designated date; or

2. The subsequent owner becomes obligated to place all sales funds in a neutral escrow depository until the Department is furnished satisfactory evidence that all proposed improvements have been completed or accepted by the city or county; or

3. Permission is obtained by all previous purchasers in the development for completion of the proposed improvements by the new designated date for completion; or

4. The subsequent owner establishes to the satisfaction of the Department that adequate financial arrangements have been made to assure completion of the proposed improvements by the new designated date for completion.

E. A developer who is a new owner of property that is the subject of a pending application for a public report shall not replace or be substituted for the applicant of the pending application.

History

• Section R4-28-B1207 adopted by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1). Amended by final rulemaking at 6 A.A.R. 1886, effective May 2, 2000 (Supp. 00-2).

Ariz. Admin. Code § R4-28-B1208 Public Report Correction

If the public report contains an error, the Department shall correct the report at its own expense. Additional or changed information that was known to the developer before issuance of the report is not an error. The Department shall not correct the public report after it has been in effect for 10 days. After 10 days, the developer shall change the report through the development amendment process, established in R4-28-B1203, with payment of the applicable amendment fee.

History

• Section R4-28-B1208 adopted by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-28-B1209 Options; Blanket Encumbrances; Releases

A. The Department shall not issue or amend a public report for any lot held under option or subject to a blanket encumbrance if a condition precedent to the optionee's right to acquire the lot or to release from the blanket encumbrance shows that the lot shall:

1. Be acquired or released in a particular sequence,

2. Be acquired or released only after one or more additional lots have been acquired or released, or

3. Not be released if the encumbrance is in default because of a cross-default provision contained in the encumbrance,

B. The developer may require payment of a premium to permit the acquisition or release of the lot.

C. When a blanket encumbrance clouds title to a development, the developer shall place a written statement from the holder of the blanket encumbrance in the public report application, quoting the provisions that enable a buyer to acquire title to a lot, free of the blanket encumbrance.

History

• Section R4-28-B1209 adopted by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-28-B1210 Earnest Money

The developer shall deposit earnest money and down payments in a neutral depository if:

1. The seller is in bankruptcy;

2. The sale is conditional pursuant to R4-28-B1202; or

3. The Department perceives a risk to the buyer.

History

• Section R4-28-B1210 adopted by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-28-B1211 Recordkeeping

If real property in a development is sold or leased by a developer without the services of a listing or selling broker, the developer shall keep all records as required by A.R.S. § 32-2151.01(A) and (C).

History

• Section R4-28-B1211 adopted by final rulemaking at 5 A.A.R. 650, effective February 3, 1999 (Supp. 99-1).

Chapter 29 RECODIFIED

Article 1 RECODIFED

Ariz. Admin. Code § R4-29-101 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-101 recodified to R3-8-101 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-101 recodified to R3-8-101 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-102 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Amended by exempt rulemaking at 20 A.A.R. 717, effective, effective February 7, 2014 (Supp. 14-1). Amended by final rulemaking at 21 A.A.R. 451, effective March 3, 2015 (Supp. 15-1). Section R4-29-102 recodified to R3-8-102 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Amended by exempt rulemaking at 20 A.A.R. 717, effective, effective February 7, 2014 (Supp. 14-1). Amended by final rulemaking at 21 A.A.R. 451, effective March 3, 2015 (Supp. 15-1). Section R4-29-102 recodified to R3-8-102 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-103 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section expired under A.R.S. § 41-1056(E) at 7 A.A.R. 1483, effective January 31, 2001 (Supp. 01-1). New Section madeby final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-103 repealed; new Section R4-29-103 renumbered and amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Amended by exempt rulemaking at 20 A.A.R. 717, effective, effective February 7, 2014 (Supp. 14-1). Amended by final rulemaking at 21 A.A.R. 451, effective March 3, 2015 (Supp. 15-1). Section R4-29-103 recodified to R3-8-103 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section expired under A.R.S. § 41-1056(E) at 7 A.A.R. 1483, effective January 31, 2001 (Supp. 01-1). New Section madeby final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-103 repealed; new Section R4-29-103 renumbered and amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Amended by exempt rulemaking at 20 A.A.R. 717, effective, effective February 7, 2014 (Supp. 14-1). Amended by final rulemaking at 21 A.A.R. 451, effective March 3, 2015 (Supp. 15-1). Section R4-29-103 recodified to R3-8-103 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-104 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-104 repealed; new Section R4-29-104 made by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Amended by exempt rulemaking at 20 A.A.R. 717, effective, effective February 7, 2014 (Supp. 14-1). Section R4-29-104 recodified to R3-8-104 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-104 repealed; new Section R4-29-104 made by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Amended by exempt rulemaking at 20 A.A.R. 717, effective, effective February 7, 2014 (Supp. 14-1). Section R4-29-104 recodified to R3-8-104 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-105 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section expired under A.R.S. § 41-1056(E) at 7 A.A.R. 1483, effective January 31, 2001 (Supp. 01-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section amended by emergency rulemaking at 15 A.A.R. 1835, effective October 15, 2009, for 180 days (Supp. 09-4). Emergency expired; Section amended by exempt rulemaking at 16 A.A.R. 290, effective November 30, 2009 by Laws 2009, 4th Spec. Sess., Ch. 3, § 28 (Supp. 10-1). Amended by exempt rulemaking at 18 A.A.R. 626, effective July 20, 2011 (Supp. 12-1). Amended by exempt rulemaking at 18 A.A.R. 2068, effective August 2, 2012 (Supp. 12-3). Section R4-29-105 renumbered to R4-29-103 by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-105 recodified to R3-8-105 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section expired under A.R.S. § 41-1056(E) at 7 A.A.R. 1483, effective January 31, 2001 (Supp. 01-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section amended by emergency rulemaking at 15 A.A.R. 1835, effective October 15, 2009, for 180 days (Supp. 09-4). Emergency expired; Section amended by exempt rulemaking at 16 A.A.R. 290, effective November 30, 2009 by Laws 2009, 4th Spec. Sess., Ch. 3, § 28 (Supp. 10-1). Amended by exempt rulemaking at 18 A.A.R. 626, effective July 20, 2011 (Supp. 12-1). Amended by exempt rulemaking at 18 A.A.R. 2068, effective August 2, 2012 (Supp. 12-3). Section R4-29-105 renumbered to R4-29-103 by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-105 recodified to R3-8-105 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-106 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section expired under A.R.S. § 41-1056(E) at 7 A.A.R. 1483, effective January 31, 2001 (Supp. 01-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-106 renumbered to R4-29-407 by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-106 recodified to R3-8-106 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section expired under A.R.S. § 41-1056(E) at 7 A.A.R. 1483, effective January 31, 2001 (Supp. 01-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-106 renumbered to R4-29-407 by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-106 recodified to R3-8-106 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-107 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-107 recodified to R3-8-107 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-107 recodified to R3-8-107 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-108 Recodified

History

• Adopted effective December 2, 1998 (Supp. 98-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). Section R4-29-108 recodified to R3-8-108 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 2, 1998 (Supp. 98-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). Section R4-29-108 recodified to R3-8-108 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Article 2 RECODIFIED

Ariz. Admin. Code § R4-29-201 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Amended by exempt rulemaking at 20 A.A.R. 717, effective, effective February 7, 2014 (Supp. 14-1). Section R4-29-201 recodified to R3-8-201 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Amended by exempt rulemaking at 20 A.A.R. 717, effective, effective February 7, 2014 (Supp. 14-1). Section R4-29-201 recodified to R3-8-201 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-202 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-202 repealed; new Section R4-29-202 renumbered from R4-29-206 and amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Amended by final rulemaking at 21 A.A.R. 451, effective March 3, 2015 (Supp. 15-1). Section R4-29-202 recodified to R3-8-202 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-202 repealed; new Section R4-29-202 renumbered from R4-29-206 and amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Amended by final rulemaking at 21 A.A.R. 451, effective March 3, 2015 (Supp. 15-1). Section R4-29-202 recodified to R3-8-202 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-203 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Amended by final rulemaking at 21 A.A.R. 451, effective March 3, 2015 (Supp. 15-1). Section R4-29-203 recodified to R3-8-203 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Amended by final rulemaking at 21 A.A.R. 451, effective March 3, 2015 (Supp. 15-1). Section R4-29-203 recodified to R3-8-203 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-204 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Amended by final rulemaking at 21 A.A.R. 451, effective March 3, 2015 (Supp. 15-1). Section R4-29-204 recodified to R3-8-204 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Amended by final rulemaking at 21 A.A.R. 451, effective March 3, 2015 (Supp. 15-1). Section R4-29-204 recodified to R3-8-204 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-205 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-205 renumbered to R4-29-211; new Section R4-29-205 made by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-205 recodified to R3-8-205 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-205 renumbered to R4-29-211; new Section R4-29-205 made by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-205 recodified to R3-8-205 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-206 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-206 renumbered to R4-29-202; new Section R4-29-206 renumbered from R4-29-213 and amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-206 recodified to R3-8-206 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-206 renumbered to R4-29-202; new Section R4-29-206 renumbered from R4-29-213 and amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-206 recodified to R3-8-206 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-207 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-207 repealed; new Section R4-29-207 made by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Amended by final rulemaking at 21 A.A.R. 451, effective March 3, 2015 (Supp. 15-1). Section R4-29-207 recodified to R3-8-207 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-207 repealed; new Section R4-29-207 made by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Amended by final rulemaking at 21 A.A.R. 451, effective March 3, 2015 (Supp. 15-1). Section R4-29-207 recodified to R3-8-207 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-208 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-208 repealed; new Section R4-29-208 made by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Amended by final rulemaking at 21 A.A.R. 451, effective March 3, 2015 (Supp. 15-1). Section R4-29-208 recodified to R3-8-208 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-208 repealed; new Section R4-29-208 made by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Amended by final rulemaking at 21 A.A.R. 451, effective March 3, 2015 (Supp. 15-1). Section R4-29-208 recodified to R3-8-208 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-209 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section expired under A.R.S. § 41-1056(E) at 17 A.A.R. 1421, effective May 31, 2011 (Supp. 11-3). New Section R4-29-209 renumbered from R4-29-214 and amended by final rulemaking at A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-209 recodified to R3-8-209 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section expired under A.R.S. § 41-1056(E) at 17 A.A.R. 1421, effective May 31, 2011 (Supp. 11-3). New Section R4-29-209 renumbered from R4-29-214 and amended by final rulemaking at A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-209 recodified to R3-8-209 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-210 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section expired under A.R.S. § 41-1056(E) at 7 A.A.R. 1483, effective January 31, 2001 (Supp. 01-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-210 repealed; new Section R4-29-210 renumbered from R4-29-212 and amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-210 recodified to R3-8-210 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section expired under A.R.S. § 41-1056(E) at 7 A.A.R. 1483, effective January 31, 2001 (Supp. 01-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-210 repealed; new Section R4-29-210 renumbered from R4-29-212 and amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-210 recodified to R3-8-210 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-211 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-211 repealed; new Section R4-29-211 renumbered from R4-29-205 and amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-211 recodified to R3-8-211 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-211 repealed; new Section R4-29-211 renumbered from R4-29-205 and amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-211 recodified to R3-8-211 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-212 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-212 renumbered to R4-29-210; new Section R4-29-212 made by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-212 recodified to R3-8-212 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-212 renumbered to R4-29-210; new Section R4-29-212 made by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-212 recodified to R3-8-212 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-213 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-213 renumbered to R4-29-206; new Section R4-29-213 made by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-213 recodified to R3-8-213 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-213 renumbered to R4-29-206; new Section R4-29-213 made by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-213 recodified to R3-8-213 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-214 Recodified

History

• New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-214 renumbered to R4-29-209 by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-214 recodified to R3-8-214 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-214 renumbered to R4-29-209 by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-214 recodified to R3-8-214 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-215 Recodified

History

• New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-215 recodified to R3-8-215 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-215 recodified to R3-8-215 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-216 Recodified

History

• New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-216 recodified to R3-8-216 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-216 recodified to R3-8-216 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Article 3 RECODIFIED

Ariz. Admin. Code § R4-29-301 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-301 renumbered to R4-29-602; new Section R4-29-301 renumbered from R4-29-304 and amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-301 recodified to R3-8-301 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-301 renumbered to R4-29-602; new Section R4-29-301 renumbered from R4-29-304 and amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-301 recodified to R3-8-301 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-302 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-302 renumbered to R4-29-306; new Section R4-29-302 renumbered from R4-29-306 and amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-302 recodified to R3-8-302 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-302 renumbered to R4-29-306; new Section R4-29-302 renumbered from R4-29-306 and amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-302 recodified to R3-8-302 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-303 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-303 renumbered to R4-29-307; new Section R4-29-303 renumbered from R4-29-606 and amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-303 recodified to R3-8-303 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-303 renumbered to R4-29-307; new Section R4-29-303 renumbered from R4-29-606 and amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-303 recodified to R3-8-303 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-304 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-304 renumbered to R4-29-301; new Section R4-29-304 made by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Amended by final rulemaking at 21 A.A.R. 451, effective March 3, 2015 (Supp. 15-1). Section R4-29-304 recodified to R3-8-304 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-304 renumbered to R4-29-301; new Section R4-29-304 made by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Amended by final rulemaking at 21 A.A.R. 451, effective March 3, 2015 (Supp. 15-1). Section R4-29-304 recodified to R3-8-304 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-305 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-305 renumbered to R4-29-308; new Section R4-29-305 renumbered from R4-29-607 and amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-305 recodified to R3-8-305 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-305 renumbered to R4-29-308; new Section R4-29-305 renumbered from R4-29-607 and amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-305 recodified to R3-8-305 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-306 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-306 renumbered to R4- 29-302; new Section R4-29-306 renumbered from R4-29-302 and amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Amended by exempt rulemaking at 20 A.A.R. 717, effective, effective February 7, 2014 (Supp. 14-1). Section R4-29-306 recodified to R3-8-306 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-306 renumbered to R4- 29-302; new Section R4-29-306 renumbered from R4-29-302 and amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Amended by exempt rulemaking at 20 A.A.R. 717, effective, effective February 7, 2014 (Supp. 14-1). Section R4-29-306 recodified to R3-8-306 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-307 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-307 renumbered to R4-29-501; new Section R4-29-307 renumbered from R4-29-303 and amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Amended by final rulemaking at 21 A.A.R. 451, effective March 3, 2015 (Supp. 15-1). Section R4-29-307 recodified to R3-8-307 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-307 renumbered to R4-29-501; new Section R4-29-307 renumbered from R4-29-303 and amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Amended by final rulemaking at 21 A.A.R. 451, effective March 3, 2015 (Supp. 15-1). Section R4-29-307 recodified to R3-8-307 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-308 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section R4-29-308 renumbered from R4-29-305 and amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Amended by exempt rulemaking at 20 A.A.R. 717, effective, effective February 7, 2014 (Supp. 14-1). Amended by final rulemaking at 21 A.A.R. 451, effective March 3, 2015 (Supp. 15-1). Section R4-29-308 recodified to R3-8-308 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section R4-29-308 renumbered from R4-29-305 and amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Amended by exempt rulemaking at 20 A.A.R. 717, effective, effective February 7, 2014 (Supp. 14-1). Amended by final rulemaking at 21 A.A.R. 451, effective March 3, 2015 (Supp. 15-1). Section R4-29-308 recodified to R3-8-308 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-309 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section R4-29-309 renumbered from R4-29-608 and amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-309 recodified to R3-8-309 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section R4-29-309 renumbered from R4-29-608 and amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-309 recodified to R3-8-309 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-310 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section R4-29-310 renumbered from R4-29-605 and amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-310 recodified to R3-8-310 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section R4-29-310 renumbered from R4-29-605 and amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-310 recodified to R3-8-310 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-311 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). Section R4-29-311 recodified to R3-8-311 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). Section R4-29-311 recodified to R3-8-311 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-312 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). Section R4-29-312 recodified to R3-8-312 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). Section R4-29-312 recodified to R3-8-312 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-313 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). Section R4-29-313 recodified to R3-8-313 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). Section R4-29-313 recodified to R3-8-313 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-314 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). Section R4-29-314 recodified to R3-8-314 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). Section R4-29-314 recodified to R3-8-314 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-315 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). Section R4-29-315 recodified to R3-8-315 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). Section R4-29-315 recodified to R3-8-315 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-316 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section expired under A.R.S. § 41-1056(E) at 7 A.A.R. 1483, effective January 31, 2001 (Supp. 01-1). Section R4-29-316 recodified to R3-8-316 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section expired under A.R.S. § 41-1056(E) at 7 A.A.R. 1483, effective January 31, 2001 (Supp. 01-1). Section R4-29-316 recodified to R3-8-316 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-317 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section expired under A.R.S. § 41-1056(E) at 7 A.A.R. 1483, effective January 31, 2001 (Supp. 01-1). Section R4-29-317 recodified to R3-8-317 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section expired under A.R.S. § 41-1056(E) at 7 A.A.R. 1483, effective January 31, 2001 (Supp. 01-1). Section R4-29-317 recodified to R3-8-317 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-318 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section expired under A.R.S. § 41-1056(E) at 7 A.A.R. 1483, effective January 31, 2001 (Supp. 01-1). Section R4-29-318 recodified to R3-8-318 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section expired under A.R.S. § 41-1056(E) at 7 A.A.R. 1483, effective January 31, 2001 (Supp. 01-1). Section R4-29-318 recodified to R3-8-318 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-319 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section expired under A.R.S. § 41-1056(E) at 7 A.A.R. 1483, effective January 31, 2001 (Supp. 01-1). Section R4-29-319 recodified to R3-8-319 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section expired under A.R.S. § 41-1056(E) at 7 A.A.R. 1483, effective January 31, 2001 (Supp. 01-1). Section R4-29-319 recodified to R3-8-319 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-320 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section expired under A.R.S. § 41-1056(E) at 7 A.A.R. 1483, effective January 31, 2001 (Supp. 01-1). Section R4-29-320 recodified to R3-8-320 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section expired under A.R.S. § 41-1056(E) at 7 A.A.R. 1483, effective January 31, 2001 (Supp. 01-1). Section R4-29-320 recodified to R3-8-320 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Article 4 RECODIFIED

Ariz. Admin. Code § R4-29-401 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section R4-29-401 renumbered from R4-29-502 and amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-401 recodified to R3-8-401 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section R4-29-401 renumbered from R4-29-502 and amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-401 recodified to R3-8-401 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-402 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section R4-29-402 renumbered from R4-29-503 and amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-402 recodified to R3-8-402 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section R4-29-402 renumbered from R4-29-503 and amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-402 recodified to R3-8-402 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-403 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section expired under A.R.S. § 41-1056(E) at 7 A.A.R. 1483, effective January 31, 2001 (Supp. 01-1). New Section R4-29-403 renumbered from R4-29-504 and amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-403 recodified to R3-8-403 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section expired under A.R.S. § 41-1056(E) at 7 A.A.R. 1483, effective January 31, 2001 (Supp. 01-1). New Section R4-29-403 renumbered from R4-29-504 and amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-403 recodified to R3-8-403 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-404 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section expired under A.R.S. § 41-1056(E) at 7 A.A.R. 1483, effective January 31, 2001 (Supp. 01-1). New Section R4-29-404 made by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-404 recodified to R3-8-404 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section expired under A.R.S. § 41-1056(E) at 7 A.A.R. 1483, effective January 31, 2001 (Supp. 01-1). New Section R4-29-404 made by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-404 recodified to R3-8-404 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-405 Recodified

History

• New Section R4-29-405 renumbered from R4-29-603 and amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-405 recodified to R3-8-405 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). New Section R4-29-405 renumbered from R4-29-603 and amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-405 recodified to R3-8-405 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-406 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section expired under A.R.S. § 41-1056(E) at 7 A.A.R. 1483, effective January 31, 2001 (Supp. 01-1). New Section R4-29-406 made by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-406 recodified to R3-8-406 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section expired under A.R.S. § 41-1056(E) at 7 A.A.R. 1483, effective January 31, 2001 (Supp. 01-1). New Section R4-29-406 made by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-406 recodified to R3-8-406 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-407 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section R4-29-407 renumbered from R4-29-106 and amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-407 recodified to R3-8-407 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section R4-29-407 renumbered from R4-29-106 and amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-407 recodified to R3-8-407 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-408 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). Section R4-29-408 recodified to R3-8-408 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). Section R4-29-408 recodified to R3-8-408 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-409 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). Section R4-29-409 recodified to R3-8-409 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). Section R4-29-409 recodified to R3-8-409 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-410 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). Section R4-29-410 recodified to R3-8-410 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). Section R4-29-410 recodified to R3-8-410 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-411 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section expired under A.R.S. § 41-1056(E) at 7 A.A.R. 1483, effective January 31, 2001 (Supp. 01-1). Section R4-29-411 recodified to R3-8-411 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section expired under A.R.S. § 41-1056(E) at 7 A.A.R. 1483, effective January 31, 2001 (Supp. 01-1). Section R4-29-411 recodified to R3-8-411 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-412 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). Section R4-29-412 recodified to R3-8-412 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). Section R4-29-412 recodified to R3-8-412 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-413 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). Section R4-29-413 recodified to R3-8-413 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). Section R4-29-413 recodified to R3-8-413 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-414 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). Section R4-29-414 recodified to R3-8-414 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). Section R4-29-414 recodified to R3-8-414 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-415 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). Section R4-29-415 recodified to R3-8-415 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). Section R4-29-415 recodified to R3-8-415 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-416 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section expired under A.R.S. § 41-1056(E) at 7 A.A.R. 1483, effective January 31, 2001 (Supp. 01-1). Section R4-29-416 recodified to R3-8-416 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section expired under A.R.S. § 41-1056(E) at 7 A.A.R. 1483, effective January 31, 2001 (Supp. 01-1). Section R4-29-416 recodified to R3-8-416 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-417 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). Section R4-29-417 recodified to R3-8-417 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). Section R4-29-417 recodified to R3-8-417 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-418 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). Section R4-29-418 recodified to R3-8-418 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). Section R4-29-418 recodified to R3-8-418 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Article 5 RECODIFIED

Ariz. Admin. Code § R4-29-501 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-501 repealed; new Section R4-29-501 renumbered from R4-29-307 and amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Amended by exempt rulemaking at 20 A.A.R. 717, effective, effective February 7, 2014 (Supp. 14-1). Amended by final rulemaking at 21 A.A.R. 451, effective March 3, 2015 (Supp. 15-1). Section R4-29-501 recodified to R3-8-501 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-501 repealed; new Section R4-29-501 renumbered from R4-29-307 and amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Amended by exempt rulemaking at 20 A.A.R. 717, effective, effective February 7, 2014 (Supp. 14-1). Amended by final rulemaking at 21 A.A.R. 451, effective March 3, 2015 (Supp. 15-1). Section R4-29-501 recodified to R3-8-501 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-502 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-502 renumbered to R4-29-505; new Section R4-29-502 renumbered from R4-29-505 and amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-502 recodified to R3-8-502 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-502 renumbered to R4-29-505; new Section R4-29-502 renumbered from R4-29-505 and amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-502 recodified to R3-8-502 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-503 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-503 renumbered to R4-29-402; new Section R4-29-503 renumbered from R4-29-609 and amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Amended by final rulemaking at 21 A.A.R. 451, effective March 3, 2015 (Supp. 15-1). Section R4-29-503 recodified to R3-8-503 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-503 renumbered to R4-29-402; new Section R4-29-503 renumbered from R4-29-609 and amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Amended by final rulemaking at 21 A.A.R. 451, effective March 3, 2015 (Supp. 15-1). Section R4-29-503 recodified to R3-8-503 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-504 Recodified

History

• Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-504 renumbered to R4-29-403; new Section R4-29-504 made by final rulemak-ing at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-504 recodified to R3-8-504 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). Adopted effective December 24, 1992 (Supp. 92-4). Section repealed by final rulemaking at 13 A.A.R. 528, effective April 7, 2007 (Supp. 07-1). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-504 renumbered to R4-29-403; new Section R4-29-504 made by final rulemak-ing at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-504 recodified to R3-8-504 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-505 Recodified

History

• New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-505 renumbered to R4-29-502; new Section R4-29-505 made by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Amended by exempt rulemak-ing at 20 A.A.R. 717, effective, effective February 7, 2014 (Supp. 14-1). Section R4-29-505 recodified to R3-8-505 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-505 renumbered to R4-29-502; new Section R4-29-505 made by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Amended by exempt rulemak-ing at 20 A.A.R. 717, effective, effective February 7, 2014 (Supp. 14-1). Section R4-29-505 recodified to R3-8-505 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Article 6 RECODIFIED

Ariz. Admin. Code § R4-29-601 Recodified

History

• New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-601 repealed; new Section R4-29-601 made by final rulemak-ing at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-601 recodified to R3-8-601 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-601 repealed; new Section R4-29-601 made by final rulemak-ing at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-601 recodified to R3-8-601 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-602 Recodified

History

• New Section R4-29-602 renumbered from R4-29-301 and amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-602 recodified to R3-8-602 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). New Section R4-29-602 renumbered from R4-29-301 and amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-602 recodified to R3-8-602 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-603 Recodified

History

• New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-603 renumbered to R4-29-405; new Section R4-29-603 made by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-603 recodified to R3-8-603 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-603 renumbered to R4-29-405; new Section R4-29-603 made by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-603 recodified to R3-8-603 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-604 Recodified

History

• New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-604 repealed; new Section R4-29-604 renumbered from R4-29-708 and amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-604 recodified to R3-8-604 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-604 repealed; new Section R4-29-604 renumbered from R4-29-708 and amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-604 recodified to R3-8-604 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-605 Recodified

History

• New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-605 renumbered to R4-29-310; new Section R4-29-605 renumbered from R4-29-704 and amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-605 recodified to R3-8-605 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-605 renumbered to R4-29-310; new Section R4-29-605 renumbered from R4-29-704 and amended by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-605 recodified to R3-8-605 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-606 Recodified

History

• New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-606 renumbered to R4-29-303; new Section R4-29-606 made by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-606 recodified to R3-8-606 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-606 renumbered to R4-29-303; new Section R4-29-606 made by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-606 recodified to R3-8-606 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-607 Recodified

History

• New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-607 renumbered to R4-29-305 by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-607 recodified to R3-8-607 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-607 renumbered to R4-29-305 by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-607 recodified to R3-8-607 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-608 Recodified

History

• New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-608 renumbered to R4-29-309 by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-608 recodified to R3-8-608 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-608 renumbered to R4-29-309 by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-608 recodified to R3-8-608 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-609 Recodified

History

• New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-608 renumbered to R4-29-503 by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-609 recodified to R3-8-609 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-608 renumbered to R4-29-503 by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-609 recodified to R3-8-609 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Article 7 RECODIFIED

Ariz. Admin. Code § R4-29-701 Recodified

History

• New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-701 repealed by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-701 recodified to R3-8-701 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-701 repealed by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-701 recodified to R3-8-701 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-702 Recodified

History

• New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-702 repealed by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-702 recodified to R3-8-702 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-702 repealed by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-702 recodified to R3-8-702 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-703 Recodified

History

• New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-703 repealed by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-703 recodified to R3-8-703 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-703 repealed by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-703 recodified to R3-8-703 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-704 Recodified

History

• New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-704 renumbered to R4-29-605 by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-704 recodified to R3-8-704 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-704 renumbered to R4-29-605 by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-704 recodified to R3-8-704 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-705 Recodified

History

• New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-705 repealed by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-705 recodified to R3-8-705 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-705 repealed by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-705 recodified to R3-8-705 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-706 Recodified

History

• New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-706 repealed by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-706 recodified to R3-8-706 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-706 repealed by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-706 recodified to R3-8-706 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-707 Recodified

History

• New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-707 repealed by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-707 recodified to R3-8-707 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-707 repealed by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-707 recodified to R3-8-707 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Ariz. Admin. Code § R4-29-708 Recodified

History

• New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-708 renumbered to R4-29-604 by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-708 recodified to R3-8-708 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2). New Section made by final rulemaking at 13 A.A.R. 623, effective April 7, 2007 (Supp. 07-1). Section R4-29-708 renumbered to R4-29-604 by final rulemaking at 19 A.A.R. 2967, effective September 13, 2013 (Supp. 13-3). Section R4-29-708 recodified to R3-8-708 at 23 A.A.R. 1976, effective June 30, 2017 (Supp. 17-2).

Chapter 30 BOARD OF TECHNICAL REGISTRATION

Article 1 GENERAL PROVISIONS

Ariz. Admin. Code § R4-30-101 Definitions

The following definitions apply in this Chapter unless the context otherwise requires:

1. "Act" means the Technical Registration Act, A.R.S. Title 32, Chapter 1.

2. "Active engagement" means actually practicing or providing architectural, engineering, geological, landscape architectural, or land surveying services.

3. "Bona fide employee" means:

a. Any person employed by a town, city, county, state, or federal agency working under the direction or supervision of a registrant;

b. Any person employed by a business entity and working under the direct supervision of a registrant who is also employed by the same business entity; or

c. Any person working under the direct supervision of a registrant who:

i. Receives direct wages from the registrant;

ii. Receives contract compensation from the registrant; or

iii. Receives direct wages from the project prime professional who has a contract with another registrant and whose work product is the responsibility of the latter registrant.

4. "Branch" means a specialty area within the category of engineering.

"Category" means the professions of architecture, geology, engineering, landscape architecture, and land surveying.

6. "De minimis violations" means violations of Board statutes or rules that do not present a threat to public welfare, health, or safety.

7. "Design team" means a group of individuals that includes one or more professional registrants collaborating with any other individuals on a specific project to develop professional documents.

"Detached single family dwelling" as used in the Act means a single family dwelling unit such as a house, which is structurally and physically separate from all other family dwelling units. This does not mean any single family dwelling unit which is part of a multiple dwelling unit building such as a duplex, townhouse, apartment building, condominium, or cooperative. The term "detached single family dwelling" also includes all subsidiary buildings, structures and improvements such as garage, storage areas, swimming pool, and landscaping.

9. "Direct supervision" means a registrant's critical examination and evaluation of a bona fide employee's work product, during and after the preparation, for purposes of compliance with applicable laws, codes, ordinances, and regulations pertaining to professional practice.

"Experience" is classified as follows:

a. "Subprofessional experience" means task work done under direct supervision and not falling within the definition of professional experience, including but not limited to time spent as a rodman, chainman, recorder, instrument technician, survey aide, technician, clerk of the works, or similar work.

b. "Professional experience" means a diversity of work calling for substantial technical knowledge, skill, and responsibility as well as a lesser degree of supervision necessary to ensure that good judgment is applied to protect the public during the course and scope of projects.

c. "Responsible charge experience" means work in the field or in the office, where the applicant/registrant had responsibility for the direction of the work and its successful accomplishment and where the applicant/registrant had to make professional decisions without relying on advice or instructions from or first referring the decisions for approval to a superior.

d. "Design experience" means professional experience, including work defined under "responsible charge experience," where the applicant/registrant must fulfill the requirements of local circumstances and conditions and yet not violate any of the requirements of the profession and ensure that the executed plan meets the purpose for which it was designed.

11. "Federal agency" means the United States or any agency or instrumentality, corporate or otherwise, of the United States.

12. "Good moral character and repute" means that the registration or certification applicant/registrant:

a. Has not been convicted of a felony or equivalent offense in another jurisdiction as defined in A.R.S. § 13-601.

b. Has not been convicted of misdemeanor or equivalent offense in another jurisdiction if the offense has a reasonable relationship to the functions of the employment or category for which the registration, certification, or designation is sought;

c. Has not, within five years of application for registration or certification, committed any act involving dishonesty, fraud, misrepresentation, breach of fiduciary duty, gross negligence, or incompetence reasonably related to the candidate's proposed area of practice;

d. Is not currently incarcerated in a penal institution;

e. Has not engaged in fraud or misrepresentation in connection with the application for registration, certification, or related examination;

f. Has not had a registration or certification revoked or suspended for cause by this state or by any other jurisdiction, or surrendered a professional license in lieu of disciplinary action;

g. Has not practiced without the required technical registration or certification in this state or in another jurisdiction within the two years immediately preceding the filing of the application for registration or certification; and

h. Has not, within five years of application for registration or certification, committed an act that would constitute unprofessional conduct, as set forth in R4-30-301 or R4-30-301.01.

13. "Gross negligence" means a substantial deviation in professional practice from the standard of professional care exercised by members of the applicant's/registrant's profession, or a substantial deviation from any technical standards issued by a nationally recognized professional organization comprised of members of the applicant's/registrant's profession, or a substantial deviation from requirements contained in state, municipal, and county laws, ordinances, and regulations pertaining to the registrant's professional practice.

14. "Incompetence" means to lack the professional qualifications, experience, or education to undertake a professional engagement or assignment.

15. "Insufficient evidence to support disciplinary action" means:

a. The Board determines there was no evidence to warrant disciplinary action, but believes that continuation of the actions leading to the investigation may result in future Board action against the registrant; or

b. The Board determines that there were de minimis violations of Board statutes or rules, but no disciplinary action should be taken against the certification or registration and that a letter of concern would be as effective a resolution as a letter of reprimand in deterring future violations of a like nature.

16. "Other misconduct" means the applicant/registrant:

a. Has been convicted of a class 1 felony;b. Has been convicted of a felony or misdemeanor, if the offense has a reasonable relationship to the functions of the registration;c. Is presently incarcerated in a penal institution;d. Has had a professional license or registration suspended or revoked for cause by this state or by any other jurisdiction or has surrendered a professional license in lieu of disciplinary action;e. Has knowingly acted in violation or knowingly failed to act in compliance with any provisions of the Act, or rules of the Board or any state, municipal, or county law, code, ordinance, or regulation pertaining to the practice of the applicant's/registrant's profession; or

f. b. Has refused to respond fully to a Board inquiry relating to an applicant's/registrant's qualifying experience, or provided the Board with false information relating to an applicant's/registrant's qualifying experience.

"Practicing" means offering or performing professional services regulated by the Act within the state of Arizona.

18. "Prepared" means to exercise direct supervision over the preparation of professional documents.

19. "Professional documents" mean the professional work product of a registrant that requires professional judgment, design, analysis, or conclusions, including original plans, drawings, maps, plats, reports, written opinions, specifications, and calculations.

20. "Project Prime Professional" means the registrant is responsible for the coordination, continuity, and compatibility of each collaborating registrant's work (when retained by the project prime professional).

21. "Public works" project means a work or undertaking that is financed, in whole or in part, by a federal agency or by a state public body, as defined in this Article.

22. "Registrant" means a person or firm who has been granted registration or certification to practice any profession regulated pursuant to the Act.

"Retired from active practice" means that the registrant no longer performs professional services.

24. "State public body" means the state or a county, city, town, municipal corporation, authority, or any other subdivision, agency, or instrumentality of such an entity, corporate or otherwise.

"Structure" as used in the Act means any constructed or designed improvement or improvements to real property including all onsite improvements, fixed equipment, and landscaping, pursuant to an engagement or project.

History

• Adopted effective August 3, 1983 (Supp. 83-4). Amended effective December 18, 1991 (Supp. 91-4). Amended effective May 1, 1995 (Supp. 95-2). Amended by final rulemaking at 6 A.A.R. 1018, effective February 25, 2000 (Supp. 00-1). Amended by emergency rulemaking at 8 A.A.R. 1102, effective February 19, 2002 for 180 days (Supp. 02-1). Emergency rulemaking renewed for an additional 180 days under A.R.S. § 41-1026(D) at 8 A.A.R. 3842, effective August 14, 2002 (Supp. 02-3). Emergency expired; original Section amended by final rulemaking at 9 A.A.R. 791, effective February 12, 2003 (Supp. 03-1). Amended by final rulemaking at 10 A.A.R. 2798, effective August 7, 2004 (Supp. 04-2). Amended by final rulemaking at 13 A.A.R. 968, effective May 5, 2007 (Supp. 07-1). Amended by final rulemaking at 24 A.A.R. 1785, effective 8/5/2018.

Ariz. Admin. Code § R4-30-102 Home Inspection Definitions

The following definitions apply to home inspection requirements in this Chapter:

"Parallel Inspection" means a home inspection completed by an applicant during the application process that is supervised by a certified home inspector acting as the Parallel Inspector, in the presence of no more than three other applicants. The applicant shall produce a written report for each Parallel Inspection, which the supervising certified home inspector, serving as the Parallel Inspector, shall review, analyze, correct, and return to the applicant within 10 calendar days after receiving the written report. The Parallel Inspector shall notate and instruct the applicant so that each report meets the Standards of Professional Practice for Arizona Home Inspectors. The applicant shall not perform any fee-paid Home Inspections during this Parallel Inspection period.

2. "Parallel Inspector" means an Arizona Certified Home Inspector who performs parallel inspections for a home inspector applicant so that the applicant can obtain a certification to conduct home inspections. A Parallel Inspector shall be in good standing with the Board and shall not have received any disciplinary action from the Board within the preceding year. The Parallel Inspector shall have been continuously certified by the Board as a Home Inspector for at least three years and shall have conducted at least 250 fee-paid home inspections in the State of Arizona. The Applicant shall provide a signed affirmation from the Parallel Inspector affirming that the Parallel Inspector has met this criteria to the Board with the application for certification.

3. "Peer Review" means a home inspection performed alongside a supervising Peer Reviewer in order to comply with the terms of Board ordered discipline. The Arizona Certified Home Inspector subject to Board ordered discipline shall, at the conclusion of each Peer Review, submit a written Home Inspection Report to the Peer Reviewer for analysis and review. The Peer Reviewer shall notate and instruct the Arizona Certified Home Inspector subject to Board ordered discipline in order for the report to meet the Standards of Professional Practice for Arizona Home Inspectors. The Arizona Certified Home Inspector subject to Board ordered discipline shall not perform any fee-paid Home Inspections during this Peer Review period.

4. "Peer Reviewer" means an Arizona Certified Home Inspector performing peer review inspections for a home inspector subject to Board ordered discipline so that inspector can fulfill the terms of the ordered discipline. A Peer Reviewer shall be in good standing with the Board and shall not have received any disciplinary action from the Board within the preceding three years. The Peer Reviewer shall have been continuously certified by the Board as a home inspector for at least five years and shall have conducted at least 250 fee-paid home inspections in the State of Arizona. The Arizona Certified Home Inspector subject to Board ordered discipline shall provide the Board with a signed affirmation from the Peer Reviewer affirming that the Peer Reviewer has met these criterion at the conclusion of each peer review inspection.

5. "Report Checklist Supplement" a tool designed to assist home inspector applicants, parallel inspectors, peer reviewers, application reviewers, enforcement advisory evaluators and certified home inspectors when reviewing or filling out an application for home inspector certification and a home inspection report. The "Report Checklist Supplement" is not a substitute for the current version of the "Standards of Professional Practice."

History

• Adopted effective August 3, 1983 (Supp. 83-4). Repealed effective December 18, 1991 (Supp. 91-4). New Section made by emergency rulemaking at 8 A.A.R. 1102, effective February 19, 2002 for 180 days (Supp. 02-1). Emergency rulemaking amended and renewed for an additional 180 days under A.R.S. § 41-1026(D) at 8 A.A.R. 3842, effective August 14, 2002 (Supp. 02-3). Emergency expired; new Section made by final rulemaking at 9 A.A.R. 791, effective February 12, 2003 (Supp. 03-1). Amended by final rulemaking at 10 A.A.R. 2798, effective August 7, 2004 (Supp. 04-2). Amended by final rulemaking at 24 A.A.R. 1785, effective 8/5/2018. Amended by final rulemaking at 30 A.A.R. 768, effective 5/25/2024.

Ariz. Admin. Code § R4-30-103 [Repealed]

History

• Adopted effective August 3, 1983 (Supp. 83-4). Repealed effective December 18, 1991 (Supp. 91-4). New Section made by exempt rulemaking at 9 A.A.R. 1412, effective April 15, 2003 (Supp. 03-2). Amended by final rulemaking at 10 A.A.R. 2798, effective August 7, 2004 (Supp. 04-2). Amended by final rulemaking at 19 A.A.R. 1911, effective September 7, 2013. Repealed by final rulemaking at 24 A.A.R. 1785, effective 8/5/2018.

Ariz. Admin. Code § R4-30-104 Repealed

History

• Adopted effective August 3, 1983 (Supp. 83-4). Repealed effective December 18, 1991 (Supp. 91-4).

Ariz. Admin. Code § R4-30-105 Repealed

History

• Adopted effective August 3, 1983 (Supp. 83-4). Repealed effective December 18, 1991 (Supp. 91-4).

Ariz. Admin. Code § R4-30-106 Fees

A. The Board shall charge the following fees:

1. A computer generated list of registrants for a non-commercial purpose is $0.25 per name, with a maximum fee of $300.00.

2. A computer generated list of registrants for a commercial purpose is $0.25 per name, with a minimum fee of $250.00.

3. The computer printout fee per name is $0.10 non-commercial use). The maximum charge is $150.00 per run.

4. 3. The photocopy fee is $1.00 for up to three pages followed by a $0.25 fee for each additional page.

5. 4. The replacement certificate fee for registrants and certificate holders is $10.00 per certificate.

6. 5. The recording medium copy fee is $15.00 per recording.

7. 6. The local examination review fee is $30.00 per hour.

8. 7. The returned check fee is $25.00 per check.

8. The verification of registration or certification fee is $25.00 per verification.

9. The laminated pocket card fee is $10.00 per card.

B. A person paying fees shall remit them in United States dollars in the form of cash, check, money order, or credit card. If a check is returned for insufficient funds, repayment, including payment of the returned check charge, shall be made in the form of cash, money order, or certified check.

C. Upon written request, the Board shall waive renewal fees for registrants whose registration is in inactive status.

D. Application fee refunds are not allowed after the application has been assigned an application number and processing commences.

History

• Adopted effective August 3, 1983 (Supp. 83-4). Emergency amendments adopted effective May 7, 1990, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 90-2). Emergency amendments readopted without change effective August 8, 1990, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 90-3). Emergency expired. Emergency amendments readopted without change effective February 13, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-1). Emergency expired. Emergency amendments readopted without change effective May 31, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-2). Emergency expired. Emergency amendments readopted with changes effective October 22, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). Emergency amendments permanently adopted with changes effective December 18, 1991 (Supp. 91-4). Amended effective July 6, 1993 (Supp. 93-3). Amended effective May 1, 1995 (Supp. 95-2). Amended effective January 12, 1996 (Supp. 96-1). Amended effective January 15, 1998 (Supp. 98-1). Amended by final rulemaking at 6 A.A.R. 1018, effective February 25, 2000 (Supp. 00-1). Amended by emergency rulemaking at 8 A.A.R. 1102, effective February 19, 2002 for 180 days (Supp. 02-1). Emergency rulemaking renewed for an additional 180 days under A.R.S. § 41-1026(D) at 8 A.A.R. 3842, effective August 14, 2002 (Supp. 02-3). Emergency expired; original Section amended by final rulemaking at 9 A.A.R. 791, effective February 12, 2003 (Supp. 03-1). Amended by exempt rulemaking at 9 A.A.R. 1412, effective April 15, 2003 (Supp. 03-2). Amended by final rulemaking at 10 A.A.R. 2798, effective August 7, 2004 (Supp. 04-2). Amended by final rulemaking at 24 A.A.R. 1785, effective 8/5/2018.

Ariz. Admin. Code § R4-30-107 Registration and Certification Expiration Dates

A. Registrants with triennial registration have expiration dates based on the date of initial registration. The following table indicates triennial registration renewal periods:

| Initial Registration | Initial Triennial Renewal | | --- | --- | | Granted Date | Expiration Date | | Jan. 1 through Mar. 31 | Three years from Mar. 31 | | Apr. 1 through Jun. 30 | Three years from Jun. 30 | | Jul. 1 through Sept. 30 | Three years from Sept. 30 | | Oct. 1 through Dec. 31 | Three years from Dec. 31 |

B. Subsequent triennial renewal dates will be three years from the initial triennial renewal expiration date.

C. All annual registrations and certifications expire one year from the date of issuance.

D. Alarm business certifications expire three years from the date the certification is granted and subsequently every three years thereafter.

E. Alarm controlling persons and alarm agent certifications expire three years from the date the certification was granted and subsequently every three years thereafter.

History

• Adopted effective August 3, 1983 (Supp. 83-4). Amended effective December 18, 1991 (Supp. 91-4). Amended by emergency rulemaking at 8 A.A.R. 1102, effective February 19, 2002 for 180 days (Supp. 02-1). Emergency rulemaking renewed for an additional 180 days under A.R.S. § 41-1026(D) at 8 A.A.R. 3842, effective August 14, 2002 (Supp. 02-3). Emergency expired; original Section amended by final rulemaking at 9 A.A.R. 791, effective February 12, 2003 (Supp. 03-1). Amended by exempt rulemaking at 9 A.A.R. 1412, effective April 15, 2003 (Supp. 03-2). Amended by final rulemaking at 10 A.A.R. 2798, effective August 7, 2004 (Supp. 04-2). Amended by final rulemaking at 24 A.A.R. 1785, effective 8/5/2018.

Ariz. Admin. Code § R4-30-120 Complaint Review Process

A. The Board shall select a pool of volunteers who have submitted resumes and letters of interest to serve on enforcement advisory committees ("EACs"). The Executive Director shall select registrants and public members from the pool of volunteers to serve on the committees as needed. When practicable, each committee shall be comprised of one public member and a minimum of four registrants, at least one of whom is registered in the same category or branch as the respondent. The committee members shall provide technical assistance to Board staff in the evaluation and investigation of complaints. A quorum of three committee members is required for each committee meeting.

B. During the preliminary informal investigation of a complaint, registrants named as respondents may appear before an enforcement advisory committee ("EAC") relating to the complaint. Respondents may elect to appear with or without counsel. The committee shall attempt to assess the complaint and discuss the complaint with the respondent and others, if deemed necessary, and prepare a recommendation for disposition of the complaint.

C. Respondents are not required to participate in the enforcement advisory committee meeting and no inference shall be drawn from a respondent's decision not to attend.

D. If a respondent chooses not to attend the enforcement advisory committee meeting, the committee may meet and review information presented by staff and others and prepare a recommendation for disposition of the complaint.

E. The Board shall advise the respondent of the committee recommendation.

F. After the informal investigation has been completed, if the committee recommendation supports a determination that the complaint is unfounded, the recommendation shall be forwarded to the Board for review and final disposition.

G. In all cases where the advisory committee finds probable cause to believe that disciplinary action is warranted, the staff will attempt to resolve the complaint informally by obtaining a signed consent agreement from the respondent. The Board shall review the committee recommendation, staff recommendation, consent agreement, and, in the event a signed consent agreement cannot be obtained, any counterproposal from the respondent.

History

• Adopted effective December 18, 1991 (Supp. 91-4). Amended effective May 1, 1995 (Supp. 95-2). Amended by final rulemaking at 6 A.A.R. 1018, effective February 25, 2000 (Supp. 00-1). Amended by emergency rulemaking at 8 A.A.R. 1102, effective February 19, 2002 for 180 days (Supp. 02-1). Emergency rulemaking renewed for an additional 180 days under A.R.S. § 41-1026(D) at 8 A.A.R. 3842, effective August 14, 2002 (Supp. 02-3). Emergency expired; original Section amended by final rulemaking at 9 A.A.R. 791, effective February 12, 2003 (Supp. 03-1). Amended by final rulemaking at 24 A.A.R. 1785, effective 8/5/2018.

Ariz. Admin. Code § R4-30-121 Investigation of Violations

If any information concerning a possible violation of the Act or any of these rules is received or obtained by the Board or Board staff, an investigation shall be conducted prior to the initiation of formal proceedings. Investigative reports, professional assessments, enforcement advisory committee recommendations, and other documents and materials relating to an investigation shall remain confidential until the matter is closed, until the issuance of a hearing notice under A.R.S. § 32-128, or until the matter is settled by consent order; however, the Board shall inform the respondent that an investigation is being conducted and explain the general nature of the investigation. The respondent shall have access to a copy of the complaint and any assessment or EAC reports drafted during the investigation. The public may obtain information that an investigation is being conducted and an explanation of the general nature of the investigation. The Board may refer investigative information to other public agencies as appropriate under the circumstances.

History

• Adopted effective August 3, 1983 (Supp. 83-4). Amended effective December 18, 1991 (Supp. 91-4). Amended by final rulemaking at 6 A.A.R. 1018, effective February 25, 2000 (Supp. 00-1). Amended by final rulemaking at 24 A.A.R. 1785, effective 8/5/2018.

Ariz. Admin. Code § R4-30-122 Issuance of Subpoenas

Any party desiring the Board to issue a subpoena shall make application, stating the substance of the testimony expected of the witness or the relevancy of the evidence to be produced. If the testimony or evidence appears to the Board to be material and necessary, a subpoena shall be supplied. The affixing of the seal of the Board and the signature of the Chairman, Secretary, Executive Director, shall be sufficient attestation of the same. The party applying for the subpoena shall pay for service of the subpoena. A party is considered served at the time of personal service or mailing of the document by certified mail that is addressed to the person's last known address of record on file with the Board.

History

• Adopted effective August 3, 1983 (Supp. 83-4). Amended effective December 18, 1991 (Supp. 91-4). Amended by final rulemaking at 6 A.A.R. 1018, effective February 25, 2000 (Supp. 00-1). Amended by final rulemaking at 19 A.A.R. 128, effective March 10, 2013 (Supp. 13-1).

Ariz. Admin. Code § R4-30-123 Informal Compliance Procedures

A. Upon notification of the recommendation of an enforcement advisory committee, a registrant may meet with Board staff. The registrant may appear with or without counsel. The purpose of the meeting is to discuss informal settlement of the investigative matter. Upon completion of the meeting, a Board enforcement officer shall make recommendations to the Board.

B. At any time either before or after formal disciplinary proceedings have been instituted against a registrant, the registrant may submit to the Board an offer of settlement whereby, in lieu of formal disciplinary action, the registrant agrees to accept certain sanctions such as suspension, civil penalties, enrolling in relevant professional education courses, limiting the scope of practice, submitting work product to professional peer review, or other disciplinary sanctions. If the Board determines that the proposed settlement will adequately protect the public welfare, the Board shall accept the offer and enter a decision consented to by the registrant, incorporating the proposed settlement.

History

• Adopted effective August 3, 1983 (Supp. 83-4). Amended effective December 18, 1991 (Supp. 91-4). Amended effective May 1, 1995 (Supp. 95-2). Amended by final rulemaking at 6 A.A.R. 1018, effective February 25, 2000 (Supp. 00-1). Amended by final rulemaking at 9 A.A.R. 791, effective February 12, 2003 (Supp. 03-1). Amended by final rulemaking at 24 A.A.R. 1785, effective 8/5/2018.

Ariz. Admin. Code § R4-30-124 Repealed

History

• Adopted effective August 3, 1983 (Supp. 83-4). Amended effective December 18, 1991 (Supp. 91-4). Amended by final rulemaking at 6 A.A.R. 1018, effective February 25, 2000 (Supp. 00-1). Section repealed by final rulemaking at 9 A.A.R. 791, effective February 12, 2003 (Supp. 03-1).

Ariz. Admin. Code § R4-30-126 Service of Board Decisions; Rehearing of Board Decisions

A. Except as provided in subsection (G), any party to an appealable agency action or contested case before the Board who is aggrieved by a decision rendered in the matter may file with the Board, not later than 30 calendar days after service of the decision, a written motion for rehearing or review of the decision specifying the particular grounds for the motion. A decision shall be deemed to have been served on the date when personally delivered or mailed by certified mail to the party's last known address of record with the agency. The filing of a motion for rehearing is a condition precedent to the right of appeal provided in A.R.S. § 32-128(J).

B. A motion for rehearing under this rule may be amended at any time before it is ruled upon by the Board. A response may be filed within 15 calendar days after service of the motion or amended motion by any other party. The Board may require the filing of written briefs upon the issues raised in the motion and may provide for oral argument. The filing of a motion for rehearing or review suspends the operation of the Board's order and allows the registrant to practice in his or her profession pending denial or granting of the motion, and pending the decision of the Board on the rehearing or review if the motion is granted.

C. A rehearing or review of the decision may be granted for any of the following causes materially affecting the moving party's rights:

1. Irregularity in the administrative proceedings of the agency, members of the Board or the prevailing party, or any order or abuse of discretion, whereby the moving party was deprived of a fair hearing;

Misconduct of the Board or the prevailing party;

3. Accident or surprise which could not have been prevented by ordinary prudence;

4. Newly discovered material evidence which could not with reasonable diligence have been discovered and produced at the original hearing;

5. Excessive or insufficient penalties;

6. Error in the admission or rejection of evidence or other errors of law occurring at the administrative hearing;

7. The decision is unjustified based upon the evidence or is contrary to law.

D. The Board may affirm or modify the decision or grant a rehearing to all or any of the parties and on all or part of the issues for any of the reasons set forth in subsection (C). An order granting a rehearing shall specify with particularity the ground or grounds on which the rehearing is granted, and the rehearing shall cover only those matters so specified.

E. Not later than 30 days after a decision is rendered, the Board may on its own motion order a rehearing or review of its decision for any reason listed in subsection (C). After giving the parties or their counsel notice and an opportunity to be heard on the matter, the Board

may grant a motion for rehearing for a reason not stated in the motion. In either case the order granting a rehearing shall specify the grounds for the rehearing.

F. When a motion for rehearing is based upon affidavits, they shall be served with the motion. An opposing party may, within ten days after service, serve opposing affidavits, which period may be extended for an additional period not exceeding 20 days by the Board for good cause shown or by written stipulation of the parties. Reply affidavits may be permitted.

G. If the Board makes specific findings that the immediate effectiveness of a decision is necessary for preservation of the public welfare, health or safety and that a rehearing or review of the decision is impracticable, unnecessary or contrary to the public interest, the decision may be issued as a final decision without an opportunity for a rehearing or review. If a decision is issued as a final decision without an opportunity for rehearing, any application for judicial review of the decision shall be made within the time limits permitted for applications for judicial review of the Board's final decisions.

History

• Adopted effective August 3, 1983 (Supp. 83-4). Amended effective December 18, 1991 (Supp. 91-4). Amended effective May 1, 1995 (Supp. 95-2). Amended by final rulemaking at 6 A.A.R. 1018, effective February 25, 2000 (Supp. 00-1). Amended by final rulemaking at 10 A.A.R. 2798, effective August 7, 2004 (Supp. 04-2). Amended by final rulemaking at 24 A.A.R. 1785, effective 8/5/2018.

Article 2 REGISTRATION PROVISIONS

Ariz. Admin. Code § R4-30-201 Registration as an Architect, Engineer, Geologist, Landscape Architect, or Land Surveyor

A. An applicant for registration as an architect, engineer, geologist, landscape architect, or land surveyor shall submit a completed application package for professional registration that contains the following:

Evidence of successful completion of the current national professional examination or waiver of the examination pursuant to A.R.S. § 32-126 and R4-30-203 in the category, and branch if applicable, for which registration is sought. Applicants shall arrange to have their examination results sent directly to the Board from the applicable testing agency holding the examination results;

2. Name, residence address, mailing address if different from residence, email and telephone number, of the applicant;

3. Date of birth and social security number of the applicant;

4. Citizenship or legal residence of the applicant;

5. Category, and branch of engineering if applicable, for which the applicant is seeking registration;

6. A detailed explanatory statement and documentation, regarding;

a. Any disciplinary action, including suspension and revocation, taken by any state or jurisdiction on any professional or occupational registration, certification, or license held by the applicant in any state or jurisdiction, within five years before the date of application;

b. Refusal of any professional or occupational registration, certification, or license to the applicant by any state or jurisdiction, within five years before the date of application;

c. Any pending disciplinary action in any state or jurisdiction on any professional or occupational registration, certification, or license held by the applicant;

d. Any alias or other name used by the applicant; and

e. Any conviction of the applicant for a felony or misdemeanor, other than a minor traffic violation, within five years before the date of application.

7. State or jurisdiction in which the applicant holds any other professional or occupational registration, certification, or license, type of registration, certification or license number, year granted, how registration, certification, or license was granted (by examination, education, experience, or reciprocity);

8. State or jurisdiction in which the applicant has pending an application for any type of professional or occupational license, registration, or certification, type of license, registration or certification being sought, and the status of the application;

9. Name, mailing address, years attended, graduation date, major, and type of degree received from each college, university, or educational institution the applicant attended;

10. Certified transcripts sent directly to the Board from the registrar of each college, university, or educational institution the applicant attended, unless previously provided to the Board pursuant to R4-30-204;

11. Name, current address, and telephone number of the applicant's current and former employers (the names of companies within the last ten-year period) in the category for which registration is sought; dates of employment; applicant's title; description of the work performed; and number of hours worked per week, unless previously provided to the Board pursuant to R4-30-204;

12. Names and addresses of immediate supervisors in past and present employment in the category for which registration is sought. An applicant who has been working in the category for which registration is sought for 10 or more years shall provide the names and address of all immediate supervisors during the most recent ten-year period. If an applicant cannot supply the names and addresses of supervisors for at least three engagements, the applicant shall provide to the Board a written, sworn statement explaining the inability to provide this information, and the names and addresses of three professional references, unrelated to the applicant, at least two of whom are registered in the category for which registration is sought, unless previously provided to the Board pursuant to R4-30-204;

13. A release authorizing the Board to investigate the applicant's education, experience, moral character, and repute;

Certificate of Experience Report from the applicant's present and past immediate supervisors. The applicant shall also provide Certificate of Experience Record from additional professional references as required by the Board. The applicant shall provide the name, address, and telephone numbers of all references. The applicant shall ensure that completed reference forms are provided to the Board, but the Board must receive them directly from the reference;

15. Evidence of successful completion, or waiver by the Board, of the applicable fundamentals examination. An applicant for registration who has successfully completed a fundamentals examination in another jurisdiction in the category for which registration is sought equivalent to the examination for that category administered in Arizona shall submit proof of examination directly from the authority that administered the original examination. An applicant seeking professional registration as an engineer, geologist or land surveyor shall pass the applicable fundamentals examination before admission to the professional examination. An applicant seeking professional registration as a geologist may take the fundamentals examination on the same day;

16. Certification that the information provided to the Board is accurate, true and complete; and

17. The applicable fee.

B. If an applicant does not have the required education and experience for registration, the Board may, upon request of the applicant, hold the application for a period of time that does not exceed one year from the date the application is filed with the Board. All timeframes adopted pursuant to Title 41, Chapter 6, Article 7.1 are suspended during the above-referenced time.

C. An applicant holding a certificate of qualification issued by one of the national examination councils recognized in R4-30-203(B) shall arrange to have the record forwarded to the Board by the national registration body. If the forms provided by the national examination council contain all the information described in A.R.S. § 32-122.01 and subsection (A), the Board may accept the forms in lieu of requiring the applicant to furnish the information directly to the Board.

D. The Board staff shall review all applications and, if necessary, refer completed applications to an evaluator deemed qualified by the board and chosen from the pool of enforcement advisory committee members for evaluation. If the application for registration is complete and in the proper form and the Board staff or the evaluator is satisfied that all statements on the application are true and that the applicant is eligible in all other aspects to be registered in the field for which the application was filed, the Board staff or evaluator shall recommend that the Board certify the applicant as eligible for registration. If for any reason the Board staff or the evaluator is not satisfied that all of the statements on the application are true or that the applicant is eligible in all respects for registration, the Board staff shall make a further investigation of the applicant. The Board staff and evaluator shall submit recommendations to the Board for approval. The Board may also require an applicant to submit additional oral or written information if the applicant has not furnished satisfactory evidence of qualifications for registration.

E. The Board may accept documentation that an applicant has passed a written national examination in the area for which registration is sought from a national council of which the Board is a member.

F. The Board shall not accept an application for registration renewal unless the applicant has responded to the questions on the application relating to good moral character and other misconduct and signed the application for renewal. The Board shall return an incomplete application to the applicant which may result in assessment of a delinquent renewal fee.

G. An applicant may withdraw an application for registration by written request to the Board. Any fee paid by the applicant is non-refundable. If an applicant withdraws an application, the Board shall close the file. An applicant whose file has been closed and who later wishes to apply for professional registration shall submit a new application package to the Board pursuant to R4-30-201 and R4-30-202.

History

• Adopted effective August 3, 1983 (Supp. 83-4). Amended effective December 18, 1991 (Supp. 91-4). Amended effective November 10, 1998 (Supp. 98-4). Amended by final rulemaking at 9 A.A.R. 791, effective February 12, 2003 (Supp. 03-1). Amended by final rulemaking at 10 A.A.R. 2798, effective August 7, 2004 (Supp. 04-2). Amended by final rulemaking at 11 A.A.R. 3294, effective October 1, 2005 (05-3). Amended by final rulemaking at 24 A.A.R. 1785, effective 8/5/2018. Amended by final rulemaking at 30 A.A.R. 768, effective 5/25/2024.

Ariz. Admin. Code § R4-30-202 In-training Designation

A. An applicant for in-training designation shall submit an original completed in-training application package that contains the following:

1. Category for which the applicant is seeking an in-training designation

12. Evidence of successful completion, or waiver by the Board, of the current fundamentals examination in the category for which in-training designation is sought;

3. Information regarding any conviction for a felony or misdemeanor, other than a minor traffic violation, within five years before the date of application;

Any alias or other name used by the applicant; and

25. The information set forth in subsections (B)(2) through (9);

B. An examination applicant who wants to sit for a fundamentals examination who does not possess an educational degree recognized by the applicable national council or who is not in the final year of a degree program recognized by the applicable national council shall submit an original completed exam authorization application to the Board, and provide the following:

1. Name of the fundamental examination the applicant wishes sit for;

2. Name, residence address, mailing address if different from residence, email and telephone number of the applicant;

3. Date of birth and social security number of the applicant;

4. Citizenship or legal residence;

4. Category, and branch of engineering if applicable, for which the applicant is seeking an in-training designation.

5. Information regarding any conviction for a felony or misdemeanor, other than a minor traffic violation, and any alias or other name used by the applicant;

65. Name, mailing address, years attended, graduation date, major, and type of degree received from each college, university, or educational institution that the applicant attended;

76. Certified transcripts sent directly to the Board from the registrar of each college, university, or educational institution the applicant attended;

87. A release authorizing the Board to investigate the applicant's education, experience, moral character, and repute;

98. Certification that the information provided to the Board is accurate, true, and complete.

9. The applicable fees.

C. If otherwise qualified, the Board shall permit an applicant for in-training designation to take the fundamentals examination in the final year of a baccalaureate, masters, or other degree program that is not recognized by the applicable national council and accredited in the category for which the application is made. The applicant shall have the application form endorsed by the applicant's college dean or faculty advisor, or, if already a graduate, may arrange to have a final transcript, indicating the degree awarded, sent directly from the registrar to the Board, in lieu of the endorsement.

D. The Board shall permit an applicant without an accredited college degree or who is not in the final year of a degree program recognized by the applicable national council to take the fundamentals examination after submitting to the Board evidence of four years of satisfactory experience or education or both. The applicant shall provide the name, current address, and telephone number of all current and former employers; names of all supervisors and their titles; dates of employment; applicant's title, and a description of the work performed. The applicant shall provide Certificate of Experience Record and Reference Forms to immediate supervisors at present and past employers. The applicant shall ensure the completed reference forms are submitted to the Board. The applicant shall meet all other requirements of this Section.

History

• New Section R4-30-202 renumbered from R4-30-203 and amended effective November 10, 1998 (Supp. 98-4). Amended by final rulemaking at 10 A.A.R. 2798, effective August 7, 2004 (Supp. 04-2). Amended by final rulemaking at 24 A.A.R. 1785, effective 8/5/2018. Amended by final rulemaking at 30 A.A.R. 768, effective 5/25/2024.

Ariz. Admin. Code § R4-30-202.01 [Repealed]

History

• New Section made by final rulemaking at 8 A.A.R. 903, effective February 14, 2002 (Supp. 02-1). Amended by final rulemaking at 10 A.A.R. 2798, effective August 7, 2004 (Supp. 04-2). Repealed by final rulemaking at 24 A.A.R. 1785, effective 8/5/2018.

Ariz. Admin. Code § R4-30-203 Waiver of Examination

A. The Board shall grant a waiver of the professional examination requirement in A.R.S. § 32-122.01 and R4-30-201 to an applicant for professional registration who holds a valid professional or occupational registration, certification, or license in the category for which registration, certification, or licensure is sought, and is in good standing in another state or U.S. territory provided:

1. The applicant submits verifiable documentation to the Board that the education, experience, and examination requirements under which the applicant was registered in the original state or jurisdiction were substantially identical to those existing in Arizona at the time of the applicant's original registration, certification, or licensure; or

2. The applicant submits verifiable documentation to the Board that the applicant has been actively engaged as a professional or occupational registrant, certificant, or licensee in another state or U.S. territory for at least 10 years in the category for which registration, certification, or licensure is sought. For purposes of this subsection, "actively engaged as a professional registrant" means that the applicant holds a valid professional or occupational registration, certification, or license in good standing, and has been practicing or offering professional services for at least 10 of the last 15 years.

B. The Board shall grant a waiver of the professional examination requirement in A.R.S. § 32-122.01 and R4-30-201 to an applicant for professional registration who submits verifiable documentation to the Board that the applicant holds one of the following professional records, issued by a national examination council, and is registered in good standing in another state or U.S. territory and has been actively engaged in the practice of the profession for which the applicant seeks registration. The Board recognizes the following national examination council records:

1. National Council of Architectural Registration Boards' ("NCARB") Certificate Record, with design and seismic (lateral forces) qualifications;

2. National Council of Examiners for Engineers and Surveyors Council ("NCEES") Record; or

3. Council of Landscape Architectural Registration Boards Council ("CLARB") Record and Certification.

C. When reviewing an engineering applicant's experience and examination information, the Board shall take into account the specific branch of engineering in which the applicant is seeking proficiency recognition.

D. The Board shall waive the fundamentals examination if an applicant has successfully completed a fundamentals examination in another state or jurisdiction in the category for which registration is sought, which is equivalent to those examinations required in Arizona. The applicant shall ensure that proof of successful completion is forwarded directly from the authority that administered the original examination.

E. The Board shall waive the fundamentals examination for an applicant who has a degree listed in R4-30-208(A) or other educational credit approved by the Board in the category, and branch if applicable, for which registration is sought, and meets all other requirements of A.R.S. § 32-126(D).

F. All applicants who request a waiver of any examination requirement shall meet all other requirements for professional registration or in-training designation in R4-30-201 and R4-30-202. An applicant applying for a waiver under subsection (B) shall ensure that the required documentation is forwarded directly to the Board from the national examination council.

G. The Board shall waive the remediation specialist examination requirement if the applicant has successfully completed a remediation specialist examination in another state or jurisdiction that is substantially equivalent to the remediation specialist examination provided in Arizona.

History

• Adopted effective August 3, 1983 (Supp. 83-4). Amended effective December 18, 1991 (Supp. 91-4). Amended effective May 1, 1995 (Supp. 95-2). R4-30-203 renumbered to R4-30-202; new Section R4-30-203 renumbered from R4-30-207 and amended effective November 10, 1998 (Supp. 98-4). Amended by final rulemaking at 8 A.A.R. 903, effective February 14, 2002 (Supp. 02-1). Amended by final rulemaking at 10 A.A.R. 2798, effective August 7, 2004 (Supp. 04-2). Amended by final rulemaking at 24 A.A.R. 1785, effective 8/5/2018.

Ariz. Admin. Code § R4-30-204 Examinations

A. Board Review For Authorization to Test: Applicants who wish to sit for professional examination who do not possess an educational degree recognized by the applicable national council shall submit to the Board the following information for approval:

1. Name, residence address, mailing address if different from residence, email and telephone number;

2. Date of birth and Social Security number;

3. Proof of citizenship or legal residence;

Category, and branch of engineering if applicable;

5. Name, mailing address, years attended, graduation date, major, and type of degree received from each college, university, or educational institution attended;

6. Certified transcripts sent directly to the Board from the registrar of each college, university, or educational institution attended;

7. Evidence of at least 60 months of required education or experience, or both, in the category for which registration is sought.

a. The name, current address, and telephone number of the applicant's current and former employers in the category for which registration is sought;

b. Dates of employment;

c. Applicant's title;

d. Description of work performed; and

e. Number of hours worked per week;

8. Names and current addresses of applicant's current and former employers (the names of companies within the last ten year period) in the category for which registration is sought. If an applicant cannot supply the names and addresses of supervisors for at least three engagements, the applicant shall provide to the Board a written, sworn statement explaining the inability to provide this information, and the names and addresses of three additional references, unrelated to the applicant, at least two of whom are registered in the category for which registration is sought;

9. A release authorizing the Board to investigate the applicant's education and experience;

10. Certificate of Experience Report from the applicant's present and past immediate supervisors. The applicant shall also provide Certificate of Experience Record and Reference Forms from additional professional references as required by the Board. The applicant shall provide the name, address, and telephone numbers of all references. The applicant shall ensure that the Board receives these Reports directly from the reference;

11. Evidence of successful completion, or waiver by the Board, of the applicable fundamentals examination. An applicant who has successfully completed a fundamentals examination in another state or jurisdiction in the category for which registration is sought equivalent to the examination for that category administered in Arizona shall submit proof of examination directly from the authority that administered the original examination. An applicant seeking professional registration as an engineer, geologist, or land surveyor shall pass the applicable fundamentals examination before admission to the professional examination. An applicant for registration as a geologist may take the in-training examination on the same date as the professional examination;

12. Certification that the information provided to the Board is accurate, true, and complete; and

13. The applicable fees.

14. In addition to the above requirements, an applicant who does not possess education required for direct access to the NCARB Architect Registration Examination (ARE) shall provide the Board with 60 months of a diversity of experience directly related to the practice of architecture and of a character satisfactory to the Board, in each of the following categories, in order to obtain Board authorization to sit for the required registration examination:

a. Practice Management. The experience obtained in this category shall demonstrate abilities to manage architectural practice, including professional ethics, fiduciary responsibilities, and the regulations governing the practice of architecture. The experience obtained shall focus on issues related to pre-contract tasks including negotiation, human resource management, and consultant development. Applicants shall demonstrate an understanding of and abilities in business structure, business development, and asset development and protection.

b. Project Management. The experience obtained in this category shall demonstrate abilities to manage architectural projects, including organizing principles, contract management, and consultant management. The experience shall focus on issues related to office standards, development of project teams, and overall project control of client, fee, and risk management. Experience shall demonstrate an understanding of and abilities in quality control, project team configuration, and project scheduling. In addition, the experience shall demonstrate the ability to establish and deliver project services per contractual requirements in collaboration with consultants.

c. Programming and Analysis. The experience obtained in this category shall demonstrate abilities related to the evaluation of project requirements, constraints, and opportunities. The experience shall focus on issues related to programming, site analysis, and zoning and code requirements and demonstrate an understanding of and abilities in project type analysis, the establishment of qualitative and quantitative project requirements, evaluation of project site and context, and assessment of economic issues.

d. Project Planning and Design. The experience obtained in this category shall demonstrate abilities to assess objectives related to the preliminary design of sites and buildings. The experience shall focus on issues related to the generation or evaluation of design alternatives that synthesize environmental, cultural, behavioral, technical and economic issues. The experience shall demonstrate an understanding of and abilities in design concepts, sustainability/ environmental design, universal design, and other forms of governing codes and regulations.

e. Project Development and Documentation. The experience obtained in this category shall demonstrate objectives related to the integration and documentation of building systems, material selection, and material assemblies into a project. The experience shall focus on issues related to the development of design concepts, evaluation of materials and technologies, selection of appropriate construction techniques, and appropriate construction documentation. The experience shall demonstrate an understanding of and abilities in integration of civil, structural, mechanical, electrical, plumbing, and specialty systems into overall project design and documentation.

f. Construction and Evaluation. The experience obtained in this category shall demonstrate objectives related to construction contract administration and post-occupancy evaluation of projects. The experience shall focus on issues related to bidding and negotiation processes, support of the construction process, and evaluation of completed projects. The experience shall demonstrate an understanding of and abilities in construction contract execution, construction support services (including construction observation and shop drawing or submittal review), payment request processing, and project closeout. In addition, candidates shall also demonstrate an understanding and abilities in project evaluation of integrated building systems and their performance.

B. The Board staff shall review all applications and, if necessary, refer completed applications to an evaluator who meets qualifications approved by the Board for evaluation. If the application for examination is complete and in the proper form and the Board staff or the evaluator is satisfied that all statements on the application are true and that the applicant is eligible to take the examination, the Board staff or evaluator shall recommend that the Board certify the applicant as eligible to take the examination. If for any reason the Board staff or evaluator is not satisfied that all of the statements on the application are true or that the applicant is eligible in all respects for examination, the Board staff shall make a further investigation of the applicant.

C. National Council Examinations:

1. Applicants who wish to sit for a fundamental or professional examination, and who have earned an educational degree recognized by the applicable national council may apply directly to the applicable national council to take that exam. Applicants who wish to sit for a fundamental examination who are in the final year of a degree program recognized by the applicable national council may apply directly to the applicable national council to take that exam.

2. Applicants not possessing the appropriate degree pursuant to subsection (C)(1) may apply to the Board for examination approval and after Board review, the Board may recommend them to the applicable national council for entry into the applicable national examination. Applicants shall meet all national council requirements for successful completion of applicable examinations.

3. An applicant for examination in any category shall take and pass the examination or at least one division of a multidivisional examination within one year after receiving approval. If an applicant fails to take and pass an examination within one year after receiving approval, the applicant shall submit a new application for examination authorization to the Board.

4. An applicant who has failed any division of a national multi-divisional examination shall be required to meet the applicable national council's requirements for successful completion of the examination.

5. Examinations administered by a national council of which the Board is a member, or a professional association approved by the Board, shall be given at the times and places determined by the testing agency. Once approved to sit for a non-Board-administered examination, the applicant shall communicate all questions and concerns regarding extensions, additional time, special accommodation, reexamination, exam review and refunds to the applicable testing agency. The Board shall not refund any examination fee paid to a testing agency.

6. The Board shall close an examination authorization file for multi-divisional national examination if the applicant fails to pass all divisions of the applicable examination within five years after first passing any division of the examination unless the Board approves an extension.

D. Board Administered Examinations:

1. An examination administered by the Board shall be given at the times and places determined by the Board. Once the Board approves an applicant to sit for a Board-administered examination, shall take and pass the examination within one year from making the request to test unless the Board grants an extension. The applicant shall communicate all questions and concerns regarding extensions, special accommodations and refunds to the Board. The applicant shall make any request for additional time or other special examination accommodation to the Board within a reasonable time before the examination date.

2. An applicant who fails to achieve a passing grade on any examination administered by the Board may request reexamination by notifying the Board in writing of the applicant's desire to retake the examination and paying the applicable examination fee. An applicant who retakes any examination shall advise the Board of any changes in the information provided under subsection (A) of this Section and R4-30-202(B) within 30 days from the date of the change. The Board shall close an applicant's file if the Board does not receive written confirmation from the applicant of the applicant's desire to retake and pass the Board-administered examination within one year from the request for reexamination. An applicant whose file has been closed and who later wishes to apply for examination shall submit a new examination application package to the Board.

3. An applicant for a Board-administered examination who wishes to review the applicant's examination scores shall file a written request with the Board within 30 days after receiving notification of the failing grade. The applicant may review an examination by making prior arrangements with the staff and paying the applicable fee. The applicant shall complete any review within 60 days of the request for a review. In reviewing multiple choice questions, an applicant may review only those questions that were incorrect.

4. An applicant who desires a regrade of a Board administered examination shall file a written request with the Board within 30 days after receiving notification of the failing grade or within 30 days after reviewing the examination, whichever is applicable, and pay the applicable fee. The applicant shall identify the questions to be reviewed. The applicant shall state why a review of the item is justified. The applicant shall provide specific facts, data, and references to support any assertion that the solution deserves more credit. The Board shall determine whether it will regrade the examination.

History

• Adopted effective August 3, 1983 (Supp. 83-4). Amended effective December 18, 1991 (Supp. 91-4). Amended effective May 1, 1995 (Supp. 95-2). Amended effective November 10, 1998 (Supp. 98-4). Amended by final rulemaking at 10 A.A.R. 2798, effective August 7, 2004 (Supp. 04-2). Amended by final rulemaking at 11 A.A.R. 3294, effective October 1, 2005 (Supp. 05-3). Amended by final rulemaking at 19 A.A.R. 128, effective March 10, 2013 (Supp. 13-1). Amended by final rulemaking at 24 A.A.R. 1785, effective 8/5/2018. Amended by final rulemaking at 30 A.A.R. 768, effective 5/25/2024.

Ariz. Admin. Code § R4-30-206 Repealed

History

• Adopted effective August 3, 1983 (Supp. 83-4). Amended effective December 18, 1991 (Supp. 91-4). Repealed effective November 10, 1998 (Supp. 98-4).

Ariz. Admin. Code § R4-30-207 Renumbered

History

• Adopted effective August 3, 1983 (Supp. 83-4). Amended effective December 18, 1991 (Supp. 91-4). Amended effective May 1, 1995 (Supp. 95-2). Section R4-30-207 renumbered to R4-30-203 effective November 10, 1998 (Supp. 98-4).

Ariz. Admin. Code § R4-30-208 Education and Work Experience

A. Education credit.

1. The Board shall grant credit according to the following:

a. Architectural applicants with National Architectural Accrediting Board accredited degree (NAAB): 60 months

b. Architectural applicants with a four year architectural degree: 48 months

c. Landscape Architectural applicants with a Landscape Architectural Accrediting Board accredited degree (LAAB): 48 months

d. Landscape Architectural applicants with LAAB accredited master's or doctorate degree: 60 months

e. Engineering applicants with an Accreditation Board of Engineering and Technology (ABET) accredited bachelor's degree and a (ABET) master's or doctorate degree in the branch of engineering that registration is sought: 60 months

f. Engineering applicants with an ABET accredited bachelor's degree or equivalent in the branch of engineering that registration is sought: 48 months

g. Engineering applicants with four-year ABET accredited degrees in a branch other than that in which registration is sought: 36 months

h. Land Surveying applicants with ABET accredited bachelor degree in land surveying: 48 months

i. Land Surveying applicants with a master's degree in land surveying: 60 months

i.j. Geology applicants with bachelor's degree in geology or earth sciences: 48 months

j. Assayer applicants with four-year degree in chemistry, metallurgy or other science directly related to the analysis of metal and ores ...... 48 months

k. Remediation specialist applicants with an undergraduate degree as specified in subsection (A), or up to five years of education directly relating to remediation. Geology applicants with a master's or doctorate degree in geology or earth sciences: 60 months

2. The Board shall grant all other education credit according to the following:

a. Credit shall not be granted for course work obtained in the United States or its possessions unless attained at an institution of higher education accredited by an accrediting agency recognized by the U.S. Department of Education.

b. Pro rata credit shall be granted for successful completion of courses substantially equivalent to the courses contained in the pertinent degree program identified in subsection (A) of this rule.

c. Credit shall not be given for general education courses in excess of the number of hours allowed in the pertinent program identified in subsection (A).

d. In determining pro rata credit, 30 semester hours or 45 quarter hours shall equal 12 months' credit.

e. An applicant shall be granted both education and work experience for the same period provided the total months' credit granted in a period does not exceed the number of months in that period.

f. Foreign education evaluation service acceptable to the Board shall be required of foreign-educated applicants and shall be provided at applicants' cost.

B. The Board shall credit work experience as follows:

1. One hundred and thirty hours or more of work per month is equal to one month of work experience.

2. Between 85 hours and 129 hours of work per month is equal to one-half month of work experience.

3. The Board shall not grant credit for less than 85 hours of work experience in a month.

4. Experience shall be verified by the employer before the Board grants the credit.

5. Remediation specialist applicants shall have at least eight years of acceptable education and remediation experience, including at least three years of experience supervising remediations

History

• Adopted effective December 18, 1991 (Supp. 91-4). Amended effective May 1, 1995 (Supp. 95-2). Amended by final rulemaking at 6 A.A.R. 1018, effective February 25, 2000 (Supp. 00-1). Amended by final rulemaking at 8 A.A.R. 903, effective February 14, 2002 (Supp. 02-1). Amended by final rulemaking at 24 A.A.R. 1785, effective 8/5/2018.

Ariz. Admin. Code § R4-30-209 Time-frames for Professional Registration, Certification, or In-training Designation

A. Within 60 days of receiving the initial application package for professional registration, certification, or in-training designation, the Board shall finish an administrative completeness review.

1. If the application package is complete, the Board shall notify the applicant that the package is complete and that the administrative completeness review is finished.

2. If the application package is incomplete, the Board shall notify the applicant that the package is deficient and specify the information or documentation that is missing. All time-frames are suspended from the date the notice is mailed to the applicant until the Board receives all missing information or documentation.

3. An applicant with an incomplete application package shall supply the missing information or documentation within 90 days from the date of the notice of deficiencies.

If the applicant fails to supply the missing information or documentation, the Board may close the applicant's application file. Any fee paid by the applicant is Nonrefund-able. An applicant whose file has been closed and who later wishes to apply for professional registration, certification, or in-training designation shall submit a new application package and pay the applicable fee.

4. If an applicant requests to sit for the professional, certification, or fundamentals examination, or requests a waiver of examination, the time-frames in R4-30-210 apply until the Board grants or denies the applicant's request.

B. The Board shall complete its substantive review of the application package and render a decision no later than 60 days after the date the Board mails the notice of administrative completeness to the applicant.

1. If the Board finds that the applicant meets all requirements in statute and rule, the Board shall approve the applicant for professional registration, certification, or intraining designation.

2. If the Board finds that the applicant does not meet all requirements in statute and rule, the Board shall deny the applicant professional registration, certification, or intraining designation. The Board shall provide written notice of the denial. The notice shall include justification for the denial, references to the statutes or rules on which the denial was based, and an explanation of the applicant's right to appeal, including the number of days the applicant has to file an appeal, and the name and telephone number of a Board contact person who will answer questions regarding the appeals process.

3. 2. If the Board finds a deficiency during the substantive review of the application package, the Board shall issue a written request, specifying the additional information or documentation to be submitted and the deadline for submission. The time-frame for substantive review of an application package is suspended from the date the written request for additional information or documentation is mailed until the date that all missing information or documentation is received or the deadline for submission passes.

4. 3. When the Board and applicant mutually agree in writing, the Board or its designee shall grant extensions of the substantive review time-frame totaling no more than 30 days.

5. 4. If the applicant fails to supply the missing information or documentation by the deadline date, the Board may close the applicant's application file. Any fee paid by the applicant is non-refundable. An applicant whose file has been closed and who later wishes to apply for professional registration, certification, or in-training designation shall submit a new application package and pay the applicable fee.

5. If the Board finds that the applicant does not meet all requirements in statute and rule, the Board shall deny the applicant professional registration, certification, or in-training designation. The Board shall provide written notice of the denial. The notice shall include justification for the denial, references to the statutes or rules on which the denial was based, and an explanation of the applicant's right to appeal, including the number of days the applicant has to file an appeal, and the name and telephone number of a Board contact person who will answer questions regarding the appeals process.

C. Saturdays, Sundays, and legal holidays are not counted in calculating the number of days under this Section.

D. For purposes of A.R.S. § 41-1073, the Board establishes the following time-frames for a candidate applying for professional registration, certification, or in-training designation:

1. Administrative completeness review time-frame: 60 days;

2. Substantive review time-frame: 60 days; and

Overall time-frame: 120 days. Days during which time is suspended under subsection (A)(2) are not counted in the computation of the overall time-frame.

History

• Adopted effective November 10, 1998 (Supp. 98-4). Amended by final rulemaking at 8 A.A.R. 903, effective February 14, 2002 (Supp. 02-1). Amended by emergency rulemaking at 8 A.A.R. 1102, effective February 19, 2002 for 180 days (Supp. 02-1). Emergency rulemaking amended and renewed for an additional 180 days under A.R.S. § 41-1026(D) at 8 A.A.R. 3842, effective August 14, 2002 (Supp. 02-3). Emergency expired; original Section amended by final rulemaking at 9 A.A.R. 791, effective February 12, 2003 (Supp. 03-1). Amended by final rulemaking at 10 A.A.R. 2798, effective August 7, 2004 (Supp. 04-2). Amended by final rulemaking at 24 A.A.R. 1785, effective 8/5/2018.

Ariz. Admin. Code § R4-30-210 Time-frames for Approval to Sit for, or for Waiver of, the Professional, Certification, or Fundamentals Examination

A. Within 60 days of receiving the initial application package to sit for, or for waiver of, the professional, certification, or fundamentals examination, the Board shall finish an administrative completeness review.

1. If the application package is complete, the Board shall notify the applicant that the package is complete and that the administrative completeness review is finished.

2. If the application package is incomplete, the Board shall notify the applicant that the package is deficient and specify the information or documentation that is missing. All time-frames are suspended from the date the notice is mailed to the applicant until the Board receives all missing information or documentation.

3. An applicant with an incomplete application package shall supply the missing information or documentation within 90 days from the date of the notice of deficiencies. If the applicant fails to supply the missing information or documentation, the Board may close the applicant's application file. Any fee paid by the applicant is nonrefundable. An applicant whose file has been closed and who later wishes to sit for the fundamentals, certification, or professional examination, or who requests a waiver of examination, shall submit a new application package and pay the applicable fee.

B. The Board shall complete its substantive review of the application package and render a decision no later than 60 days after the date the Board mails the notice of administrative completeness to the applicant.

1. If the Board finds that the applicant meets all requirements in statute and rule, the Board shall either approve the applicant to sit for the next applicable examination, or the Board shall waive the examination requirement.

2. If the Board finds that the applicant does not meet all requirements in statute or rule, the Board shall not allow the applicant to sit for the applicable examination or shall deny a waiver of examination.

3. The Board shall provide written notice of its refusal to allow the applicant to sit for the examination, or for its decision to deny a waiver of the examination. The notice shall include justification for the denial, references to the statutes or rules on which the denial was based, an explanation of the applicant's right to appeal, including the number of days the applicant has to file an appeal, and the name and telephone number of a Board contact person who will answer questions regarding the appeal process. If the Board issues a denial of waiver of an examination, it may allow the applicant to sit for the applicable examination or, depending on the circumstances and the applicant's qualifications, require the applicant to submit an application to sit for the applicable examination,

4 2. If the Board finds a deficiency during the substantive review of the application package, the Board shall issue a written request, specifying the additional information or documentation to be submitted and the deadline for submission. The time-frame for substantive review of an application package is suspended from the date the written request for additional information or documentation is mailed until the date that all missing information or documentation is received.

5 3. If the Board and applicant mutually agree in writing, the Board or its designee shall grant extensions of the substantive review time-frames totaling not more than 30 days.

6 4. If the applicant fails to supply the missing information or documentation by the deadline date, the Board may close the applicant's application file. Any fee paid by the applicant is non-refundable. An applicant whose file has been closed and who later wishes to sit for the applicable examination or request a waiver of examination shall submit a new application package and pay the applicable fee.

C. Saturdays, Sundays, and legal holidays are not counted in calculating the number of days under this Section.

D. For the purposes of A.R.S. § 41-1073, the Board establishes the following time-frames for an applicant wishing to sit for the applicable examination or to request a waiver of examination:

1. Administrative completeness review time-frame: 60 days;

2. Substantive review time-frame: 60 days; and

Overall time-frame: 120 days.

History

• Adopted effective November 10, 1998 (Supp. 98-4). Amended by final rulemaking at 8 A.A.R. 903, effective February 14, 2002 (Supp. 02-1). Amended by final rulemaking at 10 A.A.R. 2798, effective August 7, 2004 (Supp. 04-2). Amended by final rulemaking at 24 A.A.R. 1785, effective 8/5/2018.

Ariz. Admin. Code § R4-30-211 Repealed

History

• Adopted effective November 10, 1998 (Supp. 98-4). Amended by final rulemaking at 8 A.A.R. 903, effective February 14, 2002 (Supp. 02-1). Section repealed by final rulemaking at 10 A.A.R. 2798, effective August 7, 2004 (Supp. 04-2).

Ariz. Admin. Code § R4-30-212 Expired

History

• Adopted effective August 3, 1983 (Supp. 83-4). Amended effective December 18, 1991 (Supp. 91-4). Amended effective May 1, 1995 (Supp. 95-2). Amended by final rulemaking at 6 A.A.R. 1018, effective February 25, 2000 (Supp. 00-1). Amended by final rulemaking at 9 A.A.R. 791, effective February 12, 2003 (Supp. 03-1). Amended by final rulemaking at 10 A.A.R. 2798, effective August 7, 2004 (Supp. 04-2). Amended by final rulemaking at 19 A.A.R. 128, effective March 10, 2013 (Supp. 13-1). Section expired under A.R.S. § 41-1056(J) at 20 A.A.R. 2043, effective June 30, 2014 (Supp. 14-3).

Ariz. Admin. Code § R4-30-214 Architect Registration

An applicant for architect registration shall complete all of the following:

1. An applicant shall provide evidence of successful completion of the National Council of Architectural Registration Boards' (NCARB) professional experience requirement.

2. An applicant shall successfully complete the professional architect examination designated by the Board and provided by the National Council of Architectural Registration Boards.

3. An applicant must demonstrate 96 months of architectural education or experience, or both, satisfactory to the Board prior to being granted registration.

History

• Adopted effective August 3, 1983 (Supp. 83-4). Amended effective December 18, 1991 (Supp. 91-4). Correction to subsection (B) (Supp. 96-1). Amended by final rulemaking at 6 A.A.R. 1018, effective February 25, 2000 (Supp. 00-1). Amended by final rulemaking at 9 A.A.R. 791, effective February 12, 2003 (Supp. 03-1). Amended by final rulemaking at 10 A.A.R. 2798, effective August 7, 2004 (Supp. 04-2). Amended by final rulemaking at 11 A.A.R. 3294, effective October 1, 2005 (Supp. 05-3). Amended by final rulemaking at 19 A.A.R. 128, effective March 10, 2013 (Supp. 13-1). Amended by final rulemaking at 24 A.A.R. 1785, effective 8/5/2018.

Ariz. Admin. Code § R4-30-221 Engineering Branches Recognized

A. The Board shall recognize the branches of engineering described below for review of experience, selection of examination, definition of examination areas, and definition of demonstrated proficiency areas to be inscribed on the registrant's seal. The branches do not limit the areas of a registrant's practice of engineering. (See R4-30-301(18))

1. Agriculture: Consultation, investigation, evaluation, planning, design, location, development, and review of construction for projects concerning agricultural machinery, drainage, irrigation, terracing, farm electricity or water pumps and wells for the maintenance of adequate potable water supplies for crops, people, animals, or industry.

2. Architectural: Consultation, investigation, evaluation, planning, design, location, development, and review of construction for projects concerning building mechanical, acoustical, electrical, lighting, or structural systems.

3. Chemical: Consultation, investigation, evaluation, planning, design, location, development, and review of construction for projects concerning chemical enterprises, chemical and biological processes, plant layout, production of pilot plants, water, wastewater and pollution control plants, piping and distribution systems, heat exchanges, energy production management and distribution systems, process instrumentation and control systems, biomedical equipment, mining and minerals beneficiation, corrosion retardation, heat, mass and momentum transfer systems, reaction kinetics, thermodynamics, quality assurance controls, or systems for heat transmission.

4. Civil: Consultation, investigation, evaluation, planning, design, location, development, and review of construction for projects concerning highways, streets, transportation systems, drainage and flood control structures, surface and subsurface hydrologics, sewers, tunnels, railroads, geotechnical analysis, waterfronts, water and wastewater systems, water power and supply apparatus, wells, pumps, bridges, dams, irrigation structures, water purification apparatus, incinerators, or site fire protection systems.

5. Control Systems: Consultation, investigation, evaluation, planning, design, location, development, and review of construction for projects concerning control systems and their constituent devices including, but not limited to, dynamic stability and the application of instrumentation and feedback control principles to regulate and operate chemical plants, petroleum refineries, food processing plants, water and waste treatment plants, power plants, pollution abatement systems, transportation systems, or other dynamic processes and systems.

6. Electrical: Consultation, investigation, evaluation, planning, design, location, development, and review of construction for projects concerning power systems, electronic and transmission equipment, electric service and supply systems, lighting systems, communication service and supply systems, fire alarm and detection systems, control systems, or electrical installations.

Environmental: Consultation, investigation, evaluation, planning, design, location, development, and review of construction for projects concerning water and wastewater systems, domestic and process (industrial/commercial) solid waste and hazardous materials systems, air quality systems, or health, safety, and environmental protection including, but not limited to systems relating to emergency response, risk analysis, radiation protection, noise toxicology, or industrial hygiene.

8. Fire Protection: Consultation, investigation, evaluation, planning, design, location, development, and review of construction for projects concerning building exiting and life safety systems, fire suppression systems and devices, fire detection and alarm systems and devices, smoke exhaust and smoke management systems, fire resistance for building components and assemblies, water supplies and pumping systems for fire protection, including the hydraulic analysis of such systems, and the reduction and control of fire hazards due to processes subject to fire or explosion.

9. Geological: Consultation, investigation, evaluation, planning, design, location, development, and review of construction for projects concerning geological studies related to surface and subsurface excavations and foundations, stability of slopes, groundwater locations, geological material age and strength determinations near surface or deep subsurface geological structures or geophysical mapping of geological formations and groundwater locations.

10. Industrial: Consultation, investigation, evaluation, planning, design, location, development, and review of construction for projects concerning factory layouts, tools and fixtures, factory planning, time and motion study systems, rate plans, production plans, quality control systems and analysis, work simplification systems, methods studies and cost, production control, organizational, operational and labor needs, or safety analysis.

11. Mechanical: Consultation, investigation, evaluation, planning, design, location, development, and review of construction for projects concerning air conditioning, refrigeration, ventilation, combustion, heat transfer, energy, power, fuels, propulsion, machinery, tools, manufacturing, fluids, plumbing, fire suppression systems and devices, water supplies and pumping systems for fire protection, including the hydraulic analysis of such systems.

12. Metallurgical: Consultation, investigation, evaluation, planning, design, location, development, and review of construction for projects concerning the production of metals or metal objects, testing procedures, metal processing, failure analysis procedures, mining and mineral beneficiation, or the development of metal alloys.

13. Mining: Consultation, investigation, evaluation, planning, design, location, development, and review of construction for projects concerning the construction of plants, shaft and bottom layouts, ventilation and hoisting systems, head frames, washery or concentration mills, mining methods and testing procedures, or metallurgical works and production procedures.

14. Nuclear: Consultation, investigation, evaluation, planning, design, location, development, and review of construction for projects concerning nuclear waste management, alternative waste management systems, disposal criteria and risk evaluation, transportation, packaging, decontamination, handling, welding evaluation, site stabilization, recovery techniques, water and air quality control systems, waste volume management, evaporation systems, reactor safety methods, health safety systems, cycle analysis, or nuclear fuels.

15. Petroleum: Consultation, investigation, evaluation, planning, design, location, development, and review of construction for projects concerning drilling equipment, pipelines, refinery plants, gathering systems, handling and storage systems, exploitation and selection methods, gas measurement and core analysis, phase behavior studies, reserve calculations, or the development of petroleum products.

16. Sanitary: Consultation, investigation, evaluation, planning, design, location, development, and review of construction for projects concerning water treatment and sewage disposal plants, water systems, sewers, incinerators, distribution systems, sewage and industrial waste treatment plants, pollution reduction systems, sanitary facilities, or public health systems.

Structural: Consultation, investigation, evaluation, planning, design, location, development, and review of construction for projects concerning force-resisting and load-bearing members and their connections for structures such as foundations, bridges, walls, columns, slabs, beams, trusses, or similar members used singly or as part of a larger structure.

B. An applicant shall submit to the Board a separate application and application fee for each branch for which application is made. An applicant who wishes to change the branch of application after notification by the Board that the application has been evaluated by the Board shall submit the request in writing and pay an additional application fee.

History

• Adopted effective August 3, 1983 (Supp. 83-4). Amended effective December 18, 1991 (Supp. 91-4). Amended effective July 6, 1993 (Supp. 93-3). Amended effective May 1, 1995 (Supp. 95-2). Amended effective December 18, 1997 (Supp. 97-4). Amended by final rulemaking at 6 A.A.R. 1018, effective February 25, 2000 (Supp. 00-1). Amended by final rulemaking at 10 A.A.R. 2798, effective August 7, 2004 (Supp. 04-2). Amended by final rulemaking at 12 A.A.R. 1606, effective July 1, 2006 (Supp. 06-2).

Ariz. Admin. Code § R4-30-222 Engineer-In-Training Designation

A. To qualify for admission to the fundamentals examination solely on the basis of education, an applicant shall be a graduate of a four-year engineering degree program accredited at the time of graduation by the Accreditation Board for Engineering and Technology (ABET) or an equivalent predecessor organization.

B. To qualify for admission to the fundamentals examination, an applicant who is not a graduate of a four-year ABET-accredited engineering degree program shall have at least four years of education or experience or a combination of both directly related to the practice of engineering. Experience directly related to the practice of engineering of a character satisfactory to the Board includes but is not limited to the following in the candidate's branch of engineering:

1. Consultation: The active involvement in meetings, discussions or development of reports intended to provide information, facts or advice regarding the application of the accepted engineering principles to fulfill the client's specific requirements.

2. Research investigation: The search, examination or study to determine the practicality or effectiveness of accepted principles for adaptation and application to novel situations or the development of new or alternative solutions to solve problems.

3. Evaluation: The analysis, testing or study to determine or estimate the merit, effect, efficiency or practicality of approaches, methods, designs, structures or materials for use in a given situation or to achieve a specific result.

4. Planning: The preliminary development of objectives, statements, outlines, drafts, drawings or diagrams showing the arrangement, scheme, schedule, program or procedure for determining the most effective solution to a problem.

Design: Design, development and location experience.

6. Construction review: The review or supervision of construction projects in the candidate's branch of engineering to determine conformance with contract documents and design specifications (maximum 12 months' credit).

Administration: Administrative experience in the candidate's branch of engineering, including office and field administration, field or laboratory testing, quotation requests, change orders, bidding procedures, cost accounting and project closeouts maximum 12 months' credit).

8. Surveying: The measurement, using accepted methods of surveying, of units of space, water, land or structures to determine boundaries, areas, shapes, slopes, distances, angles or other calculations (maximum 12 months' credit).

Editing or writing: The editing or writing for publication of articles, books, newsletters or other written materials directly relating to the candidate's branch of engineering (maximum six months' credit).

10. Other engineering experience: Experience of a nature set forth in this subsection but in other recognized branches of engineering (maximum six months' credit).

11. Subprofessional experience: As defined in rule R4-30-101 (maximum six months' credit).

C. An applicant for Engineer In-Training Designation shall successfully complete the fundamentals examination designated by the Board and provided by the National Council of Examiners for Engineers and Surveyors.

History

• Adopted effective August 3, 1983 (Supp. 83-4). Amended effective December 18, 1991 (Supp. 91-4). Amended by final rulemaking at 6 A.A.R. 1018, effective February 25, 2000 (Supp. 00-1). Amended by final rulemaking at 10 A.A.R. 2798, effective August 7, 2004 (Supp. 04-2). Amended by final rulemaking at 24 A.A.R. 1785, effective 8/5/2018.

Ariz. Admin. Code § R4-30-224 Engineer Registration

A. Work experience credited toward the eight-year active engagement requirement shall be directly related to the applicant's branch of engineering and of a character satisfactory to the Board and attained as described in R4-30-222, except that work experience for specific branches of engineering as described in R4-30-221 shall be for the purpose of qualifying an applicant for registration only and shall not be construed to restrict or confine the work practices of or engineering engagements accepted by a registrant.

B. An applicant shall successfully complete the professional engineer examinations offered in the applicant's branch of engineering designated by the Board.

History

• Adopted effective August 3, 1983 (Supp. 83-4). Amended effective December 18, 1991 (Supp. 91-4). Amended effective July 6, 1993 (Supp. 93-3). Amended effective May 1, 1995 (Supp. 95-2). Amended by final rulemaking at 6 A.A.R. 1018, effective February 25, 2000 (Supp. 00-1). Amended by final rulemaking at 9 A.A.R. 791, effective February 12, 2003 (Supp. 03-1). Amended by final rulemaking at 10 A.A.R. 2798, effective August 7, 2004 (Supp. 04-2).

Ariz. Admin. Code § R4-30-242 Geologist-in-training Designation

A. To qualify for admission to the fundamentals examination solely on the basis of education, an applicant shall be a graduate or be in the final year of a four-year degree program with a major in geology or earth science at an accredited college or university.

B. To qualify for admission to the fundamentals examination, an applicant who is not a graduate of a four-year degree program as specified in subsection (A) shall have at least four years of education or experience or both directly related to the practice of geology. Experience directly related to the practice of geology of a character satisfactory to the Board shall include the following:

1. Consultation: The active involvement in meetings, discussions and development of reports intended to provide information, facts or advice regarding natural resources and surface and subsurface geological conditions and the preparation of geological maps for use in consultations with clients.

Evaluation: The evaluation of mining and petroleum properties, groundwater resources, unconsolidated earth materials, mineral fuels, natural hazards and land use limitations.

Supervision of exploration: The supervision of the geological phases of engineering investigation, exploration for mineral and natural resources, metallic and nonmetallic ores, petroleum and groundwater resources.

4. Administration: Administrative experience, including office and field administration, field or laboratory testing, quotation requests, change orders, cost accounting, bidding procedures and project closeouts (maximum 12 months' credit).

5. Editing or writing: The editing or writing for publication of articles, books, newsletters or other written materials on geological subjects (maximum six months' credit).

6. Engineering: Experience in related branches of engineering (maximum six months' credit).

7. Subprofessional experience: As defined in rule R4-30-101 (maximum six months' credit).

C. An applicant for geologist in-training designation shall successfully complete the fundamentals examination designated by the Board and provided by the Association of State Boards of Geology.

History

• Adopted effective August 3. 1983 (Supp. 83-4). Amended effective December 18, 1991 (Supp. 91-4). Amended effective May 1, 1995 (Supp. 95-2). Amended by final rulemaking at 6 A.A.R. 1018, effective February 25, 2000 (Supp. 00-1). Amended by final rulemaking at 10 A.A.R. 2798, effective August 7, 2004 (Supp. 04-2). Amended by final rulemaking at 24 A.A.R. 1785, effective 8/5/2018.

Ariz. Admin. Code § R4-30-244 Geologist Registration

An applicant shall successfully complete the professional geologist examination designated by the Board and provided by the Association of State Boards of Geology.

History

• Adopted effective August 3, 1983 (Supp. 83-4). Amended effective December 18, 1991 (Supp. 91-4). Amended effective May 1, 1995 (Supp. 95-2). Amended by final rulemaking at 6 A.A.R. 1018, effective February 25, 2000 (Supp. 00-1). Amended by final rulemaking at 10 A.A.R. 2798, effective August 7, 2004 (Supp. 04-2).

Ariz. Admin. Code § R4-30-247 Home Inspector Certification

A. An applicant for certification as a home inspector shall submit an original completed application package that contains the following:

1. Evidence of successful completion, within two years before the date of application, of the National Home Inspector Examination as administered by the Examination Board of Professional Home Inspectors;

2. The information in subsection (B);

3. A completed fingerprint card;

4. Applicable fees;

5. Evidence of successful completion of 84 hours of classroom training or an equivalent course conducted by an educational facility that is licensed by the Arizona State Board for Private Postsecondary Education, or accredited by the Distance Education Accrediting Commission, or by an accrediting agency approved by the United States Department of Education. The course of study shall encompass all of following major content areas:

a. Structural Components,

b. Exterior,

c. Roofing,

d. Plumbing,

e. Heating,

f. Cooling,

g. Electrical,

h. Insulation and Ventilation,

i. Interiors,

j. Fireplaces and Solid Fuel-Burning Devices,

k. Swimming Pools & Spas, and

l. Professional Practice;

6. Evidence of completion of 30 parallel inspections. The 30 parallel inspections and home inspection report shall meet the standards in R4-30-301.01 and be retained by the applicant for at least two years from the date of application. The applicant shall conduct these inspections on separate residential dwelling units and shall list them on a log provided by the Board. The log shall include, with respect to each inspection, the address of the property, the date of the inspection, and the name and certification number of the supervising home inspector. The Board may hold the applicant's package for a period of one year based solely on the need for time to permit the applicant to complete the required parallel inspections. All time frames promulgated under A.R.S. Title 41, Chapter 6, Article 7.1 are suspended during this period.

B. A certified home inspector is not required to inspect a pool and/or spa as part of a home inspection. If a certified home inspector conducts a pool and/or spa inspection, it shall be conducted in accordance with the "Standards of Professional Practice for the Inspection of Swimming Pools & Spas for Arizona Home Inspectors," ("Standards") adopted and published by the Board on February 28, 2012. Copies of the Standards are available at the Board's office.

C B. The application package shall contain the following:

1. Name, residence address, mailing address if different from residence address, email and telephone number;

2. Date of birth and Social Security number of the applicant;

3. Citizenship or legal residence;

4. A detailed explanatory statement regarding:

a. Any disciplinary action, including suspension and revocation, taken by any state or jurisdiction on any professional or occupational registration, license, or certification held by the applicant in any state or jurisdiction, within five years before the date of application;

b. Refusal of any professional or occupational registration, license, or certification by any state or jurisdiction, within five years before the date of application;

c. Any pending disciplinary action in any state or jurisdiction on any professional or occupational registration, license, or certification held by the applicant;

d. Any alias or other name used by the applicant;

e. Any conviction for a felony or misdemeanor, other than a minor traffic violation, within five years before the date of application.

5. Documentation of absolute discharge from sentence at least five years before the date of application if an applicant has been convicted of one or more felonies; evidence of having a valid fingerprint clearance card issued pursuant to Title 41, Chapter 12, Article 3.1;

6. State or jurisdiction in which any professional or occupational registration, license or certification is held; type of registration, license, or certification; number; year granted, and how registration, license, or certification was granted (that is, by examination, education, experience, or reciprocity), 4 A.A.C. 30, Supp. 18-2, released June 30, 2018, page 18;

7. The current status of any application for any type of professional or occupational registration, license, or certification pending in another state or jurisdiction;

87. A release authorizing the Board to investigate the applicant's education, experience, criminal and disciplinary action history;

98. Certification that the information provided to the Board is accurate, true, and complete;

109. Copy of one home inspection report that meets the standards in R4-30-301.01 and reports on at least one immediate major repair as defined in the standards, along with the Report Checklist Supplement; and

1110. Sworn statement or statements by the supervising certified home inspector or inspectors that the parallel inspections conducted by the applicant meet the standards in R4-30-301.01.

D C. The Board staff shall review all applications and, if necessary, refer completed applications to the Home Inspector Rules and Standards Committee or a certified home inspector evaluator for evaluation. If the application is complete and in the proper form, the Board staff, committee, or evaluator is satisfied that all statements on the application are true, and the applicant is eligible in all other aspects to be certified as a home inspector, the Board staff, committee, or evaluator shall recommend that the Board certify the applicant. If the evidence is not clear and convincing of qualification for certification, the matter shall be reviewed by the committee and the committee may request additional information regarding any issue upon which the applicant has not established qualification by clear and convincing evidence.

E D. A certified home inspector shall notify the Board in writing within five business days of any loss of, or change in, financial assurance. The Board shall suspend the certificate holder's certification immediately and prohibit further home inspections until current proof of financial assurance is provided to the Board. The Board shall revoke a certificate if the certificate holder fails to provide proof of financial assurance within 90 days of loss of financial assurance or lapse of policy. All certified home inspectors shall provide proof of financial assurance at the time of each annual certification renewal. The Board shall not renew a home inspector certification unless the financial assurance is in full force and effect.

F E. A home inspector who places a home inspector certificate on inactive status shall retain the proof of financial assurance for at least two years after the date that the certificate becomes inactive. A home inspector who fails to retain financial assurance for the required two years is subject to suspension and revocation of the home inspection certificate as per subsection (E). In order to reactivate an inactive home inspection certificate, a home inspector shall provide proof of financial assurance to the Board with the application for reactivation. An inactive home inspector certification shall not qualify for reactivation until proof of financial assurance has been submitted to the Board.

G F. In order to reactivate an inactive home inspector certificate, a home inspector who has not practiced as a certified home inspector during that time in another state requiring registration for the previous five years shall take and pass the National Home Inspector Examination.

History

• New Section made by emergency rulemaking at 8 A.A.R. 1102, effective February 19, 2002 for 180 days (Supp. 02-1). Emergency rulemaking amended and renewed for an additional 180 days under A.R.S. § 41-1026(D) at 8 A.A.R. 3842, effective August 14, 2002 (Supp. 02-3). Emergency expired; new Section made by final rulemaking at 9 A.A.R. 791, effective February 12, 2003 (Supp. 03-1). Amended by final rulemaking at 10 A.A.R. 2798, effective August 7, 2004 (Supp. 04-2). Amended by final rulemaking at 19 A.A.R. 713, effective June 1, 2013. Amended by final rulemaking at 24 A.A.R. 1785, effective 8/5/2018. Amended by final rulemaking at 27 A.A.R. 93, effective 3/9/2021. Amended by final rulemaking at 30 A.A.R. 768, effective 5/25/2024.

Ariz. Admin. Code § R4-30-252 [Repealed]

History

• Adopted effective August 3, 1983 (Supp. 83-4). Amended effective December 18, 1991 (Supp. 91-4). Amended effective May 1, 1995 (Supp. 95-2). Amended by final rulemaking at 6 A.A.R. 1018, effective February 25, 2000 (Supp. 00-1). Amended by final rulemaking at 10 A.A.R. 2798, effective August 7, 2004 (Supp. 04-2). Repealed by final rulemaking at 24 A.A.R. 1785, effective 8/5/2018.

Ariz. Admin. Code § R4-30-254 Landscape Architect Registration

A. To qualify for landscape architect registration, an applicant shall provide proof to the Board of the successful completion of 96 months of landscape architecture education or experience or both. To satisfy the education requirement, an applicant must be a graduate of a four- or five-year landscape architectural degree program accredited at the time of graduation by the Landscape Architectural Accreditation Board (LAAB) or an equivalent predecessor organization.

B. To satisfy the experience requirement, an applicant who is a graduate of a five-year landscape architectural degree program shall demonstrate successful completion of at least three years of experience directly related to the practice of landscape architecture. An applicant who is a graduate of a four-year landscape architectural degree program shall demonstrate successful completion of at least four years of experience directly related to the practice of landscape architecture. Experience directly related to the practice of landscape architecture shall demonstrate an applicant's dedication to the protection of the public's health, safety and welfare and shall include the following:

1. Consultation: The active involvement in meetings, discussions and development of reports intended to provide information, facts or advice regarding the application of landscape architectural principles to fulfill the client's specific requirements.

2. Investigation, reconnaissance and research: The search, examination or study to determine the practicality or effectiveness of accepted landscape architectural principles to novel situations or the development of new or alternative solutions to landscape architectural problems.

3. Planning: The preliminary development of objectives, statements, outlines, drafts, drawings, maps or diagrams showing the arrangement, scheme, schedule, program or procedure for determining the most effective solution to a landscape architectural problem.

4. Design: The preparation and use of sketches, plans, drawings, specifications, contracts, outlines, models or schemes to convey the use and development of land, plantings, landscapings, settings, approaches to buildings, structures or facilities, traffic patterns and drainage or erosion patterns.

5. Supervision of development: The supervision of the development of land and incidental water areas for the preservation, enhancement or determination of proper land uses, natural land features, ground cover and planting, naturalistic and esthetic values, settings and approaches, natural drainage and the consideration and determination of inherent problems of the land, including erosion, wear and tear, light and other hazards, including storm water quality.

6. Administration: Administrative experience, including office and field administration, field testing, quotation requests, change orders, cost accounting, bidding procedures and project closeouts (maximum 12 months' credit).

Subprofessional experience: As defined in rule R4-30-101 (maximum six months' credit).

C. An applicant shall successfully complete the professional landscape architect examination designated by the Board and provided by the Council of Landscape Architectural Registration Boards.

History

• Adopted effective August 3, 1983 (Supp. 83-4). Amended effective December 18, 1991 (Supp. 91-4). Amended effective May 1, 1995 (Supp. 95-2). Amended by final rulemaking at 6 A.A.R. 1018, effective February 25, 2000 (Supp. 00-1). Amended by final rulemaking at 10 A.A.R. 2798, effective August 7, 2004 (Supp. 04-2). Amended by final rulemaking at 24 A.A.R. 1785, effective 8/5/2018.

Ariz. Admin. Code § R4-30-262 [Repealed]

History

• Adopted effective August 3, 1983 (Supp. 83-4). Amended effective December 18, 1991 (Supp. 91-4). Amended by final rulemaking at 6 A.A.R. 1018, effective February 25, 2000 (Supp. 00-1). Amended by final rulemaking at 10 A.A.R. 2798, effective August 7, 2004 (Supp. 04-2). Repealed by final rulemaking at 24 A.A.R. 1785, effective 8/5/2018.

Ariz. Admin. Code § R4-30-264 [Repealed]

History

• Adopted effective August 3, 1983 (Supp. 83-4). Amended effective December 18, 1991 (Supp. 91-4). Amended by final rulemaking at 6 A.A.R. 1018, effective February 25, 2000 (Supp. 00-1). Amended by final rulemaking at 10 A.A.R. 2798, effective August 7, 2004 (Supp. 04-2). Repealed by final rulemaking at 24 A.A.R. 1785, effective 8/5/2018.

Ariz. Admin. Code § R4-30-270 [Repealed]

History

• New Section made by exempt rulemaking at 9 A.A.R. 1412, effective April 15, 2003 (Supp. 03-2). Amended by final rulemaking at 10 A.A.R. 2798, effective August 7, 2004 (Supp. 04-2). Repealed by final rulemaking at 24 A.A.R. 1785, effective 8/5/2018.

Ariz. Admin. Code § R4-30-271 [Repealed]

History

• New Section made by exempt rulemaking at 9 A.A.R. 1412, effective April 15, 2003 (Supp. 03-2). Amended by exempt rulemaking at 9 A.A.R. 2111, effective June 2, 2003 (Supp. 03-2). Amended by exempt rulemaking at 9 A.A.R. 3514, effective July 17, 2003 (Supp. 03-3). Amended by final rulemaking at 10 A.A.R. 2798, effective August 7, 2004 (Supp. 04-2). Amended by final rulemaking at 19 A.A.R. 128, effective March 10, 2013 (Supp. 13-1). Repealed by final rulemaking at 24 A.A.R. 1785, effective 8/5/2018.

Ariz. Admin. Code § R4-30-272 [Repealed]

History

• New Section made by exempt rulemaking at 9 A.A.R. 1412, effective April 15, 2003 (Supp. 03-2). Amended by exempt rulemaking at 9 A.A.R. 2111, effective June 2, 2003 (Supp. 03-2). Amended by exempt rulemaking at 9 A.A.R. 3514, effective July 17, 2003 (Supp. 03-3). Amended by final rulemaking at 10 A.A.R. 2798, effective August 7, 2004 (Supp. 04-2). Amended by final rulemaking at 19 A.A.R. 128, effective March 10, 2013 (Supp. 13-1). Repealed by final rulemaking at 24 A.A.R. 1785, effective 8/5/2018.

Ariz. Admin. Code § R4-30-282 Land Surveyor-in-training Designation

A. To qualify for admission to the fundamentals examination solely on the basis of education, an applicant shall be a graduate of a four-year land surveying degree program accredited at the time of graduation by the Accreditation Board for Engineering and Technology (ABET) or an equivalent predecessor organization.

B. To qualify for admission to the fundamentals examination, an applicant who is not a graduate of a four-year ABET-accredited land surveying degree program shall have at least four years of education or experience or both directly related to the practice of land surveying. Experience directly related to the practice of land surveying of a character satisfactory to the Board shall include the following:

1. The measurement of space, water, land or structures located or to be located upon or within them, to determine boundaries, areas or other necessary calculations through the use of any mechanical, physical, electric or electronic equipment or devices commonly used by registered professional land surveyors.

2. The analysis of measurement data through the use of professional knowledge or education or practical experience in the mathematical and physical sciences and in the principles of land surveying.

3. The location or relocation, establishment or re-establishment of boundaries, easements, rights-of-way, bench marks or corners.

4. Consultation with clients to determine the necessity of land surveying services and the determination of the correct type of services necessary to fulfill the client's needs and objectives.

5. The search of any source of public or private records for the purpose of performing a survey or to determine and, if necessary, to reconcile differences between the surveyor's collected data and such records.

6. The platting or subdividing of land or the planning and design of parcels of land for development purposes.

7. The preparation and maintenance of survey records.

8. Other land surveying activities, analyses or investigations defined in the Act.

9. The participation in office and field administration, quotation requests, bidding procedures, cost accounting and project close-outs (maximum 12 months' credit).

The editing or writing for publication of articles, books, newsletters or other written materials on land surveying subjects (maximum six months' credit).11. Construction staking (maximum 12 months' credit).

12 11. Subprofessional experience as defined in R4-30-101 (maximum six months' credit).

C. The applicant for land surveyor in-training designation shall apply to the Board and provide proof of successful completion of the fundamentals of surveying examination designated by the Board and provided by the National Council of Examiners for Engineers and Surveyors.

History

• Adopted effective August 3, 1983 (Supp. 83-4). Amended effective December 18, 1991 (Supp. 91-4). Amended by final rulemaking at 6 A.A.R. 1018, effective February 25, 2000 (Supp. 00-1). Amended by final rulemaking at 10 A.A.R. 2798, effective August 7, 2004 (Supp. 04-2). Amended by final rulemaking at 24 A.A.R. 1785, effective 8/5/2018.

Ariz. Admin. Code § R4-30-284 Land Surveyor Registration

The candidate shall first successfully complete the fundamentals of surveying examination. Second, the candidate shall successfully complete the professional land surveyor examination provided by the National Council of Examiners for Engineers and Surveyors. Third, the candidate shall successfully complete the Arizona State Specific Examination provided by the Board.

History

• Adopted effective August 3, 1983 (Supp. 83-4). Amended effective December 18, 1991 (Supp. 91-4). Amended effective May 1, 1995 (Supp. 95-2). Amended by final rulemaking at 6 A.A.R. 1018, effective February 25, 2000 (Supp. 00-1). Amended by final rulemaking at 24 A.A.R. 1785, effective 8/5/2018.

Article 3 REGULATORY PROVISIONS

Ariz. Admin. Code § R4-30-301 Rules of Professional Conduct

All registrants shall comply with the following rules of professional conduct:

1. A registrant shall not submit any materially false statements or fail to disclose any material facts requested in connection with an application for registration or certification, or in response to a subpoena.

2. A registrant shall not engage in fraud, deceit, misrepresentation or concealment of material facts in advertising, soliciting, or providing professional services to members of the public.

3. A registrant shall not commit bribery of a public servant as proscribed in A.R.S. § 13-2602, commit commercial bribery as proscribed in A.R.S. § 13-2605, or violate any federal statute concerning bribery.

4. A registrant shall comply with state, municipal, and county laws, codes, ordinances, and regulations pertaining to the registrant's area of practice.

5. If a registrant violates any state or federal criminal statute, the Board may take action against a registrant's license or certificate if a violation of the law is reasonably related to a registrant's area of practice.

6. A registrant shall apply the technical knowledge and skill that would be applied by other qualified registrants who practice the same profession in the same area and at the same time.

7. A registrant shall not accept an engagement if the duty to a client or the public would conflict with the registrant's personal interest or the interest of another client without making a full written disclosure of all material facts of the conflict to each person who might be related to or affected by the engagement.

8. A registrant shall not accept compensation for services related to the same engagement from more than one party without making a full written disclosure of all material facts to all parties and obtaining the express written consent of all parties involved.

9. A registrant shall make full disclosure to all parties concerning:

a. Any transaction involving payments to any person for the purpose of securing a contract, assignment, or engagement, except payments for actual and substantial technical assistance in preparing the proposal; or

b. Any monetary, financial, or beneficial interest the registrant holds in a contracting firm or other entity providing goods or services, other than the registrant's professional services, to a project or engagement.

10. A registrant shall not solicit, receive, or accept compensation from material, equipment, or other product or services suppliers for specifying or endorsing their products, goods or services to any client or other person without full written disclosure to all parties.

11. If a registrant's professional judgment is overruled or not adhered to under circumstances where a serious threat to the public health, safety, or welfare may result, the registrant shall immediately notify the responsible party appropriate building official, or agency, and the Board of the specific nature of the public threat.

12. If called upon or employed as an arbitrator to interpret contracts, to judge contract performance, or to perform any other arbitration duties, the registrant shall render decisions impartially and without bias to any party.

13. To the extent applicable to the professional engagement, a registrant shall conduct a land survey engagement in accordance with the April 12, 2001 Arizona Professional Land Surveyors Association (APLS) Arizona Boundary Survey Minimum Standards, available at www.azpls.org. The Board of Technical Registration adopted the standards on June 15, 2001, and incorporated them into this subsection by reference. This incorporation by reference does not include any later amendments or editions and is available at the office of the Board of Technical Registration.

14. A registrant shall comply with any subpoena issued by the Board or its designated administrative law judge.

15. A registrant shall update the registrant's address, email and telephone number of record with the Board within 30 days of the date of any change.

16. A registrant shall not sign, stamp, or seal any professional documents not prepared by the registrant or a bona fide employee of the registrant.

Except as provided below and in subsections (18) and (19), a registrant shall not accept any professional engagement or assignment outside the registrant's professional registration category unless:

a. The registrant is qualified by education, technical knowledge, or experience to perform the work; and

b. The work is exempt under A.R.S. § 32-143.

18. A registered professional engineer may accept professional engagements or assignments in branches of engineering other than that branch in which the registrant has demonstrated proficiency by registration but only if the registrant has the education, technical knowledge, or experience to perform such engagements or assignments.

19. Except as otherwise provided by law, a registrant may act as the prime professional for a given project and select collaborating professionals; however, the registrant shall perform only those professional services that the registrant is qualified by registration to perform and shall seal and sign only the work prepared by the registrant or by the registrant's bona fide employee.

20. A registrant who is designated as a responsible registrant shall be responsible for the firm or corporation. The Board may impose disciplinary action on the responsible registrant for any violation of Board statutes or rules that is committed by a non-registrant employee, firm, or corporation.

A registrant shall not enter into a contract for expert witness services on a contingency fee basis or any other arrangement in a disputed matter where the registrant's fee is directly related to the outcome of the dispute.

History

• Adopted effective August 3, 1983 (Supp. 83-4). Amended effective December 18, 1991 (Supp. 91-4). Amended effective May 1, 1995 (Supp. 95-2). Amended by final rulemaking at 6 A.A.R. 1018, effective February 25, 2000 (Supp. 00-1). Amended by final rulemaking at 8 A.A.R. 903, effective February 14, 2002 (Supp. 02-1). Amended by final rulemaking at 9 A.A.R. 791, effective February 12, 2003 (Supp. 03-1). Amended by final rulemaking at 10 A.A.R. 2798, effective August 7, 2004 (Supp. 04-2). Amended by final rulemaking at 12 A.A.R. 1609, effective July 1, 2006 (Supp. 06-2). Amended by final rulemaking at 19 A.A.R. 128, effective March 10, 2013 (Supp. 13-1). Amended by final rulemaking at 24 A.A.R. 1785, effective 8/5/2018. Amended by final rulemaking at 30 A.A.R. 768, effective 5/25/2024.

Ariz. Admin. Code § R4-30-301.01 Home Inspector Rules of Professional Conduct

A. A certified home inspector shall conduct a home inspection in accordance with the "Standards of Professional Practice" adopted by the Arizona Chapter of the American Society of Home Inspectors, Inc. on October 27, 2023, the provisions of which are incorporated by reference. This rule does not include any later amendments or editions of the incorporated matter. Copies of these standards are available electronically on the Board's website.

B. A certified home inspector is not required to inspect a pool and/or spa as part of a home inspection. If a certified home inspector conducts a pool and/or spa inspection, it shall be conducted in accordance with the "Arizona Home Inspector Pools and Spas Standards of Professional Practice" ("Standards") adopted by the Board at its April 25, 2023 meeting, the provisions of which are incorporated by reference. This rule does not include any later amendments or editions of the incorporated matter. Copies of the Standards are available electronically on the Board's website.

C. A Certified Home Inspector shall not:

1. Pay, directly or indirectly, in full or in part, a commission or compensation as a referral or finder's fee to a real estate company, real estate office, real estate broker/sales- person(s), real estate employees or real estate independent contractors in order to obtain referrals for home inspection business. This prohibition includes, but is not limited to, participation in pay-to-play programs by any name (e.g. "preferred vendor," "approved vendor," "marketing partner," "marketing services agreement");

2. Pay or receive, directly or indirectly, in full or in part, a commission or compensation as a referral or finder's fee related to the correction of defects found within the scope of the home inspection;

Perform, or offer to perform, for an additional fee, or have any financial interest in the performance of any repairs to the property that has been inspected by that inspector or the inspector's firm for a period of 24 months following the inspection; or

4. Be accompanied by more than four home inspector candidates while conducting any parallel home inspection.;

Perform, or offer to perform, a home inspection on a home while acting in the capacity of a licensed real estate salesperson or licensed real estate broker with any financial interest in the sale of the home.

History

• New Section made by emergency rulemaking at 8 A.A.R. 1102, effective February 19, 2002 for 180 days (Supp. 02-1). Emergency rulemaking amended and renewed for an additional 180 days under A.R.S. § 41-1026(D) at 8 A.A.R. 3842, effective August 14, 2002 (Supp. 02-3). Emergency expired; new Section made by final rulemaking at 9 A.A.R. 791, effective February 12, 2003 (Supp. 03-1). Amended by final rulemaking at 24 A.A.R. 1785, effective 8/5/2018. Amended by final rulemaking at 30 A.A.R. 768, effective 5/25/2024.

Ariz. Admin. Code § R4-30-302 Electrical Plans

A. A registrant shall prepare and submit drawings and specifications for a new electrical system or an addition or modification to an existing electrical system provided the service and associated electrical feeders exceeds 600 amperes 120/240 volts, single phase or 225 amperes 120/208 volts, three phase and the fault current exceeds 10,000 amperes.

B. In all cases a registrant shall design:

1. Electrical installations in hospitals or other buildings with surgical operating rooms regulated by Article 517 of the National Electrical code (1990 edition) incorporated herein by reference and on file with the Office of the Secretary of State.

2. Electrical installations in locations classified as hazardous in Article 500 of the National Electrical Code (1990 edition) incorporated herein by reference and on file with the Office of the Secretary of State.

3. Electrical installations in locations classified as hazardous in Article 500 of the National Electrical Code (1990 edition) with the exception of gasoline dispensing or repair garages.

4. A registrant shall design an alarm or signaling system that is required for life safety or code compliance.

History

• Adopted effective December 18, 1991 (Supp. 91-4). Heading amended by final rulemaking at 9 A.A.R. 791, effective February 12, 2003 (Supp. 03-1).

Ariz. Admin. Code § R4-30-303 Securing Seals

A. Each registrant required to use a seal shall secure and use an ink seal 1 1/2 inches in diameter and identical in style, size, and appearance to the sample shown in Appendix A. The upper portion of the annular space between the second and third circles shall bear whichever of the following phrases is applicable to the registrant:

1. "Registered Architect"; "Registered Professional Engineer" together with the branch of engineering in which registered; "Registered Professional Geologist"; "Registered Professional Landscape Architect"; or "Registered Land Surveyor." ."

2. The inscription "Arizona U.S.A." shall appear at the bottom of the annular space between the second and third circles; the inner circle shall contain the name of the registrant, registration number, and the words "date signed."

B. The registrant may order the seal through any vendor and shall pay the cost of its manufacture. Immediately upon receipt of the seal and before using the seal for any purpose, the registrant shall file with the Board, for its records, on a form provided by the Board, an imprint of the seal with an original signature superimposed over it and an affidavit regarding the use of the seal. The Board, within 10 working days of receipt of the form from the registrant, shall disapprove any seal that does not meet the exact specifications of subsection (A) and require that the registrant obtain and pay for another seal that meets those specifications before sealing any work. Engineers registered in more than one branch shall secure and use a seal for each branch of engineering in which registration has been granted.

History

• Adopted effective August 3, 1983 (Supp. 83-4). Amended effective December 18, 1991 (Supp. 91-4). Amended effective May 1, 1995 (Supp. 95-2). Amended by final rulemaking at 10 A.A.R. 2798, effective August 7, 2004 (Supp. 04-2). Amended by final rulemaking at 24 A.A.R. 1785, effective 8/5/2018.

Ariz. Admin. Code § R4-30-304 Use of Seals

A. A registrant shall place a permanently legible imprint of the registrant's seal and signature on the following:

1. Each sheet of drawings or maps;

2. Each of the master sheets when reproduced into a single set of finished drawings or maps;

3. Either the cover, title, index, or table of contents page, first sheet of each set of project specifications;

4. Either the cover, index page, or first sheet of each addenda or change order to plans, contract documents or specifications;

5. Either the cover, index page, or first sheet of bound details when prepared to supplement project drawings or maps;

6. Either the cover, title, index, or table of contents page, or first sheet of any report, specification, or other professional document prepared by a registrant or the registrant's bona fide employee;

7. The signature line of any letter or other professional document prepared by a registrant, or the registrant's bona fide employee; and

8. Shop drawings that require professional services or work as described in the Act. Examples of shop drawings that do not require a seal include drawings that show only:

a. Sizing and dimensioning information for fabrication purposes;

b. Construction techniques or sequences;

c. Components with previous approvals or designed by the registrant of record; or

d. Modifications to existing installations that do not affect the original design parameters and do not require additional computations.

9. Public Works projects which require the signature of each professional involved in the project.

B. A registrant shall apply a label that describes the name of the project and an original imprint of the registrant's seal and signature on all video cassettes that contain copies of professional documents.

C. In the event that a copy of a professional document is provided to a client, regulatory body, or any other person for any reason by computer disk, tape, CD, or any other electronic form, and the document does not meet the requirements of subsection (D), the registrant shall mark the copy of the professional document: "Electronic copy of final document; sealed original document is with (identify the registrant's name and registration number)."

D. A registrant shall sign, date, and seal a professional document:

1. Before the document is submitted to a client, contractor, any regulatory or review body, or any other person, unless the document is marked "preliminary," "draft," or "not for construction" except when the document is work product intended for use by other members of a design team; and

2. In all cases, if the document is prepared for the purpose of dispute resolution, litigation, arbitration, or mediation.

E. For purposes of subsection (A), all original documents shall include:

1. An original seal imprint or a computer-generated seal that matches the seal on file at the Board's office;

2. An original signature that does not obscure either the registrant's printed name or registration number; and

3. The date the document was sealed.

4. A notation beneath the seal either written, typed, or electronically generated that provides the day, month, and year of expiration of current registration, as shown in Appendix B.

F. Methods of transferring a seal other than an original seal imprint or a computer-generated seal are not acceptable.

G. An electronic signature, as an option to a permanently legible signature, in accordance with A.R.S. Title 41 and Title 44, is acceptable for all professional documents. The registrant shall provide adequate security regarding the use of the seal and signature.

History

• Adopted effective August 3, 1983 (Supp. 83-4). Amended effective December 18, 1991 (Supp. 91-4). Amended effective May 1, 1995 (Supp. 95-2). Amended by final rulemaking at 6 A.A.R. 1018, effective February 25, 2000 (Supp. 00-1). Amended by final rulemaking at 9 A.A.R. 791, effective February 12, 2003 (Supp. 03-1). Amended by final rulemaking at 10 A.A.R. 2798, effective August 7, 2004 (Supp. 04-2). Amended by final rulemaking at 13 A.A.R. 1084, effective May 5, 2007 (Supp. 07-1). Amended by final rulemaking at 14 A.A.R. 282, effective March 8, 2008 (Supp. 08-1). Amended by final rulemaking at 24 A.A.R. 1785, effective 8/5/2018.

Ariz. Admin. Code § R4-30-305 [Repealed]

History

• New Section made by exempt rulemaking at 9 A.A.R. 1412, effective April 15, 2003 (Supp. 03-2). Amended by final rulemaking at 10 A.A.R. 2798, effective August 7, 2004 (Supp. 04-2). Amended by final rulemaking at 19 A.A.R. 1911, effective September 7, 2013. Repealed by final rulemaking at 24 A.A.R. 1785, effective 8/5/2018.

Ariz. Admin. Code § R4-30-306 Securing and Using Identifying Markers

A. Registered land surveyors shall obtain at their expense identifying markers such as tags, caps, or embossed nails which shall show the registrant's Arizona Registration Number as issued by the Board, and each registration number shall be prefixed by the letters L.S.

B. Registered land surveyors shall securely attach an identifying marker to every permanent survey point set when making land boundary surveys.

History

• Adopted effective August 3, 1983 (Supp. 83-4). Amended effective December 18, 1991 (Supp. 91-4).

Ariz. Admin. Code § R4-30-307 Repealed

History

• Adopted effective August 3, 1983 (Supp. 83-4). Repealed effective December 18, 1991 (Supp. 91-4).

Chapter 33 BOARD OF EXAMINERS OF NURSING CARE ADMINISTRATORS AND ASSISTED LIVING FACILITY MANAGERS

Article 1 GENERAL

Ariz. Admin. Code § R4-33-101 Definitions

The definitions in A.R.S. § 36-446 apply to this Chapter. Additionally, in this Chapter, unless otherwise specified:

"Accredited" means approved by the North Central Association of Colleges and Secondary Schools, New England Association of Schools and Colleges, Middle States Association of Colleges and Secondary Schools, Northwest Association of Schools and Colleges, Southern Association of Colleges and Schools, or Western Association of Schools and Colleges.

"ACHCA" means the American College of Health Care Administrators.

"Administrator" has the meaning prescribed at A.R.S. § 36-446 and means an individual licensed under this Chapter.

"Administrator in training" or "AIT" means an individual who is taking an AIT program to be licensed as an administrator for a nursing care institution.

"AIT program" means a training that the Board approves after determining that the training meets the standards at R4-33-302.

"Applicant" means an individual who applies to the Board to be licensed as an administrator of a nursing care institution, to be certified as a manager of an assisted living facility, or for approval of a continuing education.

"Application package" means the forms, documents, and fees that the Board requires an applicant to submit or have submitted on the applicant's behalf.

"Arizona examination" means a measure of an applicant's knowledge of Arizona statutes and rules regarding nursing care institution administration or assisted living facility management.

"Biennial period" means:

For an administrator, the period until 30 days after the licensee's birthday in an even-numbered year; and

For a manager, the period until 30 days after the certificate holder's birthday in an odd-numbered year.

"Contact hour" means an hour during which an administrator or manager is physically present at a continuing education or a manager is physically present at a required initial training.

"Continuing education" means a planned educational course or program that the Board approves under R4-33-502.

"Good standing" means an individual licensed by the state is not subject to any disciplinary action or consent order, and not currently under investigation for alleged unprofessional conduct.

"Health care institution" means every place, institution, building or agency, whether organized for profit or not, that provides facilities with medical services, nursing services, behavioral health services, health screening services, other health-related services, supervisory care services, personal care services or directed care services and includes home health agencies as defined in A.R.S. § 36-151, outdoor behavioral health care programs and hospice services agencies. A.R.S. § 36-401.

"Manager" means an assisted living facility manager, as defined at A.R.S. § 36-446, who is certified under this Chapter.

"NAB" means the National Association of Long Term Care Administrator Boards.

"Party" has the same meaning as prescribed in A.R.S. § 41-1001.

"Preceptor" means a practicing nursing care institution administrator who helps to develop a new professional in the field of long-term care administration by tutoring the new professional.

"Qualified instructor" means a person who meets one or more of the following criteria:

A registered nurse, licensed under A.R.S. Title 32, Chapter 15;

An instructor employed by an accredited college or university, or health care institution to teach a health-care related course; or

A person or entity that has sufficient education and training to be qualified to teach a health-care related course.

"Work experience in a health-related field" means employment in a health care institution or in the professional fields of medicine, nursing, social work, gerontology, or other closely related field.

History

• Section R4-33-101 renumbered from R4-33-112 and amended by final rulemaking at 5 A.A.R. 423, effective January 15, 1999 (Supp. 99-1). Amended by final rulemaking at 12 A.A.R. 4075, effective December 4, 2006 (Supp. 06-4). Amended by final rulemaking at 14 A.A.R. 516, effective April 5, 2008 (Supp. 08-1). Amended by final rulemaking at 21 A.A.R. 543, effective 6/6/2015. Amended by final rulemaking at 24 A.A.R. 2734, effective 11/10/2018. Amended by final rulemaking at 29 A.A.R. 642, effective 2/13/2023.

Ariz. Admin. Code § R4-33-102 Board Officers

A. At its first annual meeting, the Board shall elect a president and vice-president.

B. The functions, duties, and limitations of these officers are as follows:

1. President. The president shall call and preside at all Board meetings. The president shall act as chief officer of the Board, appoint committees, and delegate authority to other members of the Board as needed.

2. Vice-president. The vice-president shall preside at Board meetings in the absence of the president and may exercise all the powers and duties of the president in the absence of the president.

C. Board officers serve for one year. A Board officer shall not serve more than two consecutive years in the same position.

History

• Section R4-33-102 renumbered from R4-33-113 and amended by final rulemaking at 5 A.A.R. 423, effective January 15, 1999 (Supp. 99-1). Amended by final rulemaking at 12 A.A.R. 4075, effective December 4, 2006 (Supp. 06-4). Amended by final rulemaking at 14 A.A.R. 516, effective April 5, 2008 (Supp. 08-1).

Ariz. Admin. Code § R4-33-103 Time-frames Time Frames for Licenses, Certifications, and Approvals

A. For each type of license, certification, or approval issued by the Board, the overall time-frame time frame described in A.R.S. § 41-1072(2) is listed in Table 1.

B. For each type of license, certification, or approval issued by the Board, the administrative completeness review time frame described in A.R.S. § 41-1072(1) is listed in Table 1 and begins on the date the Board receives an application package.

If an application package is not administratively complete, the Board shall send a deficiency notice to the applicant that specifies each piece of information or document needed to complete the application package. Within the time provided in Table 1 for response to a deficiency notice, beginning on the mailing date of the deficiency notice, the applicant shall submit to the Board the missing information or document specified in the deficiency notice. The time frame for the Board to finish the administrative completeness review is suspended from the date the Board mails the deficiency notice to the applicant until the date the Board receives the missing information or document.

2. If an application package is administratively complete, the Board shall send a written notice of administrative completeness to the applicant.

3. If an application package is not completed within the time provided to respond to the deficiency notice, the Board shall send a written notice to the applicant informing the applicant that the application is deemed withdrawn.

C. For each type of license, certification, or approval issued by the Board, the substantive review time frame described in A.R.S. § 41-1072(3) is listed in Table 1 and begins on the date the Board sends written notice of administrative completeness to the applicant.

1. During the substantive review time frame, the Board may make one comprehensive written request for additional information. Within the time provided in Table 1 for response to a comprehensive written request for additional information, beginning on the mailing date of the comprehensive written request for additional information, the applicant shall submit to the Board the requested additional information. The time frame for the Board to finish the substantive review is suspended from the date the Board mails the comprehensive written request for additional information to the applicant until the Board receives the requested additional information.

2. The Board shall issue a written notice informing the applicant that the application is deemed withdrawn if the applicant does not submit the requested additional information within the time provided in Table 1.

D. Within the overall time frame listed in Table 1, the Board shall:

1. Deny a license, certificate, or approval to an applicant if the Board determines the applicant does not meet all of the substantive criteria required by statute and this Chapter; or

2. Grant a license, certificate, or approval to an applicant if the Board determines the applicant meets all of the substantive criteria required by statute and this Chapter.

E. If the Board denies a license, certificate, or approval under subsection (D)(1), the Board shall provide a written notice of denial to the applicant that explains:

1. The reason for the denial, with citations to supporting statutes or rules;

The applicant's right to seek a fair hearing to challenge the denial; and

3. The time for appealing the denial.

F. In computing any period of time prescribed in this Section, the day of the act, event, or default after which the designated period of time begins to run is not included. The last day of the period is included unless it is Saturday, Sunday, or a state holiday, in which event the period runs until the end of the next day that is not Saturday, Sunday, or a state holiday. The computation includes intermediate Saturdays, Sundays, and state holidays. The time begins on the date of personal service, date shown as received on a certified mail receipt, or postmark date.

History

• Section R4-33-103 adopted by final rulemaking at 5 A.A.R. 423, effective January 15, 1999 (Supp. 99-1). Amended by final rulemaking at 12 A.A.R. 4075, effective December 4, 2006 (Supp. 06-4). Amended by final rulemaking at 24 A.A.R. 2734, effective 11/10/2018.

Ariz. Admin. Code § R4-33-104 Fees

A. Under the authority provided at A.R.S. § 36-446.12(A), the Board establishes and shall collect the following fees related to nursing care institution administrators. The fees are nonrefundable unless A.R.S. § 41-1077 applies:

1. Initial application, $150;

2. Arizona examination, $500;

3. Re-administer Arizona examination, $150;

4. Issuance of a license, $400 or $17 for each month remaining in the biennial period, whichever is less;

5. Duplicate license, $75;

6. Biennial active license renewal, $400;

7. Biennial inactive license renewal, $200;

8. Late renewal, $100;

9. Temporary license, $300;

10. Certify licensure status, $15;

11. Review sponsorship of a continuing education, $10 per credit hour;

12. Review a licensed administrator's request for continuing education credit, $5 per credit hour.

B. Under the authority provided at A.R.S. § 36-446.03(B), the Board establishes and shall collect the following fees related to assisted living facility managers. The fees are nonrefundable unless A.R.S. § 41-1077 applies:

1. Initial application, $150;

2. Arizona examination, $150;

3. Re-administer Arizona examination, $150;

4. Issuance of a certificate, $150 or $7 for each month remaining in the biennial period, whichever is less;

5. Duplicate certificate, $75;

6. Biennial active certificate renewal, $150;

7. Biennial inactive certificate renewal, $100;

8. Late renewal, $75;

9. Temporary certificate, $100;

10. Review sponsorship of a continuing education, $10 per credit hour;

11. Review a certified manager's request for continuing education credit, $5 per credit hour.

C. Under the authority provided at A.R.S. § 36-446.03(B), the Board establishes and shall collect the following fees related to approval of an assisted living facility manager training program. The fees are nonrefundable unless A.R.S. § 41-1077 applies:

1. Initial approval, $1,000; and

2. Renewal approval, $600.

D. Under the authority provided at A.R.S. § 36-446.03(B), the Board establishes and shall collect the following fees related

to approval of an assisted living facility caregiver training program. The fees are nonrefundable unless A.R.S. § 41-1077 applies:

1. Initial approval, $1,500; and

2. Renewal approval, $1,300.

E. Under the authority provided at A.R.S. § 36-446.03(B), the Board establishes and shall collect the following fees related to approval of an assisted living facility caregiver medication management training program. The fees are nonrefundable unless A.R.S. § 41-1077 applies:

1. Initial approval, $300; and

2. Renewal approval, $250.

F. The Board shall ensure that fees established under this subsection are not increased by more than 25 percent above the amounts previously prescribed by the Board.

History

• New Section made by final rulemaking at 10 A.A.R. 805, effective April 13, 2004 (Supp. 04-1). Amended by final rulemaking at 12 A.A.R. 4075, effective December 4, 2006 (Supp. 06-4). Amended by final rulemaking at 15 A.A.R. 1975, effective November 3, 2009 (Supp. 09-4). Amended by final rulemaking at 19 A.A.R. 1619, effective August 4, 2013 (Supp. 13-2). Amended by final rulemaking at 24 A.A.R. 2734, effective 11/10/2018.

Ariz. Admin. Code § R4-33-105 [Repealed]

History

• New Section made by final rulemaking at 12 A.A.R. 4075, effective December 4, 2006 (Supp. 06-4). Repealed by final rulemaking at 27 A.A.R. 233, effective 4/4/2021.

Ariz. Admin. Code § R4-33-106 Rehearing or Review of Decision

A. The Board shall provide for a rehearing and review of its decisions under A.R.S. Title 41, Chapter 6, Article 10 and the rules established by the Office of Administrative Hearings.

B. Except as provided in subsection (I), a party is required to file a motion for rehearing or review of a decision of the Board to exhaust the party's administrative remedies.

C. A party may amend a motion for rehearing or review at any time before the Board rules on the motion.

D. The Board may grant a rehearing or review for any of the following reasons materially affecting a party's rights:

1. Irregularity in the proceedings of the Board or any order or abuse of discretion that deprived the moving party of a fair hearing;

2. Misconduct of the Board, its staff, or an administrative law judge;

3. Accident or surprise that could not have been prevented by ordinary prudence;

4. Newly discovered material evidence that could not, with reasonable diligence, have been discovered and produced at the hearing;

5. Excessive or insufficient penalty;

6. Error in the admission or rejection of evidence or other errors of law occurring at the hearing or during the progress of the proceedings; and

7. The findings of fact or decision is not justified by the evidence or is contrary to law.

E. The Board may affirm or modify a decision or grant a rehearing or review to all or some of the parties on all or some of the issues for any of the reasons listed in subsection (D). An order modifying a decision or granting a rehearing or review shall specify with particularity the grounds for the order. If a rehearing or review is granted, the rehearing or review shall cover only the matters specified in the order.

F. Not later than 30 days after the date of a decision and after giving the parties notice and an opportunity to be heard, the Board may, on its own initiative, order a rehearing or review of its decision for any reason it might have granted a rehearing or review on motion of a party. The Board may grant a motion for rehearing or review, timely served, for a reason not stated in the motion. An order granting a rehearing or review shall specify with particularity the grounds on which the rehearing or review is granted.

G. When a motion for rehearing is based upon affidavits, they shall be served with the motion. An opposing party may, within 15 days after service, serve opposing affidavits. This period may be extended by the Board for a maximum of 20 days for good cause as described in subsection (H) or by written stipulation of the parties. Reply affidavits may be permitted.

H. The Board may extend all time limits listed in this Section upon a showing of good cause. A party demonstrates good cause by showing that the grounds for the party's motion or other action could not have been known in time, using reasonable diligence, and a ruling on the motion will:

1. Further administrative convenience, expedition, or economy; or

2. Avoid undue prejudice to any party.

I. If, in a particular decision, the Board makes a specific finding that the immediate effectiveness of the decision is necessary for immediate preservation of the public health, safety, or welfare and that a rehearing or review of the decision is impracticable, unnecessary, or contrary to the public interest, the decision may be issued as a final decision without an opportunity for a rehearing or review. If an application for judicial review of the decision is made, it shall be made under A.R.S. § 12-901 et seq.

History

• Section R4-33-106 renumbered from R4-33-209 and amended by final rulemaking at 12 A.A.R. 4075, effective December 4, 2006 (Supp. 06-4).

Ariz. Admin. Code § R4-33-107 Change of Name or Address

A. The Board shall communicate with an administrator or manager using the name and address in the Board's records. To ensure timely communication from the Board, an administrator or manager shall inform the Board in writing of any change in name or address.

B. An administrator or manager shall include in a notice of change in name or address either the new and former name or new and former address.

C. An administrator or manager shall attach to a notice of change in name a copy of the legal document changing the name.

History

• New Section made by final rulemaking at 12 A.A.R. 4075, effective December 4, 2006 (Supp. 06-4).

Ariz. Admin. Code § R4-33-108 Display of License or Certificate

A. An administrator shall display the administrator's original license and current renewal receipt in a conspicuous place in the nursing care institution at which the administrator is appointed.

B. A manager shall display the manager's original certificate and current renewal receipt in a conspicuous place in the assisted care facility at which the manager is appointed.

History

• New Section made by final rulemaking at 12 A.A.R. 4075, effective December 4, 2006 (Supp. 06-4).

Ariz. Admin. Code § R4-33-109 Fingerprint Clearance Card Requirement

Under A.R.S. § 36-446.04, an administrator or manager is required to maintain a valid fingerprint clearance card during the biennial period. Within 10 days after the referenced action, an administrator or manager shall:

1. Submit to the Board a photocopy of the front and back of a new fingerprint clearance card issued to the administrator or manager during the biennial period, or

2. Provide written notice to the Board if:

a. The fingerprint clearance card of the administrator or manager is suspended or revoked, or

b. The administrator or manager is denied a new fingerprint clearance card.

History

• New Section made by final rulemaking at 14 A.A.R. 516, effective April 5, 2008 (Supp. 08-1).

Ariz. Admin. Code § R4-33-111 Repealed

History

• Adopted effective October 12, 1976 (Supp. 76-5). Former Section R4-33-11 renumbered as Section R4-33-111 (Supp. 82-1). Emergency amendment effective June 19, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-1). Emergency expired. Emergency repeal adopted effective November 29, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). Emergency repeal adopted again effective February 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Emergency repeal adopted again effective May 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Emergency repeal adopted again effective September 10, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-3). Emergency expired. Section repealed by final rulemakling at 5 A.A.R. 423, effective January 15, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-33-112 Renumbered

History

• Adopted effective October 12, 1976 (Supp. 76-5). Amended effective July 24, 1978 (Supp. 78-4). Former Section R4-33-12 renumbered and amended as Section R4-33-112 (Supp. 82-1). Emergency amendments effective June 19, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-1). Emergency expired. Amended effective August 6, 1991 (Supp. 91-3). Emergency amendments effective November 29, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). Emergency amendments adopted again with changes effective February 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Emergency amendments adopted again with changes effective May 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Emergency amendments adopted again with changes effective September 10, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-3). Amended with changes effective November 25, 1992 (Supp. 92-4). Final Section R4-33-112 renumbered to R4-33-101 at 5 A.A.R. 423, effective January 15, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-33-113 Renumbered

History

• Adopted effective July 24, 1978 (Supp. 78-4). Former Section R4-33-13 renumbered as Section R4-33-113 (Supp. 82-1). Final Section R4-33-113 renumbered to R4-33-102 at 5 A.A.R. 423, effective January 15, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-33-114 Repealed

History

• Adopted effective October 12, 1976 (Supp. 76-5). Former Section R4-33-14 renumbered and amended as Section R4-33-114 (Supp. 82-1). Section R4-33-114 renumbered by emergency action to R4-33-201 effective June 19, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-2). Repealed effective August 6, 1991 (Supp. 91-3).

Ariz. Admin. Code § R4-33-115 Renumbered

History

• Adopted effective October 12, 1976 (Supp. 76-5). Former Section R4-33-15 renumbered and amended as Section R4-33-115 (Supp. 82-1). Section R4-33-115 renumbered to R4-33-202 by emergency action effective June 19, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-3). Amended effective August 6, 1991 (Supp. 91-3). Emergency expired. Section R4-33-115 renumbered to R4-33-201 by emergency action effective November 29, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). Section R4-33-115 renumbered to R4-33-201 by emergency action effective February 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Section R4-33-115 renumbered to R4-33-201 by emergency action effective May 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Section R4-33-115 renumbered to R4-33-201 by emergency action effective September 10, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-3). Section R4-33-115 renumbered to R4-33-201 effective November 25, 1992 (Supp. 92-4).

Ariz. Admin. Code § R4-33-116 Renumbered

History

• Adopted effective October 12, 1976 (Supp. 76-5). Former Section R4-33-16 renumbered as Section R4-33-116 (Supp. 82-1). Section R4-33-116 renumbered to R4-33-203 by emergency action effective June 19, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-2). Amended effective August 6, 1991 (Supp. 91-3). Emergency expired. Section R4-33-116 renumbered to R4-33-202 by emergency action effective November 29, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). Section R4-33-116 renumbered to R4-33-202 by emergency action effective February 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Section R4-33-116 renumbered to R4-33-202 by emergency action effective May 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Section R4-33-116 renumbered to R4-33-202 by emergency action effective September 10, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-3). Section R4-33-116 renumbered to R4-33-202 effective November 25, 1992 (Supp. 92-4).

Ariz. Admin. Code § R4-33-117 Renumbered

History

• Adopted effective October 12, 1976 (Supp. 76-5). Former Section R4-33-17 renumbered and amended as Section R4-33-117 (Supp. 82-1). Section R4-33-117 renumbered to R4-33-204 by emergency action effective June 19, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-2). Amended effective August 6, 1991 (Supp. 91-3). Emergency expired. Section R4-33-117 renumbered to R4-33-203 by emergency action effective November 29, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). Section R4-33-117 renumbered to R4-33-203 by emergency action effective February 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Section R4-33-117 renumbered to R4-33-203 by emergency action effective May 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Section R4-33-117 renumbered to R4-33-203 by emergency action effective September 10, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-3). Section R4-33-117 renumbered to R4-33-203 effective November 25, 1992 (Supp. 92-4).

Ariz. Admin. Code § R4-33-118 Renumbered

History

• Adopted effective October 12, 1976 (Supp. 76-5). Former Section R4-33-18 renumbered as Section R4-33-118 and repealed effective February 10, 1982 (Supp. 82-1). Section R4-33-118 renumbered to R4-33-205 by emergency action effective June 19, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-2). New Section R4-33-118 adopted effective August 6, 1991 (Supp. 91-3). Emergency expired. Section R4-33-118 renumbered to R4-33-205 by emergency action effective November 29, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-2). Section R4-33-118 renumbered to R4-33-204 by emergency action effective February 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Section R4-33-118 renumbered to R4-33-204 by emergency action effective May 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Section R4-33-118 renumbered to R4-33-204 by emergency action effective September 10, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-3). Section R4-33-118 renumbered to R4-33-204 effective November 25, 1992 (Supp. 92-4).

Ariz. Admin. Code § R4-33-119 Renumbered

History

• Adopted effective October 12, 1976 (Supp. 76-5). Amended effective July 24, 1978 (Supp. 78-4). Former Section R4-33-19 renumbered as Section R4-33-119 and repealed, new Section R4-33-119 adopted effective February 10, 1982 (Supp. 82-1). Amended effective May 2, 1984 (Supp. 84-3). Amended as an emergency effective October 2, 1989, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 89-4). Emergency expired. Emergency amendments readopted without change effective January 3, 1990, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 90-1). Emergency amendments readopted without change effective April 3, 1990, pursuant to A.R.S. § 41-1026, valid for only 90 days; amended effective June 14, 1990 (Supp. 90-2). Section R4-33-119 renumbered to R4-33-206 by emergency action effective June 19, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-2). Amended effective August 6, 1991 (Supp. 91-3). Emergency expired. Section R4-33-119 renumbered to R4-33-206 by emergency action effective November 29, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). Section R4-33-119 renumbered to R4-33-205 by emergency action effective February 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Section R4-33-119 renumbered to R4-33-205 by emergency action effective May 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Section R4-33-119 renumbered to R4-33-205 by emergency action effective September 10, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-3). Section R4-33-119 renumbered to R4-33-205 effective November 25, 1992 (Supp. 92-4).

Ariz. Admin. Code § R4-33-120 Renumbered

History

• Adopted effective October 12, 1976 (Supp. 76-5). Amended effective July 24, 1978 (Supp. 78-4). Former Section R4-33-20 renumbered and amended as Section R4-33-120 (Supp. 82-1). Amended effective August 6, 1991 (Supp. 91-3). Section R4-33-120 renumbered to R4-33-207 by emergency action effective June 19, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-2). Emergency expired. Amended effective August 6, 1991 (Supp. 91-3). Section R4-33-120 renumbered to R4-33-207 by emergency action effective November 29, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). Section R4-33-120 renumbered to R4-33-206 by emergency action effective February 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Section R4-33-120 renumbered to R4-33-206 by emergency action effective May 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Section R4-33-120 renumbered to R4-33-206 by emergency action effective September 10, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-3). Section R4-33-120 renumbered to R4-33-206 effective November 25, 1992 (Supp. 92-4).

Ariz. Admin. Code § R4-33-121 Renumbered

History

• Adopted effective October 12, 1976 (Supp. 76-5). Former Section R4-33-21 renumbered and amended as Section R4-33-121 (Supp. 82-1). Section R4-33-121 renumbered to R4-33-208 by emergency action effective June 19, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-2). Emergency expired. Section R4-33-121 renumbered to R4-33-208 by emergency action effective November 29, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). Section R4-33-121 renumbered to R4-33-207 by emergency action effective February 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Section R4-33-121 renumbered to R4-33-207 by emergency action effective May 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Section R4-33-121 renumbered to R4-33-207 by emergency action effective September 10, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-3). Section R4-33-121 renumbered to R4-33-207 effective November 25, 1992 (Supp. 92-4).

Ariz. Admin. Code § R4-33-122 Renumbered

History

• Adopted effective July 24, 1978 (Supp. 78-4). Former Section R4-33-22 renumbered as Section R4-33-122 (Supp. 82-1). Section R4-33-122 renumbered to R4-33-209 by emergency action effective June 19, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-2). Emergency expired. Section R4-33-122 renumbered to R4-33-209 by emergency action effective November 29, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). Section R4-33-122 renumbered to R4-33-208 by emergency action effective February 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Section R4-33-122 renumbered to R4-33-208 by emergency action effective May 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Section R4-33-122 renumbered to R4-33-208 by emergency action effective September 10, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-3). Section R4-33-122 renumbered to R4-33-208 effective November 25, 1992 (Supp. 92-4).

Ariz. Admin. Code § R4-33-123 Renumbered

History

• Adopted effective October 12, 1976 (Supp. 76-5). Former Section R4-33-23 renumbered as Section R4-33-123 (Supp. 82-1). Section R4-33-123 renumbered to R4-33-210 by emergency action effective June 19, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-2). Emergency expired. Section R4-33-123 renumbered to R4-33-210 by emergency action effective November 29, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). Section R4-33-123 renumbered to R4-33-209 by emergency action effective February 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Section R4-33-123 renumbered to R4-33-209 by emergency action effective May 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Section R4-33-123 renumbered to R4-33-209 by emergency action effective September 10, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-3). Section R4-33-123 renumbered to R4-33-209 effective November 25, 1992 (Supp. 92-4).

Ariz. Admin. Code § R4-33-124 Renumbered

History

• Adopted effective October 12, 1976 (Supp. 76-5). Former Section R4-33-24 renumbered as Section R4-33-124 (Supp. 82-1). Section R4-33-124 renumbered to R4-33-211 by emergency action effective June 19, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-2). Emergency expired. Section R4-33-124 renumbered to R4-33-211 by emergency action effective November 29, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). Section R4-33-124 renumbered to R4-33-210 by emergency action effective February 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Section R4-33-124 renumbered to R4-33-210 by emergency action effective May 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Section R4-33-124 renumbered to R4-33-210 by emergency action effective September 10, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-3). Section R4-33-124 renumbered to R4-33-210 effective November 25, 1992 (Supp. 92-4).

Ariz. Admin. Code § R4-33-125 Renumbered

History

• Section R4-33-125 renumbered to R4-33-211 by emergency action effective February 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Section R4-33-125 renumbered to R4-33-211 by emergency action effective May 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Section R4-33-125 renumbered to R4-33-211 by emergency action effective September 10, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-3). Section R4-33-125 renumbered to R4-33-211 effective November 25, 1992 (Supp. 92-4).

Ariz. Admin. Code § R4-33-126 Renumbered

History

• Adopted effective August 6, 1991 (Supp. 91-3). Former Section R4-33-126 renumbered to R4-33-212 by emergency action effective November 29, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). Section R4-33-126 renumbered to R4-33-212 by emergency action effective February 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Section R4-33-126 renumbered to R4-33-212 by emergency action effective May 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Section R4-33-126 renumbered to R4-33-212 by emergency action effective September 10, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-3). Section R4-33-126 renumbered to R4-33-212 effective November 25, 1992 (Supp. 92-4).

Ariz. Admin. Code § R4-33-127 Renumbered

History

• Adopted effective October 12, 1976 (Supp. 76-5). Former Section R4-33-27 renumbered and amended as Section R4-33-127 (Supp. 82-1). Section R4-33-127 renumbered to R4-33-212 by emergency action effective June 19, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-2). Repealed effective August 6, 1991 (Supp. 91-3). Emergency expired. Section R4-33-127 renumbered to R4-33-213 by emergency action effective November 29, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). Section R4-33-127 renumbered to R4-33-213 by emergency action effective February 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Section R4-33-127 renumbered to R4-33-213 by emergency action effective May 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Section R4-33-127 renumbered to R4-33-213 by emergency action effective September 10, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-3). Section R4-33-127 renumbered to R4-33-213 effective November 25, 1992 (Supp. 92-4).

Ariz. Admin. Code § R4-33-128 Renumbered

History

• Adopted effective October 12, 1976 (Supp. 76-5). Former Section R4-33-28 renumbered as Section R4-33-128 (Supp. 82-1). Section R4-33-128 renumbered to R4-33-213 by emergency action effective June 19, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-2). Emergency expired. Section R4-33-128 renumbered to R4-33-214 by emergency action effective November 29, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). Section R4-33-128 renumbered to R4-33-214 by emergency action effective February 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Section R4-33-128 renumbered to R4-33-214 by emergency action effective May 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Section R4-33-128 renumbered to R4-33-214 by emergency action effective September 10, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-3). Section R4-33-128 renumbered to R4-33-214 effective November 25, 1992 (Supp. 92-4).

Ariz. Admin. Code § R4-33-129 Renumbered

History

• Adopted effective October 12, 1976 (Supp. 76-5). Former Section R4-33-29 renumbered as Section R4-33-129 and repealed effective February 10, 1982 (Supp. 82-1). Section R4-33-129 renumbered to R4-33-214 by emergency action effective June 19, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-2). Emergency expired. Section R4-33-129 renumbered to R4-33-215 by emergency action effective November 29, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). Section R4-33-129 renumbered to R4-33-215 by emergency action effective February 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Section R4-33-129 renumbered to R4-33-215 by emergency action effective May 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Section R4-33-129 renumbered to R4-33-215 by emergency action effective September 10, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-3). Section R4-33-129 renumbered to R4-33-215 effective November 25, 1992 (Supp. 92-4).

Ariz. Admin. Code § R4-33-130 Renumbered

History

• Adopted effective July 24. 1989 (Supp. 78-4). Former Section R4-33-30 renumbered as Section R4-33-130 and repealed, new Section R4-33-130 adopted effective February 10, 1982 (Supp. 82-1). Amended effective August 6, 1991 (Supp. 91-3). Section R4-33-130 renumbered to R4-33-215 by emergency action effective June 19, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-2). Amended effective August 6, 1991 (Supp. 91-3). Emergency expired. Section R4-33-130 renumbered to R4-33-216 by emergency action effective November 29, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). Section R4-33-130 renumbered to R4-33-216 by emergency action effective February 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Section R4-33-130 renumbered to R4-33-216 by emergency action effective May 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Section R4-33-130 renumbered to R4-33-216 by emergency action effective September 10, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-3). Section R4-33-130 renumbered to R4-33-216 effective November 25, 1992 (Supp. 92-4).

Article 2 NURSING CARE INSTITUTION ADMINISTRATOR LICENSING

Ariz. Admin. Code § R4-33-201 Requirements for Initial License by Examination

To be eligible to receive an initial license by examination as a nursing care institution administrator, an individual shall:

1. Education and training.

a. Hold a minimum of a baccalaureate degree from an accredited college or university and successfully complete an AIT program;

b. Hold a minimum of a master's degree in either a health-related field or business administration from an accredited college or university; or

c. Hold a minimum of an associate of arts degree in nursing from an accredited college or university and:

i. Be currently licensed as a registered nurse under A.R.S. § 32-1632,

ii. Have worked as a registered nurse for five of the last seven years, and

iii. Successfully complete an AIT program.

Examination.

a. Obtain the scaled passing scores on both the NAB core of knowledge and line of service examinations or qualify with NAB as a Health Services Executive, and

b. Obtain a score of at least 80 percent on the Arizona examination; and

3. Fingerprint clearance card. Have a valid fingerprint clearance card issued under A.R.S. Title 41, Chapter 12, Article 3.1; and

4. 3. Application. Submit all applicable information required under R4-33-204.

History

• Adopted effective October 12, 1976 (Supp. 76-5). Former Section R4-33-15 renumbered and amended as Section R4-33-115 (Supp. 82-1). Section R4-33-202 renumbered from R4-33-115 by emergency action effective June 19, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-2). Amended effective August 6, 1991 (Supp. 91-3). Emergency expired. New Section R4-33-201 renumbered from R4-33-115 by emergency action effective November 29, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). New Section R4-33-201 renumbered from R4-33-115 by emergency action effective February 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). New Section R4-33-201 renumbered from R4-33-115 by emergency action effective May 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. New Section R4-33-201 renumbered from R4-33-115 by emergency action effective September 10, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-3). Section R4-33-201 renumbered from R4-33-115 effective November 25, 1992 (Supp. 92-4). Text corrected to include amendments adopted effective August 6, 1991, which were inadvertently omitted (Supp. 95-2). Amended by final rulemaking at 5 A.A.R. 423, effective January 15, 1999 (Supp. 99-1). Former R4-33-201 renumbered to R4-33-204; new R4-33-201 renumbered from R4-33-204 and amended by final rulemaking at 12 A.A.R. 4075, effective December 4, 2006 (Supp. 06-4). Amended by final rulemaking at 14 A.A.R. 516, effective April 5, 2008 (Supp. 08-1). Amended by final rulemaking at 24 A.A.R. 2734, effective 11/10/2018. Amended by final rulemaking at 29 A.A.R. 642, effective 2/13/2023.

Ariz. Admin. Code § R4-33-202 Requirements for Initial License by Reciprocity

To be eligible for an initial license by reciprocity as a nursing care institution administrator, an individual shall:

1. Substantially equivalent educational requirement.

a. Hold a minimum of a baccalaureate degree from an accredited college or university, or

b. Hold ACHCA certification;

2. Substantially equivalent examination requirement.

a. Hold a valid and current license as a nursing care institution administrator:

i. Issued at least two years ago,

ii. Issued by a state or territory, and

iii. Obtained by passing the NAB examination; or

b. Have evidence of qualification by NAB as a Health Services Executive; and

c. Obtain a score of at least 80 percent on the Arizona examination;

3. Never have had a nursing care administrator license suspended, revoked, or otherwise restricted by any state or territory; and

4. Fingerprint clearance card. Have a valid fingerprint clearance card issued under A.R.S. Title 41, Chapter 12, Article 3.1; and

5. 4. Application.

a. Submit all applicable information required under R4-33-204,

b. Have submitted directly to the Board a certified copy of the valid and current license issued by a state or territory, and

c. Have submitted directly to the Board by NAB:

i. The examination score referenced under subsection (2)(a), or

ii. Evidence of qualification as a Health Services Executive.

History

• Adopted effective October 12, 1976 (Supp. 76-5). Former Section R4-33-16 renumbered as Section R4-33-116 (Supp. 82-1). Section R4-33-203 renumbered from R4-33-116 by emergency action effective June 19, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-2). Emergency expired. Amended as Section R4-33-116 effective August 6, 1991 (Supp. 91-3). Section R4-33-202 renumbered from R4-33-116 by emergency action effective November 29, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). Section R4-33-202 renumbered from R4-33-116 by emergency action effective February 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Section R4-33-202 renumbered from R4-33-116 by emergency action effective May 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Section R4-33-202 renumbered from R4-33-116 by emergency action effective September 10, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-3). Section R4-33-202 renumbered from R4-33-116 effective November 25, 1992 (Supp. 92-4). Text corrected to include amendments adopted effective August 6, 1991, which were inadvertently omitted (Supp. 95-2). Amended by final rulemaking at 5 A.A.R. 423, effective January 15, 1999 (Supp. 99-1). Former R4-33-202 renumbered to R4-33-205; new R4-33-202 renumbered from R4-33-203 and amended by final rulemaking at 12 A.A.R. 4075, effective December 4, 2006 (Supp. 06-4). Amended by final rulemaking at 14 A.A.R. 516, effective April 5, 2008 (Supp. 08-1). Amended by final rulemaking at 24 A.A.R. 2734, effective 11/10/2018. Amended by final rulemaking at 29 A.A.R. 642, effective 2/13/2023.

Ariz. Admin. Code § R4-33-203 Requirements for Temporary License

A. To be eligible for a temporary license as a nursing care institution administrator, an individual shall:

1. Meet the requirements specified in R4-33-201 or R4-33-202 except for the requirement at R4-33-201(2) or R4-33-202(2)(b);

2. Have the owner of a nursing care institution that intends to appoint the applicant as administrator if the applicant is successful in obtaining a temporary license submit to the Board a Letter of Intent to Appoint on a form that is available from the Board. The owner of the nursing care institution shall include the following in the Letter of Intent to Appoint:

a. Name of the owner of the nursing care institution,

b. Name and address of the nursing care institution,

c. Name of the applicant,

d. An affirmation of intent to appoint the applicant,

e. Reason for requesting a temporary license for the applicant,

f. License number of the nursing care institution, and

g. Notarized signature of the owner of the nursing care institution;

3. Not have held an Arizona temporary license as a nursing care institution administrator within the past three years; and

4. Not have failed the Arizona or NAB examination before applying for a temporary license.

B. At the Board's request, an applicant for a temporary license shall appear or be available by telephone for an interview with the Board.

C. A temporary license is valid for 150 days and is not renewable. Before expiration of the temporary license, the temporary licensee shall become licensed under A.R.S. § 36-446.04 and this Article or discontinue as administrator of the nursing care institution.

D. If a temporary licensee fails the Arizona or NAB examination during the term of the temporary license, the temporary license is automatically revoked and the former licensee shall discontinue as administrator of the nursing care institution.

History

• Adopted effective October 12, 1976 (Supp. 76-5). Former Section R4-33-17 renumbered and amended as Section R4-33-117 (Supp. 82-1). Section R4-33-204 renumbered from R4-33-117 by emergency action effective June 19, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-2). Emergency expired. Amended as Section R4-33-117 effective August 6, 1991 (Supp. 91-3). Section R4-33-203 renumbered from R4-33-117 by emergency action effective November 29, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). Section R4-33-203 renumbered from R4-33-117 by emergency action effective February 28. 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Section R4-33-203 renumbered from R4-33-117 by emergency action effective May 28. 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Section R4-33-203 renumbered from R4-33-117 by emergency action effective September 10. 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-3). Section R4-33-203 renumbered from R4-33-117 effective November 25, 1992 (Supp. 92-4). Text corrected to include amendments adopted effective August 6, 1991, which were inadvertently omitted (Supp. 95-2). Amended by final rulemaking at 5 A.A.R. 423, effective January 15, 1999 (Supp. 99-1). Former R4-33-203 renumbered to R4-33-202; new R4-33-203 renumbered from R4-33-212 and amended by final rulemaking at 12 A.A.R. 4075, effective December 4, 2006 (Supp. 06-4).

Ariz. Admin. Code § R4-33-204 Initial Application

A. An individual who desires to be licensed as a nursing care institution administrator shall submit the following information to the Board on an application form, which is available from the Board:

1. Full name of the applicant;

2. Other names that the applicant has used;

3. Mailing address of the applicant;

4. E-mail address of the applicant;

5. Home, work, and mobile telephone numbers of the applicant;

6. Applicant's date and place of birth;

7. Applicant's Social Security number;

8. Address of every residence at which the applicant has lived in the last five years;

9. Name and address of every accredited college or university attended, dates of attendance, date of graduation, and degree or certificate received;

10. Information regarding professional licenses or certifications currently or previously held by the applicant, including:

a. Name of issuing agency;

b. License or certificate number;

c. Issuing jurisdiction;

d. Date on which the license or certificate was first issued;

e. Whether the license or certificate is current; and

f. Whether the license or certificate is in good standing and if not, an explanation;

11. Information regarding the applicant's employment record for the last five years, including:

a. Name, address, and telephone number of each employer;

b. Title of position held by the applicant;

c. Name of applicant's supervisor;

d. Dates of employment; and

e. Reason for employment termination;

12. Whether the applicant was ever denied a professional license or certificate and if so, the kind of license or certificate denied, licensing authority making the denial, and date;

13. Whether the applicant ever voluntarily surrendered a professional license or certificate and if so, the kind of license or certificate surrendered, licensing authority, date, and reason for the surrender;

14. Whether the applicant ever allowed a professional license or certificate to lapse and if so, the kind of license or certificate that lapsed, licensing authority, date, reason for lapse, and whether the license or certificate was reinstated;

15. Whether the applicant ever had a limitation imposed on a professional license or certificate and if so, the kind of license or certificate limited, licensing authority, date, nature of limitation, reason for limitation, and whether the limitation was removed;

16. Whether the applicant ever had a professional license or certificate suspended or revoked and if so, the kind of license or certificate suspended or revoked, licensing authority, date, and reason for the suspension or revocation;

17. Whether the applicant ever was subject to disciplinary action with regard to a professional license or certificate and if so, the kind of license or certificate involved, licensing authority, date, and reason for and nature of the disciplinary action;

18. Whether any unresolved complaint against the applicant is pending with a licensing authority, professional association, health care facility, or nursing care institution and if so, the nature of and where the complaint is pending;

19. Whether the applicant ever was charged with or convicted of a felony or a misdemeanor, other than a minor traffic violation, in any court and if so, the nature of the offense, jurisdiction, and date of discharge; and

20. Whether the applicant ever was pardoned from or had expunged the record of a felony conviction and if so, the nature of the offense, jurisdiction, and date of pardon or expunging.

B. In addition to the application form required under subsection (A), an applicant shall have the following submitted directly to the Board on the applicant's behalf:

1. Official transcript submitted by each accredited college or university attended by the applicant;

2. Verification of license that is signed, authenticated by seal or notarization, and submitted by each agency that ever issued a professional license to the applicant;

3. "Character Certification" form submitted by two individuals who have known the applicant for at least three years and are not related to, employed by, or employing the applicant; and

4. If the applicant is certified by ACHCA, verification of certification submitted by ACHCA;

C. In addition to complying with subsections (A) and (B), an applicant shall submit:

1. If the applicant completed an AIT program, a photocopy of the certificate issued upon completion;

2. For every felony or misdemeanor charge listed under subsection (A)(19), a copy of documents from the appropriate court showing the disposition of each charge;

3. For every felony or misdemeanor conviction listed under subsection (A)(19), a copy of documents from the appropriate court showing whether the applicant met all judicially imposed sentencing terms;

Full-face photograph of the applicant taken within the last six months;

5. Fingerprint clearance card.

a. Photocopy of the front and back of the applicant's fingerprint clearance card and has not been convicted of a felony involving violence or financial fraud,

b. Proof of submission of an application for a fingerprint clearance card and has not been convicted of a felony involving violence or financial fraud, or

c. If denied a fingerprint clearance card, proof the applicant qualifies for a good-cause exception hearing under A.R.S. § 41619.55 and has not been convicted of a felony involving violence or financial fraud;

6. A full set of fingerprints taken by a law enforcement agency or other authority acceptable to the Board and in a format acceptable to the Arizona Department of Public Safety and the Federal Bureau of Investigation and the amount charged by the Arizona Department of Public Safety to process the fingerprints for a state and federal criminal history records check;

6. 7. Documentation, as described in A.R.S. § 41-1080(A), of U.S. citizenship or alien status indicating presence in the U.S. is authorized under federal law;

7. 8. Affirm the information provided in the application is true and complete and authorize others to release information regarding the applicant to the Board; and

8. 9. Fees required under R4-33-104(A)(1) and (A)(2).

D. If required by the Board under A.R.S. § 36-446.03(D), an applicant shall appear before the Board.

E. When the information required under subsections (A) through (C) is received and following an appearance before the Board required under subsection (D), the Board shall provide notice regarding whether the applicant may take the licensing examinations required under R4-33-201 or R4-33-202.

F. Because of the time required for the Board to perform an administrative completeness review under R4-33-103, an applicant shall ensure the information required under subsections (A) through (C) is submitted at least 30 days before the applicant expects to take the Arizona examination.

History

• Adopted effective October 12, 1976 (Supp. 76-5). Former Section R4-33-18 renumbered as Section R4-33-118 and repealed effective February 10, 1982 (Supp. 82-1). Section R4-33-205 renumbered from R4-33-118 by emergency action effective June 19, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-2). Emergency expired. Section R4-33-204 renumbered from R4-33-118 by emergency action effective November 29, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). Section R4-33-204 renumbered from R4-33-118 by emergency action effective February 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Section R4-33-204 renumbered from R4-33-118 by emergency action effective May 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Section R4-33-204 renumbered from R4-33-118 by emergency action effective September 10, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-3). Section R4-33-204 renumbered from R4-33-118 effective November 25, 1992 (Supp. 92-4). Final amendment at 5 A.A.R. 423, effective January 15, 1999 (Supp. 99-1). Former R4-33-204 renumbered to R4-33-201; new R4-33-204 renumbered from R4-33-201 and amended by final rulemaking at 12 A.A.R. 4075, effective December 4, 2006 (Supp. 06-4). Amended by final rulemaking at 14 A.A.R. 516, effective April 5, 2008 (Supp. 08-1). Amended by final rulemaking at 24 A.A.R. 2734, effective 11/10/2018. Amended by final rulemaking at 29 A.A.R. 642, effective 2/13/2023.

Ariz. Admin. Code § R4-33-205 Administration of Examinations; License Issuance

A. The Board shall administer the Arizona examination at least twice each year at times and places specified by the Board.

B. An applicant shall make arrangements directly with NAB to take the NAB examination.

C. The Board shall provide written notice to an applicant regarding whether the applicant passed a required examination.

D. An applicant for licensure under R4-33-201 is not required to take or pass both examinations at the same time. An applicant who passes one of the examinations listed in R4-33-201(2) but fails the other is required to retake only the examination failed.

E. When an applicant passes the examinations required under R4-33-201 or R4-33-202, the Board shall send the applicant a written notice that the Board will issue a license to the applicant when the applicant submits to the Board the fee required under R4-33-104(A)(4). If the applicant fails to submit the fee within six months of the Board's notice, the Board shall administratively close the applicant's file. An individual whose file is administratively closed may receive further consideration only by submitting a new application under R4-33-201 or R4-33-202.

History

• Adopted effective October 12, 1976 (Supp. 76-5). Amended effective July 24, 1978 (Supp. 78-4). Former Section R4-33-19 renumbered as Section R4-33-119 and repealed, new Section R4-33-119 adopted effective February 10, 1982 (Supp. 82-1). Amended effective May 2, 1984 (Supp. 84-3). Amended as an emergency effective October 2, 1989, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 89-4). Emergency expired. Emergency amendments readopted without change effective January 3, 1990, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 90-1). Emergency amendments adopted again without change effective April 3, 1990, pursuant to A.R.S. § 41-1026, valid for only 90 days; amended effective June 14, 1990 (Supp. 90-2). Section R4-33-206 renumbered from R4-33-119 by emergency action effective June 19, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-2). Amended as R4-33-119 effective August 6, 1991 (Supp. 91-3). Emergency expired. Section R4-33-206 renumbered from R4-33-119 by emergency action effective November 29, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). Section R4-33-205 renumbered from R4-33-119 by emergency action effective February 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Section R4-33-205 renumbered from R4-33-119 by emergency action effective May 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Section R4-33-205 renumbered from R4-33-119 by emergency action effective September 10, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-3). Section R4-33-205 renumbered from R4-33-119 effective November 25, 1992 (Supp. 92-4). Text corrected to include amendments adopted effective August 6, 1991, which were inadvertently omitted (Supp. 95-2). Amended by final rulemaking at 5 A.A.R. 423, effective January 15, 1999 (Supp. 99-1). Section repealed by final rulemaking at 10 A.A.R. 805, effective April 13, 2004 (Supp. 04-1). Section R4-33-205 renumbered from R4-33-202 and amended by final rulemaking at 12 A.A.R. 4075, effective December 4, 2006 (Supp. 06-4).

Ariz. Admin. Code § R4-33-206 Renewal Application

A. The Board shall provide a licensee with notice of the need for license renewal. Failure to receive notice of the need for license renewal does not excuse a licensee's failure to renew timely.

B. An administrator license expires at midnight 30 days after the administrator's birthday in each even-numbered year.

C. To renew an administrator license, the licensee shall submit the following information to the Board, before expiration of the biennial period, on a renewal application, which is available from the Board:

1. Current address;

2. Current e-mail address;

3. Current home and business telephone numbers;

Whether within the last 24 months the licensee was convicted of or pled guilty or no contest to a criminal offense, other than a minor traffic violation, in any court and if so, attach a copy of the original arrest record and final court judgment;

5. Whether within the last 24 months the licensee was denied a professional license or had a professional license revoked, suspended, placed on probation, limited, or restricted in any way by a state or federal regulatory authority and if so, the kind of license, license number, issuing authority, nature of the regulatory action, and date;

6. An affirmation that the number of hours of continuing education required under R4-33-501 has been completed; and

7. The licensee's dated signature affirming the information provided is true and complete.

D. In addition to the renewal application required under subsection (C), a licensee shall submit:

1. A photocopy of the front and back of the licensee's fingerprint clearance card;

2. Documentation described in A.R.S. § 41-1080(A) unless the documentation previously submitted under R4-33-204(C)(7) established U.S. citizenship or was a non-expiring work authorization issued by the federal government; and

3. The license renewal fee required under R4-33-104.

E. An individual whose license expires because of failure to renew timely may apply for renewal by complying with subsections (C) and (D) if:

1. The individual complies with subsections (C) and (D) on or before July 31,

2. 1. The individual pays the late renewal fee prescribed under R4-33-104,

3. 2. The individual affirms the individual has not acted as a nursing care institution administrator since the license expired, and

3. The individual's license has not been surrendered, suspended, or revoked.

F. An individual whose license expires because of failure to renew timely and who does not comply with subsection (E) may become licensed as a nursing care institution administrator only by complying with R4-33-201 or R4-33-202.

History

• Adopted effective October 12, 1976 (Supp. 76-5). Amended effective July 24, 1978 (Supp. 78-4). Former Section R4-33-20 renumbered and amended as Section R4-33-120 (Supp. 82-1). Section R4-33-207 renumbered from R4-33-120 by emergency action effective June 19, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-2). Emergency expired. Amended as R4-33-120 effective August 6, 1991 (Supp. 91-3). Section R4-33-207 renumbered from R4-33-120 by emergency action effective November 29, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). Section R4-33-207 renumbered from R4-33-120 by emergency action effective February 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Section R4-33-207 renumbered from R4-33-120 by emergency action effective May 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Section R4-33-207 renumbered from R4-33-120 by emergency action effective September 10, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-3). Section R4-33-206 renumbered from R4-33-120 effective November 25, 1992 (Supp. 92-4). Text corrected to include amendments adopted effective August 6, 1991, which were inadvertently omitted (Supp. 95-2). Amended by final rulemaking at 5 A.A.R. 423, effective January 15, 1999 (Supp. 99-1). Amended by final rulemaking at 12 A.A.R. 4075, effective December 4, 2006 (Supp. 06-4). Amended by final rulemaking at 14 A.A.R. 516, effective April 5, 2008 (Supp. 08-1). Amended by final rulemaking at 15 A.A.R. 1975, effective November 3, 2009 (Supp. 09-4). Amended by final rulemaking at 24 A.A.R. 2734, effective 11/10/2018. Amended by final rulemaking at 29 A.A.R. 642, effective 2/13/2023.

Ariz. Admin. Code § R4-33-207 Inactive Status

A. The Board shall place an administrator's license on inactive status if the administrator:

1. Is in good standing in Arizona,

2. Submits a written request to the Board to be placed on inactive status, and

3. Submits evidence that complies with R4-33-501(D) showing that the administrator completed two hours of continuing education for each month in the current biennial period before the request to be placed on inactive status.

B. Within seven days after receiving a request to be placed on inactive status, the Board shall provide the administrator written confirmation of inactive status.

C. An administrator whose license is on inactive status is not required to comply with R4-33-501.

D. An inactive license expires under R4-33-206 unless the administrator timely submits a renewal application and the fee required under R4-33-104(A)(7).

E. To resume active licensure status, an administrator shall:

1. Submit evidence that complies with R4-33-501(D) showing that the administrator completed 25 hours of continuing education within the six months before requesting to resume active licensure status, and

2. Submit a written request to the Board to resume active licensure status.

F. The Board shall grant a request to resume active licensure status if the requirements of subsection (E) are met. Within seven days after receiving the written request to resume active licensure status, the Board shall send written notice to the administrator granting or denying active status.

History

• Adopted effective October 12, 1976 (Supp. 76-5). Former Section R4-33-21 renumbered and amended as Section R4-33-121 (Supp. 82-1). Section R4-33-208 renumbered from R4-33-121 by emergency action effective June 19, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-2). Emergency expired. Section R4-33-208 renumbered from R4-33-121 by emergency action effective November 29, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). Section R4-33-208 renumbered from R4-33-121 by emergency action effective February 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Section R4-33-208 renumbered from R4-33-121 by emergency action effective May 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Section R4-33-208 renumbered from R4-33-121 by emergency action effective September 10, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-3). Section R4-33-207 renumbered from R4-33-121 effective November 25, 1992 (Supp. 92-4). Section R4-33-207 renumbered to R4-33-208, new Section adopted by final rulemaking at 5 A.A.R. 423, effective January 15, 1999 (Supp. 99-1). Amended by final rulemaking at 12 A.A.R. 4075, effective December 4, 2006 (Supp. 06-4).

Ariz. Admin. Code § R4-33-208 Standards of Conduct; Disciplinary Action

A. An administrator shall know and comply with all federal and state laws applicable to operation of a nursing care institution.

B. An administrator shall not:

1. Engage in unprofessional conduct as defined at A.R.S. § 36-446;

2. Be addicted to or dependent on the use of narcotics or other drugs, including alcohol;

3. Directly or indirectly permit an owner, officer, or employee of a nursing care institution to solicit, offer, or receive any premium, rebate, or other valuable consideration in connection with furnishing goods or services to patients of the institution unless the resulting economic benefit is directly passed to the patients;

4. Directly or indirectly permit an owner, officer, or employee of a nursing care institution to solicit, offer, or receive any premium, rebate, or other valuable consideration for referring a patient to another person or place unless the resulting economic benefit is directly passed to the patient;

Willfully permit the unauthorized disclosure of information relating to a patient or a patient's records;

Discriminate against a patient or employee on the basis of race, sex, age, religion, disability, or national origin;

7. Misrepresent the administrator's qualifications, education, or experience;

8. Aid or abet another person to misrepresent that person's qualifications, education, or experience;

9. Defend, support, or ignore unethical conduct of an employee, owner, or other administrator;

10. Engage in any conduct or practice contrary to recognized community standards or ethics of a nursing care institution administrator;

Engage in any conduct or practice that is or might constitute incompetence, gross negligence, repeated negligence, or negligence that might constitute a danger to the health, welfare, or safety of a patient or the public;

12. Procure or attempt to procure by fraud or misrepresentation a license or renewal of a license as a nursing care institution administrator;

Violate a formal order, condition of probation, or stipulation issued by the Board;

14. Commit an act of sexual abuse, misconduct, harassment, or exploitation;

15. Retaliate against any person who reports in good faith to the Board alleged incompetence or illegal or unethical conduct of any administrator; or

16. Accept an appointment as administrator of a nursing care institution in violation of R4-33-212.

C. The Board shall consider a final judgment or conviction for a felony, an offense involving moral turpitude, or direct or indirect elder abuse as grounds for disciplinary action under A.R.S. § 36-446.07 including denial of a license or license renewal.

D. An administrator who violates any provision of A.R.S. Title 36, Chapter 4, Article 6 or this Chapter is subject to discipline under A.R.S. § 36-446.07.

History

• Adopted effective July 24, 1978 (Supp. 78-4). Former Section R4-33-22 renumbered as Section R4-33-122 (Supp. 82-1). Section R4-33-209 renumbered from R4-33-122 by emergency action effective June 19, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-2). Emergency expired. Section R4-33-209 renumbered from R4-33-122 by emergency action effective November 29, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). Section R4-33-209 renumbered from R4-33-122 by emergency action effective February 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Section R4-33-209 renumbered from R4-33-122 by emergency action effective May 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Section R4-33-209 renumbered from R4-33-122 by emergency action effective September 10, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-3). Section R4-33-208 renumbered from R4-33-122 effective November 25, 1992 (Supp. 92-4). Section R4-33-208 renumbered to R4-33-209, new Section R4-33-208 renumbered from R4-33-207 and amended by final rulemaking at 5 A.A.R. 423, effective January 15, 1999 (Supp. 99-1). Amended by final rulemaking at 12 A.A.R. 4075, effective December 4, 2006 (Supp. 06-4).

Ariz. Admin. Code § R4-33-209 Renumbered

History

• Adopted effective October 12, 1976 (Supp. 76-5). Former Section R4-33-23 renumbered as Section R4-33-123 (Supp. 82-1). Section R4-33-210 renumbered from R4-33-123 by emergency action effective June 19, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-2). Emergency expired. Section R4-33-210 renumbered from R4-33-123 by emergency action effective November 29, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). Section R4-33-210 renumbered from R4-33-123 by emergency action effective February 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Section R4-33-210 renumbered from R4-33-123 by emergency action effective May 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Section R4-33-210 renumbered from R4-33-123 by emergency action effective September 10, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-3). Section R4-33-209 renumbered from R4-33-123 effective November 25, 1992 (Supp. 92-4). Section R4-33-209 renumbered to R4-33-210, new Section R4-33-209 renumbered from R4-33-208 and amended by final rulemaking at 5 A.A.R. 423, effective January 15, 1999 (Supp. 99-1). Section R4-33-209 renumbered to R4-33-106 by final rulemaking at 12 A.A.R. 4075, effective December 4, 2006 (Supp. 06-4).

Ariz. Admin. Code § R4-33-210 Licensure Following Revocation

An individual who wishes to be licensed after the individual's license as a nursing care institution administrator is revoked shall:

1. Not apply for licensure until at least 12 months have passed since the revocation; and

2. Apply for licensure under R4-33-201 or R4-33-202.

History

• Adopted effective October 12, 1976 (Supp. 76-5). Former Section R4-33-24 renumbered as Section R4-33-124 (Supp. 82-1). Section R4-33-211 renumbered from R4-33-124 by emergency action effective June 19, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-2). Emergency expired. Section R4-33-212 renumbered from R4-33-124 by emergency action effective November 29, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). Section R4-33-210 renumbered from R4-33-124 by emergency action effective February 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Section R4-33-210 renumbered from R4-33-124 by emergency action effective May 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Section R4-33-210 renumbered from R4-33-124 by emergency action effective September 10, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-3). Section R4-33-210 renumbered from R4-33-124 effective November 25, 1992 (Supp. 92-4). Section R4-33-210 renumbered to R4-33-211, new Section R4-33-210 renumbered from R4-33-209 and amended by final rulemaking at 5 A.A.R. 423, effective January 15, 1999 (Supp. 99-1). Section repealed; new Section made by final rulemaking at 12 A.A.R. 4075, effective December 4, 2006 (Supp. 06-4).

Ariz. Admin. Code § R4-33-211 Notice of Appointment

A. An administrator shall provide written notice to the Board, within 30 days, of being appointed administrator of a nursing care institution or terminating an appointment.

B. An administrator shall include the following, as applicable, in a notice regarding the administrator's appointment:

Administrator's name,

Administrator's license number,

Name and address of the nursing care institution to which the administrator is appointed,

4. Date of appointment,

5. Name and address of the nursing care institution at which the administrator's appointment is terminated, and

6. Date of termination.

History

• Section R4-33-211 renumbered from R4-33-125 by emergency action effective February 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Section R4-33-211 renumbered from R4-33-125 by emergency action effective May 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Section R4-33-211 renumbered from R4-33-125 by emergency action effective September 10, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-3). Section R4-33-211 renumbered from R4-33-125 effective November 25, 1992 (Supp. 92-4). New Section R4-33-211 renumbered from R4-33-210 and amended by final rulemaking at 5 A.A.R. 423, effective January 15, 1999 (Supp. 99-1). Amended by final rulemaking at 12 A.A.R. 4075, effective December 4, 2006 (Supp. 06-4).

Ariz. Admin. Code § R4-33-212 Appointment As Administrator of Multiple Nursing Care Institutions

A. Except as provided in subsection (B), an individual licensed under R4-33-201 or R4-33-202 shall not be appointed as administrator of more than one nursing care institution.

B. An individual licensed under R4-33-201 or R4-33-202 may be appointed as administrator of a second nursing care institution if:

1. Neither nursing care institution is operating under a provisional license;

2. The two nursing care institutions are no more than 25 miles apart; and

The appointment at the second institution is for no more than 90 days.

C. A licensed administrator who is appointed as administrator of a second nursing care institution under subsection (B) shall:

1. For both nursing care institutions, designate in writing an individual who is on the nursing care institution premises and accountable for the services provided at the nursing care institution when the licensed administrator is not on the nursing care institution premises. The designated individual shall:

a. Be at least 21 years old;

b. Be qualified through education and experience to fulfill the responsibilities of a nursing care institution administrator; and

c. Never have had licensure or certification suspended or revoked by the Board;

2. Ensure that the name of the designated individual is conspicuously displayed at all times in a manner that informs those seeking assistance who is accountable for the services provided;

3. Place the written notice of designation required under subsection (C)(1) in the personnel file of the individual designated; and

Be available to the individual designated under subsection (C)(1) by telephone or electronically within 60 minutes.

History

• Adopted effective August 6, 1991 (Supp. 91-3). Section R4-33-211 renumbered from R4-33-126 by emergency action effective November 29, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). Section R4-33-212 renumbered from R4-33-126 by emergency action effective February 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Section R4-33-212 renumbered from R4-33-126 by emergency action effective May 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Section R4-33-212 renumbered from R4-33-126 by emergency action effective September 10, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-3). Section R4-33-212 renumbered from R4-33-126 effective November 25, 1992 (Supp. 92-4). Section R4-33-212 amended by final rulemaking at 5 A.A.R. 423, effective January 15, 1999 (Supp. 99-1). Section R4-33-212 renumbered to R4-33-203 by final rulemaking at 12 A.A.R. 4075, effective December 4, 2006 (Supp. 06-4).

Ariz. Admin. Code § R4-33-213 Repealed

History

• Adopted effective October 12, 1976 (Supp. 76-5). Former Section R4-33-27 renumbered and amended as Section R4-33-127 (Supp. 82-1). Section R4-33-212 renumbered from R4-33-127 by emergency action effective June 19, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-2). Repealed as R4-33-127 effective August 6, 1991 (Supp. 91-3). Emergency expired. Section R4-33-213 renumbered from R4-33-127 by emergency action effective November 29, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). Section R4-33-213 renumbered from R4-33-127 by emergency action effective February 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Section R4-33-213 renumbered from R4-33-127 by emergency action effective May 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Section R4-33-213 renumbered from R4-33-127 by emergency action effective September 10, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-3). Section R4-33-213 renumbered from R4-33-127 effective November 25, 1992 (Supp. 92-4). Section R4-33-213 renumbered from R4-33-214 and amended by final rulemaking at 5 A.A.R. 423, effective January 15, 1999 (Supp. 99-1). Section repealed by final rulemaking at 12 A.A.R. 4075, effective December 4, 2006 (Supp. 06-4).

Ariz. Admin. Code § R4-33-214 Repealed

History

• Adopted effective October 12, 1976 (Supp. 76-5). Former Section R4-33-28 renumbered as Section R4-33-128 (Supp. 82-1). Section R4-33-213 renumbered from R4-33-128 by emergency action effective June 19, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-2). Emergency expired. Section R4-33-214 renumbered from R4-33-128 by emergency action effective November 29, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). Section R4-33-214 renumbered from R4-33-128 by emergency action effective February 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Section R4-33-214 renumbered from R4-33-128 by emergency action effective May 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Section R4-33-214 renumbered from R4-33-128 by emergency action effective September 10, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-3). Section R4-33-214 renumbered from R4-33-128 effective November 25, 1992 (Supp. 92-4). Section R4-33-214 renumbered from R4-33-216 and amended by final rulemaking at 5 A.A.R. 423, effective January 15, 1999 (Supp. 99-1). Section repealed by final rulemaking at 12 A.A.R. 4075, effective December 4, 2006 (Supp. 06-4).

Ariz. Admin. Code § R4-33-215 Renumbered

History

• Adopted effective October 12, 1976 (Supp. 76-5). Former Section R4-33-29 renumbered as Section R4-33-129 and repealed effective February 10, 1982 (Supp. 82-1). Section R4-33-214 renumbered from R4-33-129 by emergency action effective June 19, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-2). Emergency expired. Section R4-33-214 renumbered from R4-33-129 by emergency action effective November 29, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). Section R4-33-215 renumbered from R4-33-129 by emergency action effective February 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Section R4-33-215 renumbered from R4-33-129 by emergency action effective May 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Section R4-33-215 renumbered from R4-33-129 by emergency action effective September 10, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-3). Section R4-33-215 renumbered from R4-33-129 effective November 25, 1992 (Supp. 92-4).

Ariz. Admin. Code § R4-33-216 Renumbered

History

• Adopted effective July 24. 1989 (Supp. 78-4). Former Section R4-33-30 renumbered as Section R4-33-130 and repealed, new Section R4-33-130 adopted effective February 10, 1982 (Supp. 82-1). Section R4-33-215 renumbered from R4-33-130 by emergency action effective June 19, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-2). Amended as R4-33-130 effective August 6, 1991 (Supp. 91-3). Emergency expired. Section R4-33-216 renumbered from R4-33-130 by emergency action effective November 29, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). Section R4-33-216 renumbered from R4-33-130 by emergency action effective February 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Section R4-33-216 renumbered from R4-33-130 by emergency action effective May 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Section R4-33-216 renumbered from R4-33-130 by emergency action effective September 10, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-3). Section R4-33-216 renumbered from R4-33-130 effective November 25, 1992 (Supp. 92-4). Text corrected to include amendments adopted effective August 6, 1991, which were inadvertently omitted (Supp. 95-2). Section R4-33-216 renumbered to R4-33-214 by final rulemaking at 5 A.A.R. 423, effective January 15, 1999 (Supp. 99-1).

Article 3 ADMINISTRATOR-IN-TRAINING PROGRAM

Ariz. Admin. Code § R4-33-301 Approval of an AIT Program

A. The Board approves an AIT internship provided at an educational institution with a NAB-accredited program.

B. The provider of an AIT program that does not meet the standard in subsection (A) may apply to the Board for approval of the AIT program. To apply for approval of an AIT program, the provider of the program shall submit to the Board:

1. A letter on official letterhead providing the following information:

a. Name, address, e-mail address, and telephone and fax numbers of the provider; and

b. Name, telephone number, and e-mail address of an individual who can be contacted regarding the information provided;

2. A description of the procedure required under R4-33-302(2)(d) to measure the success of an AIT and a copy of any materials used to measure the success of an AIT,

3. A copy of the AIT program monitoring procedure required under R4-33-302(3) and any forms that are used in the monitoring,

4. A copy of the certificate of completion required under R4-33-302(2)(e),

5. A detailed outline of the training course required under R4-33-302(4)(d),

6. A copy of the policy and procedures manual required under R4-33-302(5), and

7. The signature of an authorized representative of the provider:

a. Affirming that the information provided is true and complete, and

b. Authorizing the Board to monitor the program's compliance with the standards in R4-33-302.

C. The Board shall approve an AIT program that the Board determines meets the standards in R4-33-302. The Board's approval of an AIT program is valid for one year if the program remains in compliance with the standards in R4-33-302.

D. To maintain approval of an AIT program, the provider of the AIT program shall, before the approval expires, submit:

1. The information required under subsection (B), or

2. The letter required under subsection (B)(1) and the signature of an authorized representative of the provider affirming the materials previously submitted under subsections (B)(2) through (B)(6) continue to be true and complete and authorizing the Board to monitor the program's compliance with the standards in R4-33-302.

History

• Emergency adoption effective June 19, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-2). Emergency expired. Emergency rule adopted again with changes effective November 29, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). Emergency rule adopted again with changes effective February 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Emergency rule adopted again effective May 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Emergency rule adopted again effective September 10, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-3). Emergency rule R4-33-301 renumbered as a permanent rule to R4-33-302; new rule R4-33-301 adopted effective November 25, 1992 (Supp. 92-4). Former Section R4-33-301 renumbered to R4-33-401, new Section R4-33-301 adopted by final rulemaking at 5 A.A.R. 423, effective January 15, 1999 (Supp. 99-1). Amended by final rulemaking at 14 A.A.R. 516, effective April 5, 2008 (Supp. 08-1). Amended by final rulemaking at 24 A.A.R. 2734, effective 11/10/2018.

Ariz. Admin. Code § R4-33-302 Standards for an AIT Program

For an AIT program to be approved by the Board, the provider of the AIT program:

1. Shall be:

a. An accredited college or university,

b. An institution licensed by the Board of Private Postsecondary Education under A.R.S. § 32-3001 et seq.,

c. ACHCA or the Arizona chapter of ACHCA, or

d. Another nationally recognized organization of long-term care administrators;

2. Shall ensure that the AIT program:

a. Provides at least 1,000 hours of full-time educational experience to the AIT in not less than six months and not more than 12 months in the following subject areas:

i. Federal and state law regarding nursing care institutions,

ii. Nursing care institution administration and policy,

iii. Health care quality assurance,

iv. Communications skills,

v. Health economics,

vi. Financial management of a nursing care institution,

vii. Personnel management,

viii. Resident care,

ix. Facility operation and management,

x. Safety and environmental management, and

xi. Community resources;

b. Allows the AIT to work only with a preceptor who meets the standards in subsection (4) and is responsible for supervising the AIT while the AIT participates in the program,

c. Is implemented at the nursing care institution of which the preceptor is administrator,

d. Measures the AIT's success in acquiring the knowledge and skills necessary to be a competent nursing care institution administrator, and

e. Provides the AIT with a certificate of completion that indicates:

i. The AIT's name,

ii. The preceptor's name and license number,

iii. The name and address of the facility at which the AIT program was implemented,

iv. The beginning and ending dates of the AIT program, and

v. The preceptor's signature affirming that the AIT successfully completed the AIT program;

Shall develop a procedure to monitor the AIT program, assess the AIT's progress through the AIT program, and make adjustments necessary to ensure that the AIT acquires the knowledge and skills necessary to be a competent nursing care institution administrator;

4. Shall ensure that an individual who serves as an AIT preceptor:

a. Has been licensed by the Board for at least two years,

b. Is appointed full-time as a nursing care institution administrator at a facility that the Department determines is in compliance with applicable standards,

c. Is in good standing and has no disciplinary actions against the individual's license in the last three years, and

d. Completes a training course regarding the role and responsibilities of a preceptor; and

5. Shall develop a written policy and procedures manual that includes at least the following:

a. Procedure and forms required to apply to be an AIT;

b. Procedure and forms required to apply to be a preceptor;

c. Procedure for matching an AIT applicant with a preceptor;

d. Goals of the AIT program related to each of the subject areas listed in subsection (2)(a);

e. Learning experiences to achieve each goal;

f. Estimated time to accomplish each goal;

g. Responsibilities of a preceptor;

h. Responsibilities of an AIT;

i. Procedures for deviating from the goals of the AIT program, changing the facility at which the AIT program is implemented, changing preceptor, and extending the AIT program; and

j. Procedure for evaluating the preceptor.

History

• R4-33-302 adopted by emergency action effective June 19, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-2). Emergency expired. Emergency rule adopted again with changes effective November 29, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). Emergency rule adopted again with changes effective February 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Emergency rule adopted again effective May 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Emergency rule adopted again effective September 10, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-3). Emergency rule R4-33-302 renumbered as a permanent rule to R4-33-303; new R4-33-302 renumbered from emergency rule R4-33-301 and adopted with changes effective November 25, 1992 (Supp. 92-4). Former Section R4-33-302 renumbered to R4-33-402, new Section R4-33-302 adopted by final rulemaking at 5 A.A.R. 423, effective January 15, 1999 (Supp. 99-1). Section repealed; new Section made by final rulemaking at 14 A.A.R. 516, effective April 5, 2008 (Supp. 08-1).

Ariz. Admin. Code § R4-33-303 Repealed

History

• R4-33-303 adopted by emergency action effective June 19, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-2). Emergency expired. Emergency rule adopted again with changes effective November 29, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). Emergency rule adopted again with changes effective February 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Emergency rule adopted again effective May 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Emergency rule adopted again effective September 10, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-3). Emergency rule R4-33-303 renumbered as a permanent rule to R4-33-304; new R4-33-303 renumbered from emergency rule R4-33-302 and adopted with changes effective November 25, 1992 (Supp. 92-4). Former Section R4-33-303 renumbered to R4-33-403, new Section R4-33-303 adopted by final rulemaking at 5 A.A.R. 423, effective January 15, 1999 (Supp. 99-1). Section repealed by final rulemaking at 14 A.A.R. 516, effective April 5, 2008 (Supp. 08-1).

Ariz. Admin. Code § R4-33-304 Renumbered

History

• R4-33-304 adopted by emergency action effective June 19, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-2). Emergency expired. Emergency rule adopted again with changes effective November 29, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). Emergency rule adopted again effective February 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Emergency rule adopted again effective May 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Emergency rule adopted again effective September 10, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-3). Emergency rule R4-33-304 renumbered as a permanent rule to R4-33-305, new rule R4-33-304 renumbered from emergency rule R4-33-303 and adopted with changes effective November 25, 1992 (Supp. 92-4). Section R4-33-304 renumbered to R4-33-404 by final rulemaking at 5 A.A.R. 423, effective January 15, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-33-305 Renumbered

History

• Emergency adoption effective June 19, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-2). Emergency expired. Emergency rule adopted again with changes effective November 29, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). Emergency rule adopted again with changes effective February 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Emergency rule adopted again effective May 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Emergency rule adopted again effective September 10, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-3). Emergency rule R4-33-305 renumbered as a permanent rule to R4-33-306, new R4-33-305 renumbered from emergency rule R4-33-304 and adopted with changes effective November 25, 1992 (Supp. 92-4). Section R4-33-305 renumbered to R4-33-405 by final rulemaking at 5 A.A.R. 423, effective January 15, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-33-306 Renumbered

History

• Emergency adoption effective June 19, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-2). Emergency expired. Emergency rule adopted again with changes effective November 29, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). Emergency rule adopted again with changes effective February 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Emergency rule adopted again effective May 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Emergency rule adopted again effective September 10, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-3). Emergency rule R4-33-306 renumbered as a permanent rule to R4-33-307, new R4-33-306 renumbered from emergency rule R4-33-305 and adopted with changes effective November 25, 1992 (Supp. 92-4). Section R4-33-306 renumbered to R4-33-406 by final rulemaking at 5 A.A.R. 423, effective January 15, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-33-307 Renumbered

History

• Emergency adoption effective June 19, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-2). Emergency expired. Emergency rule adopted again with changes effective November 29, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). Emergency rule adopted again with changes effective February 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Emergency rule adopted again effective May 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Emergency rule adopted again effective September 10, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-3). Emergency rule R4-33-307 renumbered as a permanent rule to R4-33-308, new R4-33-307 renumbered from emergency rule R4-33-306 and adopted with changes effective November 25, 1992 (Supp. 92-4). Amended effective February 6, 1995 (Supp. 95-1). Section R4-33-307 renumbered to R4-33-407 by final rulemaking at 5 A.A.R. 423, effective January 15, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-33-308 Renumbered

History

• Emergency adoption effective June 19, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-2). Emergency expired. Emergency rule adopted as R4-33-307 renumbered to R4-33-311 by emergency action effective November 29, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days; new emergency rule adopted as R4-33-307 renumbered from R4-33-312 and amended by emergency action effective November 29, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). Emergency rule adopted again with changes effective February 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Emergency rule adopted again effective May 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Emergency rule adopted again effective September 10, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-3). Emergency rule R4-33-308 renumbered as a permanent rule to R4-33-309, new R4-33-308 renumbered from emergency rule R4-33-307 and adopted with changes effective November 25, 1992 (Supp. 92-4). Section R4-33-308 renumbered to R4-33-408 by final rulemaking at 5 A.A.R. 423, effective January 15, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-33-309 Renumbered

History

• Emergency adoption effective June 19, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-2). Emergency expired. New emergency rule adopted as R4-33-308 renumbered from emergency rule R4-33-309 and amended effective November 29, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). Emergency rule adopted again effective February 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Emergency rule adopted again effective May 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Emergency rule adopted again effective September 10, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-3). Emergency rule R4-33-309 renumbered as a permanent rule to R4-33-310, new R4-33-309 renumbered from emergency rule R4-33-308 and adopted without change effective November 25, 1992 (Supp. 92-4). Section R4-33-309 renumbered to R4-33-409 by final rulemaking at 5 A.A.R. 423, effective January 15, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-33-310 Renumbered

History

• Emergency adoption effective June 19, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-2). Emergency expired. Emergency rule adopted as R4-33-309 renumbered to emergency rule R4-33-308; new emergency rule adopted as R4-33-309 renumbered from emergency rule R4-33-310 and amended effective November 29, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). Emergency rule adopted again with changes effective February 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Emergency rule adopted again effective May 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Emergency rule adopted again effective September 10, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-3). Emergency rule R4-33-310 renumbered as a permanent rule to R4-33-311, new R4-33-310 renumbered from emergency rule R4-33-309 and adopted with changes effective November 25, 1992 (Supp. 92-4). Section R4-33-310 renumbered to R4-33-410 by final rulemaking at 5 A.A.R. 423, effective January 15, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-33-311 Renumbered

History

• Emergency adoption effective June 19, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-2). Emergency expired. Emergency rule adopted as R4-33-310 renumbered to R4-33-309; new emergency rule R4-33-310 renumbered from emergency rule R4-33-311 and amended effective November 29, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). Emergency rule adopted again effective February 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Emergency rule adopted again effective May 28, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Emergency rule adopted again effective September 10, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-3). Emergency rule R4-33-311 renumbered as a permanent rule to R4-33-312, new R4-33-311 renumbered from emergency rule R4-33-310 and adopted without change effective November 25, 1992 (Supp. 92-4). Section R4-33-311 renumbered to R4-33-411 by final rulemaking at 5 A.A.R. 423, effective January 15, 1999 (Supp. 99-1).

Ariz. Admin. Code § R4-33-312 Renumbered

History

• Emergency adoption effective June 19, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-2). Emergency expired. R4-33-312 renumbered from emergency rule R4-33-311 and adopted with changes effective November 25, 1992 (Supp. 92-4). Section R4-33-312 renumbered to R4-33-412 by final rulemaking at 5 A.A.R. 423, effective January 15, 1999 (Supp. 99-1).

Article 4 ASSISTED LIVING FACILITY MANAGER CERTIFICATION

Ariz. Admin. Code § R4-33-401 Requirements for Initial Certification by Examination

A. Except as provided in subsection (B), an individual who wishes to receive an initial certificate by examination as an assisted living facility manager shall:

Education:

a. Earn a high school diploma or G.E.D. or hold a license in good standing issued under A.R.S. Title 32, Chapters 13, 15, or 17 or 4 A.A.C. 33, Article 2;

b. Complete an assisted living facility caregiver training program that is approved by the Board under Article 7; and

c. Complete an assisted living facility manager training program that is approved by the Board under or Article 6;

2. Work experience. Complete at least 2,080 hours of paid work experience in a health-related field within the five years before application;

3. Examination. Obtain a score of at least 75 percent on the Arizona examination;

4. Training. Complete an adult cardiopulmonary resuscitation and basic first-aid training program; and

5. Fingerprint clearance card. Have a valid fingerprint clearance card issued under A.R.S. Title 41, Chapter 12, Article 3.1; and

6. 5. Submit all applicable information required under R4-33-403.

B. An individual who holds a license in good standing issued under A.R.S. Title 32, Chapter 13, 15, or 17 or 4 A.A.C. 33, Article 2 is exempt from the requirements specified in subsections (A)(1)(b) and (4).

History

• Section R4-33-401 renumbered from R4-33-301 by final rulemaking at 5 A.A.R. 423, effective January 15, 1999 (Supp. 99-1). Section expired under A.R.S. § 41-1056(E) at 10 A.A.R. 3897, effective July 31, 2004 (Supp. 04-3). Section R4-33-401 renumbered from R4-33-402 and amended by final rulemaking at 12 A.A.R. 4075, effective December 4, 2006 (Supp. 06-4). Amended by final rulemaking at 14 A.A.R. 516, effective April 5, 2008 (Supp. 08-1). Amended by final rulemaking at 21 A.A.R. 543, effective 6/6/2015. Amended by final rulemaking at 29 A.A.R. 642, effective 2/13/2023.

Ariz. Admin. Code § R4-33-402 Requirements for a Temporary Certificate

A. To be eligible for a temporary certificate as an assisted living facility manager, an individual shall:

1. Meet the requirements under R4-33-401 except for the requirement at R4-33-401(3);

2. Have the owner of an assisted living facility that intends to appoint the applicant as manager if the applicant is successful in obtaining a temporary certificate submit to the Board a Letter of Intent to Appoint on a form that is available from the Board. The owner of the assisted living facility shall include the following in the Letter of Intent to Appoint:

a. Name of the owner of the assisted living facility;

b. Name and address of the assisted living facility;

c. Name of the applicant;

d. An affirmation of intent to appoint the applicant;

e. Reason for requesting a temporary certificate for the applicant;

f. License number of the assisted living facility; and

g. Notarized signature of the owner of the assisted living facility;

3. Not have held an Arizona temporary certificate as an assisted living facility manager within the past three years; and

4. Not have failed the Arizona examination before applying for the temporary certificate.

B. At the Board's request, an applicant for a temporary certificate shall appear or be available by telephone for an interview with the Board.

C. A temporary certificate is valid for 150 days and is not renewable. Before expiration of the temporary certificate, the temporary certificate holder shall obtain a certificate under A.R.S. § 36-446.04 and this Article or discontinue as manager of the assisted living facility.

D. If a temporary certificate holder fails the Arizona examination during the term of the temporary certificate, the temporary certificate is automatically revoked and the former temporary certificate holder shall discontinue as manager of the assisted living facility.

History

• Section R4-33-402 renumbered from R4-33-302 by final rulemaking at 5 A.A.R. 423, effective January 15, 1999 (Supp. 99-1). Former R4-33-402 renumbered to R4-33-401; new R4-33-402 renumbered from R4-33-410 and amended by final rulemaking at 12 A.A.R. 4075, effective December 4, 2006 (Supp. 06-4). R4-33-402(A)(1) citation to R4-33-401(A)(3) corrected to R4-33-401(3) at the request of the Department, see Office File No. M10-416 filed October 18, 2010 (Supp. 09-4).

Ariz. Admin. Code § R4-33-403 Initial Application

A. An individual who desires to be certified as a manager of an assisted living facility shall submit the following information to the Board on an application form, which is available from the Board:

Full name of the applicant;

Other names that the applicant has used;

3. Mailing address of the applicant;

4. Home, work, and mobile telephone numbers of the applicant;

5. Applicant's date and place of birth;

6. Applicant's Social Security number;

7. Address of every residence at which the applicant has lived in the last five years;

8. Education information regarding the applicant, including:

a. Name and location of last high school attended;

b. Date of high school graduation or date on which a G.E.D. was earned; and

c. Name and address of every accredited college or university attended, dates of attendance, date of graduation, and degree or certificate earned;

9. Information regarding professional licenses or certifications currently or previously held by the applicant, including:

a. Name of issuing agency;

b. License or certificate number;

c. Issuing jurisdiction;

d. Date on which the license or certificate was first issued;

e. Whether the license or certificate is current; and

f. Whether the license or certificate is in good standing and if not, an explanation;

10. Information regarding the applicant's employment record for the last five years, including:

a. Name, address, and telephone number of each employer;

b. Title of position held by the applicant;

c. Name of applicant's supervisor;

d. Dates of employment;

e. Number of hours worked each week;

f. Whether the employment was full or part time; and

g. Reason for termination;

11. Whether the applicant was ever denied a professional license or certificate and if so, the kind of license or certificate denied; licensing authority making the denial, and date;

12. Whether the applicant ever voluntarily surrendered a professional license or certificate and if so, the kind of license or certificate surrendered, licensing authority, date, and reason for the surrender;

13. Whether the applicant ever allowed a professional license or certificate to lapse and if so, the kind of license or certificate that lapsed, licensing authority, date, reason for lapse, and whether the license or certificate was reinstated;

14. Whether the applicant ever had a limitation imposed on a professional license or certificate and if so, the kind of license or certificate limited, licensing authority, date, nature of limitation, reason for limitation, and whether the limitation was removed;

15. Whether the applicant ever had a professional license or certificate suspended or revoked and if so, the kind of license or certificate suspended or revoked, licensing authority, date, and reason for suspension or revocation;

16. Whether the applicant ever was subject to disciplinary action with regard to a professional license or certificate and if so, the kind of license or certificate involved, licensing authority, date, and reason for and nature of the disciplinary action;

17. Whether any unresolved complaint against the applicant is pending with a licensing authority, professional association, health care facility, or assisted living facility and if so, the nature of and where the complaint is pending;

Whether the applicant ever was charged with or convicted of a felony or a misdemeanor, other than a minor traffic violation, in any court and if so, the nature of the offense, jurisdiction, and date of discharge; and

19. Whether the applicant ever was pardoned from or had the record expunged of a felony conviction and if so, the nature of the offense, jurisdiction, and date of pardon or expunging.

B. In addition to the application form required under subsection (A), an applicant shall submit or have submitted on the applicant's behalf:

1. Education:

a. Copy of the applicant's high school diploma or G.E.D. and certificates of completion issued from the training courses described under R4-33-401(A)(1)(b) and (c); or

b. Copy of the applicant's license issued under A.R.S. Title 32, Chapter 13, 15, or 17 or 4 A.A.C. 33, Article 2, and certificate of completion issued from the training course described under R4-33-401(A)(1)(c);

Documentation of 2,080 hours of paid work experience in a health-related field;

3. Copy of current certification in adult cardiopulmonary resuscitation and first aid;

4. Verification of license that is signed, authenticated by seal or notarization, and submitted directly to the Board by each agency that ever issued a professional license to the applicant;

5. "Character Certification" form submitted directly to the Board by two individuals who have known the applicant for at least three years and are not related to, employed by, or employing the applicant;

6. For every felony or misdemeanor charge listed under subsection (A)(18), a copy of documents from the appropriate court showing the disposition of each charge;

7. For every felony or misdemeanor conviction listed under subsection (A)(18), a copy of documents from the appropriate court showing whether the applicant met all judicially imposed sentencing terms;

8. Full-faced photograph of the applicant taken within the last six months;

9. Fingerprint clearance card.

a. Photocopy of the front and back of the applicant's fingerprint clearance card and has not been convicted of a felony involving violence or financial fraud;

b. Proof of submission of an application for a fingerprint clearance card and has not been convicted of a felony involving violence or financial fraud; or

c. If denied a fingerprint clearance card, proof that the applicant qualifies for a good-cause exception hearing under A.R.S. § 41-619.55 and has not been convicted of a felony involving violence or financial fraud;

10. A full set of fingerprints taken by a law enforcement agency or other authority acceptable to the Board and in a format acceptable to the Arizona Department of Public Safety and the Federal Bureau of Investigation and the amount charged by the Arizona Department of Public Safety to process the fingerprints for a state and federal criminal history records check;

10. 11. Documentation, as described in A.R.S. § 41-1080(A), of U.S. citizenship or alien status indicating presence in the U.S. is authorized under federal law;

11. 12. Affirm the information provided in the application is true and complete and authorize others to release information regarding the applicant to the Board; and

12. 13. Fees required under R4-33-104(B)(1) and (B)(2).

C. If required by the Board under A.R.S. § 36-446.03(D), an applicant shall appear before the Board.

D. When the information required under subsections (A) and (B) is received and following an appearance before the Board required under subsection (C), the Board shall provide notice regarding whether the applicant may take the Arizona examination required under R4-33-401(3).

E. Because of the time required for the Board to perform an administrative completeness review under R4-33-103, an applicant shall submit the information required under subsections (A) and (B) at least 30 days before the applicant expects to take the Arizona examination.

History

• Section R4-33-403 renumbered from R4-33-303 by final rulemaking at 5 A.A.R. 423, effective January 15, 1999 (Supp. 99-1). Amended by final rulemaking at 12 A.A.R. 4075, effective December 4, 2006 (Supp. 06-4). Amended by final rulemaking at 14 A.A.R. 516, effective April 5, 2008 (Supp. 08-1). Amended by final rulemaking at 29 A.A.R. 642, effective 2/13/2023.

Ariz. Admin. Code § R4-33-404 Administration of Examination; Certificate Issuance

A. The Board shall administer the Arizona examination at least twice each year at times and places specified by the Board.

B. The Board shall provide written notice to an applicant regarding whether the applicant passed the Arizona examination.

C. When an applicant passes the Arizona examination, the Board shall send the applicant a written notice that the Board will issue a certificate to the applicant when the applicant submits to the Board the fee required under R4-33-104(B)(4). If the applicant fails to submit the fee within six months of the Board's notice, the Board shall administratively close the applicant's file. An individual whose file is administratively closed may receive further consideration only by submitting a new application under R4-33-401.

History

• Section R4-33-404 renumbered from R4-33-304 by final rulemaking at 5 A.A.R. 423, effective January 15, 1999 (Supp. 99-1). Amended by final rulemaking at 12 A.A.R. 4075, effective December 4, 2006 (Supp. 06-4). R4-33-404 corrected by adding a subsection (C) at the request of the Department, Office File No. M10-416 filed October 18, 2010 (Supp. 09-4).

Ariz. Admin. Code § R4-33-405 Renewal Application

A. The Board shall provide a certificate holder with notice of the need for certificate renewal. Failure to receive notice of the need for certificate renewal does not excuse a certificate holder's failure to renew timely.

B. A manager certificate expires at midnight 30 days after the manager's birthday in each odd-numbered year.

C. To renew a manager certificate, the certificate holder shall submit the following information to the Board, on or before expiration of the biennial period, on a renewal application, which is available from the Board:

1. Current address;

2. Current home and business telephone numbers;

3. Whether within the last 24 months the certificate holder was convicted of or pled guilty or no contest to a criminal offense, other than a minor traffic violation, in any court and if so, attach a copy of the original arrest record and final court judgment;

4. Whether within the last 24 months the certificate holder was denied a professional license or had a professional license revoked, suspended, placed on probation, limited, or restricted in any way by a state or federal regulatory authority and if so, the kind of license, license number, issuing authority, nature of the regulatory action, and date;

5. An affirmation that the number of hours of continuing education required under R4-33-501 has been completed;

6. An affirmation that the certificate holder complies with the disclosure requirements under R4-33-408; and

7. The certificate holder's dated signature affirming the information provided is true and complete.

D. In addition to the renewal application required under subsection (C), a certificate holder shall submit:

1. A photocopy of the front and back of the certificate holder's fingerprint clearance card;

2. Documentation described in A.R.S. § 41-1080(A) unless the documentation previously submitted under R4-33-403(B)(11) established U.S. citizenship or was a non-expiring work authorization issued by the federal government; and

3. The renewal fee required under R4-33-104.

E. An individual whose certificate expires because of failure to renew timely may apply for renewal by complying with subsections (C) and (D) if:

1. The individual complies with subsections (C) and (D) on or before July 31,

2. 1. The individual pays the late renewal fee prescribed under R4-33-104,

3. 2. The individual affirms that the individual has not acted as an assisted living facility manager since the certificate expired, and

3. The individual's certificate has not been surrendered, suspended, or revoked.

F. An individual whose certificate expires because of failure to renew timely and who does not comply with subsection (E) may obtain a manager certificate only by complying with R4-33-401.

History

• Section R4-33-405 renumbered from R4-33-305 by final rulemaking at 5 A.A.R. 423, effective January 15, 1999 (Supp. 99-1). Section repealed by final rulemaking at 10 A.A.R. 805, effective April 13, 2004 (Supp. 04-1). Section R4-33-405 renumbered from R4-33-406 and amended by final rulemaking at 12 A.A.R. 4075, effective December 4, 2006 (Supp. 06-4). Amended by final rulemaking at 14 A.A.R. 516, effective April 5, 2008 (Supp. 08-1). Amended by final rulemaking at 15 A.A.R. 1975, effective November 3, 2009 (Supp. 09-4). Amended by final rulemaking at 29 A.A.R. 642, effective 2/13/2023.

Ariz. Admin. Code § R4-33-406 Inactive Status

A. The Board shall place a manager's certificate on inactive status if the manager:

1. Is in good standing in Arizona,

2. Submits a written request to the Board to be placed on inactive status, and

3. Submits evidence that complies with R4-33-501(D) showing that the manager completed one hour of continuing education for each month in the current biennial period before the request to be placed on inactive status.

B. Within seven days after receiving a request to be placed on inactive status, the Board shall provide the manager written confirmation of inactive status.

C. A manager whose certificate is on inactive status is not required to comply with R4-33-501.

D. An inactive certificate expires under R4-33-405 unless the manager timely submits a renewal application and the fee required under R4-33-104(B)(7).

E. To resume active certificate status, a manager shall:

1. Submit evidence that complies with R4-33-501(D) showing that the manager completed 12 hours of continuing education within the six months before requesting to resume active certificate status,

2. Submit a written request to the Board to resume active certificate status, and

3. Submit the fee required under R4-33-104(B)(4).

F. The Board shall grant a request to resume active certificate status if the requirements of subsection (E) are met. Within seven days after receiving the written request to resume active certificate status, the Board shall send written notice to the manager granting or denying active status.

History

• New Section R4-33-406 renumbered from R4-33-306 by final rulemaking at 5 A.A.R. 423, effective January 15, 1999 (Supp. 99-1). Former R4-33-406 renumbered to R4-33-405; new R4-33-406 made by final rulemaking at 12 A.A.R. 4075, effective December 4, 2006 (Supp. 06-4).

Ariz. Admin. Code § R4-33-407 Standards of Conduct; Disciplinary Action

A. A manager shall know and comply with all federal and state laws applicable to the operation of an assisted living facility.

B. A manager shall not:

1. Engage in unprofessional conduct as defined at A.R.S. § 36-446;

2. Be addicted to or dependent on the use of narcotics or other drugs, including alcohol;

3. Directly or indirectly permit an owner, officer, or employee of an assisted living facility to solicit, offer, or receive any premium, rebate, or other valuable consideration in connection with furnishing goods or services to residents unless the resulting economic benefit is directly passed to the residents;

4. Directly or indirectly permit an owner, officer, or employee of an assisted living facility to solicit, offer, or receive any premium, rebate, or other valuable consideration for referring a resident to another person or place unless the resulting economic benefit is directly passed to the resident;

Willfully permit the unauthorized disclosure of information relating to a resident or a resident's records;

6. Discriminate against a resident or employee on the basis of race, sex, age, religion, disability, or national origin;

7. Misrepresent the manager's qualifications, education, or experience;

8. Aid or abet another person to misrepresent that person's qualifications, education, or experience;

9. Defend, support, or ignore unethical conduct of an employee, owner, or other manager;

10. Engage in any conduct or practice contrary to recognized community standards or ethics of an assisted living facility manager;

11. Engage in any conduct or practice that is or might constitute incompetence, gross negligence, repeated negligence, or negligence that might constitute a danger to the health, welfare, or safety of a resident or the public;

12. Procure or attempt to procure by fraud or misrepresentation a certificate or renewal of a certificate as an assisted living facility manager;

Violate a formal order, condition of probation, or stipulation issued by the Board;

14. Commit an act of sexual abuse, misconduct, harassment, or exploitation;

15. Retaliate against any person who reports in good faith to the Board alleged incompetence or illegal or unethical conduct of any manager;

16. Allow the manager's certificate to be displayed as required under R4-33-108(B) unless the manager has been appointed as specified in R4-33-410; or

17. Manage an assisted living facility in violation of R4-33-411.

C. The Board shall consider a final judgment or conviction for a felony, an offense involving moral turpitude, or direct or indirect elder abuse as grounds for disciplinary action under A.R.S. § 36-446.07, including denial of a certificate or certificate renewal.

D. A manager who violates any provision of A.R.S. Title 36, Chapter 4, Article 6 or this Chapter is subject to discipline under A.R.S. § 36-446.07.

History

• Section R4-33-407 renumbered from R4-33-307 by final rulemaking at 5 A.A.R. 423, effective January 15, 1999 (Supp. 99-1). Amended by final rulemaking at 12 A.A.R. 4075, effective December 4, 2006 (Supp. 06-4).

Ariz. Admin. Code § R4-33-408 Referral Requirements

A. A manager who is appointed by an assisted living facility that pays a fee to an individual or entity for referral of a resident to the assisted living facility shall ensure that the assisted living facility:

1. Has on file a contract with the individual or entity making the referral;

Maintains a file of the names of the residents referred by the individual or entity; and

3. Obtains at the time of admission and maintains a statement, signed by the resident or the resident's representative or legal guardian, which discloses that:

a. A fee was paid for referring the resident to the assisted living facility;

b. The resident or the resident's representative or legal guardian was informed of the fee arrangement; and

c. The resident or the resident's representative or legal guardian was informed of any ownership interest between the assisted living facility and the individual or entity making the referral.

B. A manager shall maintain the records required under subsection (A)(1) for five years and shall maintain the records required under subsections (A)(2) and (A)(3) for five years after the resident ceases to reside in the assisted living facility.

C. A manager shall make the records required under this Section available for review upon request by the Board.

History

• Section R4-33-408 renumbered from R4-33-308 by final rulemaking at 5 A.A.R. 423, effective January 15, 1999 (Supp. 99-1). Section repealed; new Section made by final rulemaking at 12 A.A.R. 4075, effective December 4, 2006 (Supp. 06-4).

Ariz. Admin. Code § R4-33-409 Certification Following Revocation

An individual who wishes to be certified after the individual's certificate as an assisted living facility manager is revoked shall:

1. Not apply for certification until at least 12 months have passed since the revocation, and

2. Apply for certification under R4-33-401.

History

• Section R4-33-409 renumbered from R4-33-309 by final rulemaking at 5 A.A.R. 423, effective January 15, 1999 (Supp. 99-1). Section repealed by final rulemaking at 12 A.A.R. 4075, effective December 4, 2006 (Supp. 06-4). New Section made by final rulemaking at 14 A.A.R. 516, effective April 5, 2008 (Supp. 08-1).

Ariz. Admin. Code § R4-33-410 Notice of Appointment

A. A manager shall provide written notice to the Board, within 30 days, of being appointed manager of an assisted living facility or terminating an appointment.

B. A manager shall include the following, as applicable, in a notice regarding the manager's appointment:

1. Manager's name,

2. Manager's certificate number,

3. Name and address of the assisted living facility to which the manager is appointed,

4. Date of appointment,

5. Name and address of the assisted living facility at which the manager's appointment is terminated, and

6. Date of termination.

History

• Section R4-33-410 renumbered from R4-33-310 by final rulemaking at 5 A.A.R. 423, effective January 15, 1999 (Supp. 99-1). Section R4-33-410 renumbered to R4-33-402 by final rulemaking at 12 A.A.R. 4075, effective December 4, 2006 (Supp. 06-4). New Section made by final rulemaking at 14 A.A.R. 516, effective April 5, 2008 (Supp. 08-1).

Ariz. Admin. Code § R4-33-411 Appointment As Manager of Multiple Assisted Living Facilities

A. An individual certified under R4-33-401 shall not be appointed to manage more than two assisted living facilities at one time.

B. A individual certified under R4-33-401 who is appointed to manage two assisted living facilities shall:

1. Ensure that the two assisted living facilities are no more than 25 miles apart;

2. Designate in writing one or more individuals who are on the assisted living facility premises and accountable for the services provided at the assisted living facility when the appointed certified manager is not on the assisted living facility premises. A designated individual shall:

a. Be at least 21 years old;

b. Be a caregiver with at least three years' experience as a caregiver or hold a temporary certificate issued under R4-33-402; and

c. Never have had licensure or certification suspended or revoked by the Board;

3. Ensure that the name of the designated individual is conspicuously displayed at all times in a manner that informs those seeking assistance who is accountable for the services provided;

4. Place the written notice of designation required under subsection (B)(2) in the personnel file of the individual designated; and

Be available to the individual designated under subsection (B)(2) by telephone or electronically within 60 minutes.

History

• Section R4-33-411 renumbered from R4-33-311 by final rulemaking at 5 A.A.R. 423, effective January 15, 1999 (Supp. 99-1). Section repealed by final rulemaking at 12 A.A.R. 4075, effective December 4, 2006 (Supp. 06-4).

Ariz. Admin. Code § R4-33-412 Repealed

History

• Section R4-33-412 renumbered from R4-33-312 by final rulemaking at 5 A.A.R. 423, effective January 15, 1999 (Supp. 99-1). Section repealed by final rulemaking at 12 A.A.R. 4075, effective December 4, 2006 (Supp. 06-4).

Article 5 CONTINUING EDUCATION

Ariz. Admin. Code § R4-33-501 Continuing Education Requirement; Extension of Time

A. Continuing education is a prerequisite of license or certificate renewal.

1. A licensed administrator shall obtain 50 credit hours of Board-approved continuing education during each biennial period. During the biennial period in which an administrator is initially licensed, the administrator shall obtain two credit hours of Board-approved continuing education for each month or part of a month remaining in the biennial period.

2. A certified manager shall obtain 24 credit hours of Board-approved continuing education during each biennial period. During the biennial period in which a manager is initially certified, the manager shall obtain one credit hour of Board-approved continuing education for each month or part of a month remaining in the biennial period.

B. The Board shall award credit hours in an approved continuing education as follows:

1. Seminar or workshop. One credit hour of continuing education for each contact hour;

2. Course at an accredited educational institution. Fifteen credit hours of continuing education for each course hour;

3. Attendance at a business meeting of a national health care organization or of a state association affiliated with a national health care organization. One-half credit hour of continuing education for each business meeting attended;

4. Self-study, online, or correspondence course. Approved credit hours of continuing education requested by the course provider;

5. Serving as a preceptor. Two credit hours of continuing education for each month that an administrator serves as an AIT preceptor; and

6. Teaching a Board-approved continuing education. One credit hour of continuing education for each hour taught.

C. The Board shall limit the number of credit hours of Board-approved continuing education awarded as follows:

1. No more than 40 percent of the required credit hours may be obtained using self-study, online, or correspondence courses;

2. No more than 50 percent of the required credit hours may be obtained from serving as an AIT preceptor;

3. Hours may be obtained for teaching a particular continuing education only once during each biennial period; and

4. Hours that exceed the minimum required for a biennial period may not be carried over to a subsequent biennial period.

D. An administrator or manager shall obtain a certificate or other evidence of attendance from the provider of each continuing education attended that includes the following:

1. Name of the administrator or manager;

2. License or certificate number of the administrator or manager;

3. Name of the continuing education;

4. Name of the continuing education provider;

Date, time, and location of the continuing education; and

6. Number of credit hours in the continuing education.

E. An administrator or manager shall maintain the evidence of attendance described in subsection (D) for three years and make the evidence available to the Board under R4-33-503 and as otherwise required under this Chapter.

F. To obtain an extension of time under A.R.S. § 36-446.07(G) to complete the continuing education requirement, an administrator or manager shall submit to the Board a written request that includes the following:

1. Ending date of the requested extension,

Continuing education completed during the current biennial period and the documentation required under subsection (D),

3. Proof of registration for additional continuing education that is sufficient to enable the administrator or manager to fulfill the continuing education requirement before the end of the requested extension, and

4. Administrator's or manager's attestation that the continuing education obtained under the extension will be reported only to fulfill the current renewal requirement and will not be reported on a subsequent renewal application.

G. The Board shall grant an extension of time within seven days after receiving a request for an extension of time if the request:

1. Specifies an ending date no later than October 31,

2. Includes the required documentation and attestation,

3. Is submitted no sooner than April 30, and

4. Will facilitate the safe and professional regulation of nursing care institutions or assisted living facilities in this state.

History

• New Section made by final rulemaking at 12 A.A.R. 4075, effective December 4, 2006 (Supp. 06-4). Amended by final rulemaking at 15 A.A.R. 1975, effective November 3, 2009 (Supp. 09-4). Amended by final rulemaking at 27 A.A.R. 233, effective 4/4/2021.

Ariz. Admin. Code § R4-33-502 Approval of Continuing Education

A. The Board shall approve any continuing education approved by NAB or the ACHCA.

B. The Board shall approve a continuing education only if it is taught by a qualified instructor and addresses at least one of the following subject areas:

1. Laws regarding environmental health and safety,

2. Principles of management,

3. Psychology and principles of patient or resident care,

4. Personal and social care,

5. Therapeutic and supportive care and services in long-term or assisted care,

6. Community health and social resources,

7. Quality assurance,

8. Ethics, and

9. Recordkeeping.

C. To obtain the Board's approval of a continuing education, an administrator, manager, or continuing education provider shall:

1. Submit a form, which is available from the Board, containing the following information:

a. Title of the continuing education;

b. Name and address of the continuing education provider;

c. Name, telephone and fax numbers, and e-mail address of a contact person for the continuing education provider;

d. Date, time, and place at which the continuing education will be taught;

e. Whether the continuing education is intended for administrators or managers;

f. Subject matter of the continuing education;

g. Teaching methods and learning activities that will be used;

h. Learning objectives;

i. Description of how learning objectives will be evaluated;

j. Whether an examination will be given;

k. Number of continuing education hours requested; and

l. Signature of the person requesting approval of the continuing education.

2. Submit the following documents:

a. Copy of any examination that will be given to those who attend the continuing education;

b. Curriculum vitae of each instructor;

c. Agenda of the continuing education showing the hours of instruction;

d. Certificate of attendance that meets the requirements in R4-33-501(D);

e. Copy of any brochure prepared regarding the continuing education; and

f. Fee required under R4-33-104.

D. The Board's approval of a continuing education is valid for one year unless there is a change in subject matter, instructor, or hours of instruction. At the end of one year or when there is a change in subject matter, instructor, or hours of instruction, the continuing education provider shall apply again for approval.

History

• New Section made by final rulemaking at 12 A.A.R. 4075, effective December 4, 2006 (Supp. 06-4).

Ariz. Admin. Code § R4-33-503 Audit of Compliance and Sanction for Noncompliance with Continuing Education Requirement

A. The Board may audit a licensee or certificate holder for compliance with the continuing education requirement at any time.

B. When notice of the need to renew a license or certificate is provided, the Board shall also provide notice of an audit of continuing education records to a random sample of administrators or managers. An administrator or manager subject to a continuing education audit shall submit the documentation required under R4-33-501(D) at the same time that the administrator or manager submits the renewal application required under R4-33-206 or R4-33-405. If an administrator or manager fails to submit the required documentation with the renewal application on or before June 30, the license or certificate expires unless the administrator or manager obtains an extension of time in which to complete the continuing education requirement.

History

• New Section made by final rulemaking at 12 A.A.R. 4075, effective December 4, 2006 (Supp. 06-4). Amended by final rulemaking at 27 A.A.R. 233, effective 4/4/2021.

Ariz. Admin. Code § R4-33-504 [Repealed]

History

• New Section made by final rulemaking at 12 A.A.R. 4075, effective December 4, 2006 (Supp. 06-4). Repealed by final rulemaking at 27 A.A.R. 233, effective 4/4/2021.

Article 6 ASSISTED LIVING FACILITY MANAGER TRAINING PROGRAMS

Ariz. Admin. Code § R4-33-601 Definitions

"Owner" means the person responsible for ensuring an assisted living facility training program complies with this Article.

"Instruction," as used in this Article, means the act of teaching knowledge and skills in a classroom or through the use of technology.

"Resident" means an individual who lives in an assisted living facility.

"Student cohort" means a group of individuals who begin participation in an assisted living facility training program at the same time.

History

• New Section made by final rulemaking at 19 A.A.R. 1619, effective August 4, 2013 (Supp. 13-2). Amended by final rulemaking at 29 A.A.R. 1556, effective 6/15/2023.

Ariz. Admin. Code § R4-33-602 Minimum Standards for Assisted Living Facility Manager Training Program

A. Organization and administration. The owner of an assisted living facility manager training program shall:

1. Provide the Board with a written description of the training program that includes:

a. Length of the training program in hours and days, and

b. Educational goals that demonstrate the training program is consistent with state requirements;

2. Execute a written agreement with each assisted living facility at which students enrolled in the training program receive training that includes the following information:

a. The rights and responsibilities of both the facility and the training program,

b. The role and authority of the governing bodies of both the facility and the training program, and

c. A termination clause that provides time for students enrolled in the training program to complete training at the facility upon termination of the agreement;

3. Develop and adhere to written policies and procedures regarding:

a. Attendance. Ensure that a student receives at least 40 hours of instruction;

b. Grading. Require a student to attain at least 75 percent on each theoretical examination or 75 percent on a comprehensive theoretical examination;

c. Reexamination. Inform students that a reexamination:

i. Addresses the same competencies examined in the original examination,

ii. Contains items different from those on the original examination, and

iii. Is documented in the student's record;

d. Student records. Include the following information:

i. Records maintained,

ii. Retention period for each record,

iii. Location of records,

iv. Documents required under subsections (E)(1) and (E)(2), and

v. Procedure for accessing records and who is authorized to access records;

e. Student fees and financial aid, if any;

f. Withdrawal and dismissal;

g. Student grievances including a chain of command for disputing a grade;

h. Admission requirements including any criminal background or drug testing required;

i. Criteria for training program completion; and

j. Procedure for documenting that a student has received notice of Board requirements for certification, including the fingerprint clearance card requirement, before the student is enrolled;

4. Date each policy and procedure developed under subsection (A)(3), review within one year from the date made and every year thereafter, update if necessary, and date the policy or procedure at the time of each review;

5. Provide each student who completes the training program with evidence of completion, within 15 days of completion, which includes the following:

a. Name of the student;

b. Name and location of the training program;

c. Number of instruction hours in the training program;

d. Date on which the training program was completed;

e. Board's approval number of the training program; and

f. Signature of the training program owner, administrator, or instructor;

6. Provide the Board, within 15 days of completion, the following information regarding each student who completed the training program:

a. Student's name, date of birth, Social Security number, address, and telephone number;

b. Student's examination scores as provided by the examining entity;

c. Name and location of the training program;

d. Number of instruction hours in the training program;

e. Date on which the training program was completed; and

f. Board's approval number of the training program; and

7. Execute and maintain under subsections (E)(1) and (E)(2) the following documents for each student:

a. A skills checklist containing documentation the student achieved competency in the assisted living facility manager skills listed in R4-33-603(C), and

b. An evaluation form containing the student's responses to questions about the quality of the instructional experiences provided by the training program.

B. Program administrator responsibilities. The owner of an assisted living facility manager training program shall ensure that a program administrator performs the following responsibilities:

1. Supervises and evaluates the training program,

2. Uses only instructors who are qualified under subsection (C), and

3. Makes the written policies and procedures required under subsection (A)(3) available to each student on or before the first day of the training program;

C. The owner of an assisted living facility manager training program shall ensure that a program instructor:

1. Is a certified assisted living facility manager who:

a. Holds an assisted living facility manager certificate that is in good standing and issued under A.R.S. Title 36, Chapter 4;

b. Has held the assisted living facility manager certificate referenced in subsection (C)(1)(a) for at least five years;

c. Has not been subject to any disciplinary action against the assisted living facility manager certificate during the last five years; and

d. Has at least three years' experience within the last five years as an assisted living facility manager of record immediately before becoming a training program instructor;

2. Performs the following responsibilities:

a. Plans each learning experience,

b. Accomplishes educational goals of the training program and lesson objectives,

c. Enforces a grading policy that meets the requirement specified in subsection (A)(3)(b),

d. Requires satisfactory performance of all critical elements of each assisted living facility manager skill specified under R4-33-603(C),

e. Prevents a student from performing an activity unless the student has received instruction and been found able to perform the activity competently,

f. Is present during all instruction,

g. Supervises health-care professionals who assist in providing training program instruction, and

h. Ensures that a health-care professional who assists in providing training program instruction:

i. Is licensed or certified as a health-care professional,

ii. Has at least one year of experience in the field of licensure or certification, and

iii. Teaches only a learning activity that is within the scope of practice of the field of licensure or certification.

D. Instructional and educational resources. The owner of an assisted living facility manager training program shall provide or provide access to the following instructional and educational resources adequate to implement the training program for all students and staff:

1. Current reference materials related to the level of the curriculum;

Equipment, including computers, in good working condition to simulate facility management;

3. Audio-visual equipment and media; and

Designated space that provides a clean, distraction-free, learning environment for accomplishing educational goals of the training program;

E. The owner of an assisted living facility manager training program shall:

Maintain the following training program records for three years:

a. Curriculum and course schedule for each student cohort;

b. Results of state-approved written and manual skills testing;

c. Evaluation forms completed by students, a summary of the evaluation forms for each student cohort, and measures taken, if any, to improve the training program based on student evaluations; and

d. Copy of all Board reports, applications, or correspondence related to the training program; and

2. Maintain the following student records for three years:

a. Name, date of birth, and Social Security number;

b. Completed skills checklist;

c. Attendance record including a record of any make-up class sessions;

d. Score on each test, quiz, and examination and, if applicable, whether a test, quiz, or examination was retaken; and

e. Copy of the certificate of completion issued to the student as required under subsection (A)(5);

F. Examination and evaluation requirements. The owner of an assisted living facility manager training program shall ensure that each student in the training program:

1. Takes an examination that covers each of the subjects listed in R4-33-603(C) and passes each examination using the standard specified in subsection (A)(3)(b);

2. Is evaluated and determined to possess the practical skills listed in R4-33-603(C);

3. Passes, using the standard specified in subsection (A)(3)(b), a final examination approved by the Board and given by a Board-approved provider; and

Does not take the final examination referenced in subsection (F)(3) more than two times. If a student fails the final examination referenced in subsection (F)(3) two times, the student is able to obtain evidence of completion only by taking the assisted living facility manager training program again;

G. Periodic evaluation. The owner of an assisted living facility manager training program shall allow a representative of the Board or a state agency designated by the Board to conduct:

1. An onsite scheduled evaluation:

a. Before initial approval of the training program as specified under R4-33-604(D),

b. Before renewal of the training program approval as specified under R4-33-605, and

c. During a time of correction as specified under R4-33-606(B); and

2. An onsite unscheduled evaluation of the training program if the evaluation is in response to a complaint or reasonable cause, as determined by the Board; and

H. Notice of change. The owner of an assisted living facility manager training program shall provide the documentation and information specified regarding the following changes within 10 days after making the change:

1. New training program administrator. Name and license number;

2. New instructor. Name, license number, and evidence of being qualified under subsection (C)(1);

3. Decrease in number of training program hours. Description of and reason for the change, a revised curriculum outline, and revised course schedule;

Change in location at which instruction is provided. Address and description of new location; and

5. For a training program that is based within an assisted living facility:

a. Change in name of the facility. Former and new name of the assisted living facility; and

b. Change in ownership of the facility. Names of the former and current owners of the assisted living facility.

History

• New Section made by final rulemaking at 19 A.A.R. 1619, effective August 4, 2013 (Supp. 13-2). Amended by final rulemaking at 29 A.A.R. 642, effective 2/13/2023. Amended by final rulemaking at 29 A.A.R. 1556, effective 6/15/2023.

Ariz. Admin. Code § R4-33-603 Curriculum for Assisted Living Facility Manager Training Program

A. The owner of an assisted living facility manager training program shall ensure that the training program consists of at least 40 hours of instruction.

B. The owner of an assisted living facility manager training program shall provide a written curriculum plan to each student that includes overall educational goals and for each required subject:

1. Measurable learner-centered objectives,

2. Outline of the material to be taught,

3. Time allotted to each unit of instruction, and

4. Learning activities or reading assignments.

C. The owner of an assisted living facility manager training program shall ensure that the training program includes instruction regarding each of the following subjects:

1. Resident services management. Developing policies and procedures regarding:

a. Resident rights and confidentiality;

b. Developing, implementing, and updating resident service plans;

c. Resident agreements;

d. Providing social and recreational services;

e. Maintaining resident records and managing documentation systems;

f. Managing ancillary services;

g. Responding to and reporting specific incidents, accidents, and emergencies involving residents;

h. Managing dining services to meet resident needs;

i. Preventing abuse, neglect, and exploitation;

j. Accepting and retaining residents; and

k. Developing systems for managing residents with dementia, Alzheimer's disease, or difficult behaviors;

2. Personnel management.

a. Complying with federal, state and local laws relating to hiring personnel;

b. Developing and implementing systems related to qualifying, orienting, training, and other recurring personnel requirements; and

c. Evaluating personnel;

3. Medication management.

a. Developing and evaluating policies and procedures for:

i. Medication management including medical restraints; and

ii. Non-medication intervention; and

b. Developing systems for:

i. Receiving and documenting doctors' orders;

ii. Ordering, refilling, and storing medications; and

iii. Recordkeeping related to receipt and administration of medication; and

4. Legal management.

a. Board-prescribed requirements for certification and re-certification,

b. Delegation,

c. Ethics,

d. Advanced directives and do-not-resuscitate orders,

e. Standards of conduct under R4-33-407,

f. Department of Health Services compliance and complaint inspections:

i. Statement of deficiencies,

ii. Plan for correction, and

iii. Enforcement action; and

g. Risk management and quality improvement;

5. Financial management.

a. Developing and implementing policies, procedures, and practices that comply with:

i. State and local laws; and

ii. Generally accepted accounting principles regarding accounts receivable, accounts payable, payroll, resident funds, and refunds;

b. Developing, implementing, and evaluating facility budgeting including revenues, expenses, capital expenditures, and longterm projections; and

c. Maintaining appropriate insurance coverage; and

6. Physical environment management.

a. Complying with federal, state, and local laws regarding:

i. Occupational Safety and Health Administration,

ii. Americans with Disabilities Act, and

iii. Fire and safety requirements for assisted living facilities;

b. Preparedness for and prevention of fire, emergencies, and disasters;

c. Resident safety and security including evacuation, relocation, and transportation; and

d. Daily and preventative maintenance plans for buildings, equipment, and grounds.

D. The owner of an assisted living facility manager training program shall ensure that the training program provides a student with at least:

1. Eight hours of instruction and skills practice in each of the subjects identified in subsections (C)(1) through (C)(4), and

2. Four hours of instruction and skills practice in each of the subjects identified in subsections (C)(5) and (C)(6).

E. The owner of an assisted living facility manager training program shall ensure that the training program uses textbooks that are relevant to the subjects being taught and have been published within the last five years.

History

• New Section made by final rulemaking at 19 A.A.R. 1619, effective August 4, 2013 (Supp. 13-2). Amended by final rulemaking at 29 A.A.R. 1556, effective 6/15/2023.

Ariz. Admin. Code § R4-33-604 Application for Approval of an Assisted Living Facility Manager Training Program

A. The owner of an assisted living facility manager training program shall ensure that no training is provided until the program is approved by the Board.

B. To obtain approval of an assisted living facility manager training program, the owner of the training program shall submit to the Board an application packet that contains the following:

1. Name, address, telephone number, and e-mail address of the owner;

Name, address, telephone and fax numbers, and web site of the training program;

3. Form of business organization under which the training program is operated and a copy of the establishing documents and organizational chart;

4. A statement of whether the training program is based within an assisted living facility or other location;

5. Name, telephone number, and license or certificate number of the program administrator required under R4-33-602(B);

6. Name, telephone number, and certificate number of each program instructor and evidence that each program instructor is qualified under R4-33-602(C);

7. A statement of whether the training program is accredited and if so, name of the accrediting body and date of last review;

For all assisted living facilities at which the training program will provide instruction:

a. Name, address, and telephone number of the assisted living facility;

b. Name and telephone number of a contact person at the assisted living facility;

c. License number of the assisted living facility issued by the Department of Health Services;

d. A statement of whether the license of the assisted living facility is in good standing; and

e. Date and results of the most recent compliance inspection conducted by the Department of Health Services;

9. Evidence of compliance with R4-33-602 and R4-33-603, including the following:

a. Written training program description, consistent with R4-33-602(A)(1), and an implementation plan that includes timelines;

b. Description of instructional facilities, equipment, and tools available, consistent with R4-33-602(D);

c. Written curriculum, consistent with R4-33-603(B);

d. Skills checklist used to verify whether a student has acquired the necessary assisted living facility manager skills, consistent with R4-33-602(A)(7)(a);

e. Evaluation form required under R4-33-602(A)(7)(b) to enable students to assess the quality of the instructional experience provided by the training program;

f. Evidence of completion issued to a student under R4-33-602(A)(5);

g. Name of textbook used, author, publication date, and publisher;

h. Name of any technology-based materials used, producer of the material, and date produced; and

h.i. Copy of written policies and procedures required under R4-33-602(A)(3);

10. Signature of the owner of the training program; and

11. The fee prescribed under R4-33-104(C)(1).

C. The owner of an assisted living facility manager training program shall ensure that the application materials submitted under subsection (B) are printed on only one side of white, letter-sized paper, and are not bound in any manner.

D. After review of the materials submitted under subsection (B), the Board shall schedule an onsite evaluation of the training program and take one of the following actions:

1. If requirements are met, approve the training program for one year; or

2. If requirements are not met, deny approval of the training program.

E. The owner of an assisted living facility manager training program that is denied approval by the Board may request a hearing regarding the denial by filing a written request with the Board within 30 days after service of the Board's order denying approval of the training program. The Board shall conduct hearings under A.R.S. Title 41, Chapter 6, Article 10.

History

• New Section made by final rulemaking at 19 A.A.R. 1619, effective August 4, 2013 (Supp. 13-2). Amended by final rulemaking at 29 A.A.R. 1556, effective 6/15/2023.

Ariz. Admin. Code § R4-33-605 Renewal of Approval of an Assisted Living Facility Manager Training Program

A. The approval of an assisted living facility manager training program expires one year from the date of approval. If the approval of an assisted living facility manager training program expires, the owner of the training program shall immediately stop all training program activity.

B. To renew approval of an assisted living facility manager training program, the owner of the training program shall submit to the Board, no fewer than 60 and no more than 120 days before expiration of the current approval, an application packet that contains the following:

1. Name, address, e-mail, and telephone number of the owner;

Name, address, telephone and fax numbers, and website of the training program;

3. Name, telephone number, and license number of the program administrator required under R4-33-602(B);

4. Name, telephone number, and license number of each program instructor and evidence that each program instructor is qualified under R4-33-602(C);

5. Written training program description, consistent with R4-33-602(A)(1);

Written curriculum, consistent with R4-33-603(B);

7. Since the time the training program was last approved:

a. Number of student-cohort classes to which training was provided,

b. Number of students who completed the training program,

c. Results obtained on the Board-approved written and skills examinations for each student, and

d. Percentage of students who passed the examinations on the first attempt;

8. For an assisted living facility at which the training program has started to provide instruction since the training program was last approved, the information required under R4-33-604(B)(8);

9. Evaluation form required under R4-33-602(A)(7)(b) to enable students to assess the quality of the instructional experience provided by the training program;

10. Summary of evaluations for each student cohort, required under R4-33-602(E)(1)(c), and measures taken, if any, to improve the training program based on student evaluations;

11. Evidence of completion issued to a student under R4-33-602(A)(5);

Name of textbook used, author, publication date, and publisher;

13. Copy of written policies and procedures required under R4-33-602(A)(3);

Signature of the owner of the program; and

15. The fee prescribed under R4-33-104(C)(2).

C. After review of the materials submitted under subsection (B), the Board shall ensure that the training program is evaluated at either an onsite or telephonic meeting. The program owner shall ensure that the program owner, program administrator, and all instructors are available to participate in the evaluation meeting.

D. The Board shall ensure that each training program receives an onsite evaluation at least every four years. An onsite evaluation includes visiting each assisted living facility at which the training program provides instruction.

E. If the Board approves a training program following an onsite evaluation, no deficiencies were identified during the onsite evaluation, and no complaints are filed with the Board, the Board shall evaluate the training program under subsection (C) using a telephonic meeting for at least two years.

F. After conducting the evaluation required under subsection (C), the Board shall:

1. Renew approval of a training program that the Board determines complies with R4-33-602 and R4-33-603, or

2. Issue a notice of deficiency under R4-33-606 to the owner of a training program that the Board determines does not comply with R4-33-602 or R4-33-603.

G. The owner of an assisted living facility manager training program that is issued a notice of deficiency by the Board under subsection (F)(2) may request a hearing regarding the deficiency notice by filing a written request with the Board within 30 days after service of the Board's order. The Board shall conduct hearings under A.R.S. Title 41, Chapter 6, Article 10.

History

• New Section made by final rulemaking at 19 A.A.R. 1619, effective August 4, 2013 (Supp. 13-2). Amended by final rulemaking at 29 A.A.R. 1556, effective 6/15/2023.

Ariz. Admin. Code § R4-33-606 Notice of Deficiency; Correction Plan; Disciplinary Action; Voluntary Termination

A. Notice of deficiency. If the Board determines that an assisted living facility manager training program does not comply with the requirements in this Article, the Board shall issue a written notice of deficiency to the owner of the training program. The Board shall include the following in the notice of deficiency:

1. Description of each deficiency;

2. Citation to the requirement in this Article with which the training program is not in compliance; and

3. The time, to a maximum of three months, allowed by the Board for correction of the deficiencies.

B. Correction plan.

1. Within 10 days after service of a notice of deficiency under subsection (A), the owner of the served training program shall submit to the Board a written plan to correct the identified deficiencies;

2. The Board may conduct onsite or telephonic evaluations during the time for correction to assess progress towards compliance;

3. The owner of a training program implementing a correction plan shall notify the Board when all corrections have been made; and

4. After receiving notice under subsection (B)(3) or after the time provided under subsection (A)(3) has expired, the Board shall conduct an onsite evaluation to determine whether all deficiencies listed in the notice under subsection (A) have been corrected.

a. If the Board determines that all deficiencies have been corrected, the Board shall renew approval of the training program; or

b. If the Board determines that all deficiencies have not been corrected, the Board shall take disciplinary action under subsection (C).

C. Disciplinary action.

1. Under A.R.S. § 36-446.03(P), the Board shall issue a civil money penalty, suspend or revoke approval of an assisted living facility manager training program, or place the training program on probation if, following a hearing, the Board determines that the owner of the assisted living facility caregiver training program:

a. Failed to submit a plan of correction to the Board under R4-33-606(B) within 10 days after service of a notice of deficiency;

b. Failed to comply with R4-33-602 or R4-33-603 within the time set by the Board under R4-33-606(A)(3) for correction of deficiencies;

c. Failed to comply with a federal or state requirement;

d. Failed to allow the Board to conduct an evaluation under R4-33-602(G);

e. Failed to comply with R4-33-602(H);

f. Lent or transferred training program approval to another individual or entity or another training program, including one owned by the same owner;

g. Conducted an assisted living facility manager training program before obtaining Board approval;

h. Conducted an assisted living facility manager training program after expiration of program approval without submitting an application for renewal under R4-33-605;

i. Falsified an application for assisted living facility manager training program approval under R4-33-604 or R4-33- 605;

j. Violated an order, condition of probation, or stipulation issued by the Board; or

k. Failed to respond to a complaint filed with the Board.

2. The Board shall conduct hearings under A.R.S. Title 41, Chapter 6, Article 10.

3. The Board shall include in an order suspending or revoking approval of an assisted living facility manager training program the time and circumstances under which the owner of the suspended or revoked training program may apply again under R4-33-604 for training program approval.

D. Voluntary termination. If the owner of an approved assisted living facility manager training program decides to terminate the training program, the owner shall:

Provide written notice of the planned termination to the Board; and

2. Ensure that the training program, including the instructors, is maintained according to this Article until the last student is transferred or completes the training program.

History

• New Section made by final rulemaking at 19 A.A.R. 1619, effective August 4, 2013 (Supp. 13-2).

Article 7 ASSISTED LIVING FACILITY CAREGIVER TRAINING PROGRAMS

Ariz. Admin. Code § R4-33-701 Definitions

In addition to the definitions in R4-33-601, the following definitions apply in this Article:

"CMA" means certified medication assistant, an LNA certified by the Arizona Board of Nursing under A.R.S. § 32-1650.02.

2. "CNA" means certified nursing assistant, an individual licensed by the Arizona Board of Nursing under A.R.S. § 32-1645.

3. "DCW" means direct-care worker, an individual who meets the standards and requirements specified in Section 1240(A) of the Arizona Health Care Cost Containment System policy manual.

4. "Instruction," as used in this Article, means the act of teaching knowledge and skills in a classroom or through the use of technology.

5. "LNA" means licensed nursing assistant, an individual licensed by the Arizona Board of Nursing under A.R.S. § 32-1645.

6. "Skills training" means experiential learning focused on acquiring the ability to provide caregiving services to residents.

History

• New Section made by final rulemaking at 19 A.A.R. 1619, effective August 4, 2013 (Supp. 13-2). Amended by final rulemaking at 24 A.A.R. 2734, effective 11/10/2018. Amended by final rulemaking at 29 A.A.R. 1556, effective 6/15/2023.

Ariz. Admin. Code § R4-33-702 Minimum Standards for Assisted Living Facility Caregiver Training Program

A. Organization and administration. The owner of an assisted living facility caregiver training program shall:

1. Provide the Board with a written description of the training program that includes:

a. Length of the training program in hours:

i. Number of hours of instruction, and

ii. Number of hours of skills training, and

iii. Number of hours of distance learning, and

b. Educational goals that demonstrate the training program is consistent with state requirements;

2. Develop and adhere to written policies and procedures regarding:

a. Attendance. Ensure that a student receives at least 62 hours of instruction;

b. Grading. Require a student to attain at least 75 percent on each knowledge examination or 75 percent on a comprehensive knowledge examination;

c. Reexamination. Inform students that a reexamination:

i. Addresses the same competencies examined in the original examination,

ii. Contains items different from those on the original examination, and

iii. Is documented in the student's record;

d. Student records. Include the following information:

i. Records maintained,

ii. Retention period for each record,

iii. Location of records,

iv. Documents required under subsections (G)(1) and (G)(2), and

v. Procedure for accessing records and who is authorized to access records;

e. Student fees and financial aid, if any;

f. Withdrawal and dismissal;

g. Student grievances including a chain of command for disputing a grade;

h. Admission requirements including any criminal background or drug testing required;

i. Criteria for training program completion; and

j. Procedure for documenting that a student has received notice of the fingerprint clearance card requirement before the student is enrolled;

3. Date each policy and procedure developed under subsection (A)(2), review within one year from the date made and every year thereafter, update if necessary, and date the policy or procedure at the time of each review;

4. Provide each student who completes the training program with evidence of completion, within 15 days of completion, which includes the following:

a. Name of the student;

b. Name and instruction location of the training program;

c. Total number of hours in the training program devoted to instruction;

c.d. Number of hours in the training program devoted to skills training;

d.e. Date on which the training program was completed;

e.f. Board's approval number of the training program; and

f.g. Signature of the training program owner, administrator, or instructor;

5. Provide the Board, within 15 days of completion, the following information regarding each student who completed the training program:

a. Student's name, date of birth, Social Security number, address, and telephone number;

b. Student's examination score as provided by a Board-approved provider;

c. Name and instruction location of the training program;

d. Total number of instruction hours in the training program;

e. Number of distance learning hours in the training program;

f.e. Number of skills training hours in the training program;

g.f. Date on which the training program was completed; and

h.g. Board's approval number of the training program; and

6. Execute and maintain under subsections (G)(1) and (G)(2) the following documents for each student:

a. A skills checklist containing documentation the student achieved competency in the assisted living facility caregiver skills listed in R4-33-703(C),

b. A copy of the current food-handler's card issued to the student by the county in which the student lives, and

c. An evaluation form containing the student's responses to questions about the quality of the instructional experiences provided by the training program.

B. Program administrator responsibilities. The owner of an assisted living facility caregiver training program shall ensure that a program administrator performs the following responsibilities:

1. Supervises and evaluates the training program,

2. Uses only instructors who are qualified under subsection (C), and

3. Makes the written policies and procedures required under subsection (A)(2) available to each student on or before the first day of the training program;

C. The owner of an assisted living facility caregiver training program shall ensure that a program instructor is qualified under subsection (C)(1), (C)(2), or (C)(3):

Is a certified assisted living facility manager:

a. Holds an assisted living facility manager certificate that is in good standing and issued under A.R.S. Title 36, Chapter 4;

b. Has held the assisted living facility manager certificate referenced in subsection (C)(1)(a) for at least two years;

c. Has not been subject to disciplinary action against the assisted living facility manager certificate during the last two years; and

d. Has at least two years' experience within the last five years as an assisted living facility manager of record immediately before becoming a training program instructor;

2. Is a licensed health professional:

a. Holds a license that is in good standing and issued under A.R.S. Title 32, Chapter, 13, 15, 17, or 25;

b. Has held the health professional license referenced in subsection (C)(2)(a) for at least two years;

c. Has not been subject to disciplinary action against the health professional license during the last two years; and

d. Has at least two years' experience within the last five years in management, operation, or training in assisted living immediately before becoming a training program instructor; or

3. Other qualified individual:

a. Holds at least a baccalaureate degree in a health-related field from an accredited college or university;

b. Has not been subject to disciplinary action against any professional or occupational license or certificate during the last two years; and

c. Has at least two years' experience within the last five years in management, operation, or training in assisted living immediately before becoming a training program instructor.

D. The owner of an assisted living facility caregiver training program shall ensure that a program instructor performs the following responsibilities:

Plans each learning experience,

Accomplishes educational goals of the training program and lesson objectives,

3. Enforces a grading policy that meets the requirement specified in subsection (A)(2)(b),

4. Requires satisfactory performance of all critical elements of each assisted living facility caregiver skill specified under R4-33-703(C),

5. Prevents a student from performing an activity unless the student has received instruction and been found able to perform the activity competently,

6. Is present during all instruction,

7. Uses a maximum of 20 hours of distance learning,

8.7. Supervises health professionals who assist in providing training program instruction, and

9.8. Ensures that a health professional who assists in providing training program instruction:

a. Is licensed or certified as a health professional,

b. Has at least one year of experience in the field of licensure or certification, and

c. Teaches only a learning activity that is within the scope of practice of the field of licensure or certification.

E. Skill training requirements. The owner of an assisted living facility caregiver training program shall:

1. Provide each student with at least 12 hours of instructor-supervised skills training, and

2. Ensure that each student develops skill proficiency in the subjects listed in R4-33-703(C).

F. Instructional and educational resources. The owner of an assisted living facility caregiver training program shall provide, or provide access to, the following instructional and educational resources adequate to implement the training program for all students and staff:

1. Current reference materials related to the level of the curriculum;

Equipment in functional condition for simulating resident care, including:

a. Patient bed, over-bed table, and nightstand;

b. Privacy curtain and call bell;

c. Thermometers, stethoscopes, including a teaching stethoscope, blood-pressure cuff, and balance scale;

d. Hygiene supplies, elimination equipment, drainage devices, and linens;

e. Hand-washing equipment and clean gloves; and

f. Wheelchair, gait belt, walker, anti-embolic hose, and cane;

3. Computer in good working condition;

4. Audio-visual equipment and media; and

Designated space that provides a clean, distraction-free, learning environment for accomplishing educational goals of the training program;

G. Records. The owner of an assisted living facility caregiver training program shall:

1. Maintain the following training program records for three years:

a. Curriculum and course schedule for each student cohort;

b. Results of state-approved written examination and skills checklist;

c. Evaluation forms completed by students, a summary of the evaluation forms for each student cohort, and measures taken, if any, to improve the training program based on student evaluations; and

d. Copy of all Board reports, applications, or correspondence related to the training program; and

2. Maintain the following student records for three years:

a. Name, date of birth, and Social Security number;

b. Completed skills checklist;

c. Attendance record including a record of any make-up class sessions;

d. Score on each test, quiz, and examination and, if applicable, whether a test, quiz, or examination was retaken;

e. Documentation from the program instructor indicating the:

i. Number of skills training hours completed by the student,

ii. Student performance during the skills training, and

iii. Verification of total number of instruction hours completed by the student; and

f. Copy of the evidence of completion issued to the student as required under subsection (A)(4);

H. Examination and evaluation requirements for students. The owner of an assisted living facility caregiver training program shall ensure each student in the training program:

1. Takes an examination that covers each of the subjects listed in R4-33-703(C) and passes each examination using the standard specified in subsection (A)(2)(b);

2. Is evaluated and determined to possess the practical skills listed in R4-33-703(C);

3. Passes, using the standard specified in subsection (A)(2)(b), a final examination approved by the Board and given by a Board-approved provider; and

Does not take the final examination referenced in subsection (H)(3) more than three times. If a student fails the final examination referenced in subsection (H)(3) three times, the student is able to obtain evidence of completion only by taking the assisted living facility caregiver training program again;

I. Examination passing standard. The owner of an assisted living facility caregiver training program shall attain an annual first-time passing rate of 70 percent for all students who take the examination specified under subsection (H)(3). The Board may waive this requirement for a program if fewer than 10 students took the examination during the year.

J. Periodic evaluation. The owner of an assisted living facility caregiver training program shall allow a representative of the Board or a state agency designated by the Board to conduct:

1. A scheduled evaluation:

a. Before initial approval of the training program as specified under R4-33-704(D),

b. Before renewal of the training program approval as specified under R4-33-705(C), and

c. During a time of correction as specified under R4-33-706(B); and

2. An onsite unscheduled evaluation of the training program if the evaluation is in response to a complaint or reasonable cause, as determined by the Board;

K. Notice of change. The owner of an assisted living facility caregiver training program shall provide the documentation and information specified regarding the following changes within 10 days after making the change:

1. New training program administrator. Name and license number;

2. New instructor. Name, license number, and evidence of being qualified under subsection (C);

3. Decrease in number of training program hours. Description of and reason for the change, a revised curriculum outline, and revised course schedule;

Change in location at which instruction is provided. Address and description of new location; and

5. For a training program that is based within an assisted living facility:

a. Change in name of the facility. Former and new name of the assisted living facility; and

b. Change in ownership of the facility. Names of the former and current owners of the assisted living facility.

L. Medication management training program. The owner of an assisted living facility caregiver training program may provide a medication management training program for a student who, at the time of admission, is in good standing and a CNA, LNA, or DCW. The owner shall ensure the medication management training program provides the instruction listed in subsection R4-33-703(C)(14) and meets the standards in R4-33-703.1.

History

• New Section made by final rulemaking at 19 A.A.R. 1619, effective August 4, 2013 (Supp. 13-2). Amended by final rulemaking at 24 A.A.R. 2734, effective 11/10/2018. Amended by final rulemaking at 26 A.A.R. 1465, effective 9/5/2020. Amended by final rulemaking at 29 A.A.R. 1556, effective 6/15/2023.

Ariz. Admin. Code § R4-33-703 Curriculum for Assisted Living Facility Caregiver Training Program

A. The owner of an assisted living facility caregiver training program shall ensure that the training program consists of at least 62 hours including:

1. Fifty hours of instruction, and

2. Twelve hours of instructor-supervised skills training.

B. The owner of an assisted living facility caregiver training program shall provide a written curriculum plan to each student that includes overall educational goals and for each required subject:

1. Measurable learner-centered objectives,

Outline of the material to be taught,

3. Time allotted to each unit of instruction, and

4. Learning activities or reading assignments.

C. The owner of an assisted living facility caregiver training program shall ensure the training program includes instruction and skills training regarding each of the following subjects:

1. Orientation to and overview of the assisted living facility caregiver training program (at least one hour of instruction).

a. Levels of care within an assisted living facility, and

b. Impact of each level of care on residents;

2. Legal and ethical issues and resident rights (at least two hours of instruction).

a. Confidentiality (HIPAA);

b. Ethical principles;

c. Resident rights specified in R9-10-710;

d. Abuse, neglect, and exploitation;

e. Mandatory reporting; and

f. Do-not-resuscitate order and advanced directives;

3. Communication and interpersonal skills (at least two hours of instruction).

a. Components of effective communication,

b. Styles of communication,

c. Attitude in communication,

d. Barriers to effective communication:

i. Culture,

ii. Language, and

iii. Physical and mental disabilities, and

e. Techniques of communication;

4. Job management skills (at least one hour of instruction).

a. Stress management, and

b. Time management;

5. Service plans (at least two hours of instruction). Developing, using, and maintaining resident service plans;

6. Infection control (at least three hours of instruction).

a. Common types of infectious diseases,

b. Preventing infection,

c. Controlling infection:

i. Washing hands,

ii. Using gloves, and

iii. Disposing of sharps and other waste;

Nutrition and food preparation (at least two hours of instruction).

a. Basic nutrition;

b. Menu planning and posting;

c. Procuring, handling, and storing food safely; and

d. Special diets;

8. Fire, safety, and emergency procedures (at least two hours of instruction).

a. Emergency planning,

b. Medical emergencies,

c. Environmental emergencies,

d. Fire safety,

e. Fire drills and evacuations, and

f. Fire-code requirements;

9. Home environment and maintenance (at least two hours of instruction).

a. Housekeeping,

b. Laundry, and

c. Physical plant;

10. Basic caregiver skills (at least eight hours of instruction).

a. Taking vital signs and measuring height and weight;

b. Maintaining a resident's environment;

c. Observing and reporting pain;

d. Assisting with diagnostic tests;

e. Providing assistance to residents with drains and tubes;

f. Recognizing and reporting abnormal changes to a supervisor;

g. Applying clean bandages;

h. Providing peri-operative care;

i. Assisting ambulation of residents including transferring and using assistive devices;

j. Bathing, caring for skin, and dressing;

k. Caring for teeth and dentures;

l. Shampooing and caring for hair;

m. Caring for nails;

n. Toileting, caring for perineum, and caring for ostomy;

o. Feeding and hydration including proper feeding techniques and use of assistive devices in feeding;

p. Preventing pressure sores; and

q. Maintaining and treating skin;

Mental health and social service needs (at least three hours of instruction).

a. Modifying the caregiver's behavior in response to resident behavior,

b. Understanding the developmental tasks associated with the aging process,

c. Responding to resident behavior,

d. Promoting resident dignity,

e. Providing culturally sensitive care,

f. Caring for the dying resident, and

g. Interacting with the resident's family;

12. Care of the cognitively impaired resident (at least four hours of instruction).

a. Anticipating and addressing the needs and behaviors of residents with dementia or Alzheimer's disease,

b. Communicating with cognitively impaired residents,

c. Understanding the behavior of cognitively impaired residents, and

d. Reducing the effects of cognitive impairment;

13. Skills for basic restorative services (at least two hours of instruction).

a. Understanding body mechanics;

b. Assisting resident self-care;

c. Using assistive devices for transferring, walking, eating, and dressing;

d. Assisting with range-of-motion exercises;

e. Providing bowel and bladder training;

f. Assisting with care for and use of prosthetic and orthotic devices; and

g. Facilitating family and group activities; and

14. Medication management (at least 16 hours of instruction).

a. Determining whether a resident needs assistance with medication administration and if so, the nature of the assistance;

b. Assisting a resident to self-administer medication;

c. Observing, documenting, and reporting changes in resident condition before and after medication is administered;

d. Knowing the rights of a resident regarding medication administration;

e. Knowing classifications of and responses to medications;

f. Taking, reading, and implementing a physician's medication and treatment orders;

g. Storing medication properly and securely;

h. Documenting medication and treatment services;

i. Maintaining records of medication and treatment services;

j. Using medication organizers properly;

k. Storing and documenting use of narcotic drugs and controlled substances;

l. Understanding how metabolism and physical conditions affect medication absorption;

m. Knowing the proper administration of all forms of medication;

n. Using drug-reference guides (Physician's Desk Reference); and

o. Preventing, identifying, documenting, reporting, and responding to medication errors.

D. The owner of an assisted living facility caregiver training program shall ensure that the training program provides a student with at least the number of:

1. Hours of instruction specified in subsection (C); and

2. Subject to the limitations specified, uses distance learning for a maximum of 20 hours only for the classroom hours specified in subsections (C)(1) through (C)(9), (C)(11) and (C)(12):

a. Only one of the classroom hours specified in subsection (C)(6) may be taught by distance learning; and

b. Only two of the classroom hours specified in subsection (C)(12) may be taught by distance learning.

3.2. Instructor-supervised skills training hours specified in subsection (A).

E. The owner of an assisted living facility caregiver training program shall ensure that the training program uses textbooks that are relevant to the subjects being taught and have been published within the last five years.

F. The owner of an assisted living facility caregiver training program shall ensure that any distance learning provided uses materials that are relevant to the subjects being taught and have been produced within the last five years.

History

• New Section made by final rulemaking at 19 A.A.R. 1619, effective August 4, 2013 (Supp. 13-2). Amended by final rulemaking at 24 A.A.R. 2734, effective 11/10/2018. Amended by final rulemaking at 29 A.A.R. 1556, effective 6/15/2023.

Ariz. Admin. Code § R4-33-703.1 Minimum Standards and Curriculum for an Assisted Living Facility Caregiver Medication Management Training Program

A. An assisted living facility caregiver medication management training program may be established by:

1. The owner or manager of an assisted living facility, or

2. The owner of an assisted living facility caregiver training program.

B. A person under subsection (A) may offer an assisted living facility caregiver medication management training program to:

1. A CNA who is in good standing and whose certification by the Arizona Board of Nursing under A.R.S. § 32-1645 is verified;

2. An LNA who is in good standing and whose licensure by the Arizona Board of Nursing under A.R.S. § 32-1645 is verified; and

A DCW who is in good standing and whose training, including training about caregiving fundamentals and aging and physical disabilities, and testing record is verified through the AHCCCS online database.

C. A person under subsection (A) that offers an assisted living facility caregiver medication management training program to individuals specified under subsection (B) shall ensure the assisted living facility caregiver medication management training program:

1. Consists of at least the 16 hours of instruction specified under R4-33-703(C)(14);

2. Is not taught by distance learning;

3.2. Is taught by a health professional who holds a license in good standing and issued under A.R.S. Title 32, Chapter 13, 15, 17, 18, or 25; and

4.3. Requires passing an examination regarding assisted living facility caregiver medication management, using the standard specified in R4-33-702(A)(2)(b), that is approved by the Board and given by a Board-approved provider. An individual under subsection (B) shall pass the required examination in no more than three attempts. After failing three times, the individual may take the assisted living facility caregiver medication management program again.

D. In addition to complying with subsection (C), a person under subsection (A) shall ensure each individual under subsection (B) who participates in an assisted living facility caregiver medication management training program:

Receives notice, before participating in the training program, of:

a. The fingerprint clearance card requirement, and

b. The need to obtain a food-handler's card from the county in which the individual lives.

2. Provides written documentation, which is dated and signed, indicating the person under subsection (A) complied with subsection (D)(1). The person under subsection (A) shall maintain the written documentation under R4-33-702(G)(2).

E. In addition to complying with subsection (C), a person under subsection (A) that offers an assisted living facility caregiver medication management training program to individuals specified under subsection (B) shall comply with the following subsections of R4-33-702 :

1. (A)(4)(a), (b), and (d) through (f);

2. (A)(5)(a) through (d), (g), and (h);

3. (A)(6)(b) and (c);

4. (G)(1)(b) through (d);

5. (G)(2)(a), (c), (d), and (f);

6. (I) and

7. (J).

History

• Adopted by final rulemaking at 24 A.A.R. 2734, effective 11/10/2018. Amended by final rulemaking at 26 A.A.R. 1465, effective 9/5/2020. Amended by final rulemaking at 29 A.A.R. 1556, effective 6/15/2023.

Ariz. Admin. Code § R4-33-704 Application for Approval of an Assisted Living Facility Caregiver Training Program

A. The owner of an assisted living facility caregiver training program shall ensure no training is provided until the program is approved by the Board.

B. To obtain approval of an assisted living facility caregiver training program, the owner of the training program shall submit to the Board an application packet that contains the following:

1. Name, address, telephone number, and e-mail address of the owner;

Name, address, telephone and fax numbers, and website of the training program;

3. Form of business organization under which the training program is operated and a copy of the establishing documents and organizational chart;

4. A statement of whether the training program is based within an assisted living facility or other location;

5. Name, telephone number, e-mail address, and license or certificate number of the program administrator required under R4-33-702(B);

6. Name, telephone number, e-mail address, and license number of each program instructor and evidence each program instructor is qualified under R4-33-702(C);

7. A statement of whether the training program is accredited and if so, name of the accrediting body and date of last review;

8. For all assisted living facilities at which the training program will provide instruction:

a. Name, address, and telephone number of the assisted living facility;

b. Name, e-mail address, and telephone number of a contact person at the assisted living facility;

c. License number of the assisted living facility issued by the Department of Health Services;

d. A statement of whether the license of the assisted living facility is in good standing; and

e. Date and results of the most recent compliance inspection conducted by the Department of Health Services;

9. Evidence of compliance with R4-33-702 and R4-33-703, including the following:

a. Written training program description, consistent with R4-33-702(A)(1), and an implementation plan that includes timelines;

b. Description of instructional facilities, equipment, and l tools available, consistent with R4-33-702(F);

c. Written curriculum, consistent with R4-33-703(C);

d. Skills checklist used to verify whether a student has acquired the necessary assisted living facility caregiver skills, consistent with R4-33-702(A)(6)(a);

e. Evaluation form required under R4-33-702(A)(6)(c) to enable students to assess the quality of the instructional experience provided by the training program;

f. Evidence of completion issued to a student under R4-33-702(A)(4);

g. Name of textbook used, author, publication date, and publisher;

h. Name of any technology-based materials used, producer of the material, and date produced; and

i. Copy of written policies and procedures required under R4-33-702(A)(2);

10. Signature of the owner of the training program; and

11. The fee prescribed under R4-33-104(D)(1).

C. The owner of an assisted living facility caregiver training program shall ensure the application materials submitted under subsection (B) are printed on only one side of white, letter-sized paper, and are not bound in any manner.

D. After review of the materials submitted under subsection (B), the Board shall schedule an onsite evaluation of the training program and take one of the following actions:

1. If requirements are met, approve the training program for one year; or

2. If requirements are not met, deny approval of the training program.

E. The owner of an assisted living facility caregiver training program denied approval by the Board may request a hearing regarding the denial by filing a written request with the Board within 30 days after service of the Board's order denying approval of the training program. The Board shall conduct hearings under A.R.S. Title 41, Chapter 6, Article 10.

History

• New Section made by final rulemaking at 19 A.A.R. 1619, effective August 4, 2013 (Supp. 13-2). Amended by final rulemaking at 24 A.A.R. 2734, effective 11/10/2018. Amended by final rulemaking at 29 A.A.R. 1556, effective 6/15/2023.

Ariz. Admin. Code § R4-33-704.1 Application for Approval of an Assisted Living Facility Caregiver Medication Management Training Program

A. A person described under R4-33-703.1(A) shall ensure no training is provided until the assisted living facility medication management training program is approved by the B

B. To obtain approval of an assisted living faaoard. edication management training program, a person described under R4-33-703.1(A) shall submit to the Board an application packet the contains the following:

1. Name, address, telephone number, and e-mail address of the person described under R4-33-703.1(A);

2. A statement of wheter the training program is based within an assisted living facility or other location and address of the location;

3. Name, telephone number, e-mail address, and license number of each program instructor and evidence each program instructor is qualified under R4-33-703.1(C)(3);

4. The information required under R4-33-704(B)(8);

5. The following evidence of compliance with R4-33-703.1(D) :

a. Skills checklist used to verify whether a student has acquired the necessary assisted living facility caregiver skills, consistent with R4-33-702(A)(6)(a);

b. Evaluation form required under R4-33-702(A)(6)(c) to enable students to assess the quality of the instructional experience provided by the training program; and

c. Evidence of completion issued to a student under R4-33-702(A)(4); 6. Signature of the person described under R4-33-703.1(A); and

6. The fee prescribed under R4-33-104(E)(1) except a person that has an assisted living facility caregiver training program 7 approved under R4-33-704 is not required to pay a fee for approval under this Section.

C. R4-33-704(C) through (E) applies to this Section.

History

• Adopted by final rulemaking at 24 A.A.R. 2734, effective 11/10/2018.

Ariz. Admin. Code § R4-33-705 Renewal of Approval of an Assisted Living Facility Caregiver Training Program

A. The approval of an assisted living facility caregiver training program expires one year from the date of approval. If the approval of the training program expires, the owner of the training program shall immediately stop all training program activity.

B. To renew approval of an assisted living facility caregiver training program, the owner of the training program shall submit to the Board, no fewer than 60 and no more than 120 days before expiration of the current approval, an application packet that contains the following:

1. Name, address, telephone number, and e-mail address of the owner;

2. Name, address, telephone and fax numbers, and website of the training program;

3. Name, telephone number, e-mail address, and license number of the program administrator required under R4-33-702(B);

4. Name, telephone number, e-mail address, and license number of each program instructor and evidence each program instructor is qualified under R4-33-702(C);

5. Written training program description, consistent with R4-33-702(A)(1);

Written curriculum, consistent with R4-33-703(C);

7. Since the time the training program was last approved:

a. Number of student-cohort classes to which training was provided,

b. Number of students who completed the training program,

c. Results obtained on the Board-approved written examination and skills checklist for each student, and

d. Percentage of students who passed the examination on the first attempt;

8. For an assisted living facility at which the training program has started to provide instruction since the training program was last approved, the information required under R4-33-704(B)(8);

9. Evaluation form required under R4-33-702(A)(6)(c) to enable students to assess the quality of the instructional experience provided by the training program;

10. Summary of evaluations for each student cohort, required under R4-33-702(G)(1)(c), and measures taken, if any, to improve the training program based on student evaluations;

11. Evidence of completion issued to a student under R4-33-702(A)(4);

Name of textbook used, author, publication date, and publisher;

13. Name of any technology-based materials used, producer of the material, and date produced;

14. Copy of written policies and procedures required under R4-33-702(A)(2);

Signature of the owner of the training program; and

16. The fee prescribed under R4-33-104(D)(2).

C. After review of the materials submitted under subsection (B), the Board shall ensure the training program is evaluated at either an onsite or telephonic meeting. The program owner shall ensure the program owner, program administrator, and all instructors are available to participate in the evaluation meeting.

D. The Board shall ensure each training program receives an onsite evaluation at least every four years. An onsite evaluation includes visiting each assisted living facility at which the training program provides instruction.

E. If the Board approves a training program following an onsite evaluation, no deficiencies were identified during the onsite evaluation, and no complaints are filed with the Board, the Board shall evaluate the training program under subsection (C) using a telephonic meeting for at least two years.

F. After conducting the evaluation required under subsection (C), the Board shall:

1. Renew approval of a training program the Board determines complies with R4-33-702 and R4-33-703, or

2. Issue a notice of deficiency under R4-33-706 to the owner of a training program the Board determines does not comply with R4-33-702 or R4-33-703.

G. The owner of an assisted living facility training program issued a notice of deficiency by the Board under subsection (F)(2) may request a hearing regarding the deficiency notice by filing a written request with the Board within 30 days after service of the Board's order. The Board shall conduct hearings under A.R.S. Title 41, Chapter 6, Article 10.

History

• New Section made by final rulemaking at 19 A.A.R. 1619, effective August 4, 2013 (Supp. 13-2). Amended by final rulemaking at 24 A.A.R. 2734, effective 11/10/2018. Amended by final rulemaking at 29 A.A.R. 1556, effective 6/15/2023.

Ariz. Admin. Code § R4-33-705.1 Renewal of Approval of an Assisted Living Facility Caregiver Medication Management Training Program

A. The approval of an assisted living facility caregiver medication management training program expires one year from the date of approval. If the approval expires, the person described under R4-33-703.1(A) shall immediately stop all medication management training program activity.

B. To renew approval of an assisted living facility caregiver medication management training program, the person described under R4-33-703.1(A) shall submit to the Board, no fewer than 60 and no more than 120 days before expiration of the current approval, an application packet that contains the following:

1. Name, address, telephone number and e-mail address of the person described under R4-33-703.1(A);

2. Name, telephone number, e-mail address, and license number of each program instructor and evidence each program instructor is qualified under R4-33-703.1(C)(3);

3. The information required under R4-33-705(B)(7) through (11);

Signature of the person described under R4-33-703.1(A); and

5. The fee prescribed under R4-33-104(E)(2) except a person that has approval of an assisted living facility caregiver training program renewed under R4-33-705 is not required to pay a fee for approval under this Section.

C. R4-33-705(C) through (G) applies to this Section.

History

• Adopted by final rulemaking at 24 A.A.R. 2734, effective 11/10/2018.

Ariz. Admin. Code § R4-33-706 Notice of Deficiency; Correction Plan; Disciplinary Action; Voluntary Termination

A. Notice of deficiency. If the Board determines an assisted living facility caregiver or medication management training program does not comply with the requirements in this Article, the Board shall issue a written notice of deficiency to the program owner or person described under R4-33-703.1(A) of the training. The Board shall include the following in the notice of deficiency:

1. Description of each deficiency;

2. Citation to the requirement in this Article with which the training program is not in compliance; and

3. The time, to a maximum of three months, allowed by the Board for correction of the deficiencies.

B. Correction plan.

1. Within 10 days after service of a notice of deficiency under subsection (A), the owner or person described under R4-33-703.1(A) of the served training program shall submit to the Board a written plan to correct the identified deficiencies;

2. The Board may conduct onsite or telephonic evaluations during the time for correction to assess progress towards compliance;

3. The owner or person described under R4-33-703.1(A) of a training program implementing a correction plan shall notify the Board when all corrections have been made; and

4. After receiving notice under subsection (B)(3) or after the time provided under subsection (A)(3) has expired, the Board shall conduct an onsite evaluation to determine whether all deficiencies listed in the notice under subsection (A) have been corrected.

a. If the Board determines all deficiencies have been corrected, the Board shall renew approval of the training program; or

b. If the Board determines all deficiencies have not been corrected, the Board shall take disciplinary action under subsection (C).

C. Disciplinary action.

1. Under A.R.S. § 36-446.03(P), the Board shall issue a civil money penalty, suspend or revoke approval of an assisted living facility caregiver or medication management training program, or place the training program on probation if, following a hearing, the Board determines that the owner or the person described under R4-33-703.1(A) :

a. Failed to submit a plan of correction to the Board under R4-33-706(B) within 10 days after service of a notice of deficiency;

b. Failed to comply with R4-33-702, R4-33-703, or R4-33-703.1, as applicable, within the time set by the Board under R4-33-706(A)(3) for correction of deficiencies;

c. Failed to comply with a federal or state requirement;

d. Failed to allow the Board to conduct an evaluation under R4-33-702(J) or R4-33-703.1(D)(6);

e. Failed to comply with R4-33-702(K);

f. Lent or transferred training program approval to another individual or entity or another training program, including one owned by the same owner or person described under R4-33-703.1(A);

g. Conducted an assisted living facility caregiver or medication management training program before obtaining Board approval;

h. Conducted an assisted living facility caregiver or medication management training program after expiration of program approval without timely submitting an application for renewal under R4-33-705 or R4-33-705.1, as applicable;

i. Falsified an application for assisted living facility caregiver or medication management training program approval under R4-33-704, R4-33-704.1, R4-33-705, or R4-33-705.1;

j. Violated an order, condition of probation, or stipulation issued by the Board; or

k. Failed to respond to a complaint filed with the Board.

2. The Board shall conduct hearings under A.R.S. Title 41, Chapter 6, Article 10.

3. The Board shall include in an order suspending or revoking approval of an assisted living facility caregiver or medication management training program the time and circumstances under which the owner or person described under R4-33-703.1(A) of the suspended or revoked training program may apply again under R4-33-704 or R4-33-704.1 for training program approval.

D. Voluntary termination. If the owner or person described under R4-33-703.1(A) of an approved assisted living facility caregiver or medication management training program decides to terminate the training program, the owner or person described under R4-33-703.1(A) shall:

1. Provide written notice of the planned termination to the Board; and

Ensure that the training program, including the instructors, is maintained according to this Article until the last student is transferred or completes the training program.

History

• New Section made by final rulemaking at 19 A.A.R. 1619, effective August 4, 2013 (Supp. 13-2). Amended by final rulemaking at 24 A.A.R. 2734, effective 11/10/2018.

Ariz. Admin. Code § R4-33-707 Minimum Standards for an Assisted Living Facility On-the-job Caregiver Training Program

A. In this Section:

1. "Direct supervision" has the same meaning as specified at A.R.S. § 36-446.16(C).

2. "Five years of experience," as used in A.R.S. § 36-446.16(A)(1)(a)(v), means a certified assisted living facility manager has been the manager of record for at least five years at an assisted living facility.

3. "Manager of record" means a certified assisted living facility manager for whom notice of appointment is provided under R4-33-410.

4. "OTJ" means on-the-job, a form of training that provides an employee with knowledge and skills essential to adequate job performance.

B. Before implementing an OTJ training program, the owner of the assisted living facility at which the OTJ training program will be implemented shall apply to the Board to have the OTJ training program approved.

C. To apply for Board approval under subsection (B), the owner of the assisted living facility shall submit an application packet that contains:

1. Name, address, telephone number, and e-mail address of the owner of the assisted living facility;

2. Name, telephone number, e-mail address, and certificate number of the assisted living facility manager of record;

3. A statement of who will be responsible for providing oversight of the OTJ training program. If oversight will be provided by someone other than the owner or manager of record, the name, telephone number, e-mail address, and occupational license number of the individual who will be responsible;

4. License number of the assisted living facility at which the OTJ training program will be provided;

5. A written description of the OTJ training program that includes:

a. A statement of pre-requisites for being employed by the assisted living facility and becoming a participant in the OTJ training program including any criminal background or drug testing required;

b. An acknowledgment that the OTJ training program will be provided only to individuals who:

i. Are employed at the assisted living facility;

ii. Are being paid and receiving the same benefits as other caregivers employed at the assisted living facility;

iii. Have a valid fingerprint clearance card; and

iv. Have a current food-handler's card issued by the county in which the individual lives;

c. A statement of whether any hours of the OTJ training program will involve classroom instruction and if so, the number of hours and curriculum subjects, as specified in R4-33-703(C), that will be taught by classroom instruction;

d. An acknowledgment that all hours of the OTJ training program will be taught only to students who are physically present at the assisted living facility;

e. An acknowledgment that the OTJ training program will consist of at least 62 hours of training covering all the curriculum subjects specified in R4-33-703(C); and

f. An acknowledgment that the OTJ training program complies with A.R.S. § 36-446.16(A)(1)(v) regarding direct supervision of the OTJ training program by the manager of record.

6. A copy of the license or certificate, as specified in A.R.S. § 36-446.16(A)(1), of each health professional who will provide direct supervision of the OTJ training program;

7. A copy of written policies and procedures regarding:

a. Ensuring each individual in the OTJ training program receives at least 62 hours of training covering all the curriculum subjects specified in R4-33-703(C);

b. Examining and evaluating each individual as specified in R4-33-702(H);

c. Maintaining records of the OTJ training provided to each individual as specified in R4-33-702(A)(2)(d);

d. Termination of or quitting by an individual participating in the OTJ training program;

e. Criteria for completing the OTJ training program and procedure for ensuring each individual in the OTJ training program is informed of the criteria; and

f. Frequency and documentation of updating the written policies and procedures;

8. A copy of a skills checklist used to verify that each individual in the OTJ training program acquires the skills listed in R4-33-703(C) and necessary to function competently as an assisted living facility caregiver;

9. A copy of the evidence of completion provided within 15 days to each individual who completes the OTJ training program;

10. A copy of the written information provided to each individual in the OTJ training program regarding how and to whom to submit a complaint regarding a grade, quality of training, failure to comply with this Section, discrimination, termination, or other issue;

11. The fee specified at R4-33-104(D); and

12. Signature of the owner of the assisted living facility at which the OTJ training program will be provided attesting that the information provided is complete and accurate.

D. After receiving Board approval of the OTJ training program, the owner of the assisted living facility for which the approval was provided shall ensure the following responsibilities are performed:

1. Within 15 days after an individual completes the OTJ training program, provide to the Board the information specified in R4-33-702(A)(5)(a), (b), (g), and (h); and

2. Maintain the following records in the caregiver's permanent employee file:

a. A copy of the caregiver's fingerprint clearance card and food-handler's card required under subsection (C)(5);

b. Written documentation, signed by and with the license number of the health professional providing direct supervision, of each hour of OTJ training provided to the caregiver;

c. A copy of the caregiver's completed skills checklist required under subsection (C)(8);

d. Results of the state-approved written examination taken by the caregiver showing the caregiver achieved the grade specified in R4-33-702(A)(2)(b);

e. Copy of the evidence of completion issued to the caregiver with the caregiver's signed and dated acknowledgment of receipt; and

f. A copy of any complaint submitted by the caregiver and records showing how the complaint was resolved.

E. The owner of an assisted living facility with a Board-approved OTJ training program shall allow the Board to conduct periodic evaluation, as described in R4-33-702(J), of the OTJ training program.

F. The approval of an OTJ training program expires one year after the date of approval. If the approval expires, the owner of the assisted living facility shall ensure the OTJ training program ceases. To renew approval of the OTJ training program, the owner of the assisted living facility shall submit to the Board a renewal application packet, which is available on the Board's website, and the fee specified under R4-33-104(D).

G. The provisions of R4-33-706 are applicable to an OTJ training program.

History

• Adopted by final rulemaking at 27 A.A.R. 233, effective 4/4/2021. Amended by final rulemaking at 29 A.A.R. 1556, effective 6/15/2023.

Chapter 34 BOARD OF MANUFACTURED HOUSING

Article 1 GENERAL

Ariz. Admin. Code § R4-34-101 Definitions

The definitions in A.R.S. §§ 41-4001, and 41-4008 apply to this Chapter. Additionally, in this Chapter:

1. "Act" means the Manufactured Housing Improvement Act of 2000, which is Title VI of the American Homeownership and Economic Opportunity Act of 2000.

2. "Agency" means the seller or purchaser of a used home has given a licensed salesperson written legal authority to act on behalf of the seller or purchaser when dealing with a third party. The written legal authority is also binding on the salesperson's licensed and employing retailer.

3. "Agency disclosure" means a document that specifies the person a licensed salesperson or licensed retailer represents in a brokered transaction.

4. "Agent" means a licensed retailer authorized to act on behalf of a seller, purchaser, or both the seller and purchaser of a used home.

"Attached" means an accessory is fastened or affixed to a regulated structure in a manner that imposes a load on the structure.

5. 6. "Branch location" means a satellite office, in addition to the principal office, where business may be transacted.

6. 7. "Brokered transaction" means a transaction in which a licensed broker acts as an agent for the seller, purchaser, or both.

7. 8. "Certificate" means an Arizona Insignia with which a licensee certifies all work performed complies with applicable law, including this Chapter, relating to modular manufacture and reconstruction, installation of modular, manufactured, and mobile homes, or rehabilitation work and construction.

8. 9. "Co-brokered transaction" means a transaction in which the listing retailer and the selling retailer are not the same person.

9. "Commercial" means an FBB with a use-occupancy classification other than single-family dwelling.

10. "Consummation of sale, as defined at A.R.S. § 41-1001, includes filing an Affidavit of Affixture, if applicable.

11. "FBB" means factory-built building.

12. "Field installed" means components, equipment, and/or construction that is to be completed or installed at the site. Field installed does not include reconstruction.

13. "HVAC" means heating, ventilation, and air conditioning.

14. "Modular" means a type of FBB built in a factory and transported in three-dimensional sections to an installation site.

15. "New" means a unit not previously sold, bargained, exchanged, or given away to a purchaser.

16. "Panelized" means a type of commercial FBB built in a factory using closed construction, including partly or fully finished walls, floors, or roof panels, and transported in two-dimensional condition to an assembly site.

16. 17. "Permanent foundation" means a system of support and perimeter enclosure, with or without crawl space, that is:

a. Constructed of durable materials:

b. Developed in accordance with the manufacturer's installation instructions or designed by an Arizona registered engineer;

c. Attached in a manner that effectively transfers all vertical and horizontal design loads that could be imposed on the structure by wind, snow, frost, seismic, or flood conditions, as applicable, to the underlying soil or rock; and

d. Designed to exclude unwanted elements and varmints, ensure sufficient ventilation, and provide adequate access to the building.

e. Not affixed with anchoring straps or cable to ground anchors other than footings.

17. 18. "Purchase contract in a brokered transaction" means a written agreement between a purchaser and seller of a used home that indicates the sales price and terms of the sale.

18. 19. "Repair" means work performed on a manufactured home, mobile home, or FBB to restore the building to a habitable condition but does not impact the original structure, electrical, plumbing, HVAC, mechanical, use occupancy, or energy design.

19. "Residential" means a building with a use-occupancy classification of single family dwelling or as governed by the International Residential Code.

20. "Retailer" means a broker or dealer as prescribed at A.R.S. § 41-4001(5) and (10).

21. "Site" means a parcel of land bounded by a property line or a designated portion of a public right-of-way.

22. "Site work" means soil preparation including soil analysis, grading, drainage, utility trenches, and foundation systems preparation, and field-installed work including terminal and connections, on-site utility connections, accessibility structures, egress paths, parking, lighting, landscaping, and similar work.

23. "Standards" means the materials referenced in R4-34-102.

24. "Supplement" means a submittal noting change of a floor plan design, system, component, or configuration, and is incorporated as part of an originally approved plan.

25. "Technical service" means engineering assistance and interpretative application or clarification of compliance and enforcement of A.R.S. Title 41, Chapter 16, Articles 1, 2, and 4 and this Chapter.

26. 25. "Used home" means a previously titled manufactured home, mobile home, or FBB designed for use as a residential dwelling.

History

• Former Section R4-34-101 renumbered to R4-34-102, new Section R4-34-101 adopted effective July 3, 1991 (Supp. 91-3). Section repealed by final rulemaking at 6 A.A.R. 47, effective December 8, 1999; new Section adopted by final rulemaking at 6 A.A.R. 145, effective December 8, 1999 (Supp. 99-4). Amended by final rulemaking at 11 A.A.R. 464, effective March 5, 2005 (Supp. 05-1). Amended by final rulemaking at 13 A.A.R. 3582, effective December 1, 2007 (Supp. 07-4). Amended by final rulemaking at 18 A.A.R. 944, effective June 4, 2012 (Supp. 12-2). Amended by final rulemaking at 24 A.A.R. 1499, effective 6/30/2018. Amended by final rulemaking at 26 A.A.R. 1509, effective 9/6/2020.

Ariz. Admin. Code § R4-34-102 Materials Incorporated by Reference

The following materials, which the Board incorporates by reference, apply to this Chapter. The materials, which include no later amendments or editions, are available from the Board. If there is a conflict between the incorporated material and a statute or rule, the statute or rule controls.

1. HUD Manufactured Housing Program

a. 1. 24 CFR 3280, Manufactured Home Construction and Safety Standards, April 1, 2008, edition, available from the U.S. Government Printing Office, 732 N. Capitol St. NW, Washington, D.C. 20401 or bookstore.gpo.gov;

b. 2. 24 CFR 3282, Manufactured Home Procedural and Enforcement Regulations, April 1, 2008, edition, available from the U.S. Government Printing Office, 732 N. Capitol St. NW, Washington, D.C. 20401 or bookstore.gpo.gov;

c. 3. 24 CFR 3284, Manufactured Housing Program Fee, April 1, 2008, edition, available from the U.S. Government Printing Office, 732 N. Capitol St. NW, Washington, D.C. 20401 or bookstore.gpo.gov;

d. 4. 24 CFR 3285, Model Manufactured Home Installation Standards, April 1, 2008, edition, available from the U.S. Government Printing Office, 732 N. Capitol St. NW, Washington, D.C. 20401 or bookstore.gpo.gov;

e. 5. 24 CFR 3286, Manufactured Home Installation Program, April 1, 2009, edition, available from the U.S. Government Printing Office, 732 N. Capitol St. NW, Washington, D.C. 20401 or bookstore.gpo.gov;

f. 6. 24 CFR 3288, Manufactured Home Dispute Resolution Program, April 1, 2008, edition, available from the U.S. Government Printing Office, 732 N. Capitol St. NW, Washington, D.C. 20401 or bookstore.gpo.gov;

2. Factory-built Building Program

a. 7. International Building Code (IBC), 2009 edition, available from the International Code Council, 4051 Flossmoor Road, Country Club Hills, IL 60478;

b. 8. International Residential Code (IRC), 2009 edition, available from the International Code Council, 4051 Flossmoor Road, Country Club Hills, IL 60478;

c. 9. International Mechanical Code (IMC), 2009 edition, available from the International Code Council, 4051 Flossmoor Road, Country Club Hills, IL 60478;

d.10. International Plumbing Code (IPC), 2009 edition, available from the International Code Council, 4051 Flossmoor Road, Country Club Hills, IL 60478;

e. 11. International Fuel Gas Code (IFGC), 2009 edition, available from the International Code Council, 4051 Flossmoor Road, Country Club Hills, IL 60478;

f. 12. International Energy Conservation Code (IECC), 2009 edition, available from the International Code Council, 4051 Flossmoor Road, Country Club Hills, IL 60478;

g.13. National Electrical Code (NEC), 2008 edition, available from the National Fire Protection Association, One Batterymarch Park, Quincy, MA 02169; and

3. Installation, Foundation, and Accessory Structures

a. Materials incorporated in subsections (1) and (2); and b.

14. Protecting Manufactured Homes from Floods and Other Hazards, publication 85, second edition, November 2009, available from the Federal Emergency Management Agency, 500 C. St. SW, Washington, D.C. 20472 or www.fema.gov.

History

• Adopted effective January 31, 1979 (Supp. 79-1). Amended effective May 28, 1980 (Supp. 80-3). Amended effective October 20, 1981 (Supp. 81-5). Former Section R4-34-102 renumbered to R4-34-103, new Section R4-34-102 renumbered from R4-34-101 and amended effective July 3, 1991 (Supp. 91-3). Amended effective September 3, 1992 (Supp. 92-3). Section repealed by final rulemaking at 6 A.A.R. 47, effective December 8, 1999; new Section adopted by final rulemaking at 6 A.A.R. 145, effective December 8, 1999 (Supp. 99-4). Amended by final rulemaking at 11 A.A.R. 464, effective March 5, 2005 (Supp. 05-1). Amended by final rulemaking at 18 A.A.R. 944, effective June 4, 2012 (Supp. 12-2). Amended by final rulemaking at 24 A.A.R. 1499, effective 6/30/2018.

Ariz. Admin. Code § R4-34-103 Exceptions

A. The Board makes the following exceptions to the materials incorporated by reference in R4-34-102 :

1. International Building Code and International Residential Code. A water or gas connection may be a flexible connector if the flexible connector:

a. Is not more than 6 feet long,

b. Is of the rated size necessary to supply the total demand of the unit, and

c. Made of materials that comply with the International Plumbing Code and International Fuel Gas Code; and

2. International Residential Code. Exclude Section R313, Automatic Fire Sprinkler Systems.

B. Under A.R.S. § 41-4010(D), a local jurisdiction may petition the Board for an exception to a standard. If the Board grants a local jurisdiction an exception to a standard, the local jurisdiction shall be bound by any conditions in the exception order issued by the Board. The local jurisdiction shall ensure the petition for an exception:

1. Specifies the standard sections affected;

2. Justifies the requested exception with documented evidence of the local conditions that support the requested exception;

3. Specifies the boundaries of the area affected by the local conditions;

4. States why the exception is necessary to protect the health and safety of the public; and

5. Provides an estimate of the economic impact the requested exception will have on the petitioning jurisdiction, other affected governmental entities, the public, unit owners, and licensees, and the facts upon which the estimate is based.

C. An exception ordered by the Board applies only within the jurisdiction that petitioned for the exception.

D. An exception order is effective on the date specified in the order, which will be at least 60 days after a Departmental Substantive Policy Statement has been issued to all licensed installers describing the exception, the area within which it applies, and any provisions applicable to its use.

History

• Adopted effective January 31, 1979 (Supp. 79-1). Amended effective December 13, 1979 (Supp. 79-6). Amended subsection (A), paragraph (5) effective September 17, 1980 (Supp. 80-5). Amended effective October 20, 1981 (Supp. 81-5). Amended subsection (A), paragraph (2) effective August 29, 1983 (Supp. 83-4). Former Section R4-34-103 renumbered to R4-34-104, new Section R4-34-103 renumbered from R4-34-102 and amended effective July 3, 1991 (Supp. 91-3). Amended effective September 3, 1992 (Supp. 92-3). Amended effective December 14, 1994 (Supp. 94-4). Section repealed by final rulemaking at 6 A.A.R. 47, effective December 8, 1999; new Section adopted by final rulemaking at 6 A.A.R. 145, effective December 8, 1999 (Supp. 99-4). Amended by final rulemaking at 18 A.A.R. 944, effective June 4, 2012 (Supp. 12-2). Amended by final rulemaking at 24 A.A.R. 1499, effective 6/30/2018.

Ariz. Admin. Code § R4-34-104 [Repealed]

History

• Adopted effective January 31, 1979 (Supp. 79-1). Amended subsection (A) effective February 18, 1981 (Supp. 81-1). Amended subsection (A), paragraph (2) effective August 29, 1983 (Supp. 83-4). Amended subsection (A)(2)(d) effective July 18, 1984 (Supp. 84-4). Former Section R4-34-104 renumbered to R4-34-105, new Section R4-34-104 renumbered from R4-34-103 and amended effective July 3, 1991 (Supp. 91-3). Amended effective September 3, 1992 (Supp. 92-3). Amended effective April 12, 1994 (Supp. 94-2). Section repealed by final rulemaking at 6 A.A.R. 47, effective December 8, 1999; new Section adopted by final rulemaking at 6 A.A.R. 145, effective December 8, 1999 (Supp. 99-4). Repealed by final rulemaking at 24 A.A.R. 1499, effective 6/30/2018.

Ariz. Admin. Code § R4-34-105 Repealed

History

• Adopted effective January 31, 1979 (Supp. 79-1). Former Section R4-34-105 renumbered to R4-34-106, new Section R4-34-105 renumbered from R4-34-104 and amended effective July 3, 1991 (Supp. 91-3). Section repealed by final rulemaking at 6 A.A.R. 47, effective December 8, 1999 (Supp. 99-4).

Ariz. Admin. Code § R4-34-106 Repealed

History

• Adopted effective January 31, 1979 (Supp. 79-1). Amended effective April 23, 1981 (Supp. 81-2). Amended effective October 20, 1981 (Supp. 81-5). Correction, subsection (A) (Supp. 81-6). Amended by adding subsection (C) effective April 30, 1982 (Supp. 82-2). Former Section R4-34-106 renumbered to R4-34-107, new Section R4-34-106 renumbered from R4-34-105 and amended effective July 3, 1991 (Supp. 91-3). Section repealed by final rulemaking at 6 A.A.R. 47, effective December 8, 1999 (Supp. 99-4).

Ariz. Admin. Code § R4-34-107 Repealed

History

• Adopted as an emergency effective May 20, 1985, pursuant to A.R.S. § 41-1003, valid for only 90 days (Supp. 85-3). Permanent rule adopted effective August 13, 1985 (Supp. 85-4). Section R4-34-107 renumbered from R4-34-106 and amended effective July 3, 1991 (Supp. 91-3). Section repealed by final rulemaking at 6 A.A.R. 47, effective December 8, 1999 (Supp. 99-4).

Article 2 LICENSING

Ariz. Admin. Code § R4-34-201 General

A. Within five business days following receipt, the Department shall perform an administrative review of an application. If the Department determines the application is incomplete, the applicant will be provided an opportunity to complete the application. Within 14 business days following receipt of a completed application and after the applicant has passed any required license examination, the Department shall issue a conditional license.

B. Corporate applicants shall submit a copy of their organizational documents, including articles of incorporation or organization, with all amendments, filed with the state, as applicable, and a certificate of good standing to transact business in this state.

C. An exemption from any applicable examination requirement may be granted if a new license application identifies the same license classification and the same qualifying party listed on a previously held license, provided the previous license was in good standing before it expired.

D. A licensee will be given notice that a conditional license is automatically effective as a permanent license to transact business within the scope of the license following review and approval by the Department of the licensee's criminal background analysis.

E. Unless otherwise stated in the purchase contract, a retailer selling a mobile home, manufactured home, or FBB shall know the ordinances of the town, city, or county where the unit is to be installed regardless of whether the retailer is obligated to provide for the delivery or installation of the unit.

History

• Adopted effective January 31, 1979 (Supp. 79-1). Amended effective May 9, 1980 (Supp. 80-3). Amended subsection (B) effective January 20, 1981. Amended subsection (B) effective February 18, 1981 (Supp. 81-1). Amended subsection (B) effective April 23, 1981 (Supp. 81-2). Amended effective October 20, 1981 (Supp. 81-5). Correction, subsection (B)(6)(a) 1979 Edition (Supp. 81-6). Former Section R4-34-201 renumbered and amended as Section R4-34-202, new Section R4-34-201 adopted effective September 15, 1982 (Supp. 82-5). Amended subsection (A), paragraph (2) effective August 11, 1986. Amended by adding subsection (F) effective August 25, 1986 (Supp. 86-4). Amended effective July 3, 1991 (Supp. 91-3). Amended effective September 3, 1992 (Supp. 92-3). Section repealed by final rulemaking at 6 A.A.R. 47, effective December 8, 1999; new Section adopted by final rulemaking at 6 A.A.R. 145, effective December 8, 1999 (Supp. 99-4). Amended by final rulemaking at 14 A.A.R. 286, effective March 8, 2008 (Supp. 08-1). Amended by final rulemaking at 24 A.A.R. 1499, effective 6/30/2018.

Ariz. Admin. Code § R4-34-202 Manufacturers

Manufacturers' license applications fall into one of the following license classes:

1. M-9A Manufacturer of FBBs

a. Manufactures factory-built buildings and manufactures or reconstructs FBBs;

b. Reconstructs factory-built buildings and FBB subassemblies.

M-9C Manufacturer of manufactured homes

a. manufactures or reconstructs manufactured homes; and

b. Reconstructs manufactured homes.

3. M-9E Master Manufacturer performs work within the scope of classes M-9A and M-9C.

History

• Adopted effective January 31, 1979 (Supp. 79-1). Amended subsections (A) and (C) effective February 18, 1981 (Supp. 81-1). Amended subsections (C) and (D) effective May 20, 1981 (Supp. 81-3). Amended subsections (B) and (D) effective October 20, 1981 (Supp. 81-5). Former Section R4-34-202 renumbered and amended as Section R4-34-203, former Section R4-34-201 renumbered and amended as Section R4-34-202 effective September 15, 1982 (Supp. 82-5). Amended subsections (B)(3), (B)(4)(b), and (B)(5)(a), by updating the Codes from 1979 Edition to 1982 Edition effective July 8, 1983 (Supp. 83-4). Amended by adding subsection (B)(6)(ii) effective February 14, 1984 (Supp. 84-1). Amended subsection (B)(6)(b) effective November 27, 1984 (Supp. 84-6). Amended effective April 4, 1986 (Supp. 86-2). Amended subsection (B) effective August 11, 1986 (Supp. 86-4). Amended effective July 3, 1991 (Supp. 91-3). Amended effective September 3, 1992 (Supp. 92-3). Amended effective April 12, 1994 (Supp. 94-2). Amended effective November 1, 1995 (Supp. 95-4). Section repealed by final rulemaking at 6 A.A.R. 47, effective December 8, 1999; new Section adopted by final rulemaking at 6 A.A.R. 145, effective December 8, 1999 (Supp. 99-4). Amended by final rulemaking at 11 A.A.R. 464, effective March 5, 2005 (Supp. 05-1). Amended by final rulemaking at 24 A.A.R. 1499, effective 6/30/2018.

Ariz. Admin. Code § R4-34-203 Retailers

Retailers' license applications fall into one of the following license classes:

1. D-8 Retailer of manufactured homes or mobile homes:

a. Buys, sells, or exchanges new or used manufactured homes and used mobile homes;

b. May sell new or used accessory structures included in a sales agreement;

c. Acts as an agent for the sale or exchange of used manufactured homes or mobile homes including existing or new accessory structures included in a sales agreement;

d. Makes alterations to new manufactured homes before a sale to a purchaser; or

e. Contracts with licensed installers or contractors for the installation of manufactured homes, mobile homes, and existing or new accessory structures included in a sales agreement.

2. D-8B Broker of manufactured homes or mobile homes:

a. Acts as an agent for the sale or exchange of used manufactured homes or mobile homes that may include existing or new accessory structures included in a sales agreement;

b. Contracts with licensed installers or contractors for the installation of manufactured homes, mobile homes, and existing or new accessory structures included in a sales agreement.

3. D-10 Retailer of FBBs:

a. Buys, sells, or exchanges new or used FBBs;

b. Acts as an agent for the sale or exchange of new or used FBBs;

c. Makes alterations to new FBBs before sale to a purchaser; or

d. Contracts with licensed installers or contractors holding an appropriate license issued by the Registrar of Contractors for the installation of FBBs including any existing or new accessory structures included in a sales agreement.

4. D-12 Master Retailer: Performs work within the scope of classes D-8, D-8B, and D-10.

History

• Former Section R4-34-202 renumbered and amended as Section R4-34-203 effective September 15, 1982 (Supp. 82-5). Amended subsections (A)(1), (A)(2), and (A)(3) by updating the Codes from 1979 Edition to the 1982 Edition effective July 8, 1983 (Supp. 83-4). Amended subsection (A)(4) effective November 27, 1984 (Supp. 84-6). Amended by adding subsection (D) with Exhibits 1, 2, and 3 effective January 2, 1985 (Supp. 85-1). Amended subsection (D) effective April 4, 1986 (Supp. 86-2). Amended subsection (B) effective August 11, 1986 (Supp. 86-4). Amended effective July 3, 1991 (Supp. 91-3). Section repealed by final rulemaking at 6 A.A.R. 47, effective December 8, 1999; new Section adopted by final rulemaking at 6 A.A.R. 145, effective December 8, 1999 (Supp. 99-4). Amended by final rulemaking at 11 A.A.R. 464, effective March 5, 2005 (Supp. 05-1). Amended by final rulemaking at 14 A.A.R. 286, effective March 8, 2008 (Supp. 08-1). Amended by final rulemaking at 24 A.A.R. 1499, effective 6/30/2018. Amended by final rulemaking at 26 A.A.R. 1509, effective 9/6/2020.

Ariz. Admin. Code § R4-34-204 Installers

A. Installers' license applications fall into one of the following license classes:

1. I-10C General installer of manufactured homes, mobile homes, or residential FBBs:

a. Installs manufactured homes, mobile homes, or residential FBBs on foundation systems;

b. Installs ground anchors and tie-downs for manufactured homes or mobile homes;

c. Connects water, sanitary waste, gas, and electrical systems of all amperages to the proper onsite utility terminals provided by others;

d. Installs HVAC and evaporative cooler systems, including electrical wiring, gas connections, and ductwork on manufactured homes, mobile homes, or residential FBBs. Provides roof jack to cooler ducts, installs exterior duct work, Provides electrical service and controls to cooler from nearest supply source, Provides water to the cooler from nearest fresh water source, and performs cooler repair work. An I-10C installer does not provide service, maintenance, repair, discharging, adding, or reclaiming refrigerants, or other work that requires certification;

e. Installs accessory structures attached to manufactured homes, mobile homes, or residential FBBs, including installation of prefabricated accessory structure units, on-site constructed accessory structures, concrete footings or slabs for accessory structures, and plumbing, electrical, and mechanical equipment;

e.f. Performs repair work, replaces or newly installs to existing mobile homes, manufactured homes, and residential FBBs items in subsections (A)(1)(a) through (e); and

f. g. May subcontract to a properly licensed entity for installation of a manufactured home, mobile home, or residential FBB or installation of an accessory structure in conjunction with installation of a home.

2. I-10D Installer of accessory structures attached to manufactured homes, mobile homes, or residential FBBs including installation of prefabricated accessory structure units, on-site constructed accessory structures, concrete footings or slabs for accessory structures, and plumbing, electrical, and mechanical equipment. An I-10 Installer may subcontract, as needed, to a properly licensed installer or contractor for installation of any accessory-structure item under this subsection.

3. I-10G Master installer of manufactured homes, mobile homes, or residential FBBs is permitted to perform the work described under subsection (A)(1). Additionally, an I-10G Master installer is permitted to perform all activities listed in subsection (A)(1) on a commercial FBB. An I-10G Master installer does not provide service, maintenance, repair, discharging, adding, or reclaiming refrigerants, or any other work requiring certification.

B. Installer applicants. To be qualified for an installer I-10C, I-10D, or I-10G license, an applicant shall:

1. Have a minimum of three years practical or field management experience in the specific type of installation, a related construction field, or the equivalent, for which the applicant is applying. At least two of the three years' experience shall be within 10 years of the date of application. The applicant may substitute technical training in the specific type of installation, a related construction field, or the equivalent, from an accredited college or university or from a Department of Housing workshop for no more than one year of the three years' experience required in this subsection;

2. Supply a written, notarized statement from each employer or other individual familiar with the applicant's employment or other work experience, which includes the name, address, and telephone number of the individual making the statement, the dates of the applicant's employment or other work experience, a description of the position the applicant held, and a signature indicating the signer vouches for the truthfulness of the statement as proof the applicant meets the experience requirement in subsection (B)(1); and

3. Supply a certified copy of each official transcript or certificate, demonstrating successful completion of any technical training the applicant wishes the Department to consider as proof of meeting the experience requirement in subsection (B)(1).

History

• Adopted effective November 27, 1984 (Supp. 84-6). Repealed effective September 3, 1992 (Supp. 92-3). Section repealed by final rulemaking at 6 A.A.R. 47, effective December 8, 1999; new Section adopted by final rulemaking at 6 A.A.R. 145, effective December 8, 1999 (Supp. 99-4). Amended by final rulemaking at 13 A.A.R. 3582, effective December 1, 2007 (Supp. 07-4). Amended by final rulemaking at 14 A.A.R. 286, effective March 8, 2008 (Supp. 08-1). Amended by final rulemaking at 24 A.A.R. 1499, effective 6/30/2018. Amended by final rulemaking at 26 A.A.R. 1509, effective 9/6/2020. Amended by final rulemaking at 27 A.A.R. 1324, effective 10/3/2021.

Ariz. Admin. Code § R4-34-205 Repealed

History

• Adopted effective February 8, 1991 (Supp. 91-1). Amended effective September 3, 1992 (Supp. 92-3). Amended effective December 14, 1994 (Supp. 94-4). Section repealed by final rulemaking at 6 A.A.R. 47, effective December 8, 1999 (Supp. 99-4).

Article 3 SALES TRANSACTIONS AND TRUST OR ESCROW ACCOUNT

Ariz. Admin. Code § R4-34-301 Transaction Copies

A. In all retail transactions, the retailer shall provide the purchaser with completed and signed copies of all documents pertaining to the

A retailer shall maintain a record of all transaction documents. In every transaction:

B. 1. The retailer shall provide the purchaser with a copy of all completed and signed documents;

C. 2. If a purchaser is unrepresented, the listing retailer shall provide the purchaser with a copy of all completed and signed documents ; and

D. 3. If a transaction is co-brokered, the listing retailer shall provide a copy of the listing agreement to the selling retailer, and the selling retailer shall provide a copy of all completed and signed documents to the listing retailer.

E. A retailer or broker shall maintain records containing all transaction documents.

History

• Adopted effective January 31, 1979 (Supp. 79-1). Amended subsections (A) and (C) effective October 20, 1981 (Supp. 81-5). Amended by adding subsection (D) effective April 20, 1982 (Supp. 82-2). Former Section R4-34-301 renumbered to R4-34-701, new Section R4-34-301 renumbered from R4-34-701 and amended effective July 3, 1991 (Supp. 91-3). Amended effective September 3, 1992 (Supp. 92-3). Section repealed by final rulemaking at 6 A.A.R. 47, effective December 8, 1999; new Section adopted by final rulemaking at 6 A.A.R. 145, effective December 8, 1999 (Supp. 99-4). Amended by final rulemaking at 24 A.A.R. 1499, effective 6/30/2018.

Ariz. Admin. Code § R4-34-302 Advertising

A. A retailer shall include the retailer's licensed business name in all advertising.

B. A retailer shall not advertise or market a used home for more than the listed price.

History

• Adopted effective January 31, 1979 (Supp. 79-1). Amended effective March 17, 1981 (Supp. 81-2). Amended subsections (A) and (C) effective October 20, 1981 (Supp. 81-5). Former Section R4-34-302 renumbered to R4-34-702, new Section R4-34-302 renumbered from R4-34-702 and amended effective July 3, 1991 (Supp. 91-3). Section repealed by final rulemaking at 6 A.A.R. 47, effective December 8, 1999; new Section adopted by final rulemaking at 6 A.A.R. 145, effective December 8, 1999 (Supp. 99-4). Amended by final rulemaking at 24 A.A.R. 1499, effective 6/30/2018.

Ariz. Admin. Code § R4-34-303 Brokered Transactions

A. A broker shall provide a copy of the agency disclosure to the party or parties the broker represents.

B. A seller's retailer shall place all earnest money deposits received in connection with the sales transaction in the retailer's trust or escrow account in accordance with A.R.S. § 41-4030 except as provided in the exception provision.

C. Upon consummation of a brokered transaction, the seller's broker shall provide the seller with a closing statement that includes an accounting of all expenses charged to the seller, all pro rations, and all credits.

D. Upon consummation of a brokered transaction, the purchaser's broker shall provide the purchaser with a closing statement that includes an accounting of all expenses charged to the purchaser, all pro rations, and all credits.

E. D. In a co-brokered transaction, the seller shall pay the commission shown on the listing agreement as the total commission.

F. E.The seller's broker shall prepare an addendum to the listing agreement if any of the terms of the listing agreement change. The seller's signature is required for the addendum to be valid. The addendum to the listing agreement shall reflect the date the seller signs the addendum to the listing agreement.

G. F. If the seller or broker elects to finance the unpaid balance reflected on the offer to purchase or purchase contract, the broker shall:

Maintain evidence of the original portion of the purchase price being financed by the seller or broker, and

Maintain evidence the title has been transferred into the name of the purchaser and the lienholder's position has been secured on the title.

History

• Adopted effective January 31, 1979 (Supp. 79-1). Amended effective March 17, 1981 (Supp. 81-2). Amended effective October 20, 1981 (Supp. 81-5). Former Section R4-34-303 renumbered to R4-34-703, new Section R4-34-303 renumbered from R4-34-703 and amended effective July 3, 1991 (Supp. 91-3). Section repealed by final rulemaking at 6 A.A.R. 47, effective December 8, 1999; new Section adopted by final rulemaking at 6 A.A.R. 145, effective December 8, 1999 (Supp. 99-4). Amended by final rulemaking at 24 A.A.R. 1499, effective 6/30/2018.

Ariz. Admin. Code § R4-34-304 Repealed

History

• Adopted effective January 31, 1979 (Supp. 79-1). Amended effective October 20, 1981 (Supp. 81-5). Amended effective April 30, 1982 (Supp. 82-2). Former Section R4-34-304 renumbered to R4-34-704, new Section R4-34-304 renumbered from R4-34-704 and amended effective July 3, 1991 (Supp. 91-3). Section repealed by final rulemaking at 6 A.A.R. 47, effective December 8, 1999 (Supp. 99-4).

Ariz. Admin. Code § R4-34-305 Repealed

History

• Adopted effective January 31, 1979 (Supp. 79-1). Amended effective October 20, 1981 (Supp. 81-5). Former Section R4-34-305 renumbered to R4-34-705, new Section R4-34-305 renumbered from R4-34-705 and amended effective July 3, 1991 (Supp. 91-3). Section repealed by final rulemaking at 6 A.A.R. 47, effective December 8, 1999 (Supp. 99-4).

Ariz. Admin. Code § R4-34-306 Repealed

History

• Adopted effective January 31, 1979 (Supp. 79-1). Amended effective November 19, 1980 (Supp. 80-6). Amended effective October 20, 1981 (Supp. 81-5). Amended effective October 8, 1982 (Supp. 82-5). Former Section R4-34-306 renumbered to R4-34-706, new Section R4-34-306 renumbered from R4-34-706 and amended effective July 3, 1991 (Supp. 91-3). Section repealed by final rulemaking at 6 A.A.R. 47, effective December 8, 1999 (Supp. 99-4).

Ariz. Admin. Code § R4-34-307 Repealed

History

• Adopted effective July 3, 1991 (Supp. 91-3). Section repealed by final rulemaking at 6 A.A.R. 47, effective December 8, 1999 (Supp. 99-4).

Ariz. Admin. Code § R4-34-308 Repealed

History

• Adopted effective February 8, 1991 (Supp. 91-1). Amended effective September 3, 1992 (Supp. 92-3). Amended effective December 14, 1994 (Supp. 94-4). Section repealed by final rulemaking at 6 A.A.R. 47, effective December 8, 1999 (Supp. 99-4).

Ariz. Admin. Code § R4-34-309 Repealed

History

• Adopted effective February 8, 1991 (Supp. 91-1). Section repealed by final rulemaking at 6 A.A.R. 47, effective December 8, 1999 (Supp. 99-4).

Article 4 SURETY BONDS

Ariz. Admin. Code § R4-34-401 Surety Bond Forms

A. Manufacturers, installers, and retailers (except those with a D-8B license classification), shall submit the applicable surety bond amount from the list in R4-34-502, with a form provided by the Office of Administration.

B. A rider to the bond is required for the following changes:

1. Location of the licensee's principal place of business,

2. Business name,

3. Branch address,

4. License classification, or

5. Bond amount.

History

• Adopted effective January 31, 1979 (Supp. 79-1). Amended subsection (A) effective October 20, 1981 (Supp. 81-5). Amended subsection (B) effective April 30, 1982 (Supp. 82-2). Former Section R4-34-401 renumbered to R4-34-501, new Section R4-34-401 renumbered from R4-34-901 and amended effective July 3, 1991 (Supp. 91-3). Section repealed by final rulemaking at 6 A.A.R. 47, effective December 8, 1999; new Section adopted by final rulemaking at 6 A.A.R. 145, effective December 8, 1999 (Supp. 99-4). Amended by final rulemaking at 11 A.A.R. 464, effective March 5, 2005 (Supp. 05-1). Amended by final rulemaking at 14 A.A.R. 286, effective March 8, 2008 (Supp. 08-1). Amended by final rulemaking at 24 A.A.R. 1499, effective 6/30/2018.

Ariz. Admin. Code § R4-34-402 Cash Deposits

A. Unless exempt under R4-34-401, an applicant or licensee posting cash in lieu of a commercial surety bond shall pay by:

1. Cash. A cash deposit is not transferrable and shall be made in the name of the applicant or licensee as the name appears on the license application or issued license; or

2. Certified or cashier's check or bank or postal money order made payable to the Arizona State Treasurer.

3. Cashier's check payable to the State Treasurer,

4. Bank money order payable to the State Treasurer, or

5. Postal money order payable to the State Treasurer.

B. Upon receipt of an order from a court of competent jurisdiction directing payment of funds on deposit, the Director shall make payment as directed and suspend the license under A.R.S. § 41-4029. To reinstate the license, the licensee shall return the cash deposit to the required balance or file a commercial surety bond for the full amount, and pay all applicable reinstatement fees.

C. The cash deposit is not transferable.

D. The applicant shall make the cash deposit in the name of the applicant as it appears on the license application.

E. C. A cash deposit may be withdrawn by the applicant, licensee, or someone having authority to act on behalf of the applicant or licensee, under the following circumstances:

1. A license is not issued to the applicant;

2. The license has been terminated, expired, revoked, or voluntary cancelled for at least two years, and there are no outstanding claims ; and

3. Two years after the licensee files a commercial surety bond that replaces the cash deposit if there are no outstanding claims.

F. Upon written request and subsequent approval by the Deputy Director of the Office of Administration, a cash deposit may be withdrawn by the owner of a sole proprietorship, any partner of a partnership, any person with written evidence of authority to withdraw the cash deposit for a corporation, and any other person who can establish legal right to the cash deposit.

History

• Adopted effective January 31, 1979 (Supp. 79-1). Former Section R4-34-402 renumbered to R4-34-502, new Section R4-34-402 renumbered from R4-34-902 effective July 3, 1991 (Supp. 91-3). Section repealed by final rulemaking at 6 A.A.R. 47, effective December 8, 1999; new Section adopted by final rulemaking at 6 A.A.R. 145, effective December 8, 1999 (Supp. 99-4). Amended by final rulemaking at 14 A.A.R. 286, effective March 8, 2008 (Supp. 08-1). Amended by final rulemaking at 24 A.A.R. 1499, effective 6/30/2018.

Ariz. Admin. Code § R4-34-403 License Bond Amounts

A. An applicant shall submit the license bond amount listed for each license class.

| License Class | Bond Amount | | --- | --- | | M-9A | $10,000 | | M-9C | $65,000 | | M-9E | $100,000 | | D-8 | $25,000 | | D-10 | $25,000 | | D-12 | $25,000 | | I-10C | $2,500 | | I-10D | $1,000 | | I-10G | $5,000 |

B. The Board shall not renew a license unless and until the licensee's surety bond is in full force and effect or the full cash deposit is made or in place.

History

• Adopted effective January 31, 1979 (Supp. 79-1). Amended effective October 20, 1981 (Supp. 81-5). Former Section R4-34-403 renumbered to R4-34-503, new Section R4-34-403 renumbered from R4-34-903 and amended effective July 3, 1991 (Supp. 91-3). Section repealed by final rulemaking at 6 A.A.R. 47, effective December 8, 1999 (Supp. 99-4). . New Section R4-34-403 renumbered from R4-34-502 by recodification, at R4-34-502 at 27 A.A.R. 1440, with an immediate effective date of 8/4/2021.

Ariz. Admin. Code § R4-34-404 Repealed

History

• R4-34-904 adopted effective January 31, 1979 (Supp. 79-1). Amended subsections (A) and (B) effective October 20, 1981 (Supp. 81-5). Editor's correction, subsection (B)(2) (Supp. 85-2). Former Section R4-34-904 renumbered to R4-34-404 and amended effective July 3, 1991 (Supp. 91-3). Section repealed by final rulemaking at 6 A.A.R. 47, effective December 8, 1999 (Supp. 99-4).

Article 5 FEES

Ariz. Admin. Code § R4-34-501 General

A. The Board shall establish a fee schedule before May 15 for the coming fiscal year.

B. The Director shall notify all licensees of the established fee schedule before June 1 of each year and post the fee schedule on the Department's website.

C. Licensees shall pay fees for the following services:

1. Manufacturer license,

2. Retailer license,

3. Installer license,

4. Salesperson license,

5. Inspection and technical service,

6. Plans and supplements,

7. Installation permits and insignias, and

Administrative functions.

History

• Adopted effective January 31, 1979 (Supp. 79-1). Amended M-9B, M-9C, and M-9E effective October 20, 1981 (Supp. 81-5). Amended by adding M-9F effective April 30, 1982 (Supp. 82-2). Former Section R4-34-501 renumbered to R4-34-801, new Section R4-34-501 renumbered from R4-34-401 and amended effective July 3, 1991 (Supp. 91-3). Amended effective December 14, 1994 (Supp. 94-4). Section repealed by final rulemaking at 6 A.A.R. 47, effective December 8, 1999; new Section adopted by final rulemaking at 6 A.A.R. 145, effective December 8, 1999 (Supp. 99-4). Amended by final rulemaking at 14 A.A.R. 286, effective March 8, 2008 (Supp. 08-1). Amended by final rulemaking at 24 A.A.R. 1499, effective 6/30/2018.

Ariz. Admin. Code § R4-34-502 Recodified

History

• Adopted effective January 31, 1979 (Supp. 79-1). Amended D-8, D-8A, D-9, D-12 and added D-8B effective October 20, 1981 (Supp. 81-5). Amended D-8 effective January 31, 1983 (Supp. 83-1). Former Section R4-34-502 renumbered to R4-34-802, new Section R4-34-502 renumbered from R4-34-402 and amended effective July 3, 1991 (Supp. 91-3). Amended effective December 14, 1994 (Supp. 94-4). Section repealed by final rulemaking at 6 A.A.R. 47, effective December 8, 1999; new Section adopted by final rulemaking at 6 A.A.R. 145, effective December 8, 1999 (Supp. 99-4). Amended by final rulemaking at 11 A.A.R. 464, effective March 5, 2005 (Supp. 05-1). Amended by final rulemaking at 24 A.A.R. 1499, effective 6/30/2018. Section R4-34-502 renumbered to R4-34-403 by recodification, at R4-34-403 at 27 A.A.R. 1440, with an immediate effective date of 8/4/2021.

Ariz. Admin. Code § R4-34-503 [Repealed]

History

• Adopted effective January 31, 1979 (Supp. 79-1). Amended I-10D effective August 21, 1981 (Supp. 81-4). Amended effective October 20, 1981 (Supp. 81-5). Correction, I-10G (Supp. 81-6). Former Section R4-34-503 renumbered to R4-34-803, new Section R4-34-503 renumbered from R4-34-403 and amended effective July 3, 1991 (Supp. 91-3). Amended effective December 14, 1994 (Supp. 94-4). Section repealed by final rulemaking at 6 A.A.R. 47, effective December 8, 1999; new Section adopted by final rulemaking at 6 A.A.R. 145, effective December 8, 1999 (Supp. 99-4). Repealed by final rulemaking at 24 A.A.R. 1499, effective 6/30/2018.

Ariz. Admin. Code § R4-34-504 [Repealed]

History

• New Section adopted by final rulemaking at 6 A.A.R. 145, effective December 8, 1999 (Supp. 99-4). Amended by final rulemaking at 24 A.A.R. 1499, effective 6/30/2018. Repealed by final rulemaking at 27 A.A.R. 1324, effective 10/3/2021.

Ariz. Admin. Code § R4-34-505 Plans and Supplements

If a licensee submits a plan or supplement that is not complete and correct, the Department shall provide written notice the plan or supplement is not acceptable and provide 60 days from the date on the notice for the licensee to submit a complete and correct plan or supplement. If the licensee fails to submit a complete and correct plan or supplement within the time provided, the Department shall return the submitted plan or supplement and treat the submittal fee paid as forfeited. To resubmit a plan or supplement, the licensee shall pay a new submittal fee.

History

• New Section adopted by final rulemaking at 6 A.A.R. 145, effective December 8, 1999 (Supp. 99-4). Amended by final rulemaking at 24 A.A.R. 1499, effective 6/30/2018.

Ariz. Admin. Code § R4-34-506 [Repealed]

History

• New Section adopted by final rulemaking at 6 A.A.R. 145, effective December 8, 1999 (Supp. 99-4). Repealed by final rulemaking at 24 A.A.R. 1499, effective 6/30/2018.

Article 6 MANUFACTURING, CONSTRUCTION, AND INSPECTION

Ariz. Admin. Code § R4-34-601 [Repealed]

History

• Adopted effective January 31, 1979 (Supp. 79-1). Amended subsection (C) effective October 20, 1981 (Supp. 81-5). Amended by adding M-9F effective April 30, 1982 (Supp. 82-2). Amended subsection (C) effective June 18, 1982 (Supp. 82-3). Amended effective July 3, 1991 (Supp. 91-3). Amended effective December 14, 1994 (Supp. 94-4). Section repealed by final rulemaking at 6 A.A.R. 47, effective December 8, 1999; new Section adopted by final rulemaking at 6 A.A.R. 145, effective December 8, 1999 (Supp. 99-4). Amended by final rulemaking at 14 A.A.R. 286, effective March 8, 2008 (Supp. 08-1). Amended by final rulemaking at 18 A.A.R. 944, effective June 4, 2012 (Supp. 12-2). Repealed by final rulemaking at 24 A.A.R. 1499, effective 6/30/2018.

Ariz. Admin. Code § R4-34-602 Repealed

History

• Adopted effective January 31, 1979 (Supp. 79-1). Amended effective July 3, 1991 (Supp. 91-3). Section repealed by final rulemaking at 6 A.A.R. 47, effective December 8, 1999; new Section adopted by final rulemaking at 6 A.A.R. 145, effective December 8, 1999 (Supp. 99-4). Repealed by final rulemaking at 11 A.A.R. 464, effective March 5, 2005 (Supp. 05-1).

Ariz. Admin. Code § R4-34-603 FBBs

A. A manufacturer shall construct an FBB according to the applicable standards in R4-34-102 and:

1. Provide a complete set of drawings and specifications to the Department under R4-34-703(B);

2. Affix a permanent serial or identification number to each module or panel during the first stage of manufacturing. If an FBB has multiple sections, the manufacturer shall ensure each module or panel is separately identified. The serial or identification number location and application method shall be shown in the plans required under R4-34-703; and

3. Affix a Modular Manufacturer's Certificate to each completed module of each modular building where indicated in the plan required under R4-34-703(B)(5). A Modular Manufacturer's Certificate is not required for a panelized building.

B. The Department may require a manufacturer of an FBB that is produced and shipped before plan approval to remove the FBB from this state and remove the Modular Manufacturer's Certificate based on the Department's assessment of the following factors:

1. Probable harm to public safety and welfare,

2. Previous violations of a similar nature, and

3. Manufacturer's failure to comply with plan submittal and requirements.

History

• Adopted effective January 31, 1979 (Supp. 79-1). Amended effective July 3, 1991 (Supp. 91-3). Section repealed by final rulemaking at 6 A.A.R. 47, effective December 8, 1999; new Section adopted by final rulemaking at 6 A.A.R. 145, effective December 8, 1999 (Supp. 99-4). Amended by final rulemaking at 14 A.A.R. 286, effective March 8, 2008 (Supp. 08-1). Amended by final rulemaking at 18 A.A.R. 944, effective June 4, 2012 (Supp. 12-2). Amended by final rulemaking at 24 A.A.R. 1499, effective 6/30/2018. Amended by final rulemaking at 26 A.A.R. 1509, effective 9/6/2020.

Ariz. Admin. Code § R4-34-604 [Repealed]

History

• Adopted effective January 31, 1979 (Supp. 79-1). Amended effective June 13, 1980 (Supp. 80-3). Amended effective July 3, 1991 (Supp. 91-3). Section repealed by final rulemaking at 6 A.A.R. 47, effective December 8, 1999; new Section adopted by final rulemaking at 6 A.A.R. 145, effective December 8, 1999 (Supp. 99-4). Amended by final rulemaking at 11 A.A.R. 464, effective March 5, 2005 (Supp. 05-1). Repealed by final rulemaking at 24 A.A.R. 1499, effective 6/30/2018.

Ariz. Admin. Code § R4-34-605 Reconstruction of FBBs

A manufacturer shall ensure reconstruction of an FBB is consistent with applicable standards prescribed in) R4-34-102 and:

1. Existing construction, systems (electrical, plumbing, HVAC, energy, etc.), and components are structurally and otherwise sound and compliant with standards governing at the time of manufacture;

2. New construction, systems, and components comply with applicable standards in R4-34-102;

3. A permanent serial or identification number is affixed to each reconstructed FBB as required under R4-34-603(A);

4. An Arizona Reconstruction Certificate is affixed to each module; and

5. The reconstructed FBB complies with R4-34-102.

History

• Adopted effective January 31, 1979 (Supp. 79-1). Amended effective April 21, 1982 (Supp. 82-2). Amended effective July 3, 1991 (Supp. 91-3). Section repealed by final rulemaking at 6 A.A.R. 47, effective December 8, 1999; new Section adopted by final rulemaking at 6 A.A.R. 145, effective December 8, 1999 (Supp. 99-4). Amended by final rulemaking at 24 A.A.R. 1499, effective 6/30/2018.

Ariz. Admin. Code § R4-34-606 Rehabilitation of Mobile Homes

A. A rehabilitation permit shall be obtained from the Department before any modification of a mobile home.

B. The following requirements shall be met for a mobile home to be issued a certificate of compliance:

1. A smoke detector shall be installed in each sleeping room and outside each separate sleeping area in the immediate vicinity of the sleeping rooms. Each smoke detector shall be installed in accordance with its manufacturer's instructions;

2. The walls, ceilings, and doors of each gas-fired furnace and water-heater compartment shall be lined with gypsum board that is a minimum of 5/16 inches except a door to the compartment that opens to the exterior of the mobile home and is of all metal construction. All exterior compartments shall seal to the interior of the mobile home;

3. Each room designated expressly for sleeping purposes shall have at least one outside egress window or an approved exit device. The window or exit shall have a minimum clear width dimension of 22 inches, a minimum clear opening of five square feet, and the bottom of the exit is not more than 36 inches above the floor;

4. The electrical system is tested for continuity to ensure metallic parts are properly bonded, tested for operation to demonstrate all equipment is connected and in working order, and given a polarity check to determine connections are proper. The electrical system shall have proper overcurrent protection for the required amperage load. If aluminum conductors are used, all receptacles and switches rated 20 amperes or less and directly connected to the aluminum conductors shall be marked CO/ALR. Conductors of dissimilar metals (Copper/Aluminum/or Copper Clad Aluminum) shall be connected in accordance with the National Electrical Code referenced at R4-36-102. Ground Fault Circuit Interrupter protection shall be provided in compliance with the National Electrical Code referenced in R4-36-102; and

5. Gas piping shall be tested with methods incorporated at R4-36-102. All gas furnaces and water heaters shall be installed in compliance with materials incorporated at R4-36-102. If a rehabilitated mobile home is to be relocated following rehabilitation, the gas tests required under this subsection may be performed and inspected at the time of installation at the new location.

C. The rehabilitated mobile home shall be inspected by the Department to ascertain compliance with subsection (B).

D. The Department shall issue a certification of compliance for each rehabilitated mobile home in compliance with subsection (B), and affix an insignia of approval to the exterior wall nearest the point of entrance of the electrical service.

E. If the Department determines a rehabilitated mobile home does not comply with subsection (B), the Department shall serve a correction notice and require the person served to make corrections within the time specified in the notice. The Department shall determine the time for correction based on the severity of the hazard or violation and the time reasonably needed to make the correction. The Department shall allow at least 30 days for correction unless an imminent safety hazard is found or the correction has been unreasonably delayed, in which case, the Department shall serve an Order to Vacate to the person occupying the rehabilitated mobile home.

F. The Department shall serve an Order to Vacate on a person occupying a non-rehabilitated mobile home within five days after an inspection of the non-rehabilitated mobile home finds an imminent safety hazard.

History

• Adopted effective January 31, 1979 (Supp. 79-1). Amended effective August 13, 1980 (Supp. 80-4). Amended effective October 20, 1981 (Supp. 81-5). Amended effective January 31, 1986 (Supp. 86-1). Amended effective July 3, 1991 (Supp. 91-3). Section repealed by final rulemaking at 6 A.A.R. 47, effective December 8, 1999; new Section adopted by final rulemaking at 6 A.A.R. 145, effective December 8, 1999 (Supp. 99-4). Amended by final rulemaking at 11 A.A.R. 464, effective March 5, 2005 (Supp. 05-1). Amended by final rulemaking at 24 A.A.R. 1499, effective 6/30/2018. Amended by final rulemaking at 26 A.A.R. 1509, effective 9/6/2020.

Ariz. Admin. Code § R4-34-607 Manufacturing Inspection and Certification

A. The Department shall conduct manufactured home plant certification under applicable HUD requirements.

B. Before issuing Certificates, the Department shall certify that a manufacturing facility of FBBs is capable of manufacturing the FBBs to the specifications in the approved drawings and procedures in the approved compliance assurance manual required under R4-34-702.

C. A manufacturer of FBBs and reconstructed FBBs shall certify compliance with approved plans by affixing a Modular Manufacturer Certificate or Reconstruction Certificate, as appropriate, to each FBB before delivery to a retailer.

D. Records and reporting: By the 15th of each month:

1. A manufacturer of manufactured homes shall establish and maintain records and submit to the Department reports required under applicable HUD requirements; and

2. An FBB manufacturer shall report to the Department affixing Arizona Modular and Reconstruction Certificates during the previous month.

E. The Department may decertify a manufacturing facility if:

1. A serious defect exists in more than one FBB;

2. An inspector identifies three or more failures to comply with specifications in the approved plans, standards, or compliance assurance manual;

3. An in-state licensee fails to produce approved units for more than six consecutive months; or

4. An out-of-state licensee fails to file quarterly inspection reports for six consecutive months.

F. Before resuming production, a decertified manufacturing facility shall be recertified by the Department. When the manufacturer successfully completes the recertification process, the Department shall issue Certificates or Labels to the manufacturer.

G. The Department may conduct regular inspections of retailer lots to ensure compliance with approved plans, standards, and A.R.S. § 41-4048.

History

• Adopted effective June 23, 1980 (Supp. 80-3). Amended effective October 20, 1981 (Supp. 81-5). Amended effective July 3, 1991 (Supp. 91-3). Section repealed by final rulemaking at 6 A.A.R. 47, effective December 8, 1999; new Section adopted by final rulemaking at 6 A.A.R. 145, effective December 8, 1999 (Supp. 99-4). Amended by final rulemaking at 11 A.A.R. 464, effective March 5, 2005 (Supp. 05-1). Amended by final rulemaking at 14 A.A.R. 286, effective March 8, 2008 (Supp. 08-1). Amended by final rulemaking at 18 A.A.R. 944, effective June 4, 2012 (Supp. 12-2). Amended by final rulemaking at 24 A.A.R. 1499, effective 6/30/2018. Amended by final rulemaking at 26 A.A.R. 1509, effective 9/6/2020. Amended by final rulemaking at 27 A.A.R. 1324, effective 10/3/2021.

Ariz. Admin. Code § R4-34-608 Repealed

History

• Adopted effective January 20, 1981 (Supp. 81-1). Amended effective October 20, 1981 (Supp. 81-5). Amended effective July 3, 1991 (Supp. 91-3). Section repealed by final rulemaking at 6 A.A.R. 47, effective December 8, 1999 (Supp. 99-4).

Ariz. Admin. Code § R4-34-609 Repealed

History

• Adopted effective July 3, 1984 (Supp. 84-4). Amended effective July 3, 1991 (Supp. 91-3). Section repealed by final rulemaking at 6 A.A.R. 47, effective December 8, 1999 (Supp. 99-4).

Ariz. Admin. Code § R4-34-610 Repealed

History

• Adopted effective July 3, 1984 (Supp. 84-4). Amended effective July 3, 1991 (Supp. 91-3). Section repealed by final rulemaking at 6 A.A.R. 47, effective December 8, 1999 (Supp. 99-4).

Article 7 PLAN APPROVALS

Ariz. Admin. Code § R4-34-701 General

A. Before construction of a manufactured home or an FBB, a manufacturer shall submit to the office:

1. The compliance assurance manual required by R4-34-702, and

2. The drawings and specifications required by R4-34-703.

B. Before performing one of the following, a person shall obtain plan approval:

1. Under R4-34-704(A) for an alteration,

Under R4-34-704(B) for a reconstruction,

3. Under R4-34-705 to install an attached accessory structure, and

4. Under R4-34-706 to install an FBB.

C. Within 20 business days after receiving a plan submitted under subsection (B), the Department shall perform an administrative review of the plan submittal and if incomplete, require the licensee to provide a complete plan submittal. Within 20 business days after receiving a complete plan submittal, the Department shall approve or disapprove the plan submittal.

D. A person that submits a plan under subsection (B) shall ensure the plan conforms to the following standards:

1. Each page is at least 8 1/2 X 11 inches and printed to the scale referenced on the drawing;

2. The font is at least eight point;

3. The cover page includes an index and provides a 3 X 5 inch blank space near the title block;

4. The plan and all details and calculations are sealed by an Arizona registered engineer; and

5. The plan is consistent with all applicable standards referenced at R4-34-102.

History

• Adopted effective January 31, 1979 (Supp. 79-1). Amended effective December 13, 1979 (Supp. 79-6). Amended by adding subsection (K) effective July 8, 1981 (Supp. 81-4). Amended subsections (A), (G), and (K), and added subsection (L) effective October 20, 1981 (Supp. 81-5). Correction, subsection (G)(3) (Supp. 81-6). Amended subsection (C) effective January 31, 1983 (Supp. 83-1). Amended subsection (B) effective May 23, 1983 (Supp. 83-3). Amended effective April 5, 1985 (Supp. 85-2). Former Section R4-34-701 renumbered to R4-34-301, new Section R4-34-701 renumbered from R4-34-301 and amended effective July 3, 1991 (Supp. 91-1). Section repealed by final rulemaking at 6 A.A.R. 47, effective December 8, 1999; new Section adopted by final rulemaking at 6 A.A.R. 145, effective December 8, 1999 (Supp. 99-4). Amended by final rulemaking at 11 A.A.R. 464, effective March 5, 2005 (Supp. 05-1). Amended by final rulemaking at 14 A.A.R. 286, effective March 8, 2008 (Supp. 08-1). Amended by final rulemaking at 24 A.A.R. 1499, effective 6/30/2018. Amended by final rulemaking at 26 A.A.R. 1509, effective 9/6/2020. Amended by final rulemaking at 27 A.A.R. 1324, effective 10/3/2021.

Ariz. Admin. Code § R4-34-702 Compliance Assurance Manuals

A manufacturer of FBBs shall prepare a compliance assurance manual that has all of the following:

1. An 8 1/2 X 11 inch format with page numbers and revision traceability;

2. The manufacturer's name and address of the factory to which the manual applies;

3. A table of contents that identifies key elements in the quality and compliance control process;

4. An organizational chart that shows titles and functions of all positions responsible for any aspect of quality and compliance control;

5. A description of the design-document control process and procedures for ensuring the current approved design package or building plans are available to production, quality, and compliance personnel;

6. A description of procedures for handling materials, including treatment and disposal of rejected materials, in compliance with standards;

7. A description of the FBB-identification system including a unique identifier, such as a serial or identification number, that is permanently affixed to each module or panel of the FBB at the beginning of manufacturing and where the unique identifier is located on the FBB;

8. A drawing showing the layout of the factory and location of the work area for each step in the manufacturing sequence with a description of the scope of work performed at each work area, including off-line processes;

9. An inspection checklist, keyed to the drawing required in subsection (8), that identifies the inspections and tests to be performed at each step in the manufacturing sequence and title of the position responsible for ensuring inspections and tests are performed;

10. A list that includes step-by-step procedures for ensuring all required tests are performed, the equipment needed to perform each test, and procedures for maintaining test equipment;

11. A description of procedures for maintaining control of certificates, installing certificates on FBBs, and making the monthly report of certificates and title of the position responsible for ensuring these tasks are performed;

12. A description of the procedures for storing completed FBBs at the facility including the manner in which stored FBBs are protected from the elements and other sources of potential damage; and

13. A description of procedures for ensuring building documents are retained and title of the position responsible for ensuring document retention.

History

• Adopted effective January 31, 1979 (Supp. 79-1). Amended effective May 9, 1980 (Supp. 80-3). Amended subsections (B), (C), (D) effective October 20, 1981 (Supp. 81-5). Amended by adding subsection (E) effective January 20, 1982 (Supp. 82-1). Amended by adding subsection (C), paragraph (3) and subsection (D), paragraph (3) effective April 30, 1982 (Supp. 82-2). Amended effective April 5, 1985 (Supp. 85-2). Former Section R4-34-702 renumbered to R4-34-302, new Section R4-34-702 renumbered from R4-34-302 and amended effective July 3, 1991 (Supp. 91-1). Section repealed by final rulemaking at 6 A.A.R. 47, effective December 8, 1999; new Section adopted by final rulemaking at 6 A.A.R. 145, effective December 8, 1999 (Supp. 99-4). Amended by final rulemaking at 11 A.A.R. 464, effective March 5, 2005 (Supp. 05-1). Amended by final rulemaking at 14 A.A.R. 286, effective March 8, 2008 (Supp. 08-1). Amended by final rulemaking at 18 A.A.R. 944, effective June 4, 2012 (Supp. 12-2). Amended by final rulemaking at 24 A.A.R. 1499, effective 6/30/2018. Amended by final rulemaking at 26 A.A.R. 1509, effective 9/6/2020.

Ariz. Admin. Code § R4-34-703 Drawings and Specifications

A. A manufacturer of manufactured homes shall submit to the Department drawings and specifications that comply with applicable standards in R4-34-102 .

B. A manufacturer of FBBs shall submit to the Department plans that comply with the applicable standards in R4-34-102. The manufacturer shall ensure the plans provide or have the following information or format attributes:

Dimensioned drawings and details identifying process descriptions, component specification lists, shop drawings, and other documents that specify and identify each component, process, assembly operation, and manufacturing step. Include electrical, plumbing, gas, and HVAC systems;

2. A traceable identification for each closed panel component listed;

3. Design analysis calculations for all loads and systems;

4. The location and process for stamping the permanent serial or identification number on the FBB;

5. The location of the Modular Manufacturer Certificate; and

6. Dimensional plans and details identifying all components and construction to be field installed.

History

• Adopted effective January 31, 1979 (Supp. 79-1). Amended effective December 13, 1979 (Supp. 79-6). Amended effective May 9, 1980. Amended effective June 23, 1980 (Supp. 80-3). Amended subsection (G) effective July 29, 1980 (Supp. 80-4). Amended effective October 20, 1981 (Supp. 81-5). Amended subsection (B)(1) effective July 20, 1984 (Supp. 84-4). Amended effective April 5, 1985 (Supp. 85-2). Former Section R4-34-703 renumbered to R4-34-303, new Section R4-34-703 renumbered from R4-34-303 and amended effective July 3, 1991 (Supp. 91-1). Section repealed by final rulemaking at 6 A.A.R. 47, effective December 8, 1999; new Section adopted by final rulemaking at 6 A.A.R. 145, effective December 8, 1999 (Supp. 99-4). Amended by final rulemaking at 11 A.A.R. 464, effective March 5, 2005 (Supp. 05-1). Amended by final rulemaking at 14 A.A.R. 286, effective March 8, 2008 (Supp. 08-1). Amended by final rulemaking at 18 A.A.R. 944, effective June 4, 2012 (Supp. 12-2). Amended by final rulemaking at 24 A.A.R. 1499, effective 6/30/2018. Amended by final rulemaking at 26 A.A.R. 1509, effective 9/6/2020. Amended by final rulemaking at 27 A.A.R. 1324, effective 10/3/2021.

Ariz. Admin. Code § R4-34-704 Reconstruction Plans

A. A manufacturer shall comply with the standards in R4-34-102 when preparing a reconstruction plan.

B. A manufacturer preparing a reconstruction plan shall ensure the plan contains the following:

1. A depiction of the configuration before reconstruction;

2. The serial or identification number of the unit;

3. Dimensioned drawings and details identifying all components and specification lists affected by the reconstruction. Electrical, plumbing, gas, and HVAC systems, as applicable, shall be addressed; and

Design-analysis calculations for all loads and systems affected by the reconstruction.

C. A manufacturer shall include with a reconstruction plan a certification statement regarding existing components, construction, and systems indicating they are structurally sound, functional, and do not pose a life safety threat.

History

• Adopted effective January 31, 1979 (Supp. 79-1). Amended subsection (F) effective August 28, 1980 (Supp. 80-4). Amended effective October 20, 1981 (Supp. 81-5). Amended effective April 5, 1985 (Supp. 85-2). Former Section R4-34-704 renumbered to R4-34-304, new Section R4-34-704 renumbered from R4-34-304 and amended effective July 3, 1991 (Supp. 91-1). Section repealed by final rulemaking at 6 A.A.R. 47, effective December 8, 1999; new Section adopted by final rulemaking at 6 A.A.R. 145, effective December 8, 1999 (Supp. 99-4). Amended by final rulemaking at 11 A.A.R. 464, effective March 5, 2005 (Supp. 05-1). Amended by final rulemaking at 14 A.A.R. 286, effective March 8, 2008 (Supp. 08-1). Amended by final rulemaking at 18 A.A.R. 944, effective June 4, 2012 (Supp. 12-2). Amended by final rulemaking at 24 A.A.R. 1499, effective 6/30/2018. Amended by final rulemaking at 26 A.A.R. 1509, effective 9/6/2020.

Ariz. Admin. Code § R4-34-705 Accessory Structures

A. For manufactured homes, mobile homes, and FBBs, a properly licensed entity or person shall comply with R4-34-102 and applicable HUD requirements when preparing attached accessory structure plans. The plans shall include the following:

1. Dimensioned drawings and details identifying all applicable components and specification lists. Electrical, plumbing, gas, and HVAC systems, as applicable, shall be addressed;

2. Design-analysis calculations for all loads and systems; and

3. Method of attachment to the manufactured home, mobile home, or FBB.

B. The Department may approve a design that does not comply with subsection (A) based on a demonstration by an Arizona registered engineer that the design meets standards at least equivalent to those in subsection (A).

C. A properly licensed entity or person shall submit plans, which are sealed by an Arizona registered engineer, for all attached accessory structures except skirting systems that have manufacturer installation instructions and HVAC systems.

History

• New Section adopted by final rulemaking at 6 A.A.R. 145, effective December 8, 1999 (Supp. 99-4). Amended by final rulemaking at 11 A.A.R. 464, effective March 5, 2005 (Supp. 05-1). Amended by final rulemaking at 14 A.A.R. 286, effective March 8, 2008 (Supp. 08-1). Amended by final rulemaking at 24 A.A.R. 1499, effective 6/30/2018. Amended by final rulemaking at 26 A.A.R. 1509, effective 9/6/2020. Amended by final rulemaking at 27 A.A.R. 1324, effective 10/3/2021.

Ariz. Admin. Code § R4-34-706 FBB Installation

A properly licensed entity or person shall include the following in installation plans submitted to the Department:

1. A site plan that includes the location of the building and all utility lines;

2. A foundation plan that includes:

a. A description of the soil class and the soil bearing pressure;

b. A description of footings and other foundation supports designed to meet the minimum bearing pressure at the depth required;

c. A complete set of drawings indicating dimensions and details of the foundation footing and anchoring; and a complete list of materials with a cross-identification of how materials will be used, in the appropriate view; and

d. Calculations, prepared by an Arizona registered engineer, for all load conditions including wind loads for horizontal loads, uplift loads, and overturning; and horizontal and torsional earthquake effects on foundations.

Electrical drawings, including the isometric one-line diagram required by R4-34-102, that contain the following information:

a. Size and type of conductors, length of feeders, and all amperage;

b. Dimensions of gutterways and raceways;

c. Complete details of panelboards, switchboards, and distribution centers; and

d. All grounding and bonding connections.

4. Plumbing drawings, including one-line diagrams required by R4-34-102 that contain the following information:

a. Location of sewer tap, water meter, and gas meter;

b. Size, length, and all materials for sewer, water, and gas lines;

c. Location of all cleanouts and grade of sewer line; and

d. Fixture unit calculations for plumbing and gas fixtures.

e. Fastening and closure details for connection of multiple modules; and

f. Dimensional plans and details for all components and construction to be field installed.

5. Fastening and closure details for connection of multiple modules or panels.

6. Dimensional plans and details for all components and construction to be field installed.

History

• New Section adopted by final rulemaking at 6 A.A.R. 145, effective December 8, 1999 (Supp. 99-4). Amended by final rulemaking at 14 A.A.R. 286, effective March 8, 2008 (Supp. 08-1). Amended by final rulemaking at 18 A.A.R. 944, effective June 4, 2012 (Supp. 12-2). Amended by final rulemaking at 24 A.A.R. 1499, effective 6/30/2018. Amended by final rulemaking at 26 A.A.R. 1509, effective 9/6/2020.

Ariz. Admin. Code § R4-34-707 Designated Flood-prone Area Installation

Before installing a manufactured home, mobile home, or FBB in a designated flood-prone area, an installer shall submit and obtain Department approval of an installation plan that includes the following:

1. A site plan showing the location of the manufactured home, mobile home, or FBB;

2. A copy of the designated flood-use permit or flood design conditions issued by the local enforcement agency showing the flood zone type and regulatory and base flood elevations;

3. A site-specific foundation plan that is prepared by an Arizona registered engineer and includes:

a. A complete set of drawings indicating dimensions and details of the foundation system and anchoring to prevent floatation, collapse, or lateral movement of the structure;

b. A complete list of materials cross identified to the drawings in subsection (3)(a) showing how the materials will be used;

c. An indication of how to place to the structure to ensure the bottom frame of the structure is at or above the regulatory flood elevation;

d. An indication of where to place external utilities and equipment to ensure they are at or above the regulatory flood elevation;

e. If the structure has an enclosed foundation, an indication of where to place flood vents or other openings; and

f. All calculations used to determine all load conditions; and

4. Written approval of the information in subsections (1) through (3) from the local flood-district administrator having authority.

History

• New Section made by final rulemaking at 24 A.A.R. 1499, effective 6/30/2018.

Article 8 PERMITS AND INSTALLATION

Ariz. Admin. Code § R4-34-801 Permits

A. A properly licensed entity or person shall obtain a permit for the installation of a manufactured home, mobile home, FBB, or attached accessory structure, or rehabilitation of a mobile home.

B. The Department shall issue or deny a permit within seven business days after the application is received. If a permit is denied, corrections to the application shall be submitted to the Department within 20 business days after the denial.

C. A properly licensed entity or person shall obtain all required permits, such as zoning, flood plain, and installation, from the Department or local jurisdiction before beginning any site work except the assessment required under R4-34-802(E). All permits shall be posted in a conspicuous location onsite. The properly licensed entity or person who contracts to perform the installation and a licensed installer who subcontracts to perform the installation shall verify that all required permits have been obtained from the Department and local jurisdiction before beginning the installation.

D. A local jurisdiction that has entered into agreement with the Department may issue installation permits and conduct inspections.

E. The Department or a local jurisdiction participating in the installation inspection program shall charge the permit fee expressly authorized under A.R.S. § 41-4010(A)(4). The fee charged by the local jurisdiction shall not exceed the amount established by the Board.

F. Every permit, except a special-use permit, expires six months after the permit is issued. The Department may extend the permit for good cause if a written request is made to the Department before the permit expires and the fee established by the Board under A.R.S. § 41-4010(A)(4) is paid again.

G. A licensee or consumer shall obtain a certificate of occupancy from the Department before occupying a manufactured home, mobile home, or FBB.

H. The permit holder, owner, contractor, or designated responsible party identified on the permit shall request all required inspections.

I. At the time of a scheduled inspection, the permit holder, owner, contractor, or designated responsible party identified on the permit shall ensure all work to be inspected is accessible (opened) and no work is performed beyond the point indicated for each successive inspection without first obtaining approval from the Department.

J. The permit holder, owner, contractor, or designated responsible party identified on the permit shall ensure approved plans and all applicable manuals are available onsite.

K. A special-use permit for an FBB used for an event of 45 days or less shall be obtained from the Department. The special-use permit expires 45 days from the date of issuance. The holder of a special-use permit shall remove the FBB from the site when the permit expires.

History

• Adopted effective January 31, 1979 (Supp. 79-1). Amended effective October 20, 1981 (Supp. 81-5). Former Section R4-34-801 repealed, new Section R4-34-801 renumbered from R4-34-501 and amended effective July 3, 1991 (Supp. 91-1). Section repealed by final rulemaking at 6 A.A.R. 47, effective December 8, 1999; new Section adopted by final rulemaking at 6 A.A.R. 145, effective December 8, 1999 (Supp. 99-4). Amended by final rulemaking at 18 A.A.R. 944, effective June 4, 2012 (Supp. 12-2). Amended by final rulemaking at 24 A.A.R. 1499, effective 6/30/2018. Amended by final rulemaking at 26 A.A.R. 1509, effective 9/6/2020.

Ariz. Admin. Code § R4-34-802 General Installation

A. A properly licensed entity shall complete and affix an Arizona Installation Certificate to a manufactured home, mobile home, or FBB at the end of the unit opposite the hitch and adjacent to the manufacturer certificate or HUD label. The properly licensed entity shall affix the Arizona Installation Certificate before calling the Department for an inspection.

B. A properly licensed entity shall make a report by the 15th of each month regarding compliance with subsection (A).

C. Before beginning an installation, a properly licensed entity shall check with the local jurisdiction regarding frost-line requirements governing permanent foundations or utilities.

D. A properly licensed entity shall install all new manufactured homes, used manufactured homes, and mobile homes according to the applicable materials referenced in R4-34-102, HUD requirements, and manufacturer requirements.

E. Before installing a unit, a properly licensed entity shall perform or contract with a qualified party to assess the site and soil, ensure required permits are obtained, and make site preparations necessary to ensure the site is compatible with the manufactured home, mobile home, or FBB to be installed. The entity that actually prepares the site has primary responsibility for the work performed. The entity that contracts to have the site preparation done, if different, has secondary responsibility for the work performed.

F. Installation of a manufactured home, mobile home, or FBB shall be performed only by a properly licensed entity.

History

• Adopted effective January 31, 1979 (Supp. 79-1). Amended subsections (A), (D), (F), and (L) effective October 20, 1981 (Supp. 81-5).Former Section R4-34-802 repealed, new Section R4-34-802 renumbered from R4-34-502 and amended effective July 3, 1991 (Supp. 91-1). Section repealed by final rulemaking at 6 A.A.R. 47, effective December 8, 1999; new Section adopted by final rulemaking at 6 A.A.R. 145, effective December 8, 1999 (Supp. 99-4). Amended by final rulemaking at 24 A.A.R. 1499, effective 6/30/2018. Amended by final rulemaking at 26 A.A.R. 1509, effective 9/6/2020. Amended by final rulemaking at 27 A.A.R. 1324, effective 10/3/2021.

Ariz. Admin. Code § R4-34-803 [Repealed]

History

• New Section adopted by final rulemaking at 6 A.A.R. 145, effective December 8, 1999 (Supp. 99-4). Amended by final rulemaking at 11 A.A.R. 464, effective March 5, 2005 (Supp. 05-1). Amended by final rulemaking at 14 A.A.R. 286, effective March 8, 2008 (Supp. 08-1). Amended by final rulemaking at 18 A.A.R. 944, effective June 4, 2012 (Supp. 12-2). Repealed by final rulemaking at 24 A.A.R. 1499, effective 6/30/2018.

Ariz. Admin. Code § R4-34-804 [Repealed]

History

• New Section adopted by final rulemaking at 6 A.A.R. 145, effective December 8, 1999 (Supp. 99-4). Amended by final rulemaking at 11 A.A.R. 464, effective March 5, 2005 (Supp. 05-1). Amended by final rulemaking at 14 A.A.R. 286, effective March 8, 2008 (Supp. 08-1). Amended by final rulemaking at 18 A.A.R. 944, effective June 4, 2012 (Supp. 12-2). Repealed by final rulemaking at 24 A.A.R. 1499, effective 6/30/2018.

Ariz. Admin. Code § R4-34-805 Accessory Structures

An installer or contractor shall install, assemble, or construct each accessory structure in compliance with applicable standards referenced in R4-34-102, HUD requirements, and manufacturer requirements.

History

• New Section adopted by final rulemaking at 6 A.A.R. 145, effective December 8, 1999 (Supp. 99-4). Amended by final rulemaking at 11 A.A.R. 464, effective March 5, 2005 (Supp. 05-1). Amended by final rulemaking at 14 A.A.R. 286, effective March 8, 2008 (Supp. 08-1). Amended by final rulemaking at 18 A.A.R. 944, effective June 4, 2012 (Supp. 12-2). Amended by final rulemaking at 24 A.A.R. 1499, effective 6/30/2018. Amended by final rulemaking at 26 A.A.R. 1509, effective 9/6/2020. Amended by final rulemaking at 27 A.A.R. 1324, effective 10/3/2021.

Article 9 REPEALED

Ariz. Admin. Code § R4-34-901 Repealed

History

• Adopted effective April 4, 1985 (Supp. 85-2). Former Section R4-34-901 renumbered to R4-34-401, new Section R4-34-901 renumbered from R4-34-1001 and amended effective July 3, 1991 (Supp. 91-3). Section repealed by final rulemaking at 6 A.A.R. 47, effective December 8, 1999 (Supp. 99-4).

Article 10 ADMINISTRATIVE PROCEDURES

Ariz. Admin. Code § R4-34-1001 Rehearing or Review

A. A party may amend a motion for rehearing or review filed under A.R.S. § 41-4038 at any time before it is ruled on by the Director. The opposing party may file a response within 15 days after the date the motion or amended motion is filed. The Director may require the parties to file written briefs explaining the issues raised in the motion and provide for oral argument.

B. The Director may affirm or modify the decision or grant a rehearing to all or any of the parties on all or part of the issues for any of the reasons in A.R.S. § 41-4038(D). An order modifying the decision or granting a rehearing shall specify with particularity the grounds on which the modification or rehearing is granted, and any rehearing shall cover only those matters.

C. When a motion for rehearing or review is based upon affidavits, the affidavits shall be served with the motion. An opposing party or the Attorney General may, within 10 days after service, serve opposing affidavits.

D. Not later than 15 days after the date of the decision, the Director may grant a rehearing or review on the Director's own initiative for any reason for which the Director might have granted relief on the motion of a party. The Director may grant a motion for rehearing or review, timely served, for a reason not stated in the motion.

History

• New Section adopted by final rulemaking at 6 A.A.R. 145, effective December 8, 1999 (Supp. 99-4). Amended by final rulemaking at 24 A.A.R. 1499, effective 6/30/2018.

Article 11 RENUMBERED

Ariz. Admin. Code § R4-34-1101 Renumbered

History

• Adopted as an emergency effective March 24, 1982, pursuant to A.R.S. § 41-1003, valid for only 90 days (Supp. 82-2). Former Section R8-2-41 adopted as an emergency now adopted as a permanent rule effective June 24, 1982 (Supp. 82-3). Adopted as an emergency effective October 12, 1984, pursuant to A.R.S. § 41-1003, valid for only 90 days (Supp. 84-5). Emergency expired. Former Section R8-2-41 repealed, new Section R8-2-41 adopted effective April 2, 1985 (Supp. 85-2). Former Section R8-2-41 repealed, new Section R4-34-1101 adopted as an emergency effective March 14, 1988, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 88-1). Emergency expired. Former Section R8-2-41 repealed, new Section R4-34-1101 adopted as a permanent rule with editorial corrections effective November 16, 1988 (Supp. 88-4). Section R4-34-1101 repealed, new Section adopted effective July 20, 1990 (Supp. 90-3). Section R4-34-1101 renumbered to R4-36-201 (Supp. 95-4).

Chapter 35 THE ARIZONA HEALTH FACILITIES AUTHORITY

Article 1 GENERAL PROVISIONS

Ariz. Admin. Code § R4-35-101 Statutory Authorization

These rules and regulations are adopted under and pursuant to the authority therefor contained in Chapter 4.2, Title 36, Arizona Revised Statutes.

History

• Adopted effective April 27, 1981 (Supp. 81-2).

Article 2 BOARD OF DIRECTORS

Ariz. Admin. Code § R4-35-201 Regular Meetings

The regular annual meeting of the Board of Directors shall be held on the first Monday of February in each year, provided that the Chairman may, with the concurrence of two other members of the Board of Directors, defer such meeting for a period not to exceed 45 days.

History

• Adopted effective April 27, 1981 (Supp. 81-2).

Ariz. Admin. Code § R4-35-202 Special Meetings

Special meetings of the Board of Directors may, and upon request of two members of the Board shall, be held at such time, date and place as may be determined by the Chairman of the Board of Directors.

History

• Adopted effective April 27, 1981 (Supp. 81-2).

Ariz. Admin. Code § R4-35-203 Notices

No notice need be given of the regular annual meeting of the Board of Directors unless such meeting is deferred as herein provided. Except as otherwise provided herein, written notice of the time and place (but not necessarily the purpose or all of the purposes) of any deferred regular annual or special meeting will be given to each director in person or via mail or telegram addressed to him or her at his or her latest address appearing on the Authority's records. Notice to any director of any such meeting will be sufficient when deposited in the United States mail, with postage prepaid, at least five days before the meeting date, or personally handed to the director or delivered to the telegraph office at least 48 hours prior to the convening of the meeting. Any director may waive notice of any meeting at any time before, during or after the meeting. Attendance of a director at any meeting will automatically evidence his or her waiver of notice of such meeting unless he or she is attending the meeting for the express purpose of objecting to the transaction of business because the meeting has not been properly noticed or convened. No notice of a meeting of directors will be necessary if each of them waives notice in writing or by attendance as aforesaid. Any meeting, once properly noticed (or as to which notice has been waived) and at which a quorum is formed, may be adjourned to another time and place by a majority of those in attendance.

History

• Adopted effective April 27, 1981 (Supp. 81-2).

Ariz. Admin. Code § R4-35-204 Quorum

Four directors shall constitute a quorum for the transaction of business at any meeting or adjourned meeting of the directors.

History

• Adopted effective April 27, 1981 (Supp. 81-2).

Ariz. Admin. Code § R4-35-205 Voting

Voting on all matters at meetings of the Board shall be by voice vote. Affirmative, negative and abstaining votes shall be entered in the minutes of the meeting, except that the individual votes of the directors with respect to the election of officers need not be recorded. Any matter submitted to a vote at any meeting of the Board will be resolved by the vote of a majority of those directors present and voting thereon.

History

• Adopted effective April 27, 1981 (Supp. 81-2).

Ariz. Admin. Code § R4-35-206 Executive Committee

The Board of Directors may, by resolution adopted by a majority of the whole Board, name three or more of its members as an Executive Committee. Such Executive Committee will have and may exercise such powers of the Board of Directors in the management of the operations of the Authority while the Board is not in session as may be provided in the Board's resolution, provided that any such Executive Committee shall not be empowered to take any action which by statute must be taken by the Board of Directors nor to take any action in any manner which would constitute or give rise to a violation of applicable laws of the state of Arizona. A majority of those named to the Executive Committee will constitute a quorum of the Committee, and the Executive Committee may at any time act, subject to the limitations set forth above, by the written consent of a quorum thereof, although not formally convened.

History

• Adopted effective April 27, 1981 (Supp. 81-2).

Ariz. Admin. Code § R4-35-207 Other Committees

Other standing or temporary committees may from time to time be appointed from its own membership by the Board of Directors and be vested with such duties as the Board may by resolution provide, subject to the limitations set forth in rule R4-35-206 hereof.

History

• Adopted effective April 27, 1981 (Supp. 81-2).

Ariz. Admin. Code § R4-35-208 Minutes

Minutes shall be kept and maintained reflecting the proceedings and transactions at each regular or special meeting of the Board of Directors. The minutes shall be prepared by, or at the direction of, and signed by, the person acting as secretary at the meeting and shall be attested by the person acting as chairman. All committees will keep regular minutes or other records of their transactions and make such minutes and records available to the Board of Directors.

History

• Adopted effective April 27, 1981 (Supp. 81-2).

Ariz. Admin. Code § R4-35-209 Presumption of Assent

A director who is present at a meeting of the Board of Directors, or of any committee, at which action is taken on any manner will be presumed to have assented to the action taken unless his or her dissent or abstention is entered in the minutes of the meeting or unless he or she files written notice of dissent or abstention by registered or certified mail to the Secretary of the Authority immediately after the adjournment of the meeting. A right to dissent will not be available to a director who voted in favor of any action.

History

• Adopted effective April 27, 1981 (Supp. 81-2).

Ariz. Admin. Code § R4-35-210 Resolutions and Effective Dates

All resolutions of the Authority shall be in writing and shall be set forth in the minute books of the Authority. A resolution shall become effective immediately upon adoption unless otherwise provided in the resolution.

History

• Adopted effective April 27, 1981 (Supp. 81-2).

Article 3 OFFICERS

Ariz. Admin. Code § R4-35-301 Officers

The officers of the Authority shall consist of a Chairman, a Secretary, a Treasurer, who shall be elected from among the members of the Board of Directors, and such assistants and other executive or administrative officers as the Board of Directors may from time to time determine. Each assistant officer (in the order, if any, designated by the Board) will be vested with all of the powers and charged with all of the duties (including those specifically set forth herein) of his or her superior officer in the event of such superior officer's absence, disability or inability to act for any reason.

History

• Adopted effective April 27, 1981 (Supp. 81-2).

Ariz. Admin. Code § R4-35-302 Elections

Officers will be elected at the regular annual meeting of the Board of Directors but officers may be elected at any other meeting of the Board when necessary to fill a vacancy in any existing or newly-created office. Officers will continue in office until the election of a successor subject to earlier action pursuant to rule R4-35-304 or rule R4-35-401 below.

History

• Adopted effective April 27, 1981 (Supp. 81-2).

Ariz. Admin. Code § R4-35-303 Bonds and Other Requirements

The Board of Directors may require any officer or employee to provide a surety bond in a reasonable amount, and conditioned upon the faithful performance of his or her duties, and to comply with such other conditions as may from time to time be established by the Board and by the laws of the state of Arizona.

History

• Adopted effective April 27, 1981 (Supp. 81-2).

Ariz. Admin. Code § R4-35-304 Removal or Delegations

Provided that a majority of the whole membership thereof concurs, the Board of Directors may at any time, with or without cause, remove any officer of the Authority and declare his or her office or offices vacant. In the case of the absence or disability of any officer or for any other reason considered sufficient, the Board of Directors may temporarily delegate his or her powers and duties to any other officer or to any director.

History

• Adopted effective April 27, 1981 (Supp. 81-2).

Ariz. Admin. Code § R4-35-305 Salaries

The salaries, if any, of the officers and employees of the Authority shall be fixed by the Board of Directors, except that no member of the Board may receive compensation for his or her services except as provided in A.R.S. § 36-483.

History

• Adopted effective April 27, 1981 (Supp. 81-2).

Ariz. Admin. Code § R4-35-306 Chairman

The Chairman shall preside at all meetings of the Board of Directors and shall have general supervision over the business and affairs of the Authority. Except as otherwise provided herein, or by resolution of the Board of Directors, the Chairman shall sign all orders, contracts and other instruments to be executed on behalf of the Authority.

History

• Adopted effective April 27, 1981 (Supp. 81-2).

Ariz. Admin. Code § R4-35-307 Vice-chairman

A Vice-chairman may be elected from among the members of the Board of Directors of the Authority and, except as prohibited by law or these rules and regulations, shall serve as the acting Chairman of the Board of Directors and perform the duties of the Chairman in the event of the absence, disability or inability to act of the Chairman.

History

• Adopted effective April 27, 1981 (Supp. 81-2).

Ariz. Admin. Code § R4-35-308 Secretary

The Secretary shall keep the minutes of the meetings of the Board of Directors and, if directed by the Board, perform the same duties for the committees of the Board of Directors; shall give or cause to be given all notices as required by law or these rules and regulations; shall be custodian of the records and the seal, if any, of the Authority; shall, when necessary or appropriate, attest to the signature of the Chairman or Vice-chairman; and shall, in general, perform all customary duties incident to the office of Secretary and such other duties as may be determined by the Board of Directors from time to time.

History

• Adopted effective April 27, 1981 (Supp. 81-2).

Ariz. Admin. Code § R4-35-309 Treasurer

The Treasurer shall have custody of the funds and securities of the Authority; shall keep full and accurate accounts of receipts and disbursements relating to the operations of the Authority in books and ledgers belonging to the Authority; shall deposit all moneys and other valuable effects in the name or to the credit of the Authority in such depositories as shall be designated by the Board; shall disburse the funds of the Authority in such manner and at such times as may be ordered by the Board, taking proper receipts or vouchers for such disbursements; shall render to the Board, whenever requested by the Board, an accounting of all of the financial transactions and the financial condition of the Authority; and shall, in the event of his or her resignation, retirement, removal or death, deliver or provide for the delivery to the Authority of all books, papers, vouchers, records, ledgers, money and other property of whatever kind in his or her possession or under his or her control belonging to the Authority.

History

• Adopted effective April 27, 1981 (Supp. 81-2).

Article 4 RESIGNATIONS AND VACANCIES

Ariz. Admin. Code § R4-35-401 Resignations

Any director, committee member or officer may resign at any time by written notice delivered or addressed to the Authority at its principal office, and, in the case of the resignation of any director, to the Governor of the state of Arizona. Any such resignation will be effective upon acceptance by the Authority, in the case of any committee member or officer, or by the Governor, in the case of any director, unless, in either case, some later date is specified therein, in which event the resignation will be effective upon the date so specified.

History

• Adopted effective April 27, 1981 (Supp. 81-2).

Ariz. Admin. Code § R4-35-402 Vacancies

In the event the office of any committee member or officer becomes vacant for any reason, the Board of Directors may, subject to the limitations contained in these rules and regulations, choose a qualified successor to hold such office for the unexpired term.

History

• Adopted effective April 27, 1981 (Supp. 81-2).

Article 5 OTHER MATTERS

Ariz. Admin. Code § R4-35-501 Indemnification

The Authority may and, to the extent required by law, shall indemnify any and all of its present or former directors, officers, employees and agents to the fullest extent and in the manner provided by the laws of the state of Arizona as in effect from time to time hereafter, provided that such indemnification shall not be exclusive of any rights to which any present or former director, officer, employee or agent may be entitled by agreement or otherwise. The Authority may purchase and maintain insurance on behalf of any present or former director, officer, employee or agent of the Authority against any liability incurred by him or her in any such capacity arising out of his or her status as such, whether or not the Authority would have the power to indemnify such person under the provisions of this rule.

History

• Adopted effective April 27, 1981 (Supp. 81-2).

Ariz. Admin. Code § R4-35-502 Seal

The Authority may adopt an official seal which shall be inscribed with the words: "The Arizona Health Facilities Authority, Seal, 1974, Arizona". Such seal may be affixed by impressing the same or by causing any facsimile or reproduction thereof to be impressed, affixed or reproduced on any document or instrument.

History

• Adopted effective April 27, 1981 (Supp. 81-2).

Ariz. Admin. Code § R4-35-503 Fiscal Year

The fiscal year of the Authority shall end on June 30 of each year.

History

• Adopted effective April 27, 1981 (Supp. 81-2).

Ariz. Admin. Code § R4-35-504 Audit of Accounts and Annual Reports

The accounts of the Authority shall be reviewed at least once for each fiscal year and, if directed by the Board, shall be reported upon by an independent certified public accountant or accounting firm selected by the Board of Directors. The Board of Directors may prepare and distribute an annual report containing such information pertaining to the activities and financial condition of the Authority as the Board of Directors may determine.

History

• Adopted effective April 27, 1981 (Supp. 81-2).

Ariz. Admin. Code § R4-35-505 Administrative Offices

The Board may establish such office or offices for the administration of the Authority at such location or locations in the state of Arizona as may be determined by the Board.

History

• Adopted effective April 27, 1981 (Supp. 81-2).

Ariz. Admin. Code § R4-35-506 Conflicts of Interest

In the event any matter being considered at any time by the Board of Directors shall involve any hospital, association, enterprise or other entity, transaction, or other matter in or with which any director is or has been involved, or associated, in a professional capacity or otherwise, such relationship shall be fully disclosed to the Board, and counsel for the Authority shall be requested to advise the Board concerning the permissible manner and extent of such director's further participation in connection with the matter being considered by the Board.

History

• Adopted effective April 27, 1981 (Supp. 81-2).

Ariz. Admin. Code § R4-35-507 Amendments

Subject to compliance with the provisions of Chapter 6, Title 41, Arizona Revised Statutes, any and all of the provisions hereof may be amended, modified, altered or repealed by a majority vote of those directors present and voting at any regular annual or special meeting of the Board, the notice or waiver of notice for which contains or is accompanied by a general description or the exact test of the portion to be amended, modified, altered or repealed. Any such amendments, modifications, alterations or repeals shall become effective upon the filing of certified copies of these rules and regulations reflecting such changes with the Secretary of State of the state of Arizona in compliance with A.R.S. § 41-1004.

History

• Adopted effective April 27, 1981 (Supp. 81-2).

Article 6 APPLICATIONS FOR, AND ISSUANCE OF, BONDS

Ariz. Admin. Code § R4-35-601 Eligibility

Any participating facility, as that term is defined in A.R.S. § 36-481, shall be eligible to apply for, and receive through the Authority, financing for the acquisition, erection, construction, reconstruction, improvement, remodeling, repair, replacement, alteration, extension, development, furnishing or equipping of a health care facility, as that term is defined in A.R.S. § 36-481, or the refunding at or in advance of maturity of any such participating facility's outstanding bonds or other indebtedness.

History

• Adopted effective April 27, 1981 (Supp. 81-2).

Ariz. Admin. Code § R4-35-602 Procedures

The Authority may adopt and revise from time to time general guidelines for the information of prospective financing applicants pertaining to preliminary and final application procedures and other matters concerning the documentation, costs and expenses, and timing involved in the Authority's issuance of bonds on behalf of any participating facility.

History

• Adopted effective April 27, 1981 (Supp. 81-2).

Ariz. Admin. Code § R4-35-603 Expired

History

• Adopted effective April 27, 1981 (Supp. 81-2). Section expired under A.R.S. § 1056(E) at 14 A.A.R. 1446, effective March 31, 2008 (Supp. 08-2).

Chapter 36 DEPARTMENT OF FORESTRY AND FIRE MANAGEMENT

Article 2 ARIZONA STATE FIRE CODE

Ariz. Admin. Code § R4-36-201 Incorporation by Reference of the International Fire Code

Unless otherwise provided by law, any person residing, doing business, or who is physically present within the state of Arizona shall comply with the provisions of the International Fire Code (2018 Edition), including D102.1 and D107.1 of Appendix D and all provisions of Appendices B, C, E, F, G, H, I, J, and N, which is published by the International Code Council, incorporated by reference as the State Fire Code, and modified by Article 3. The incorporated material does not include any later amendments or editions. Copies of the International Fire Code are available from the International Code Council, 4051 W. Flossmoor Road, Country Club Hills, IL 60478-5795 and a copy is available for inspection at the Office of the State Fire Marshal.

History

• Adopted as an emergency effective March 24, 1982, pursuant to A.R.S. § 41-1003, valid for only 90 days (Supp. 82-2). Former Section R8-2-41 adopted as an emergency now adopted as a permanent rule effective June 24, 1982 (Supp. 82-3). Adopted as an emergency effective October 12, 1984, pursuant to A.R.S. § 41-1003, valid for only 90 days (Supp. 84-5). Emergency expired. former Section R8-2-41 repealed, new Section R8-2-41 adopted effective April 2, 1985 (Supp. 85-2). Former Section R8-2-41 repealed, new Section R4-34-1101 adopted as an emergency effective March 14, 1988, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 88-1). Emergency expired. Former Section R8-2-41 repealed, new Section R4-34-1101 adopted as a permanent rule with editorial corrections effective November 16, 1988 (Supp. 88-4). Section R4-34-1101 repealed, new Section adopted effective July 20, 1990 (Supp. 90-3). Section R4-36-201 renumbered from R4-34-1101 (Supp. 95-4). Amended by final rulemaking at 13 A.A.R. 449, effective April 7, 2007 (Supp. 07-1). Amended by final rulemaking at 21 A.A.R. 2973, effective 1/2/2016. Amended by final rulemaking at 27 A.A.R. 2797, effective 1/7/2022.

Ariz. Admin. Code § R4-36-202 Fees

A. Under the authority provided by A.R.S. § 41-2146(D), the State Fire Safety Committee establishes the following schedule of fees:

1. Plan submission fees:

a. Each plan submitted: $210, and

b. Each plan supplement submitted or each re-review of a previously submitted plan: $30;

2. Plan review fees. A separate fee is charged for each system reviewed even if the systems are included in one submitted plan:

a. New installation of an automatic fire sprinkler system.

i. Servicing less than 10,000 square feet: $375;

ii. Servicing between 10,000 and 50,000 square feet: $450;

iii. For each 50,000 square feet or portion of 50,000 square feet serviced in excess of 50,000 square feet: $450; and

iv. For each floor level serviced above or below the ground-level floor: $200;

b. Modification of an existing automatic fire sprinkler system.

i. System consisting of 1 to 20 sprinkler heads: $75;

ii. System consisting of 21 to 50 sprinkler heads: $100;

iii. System consisting of 51 to 100 sprinkler heads: $250;

iv. System consisting of 101 to 500 sprinkler heads: $300;

v. For each additional 100 sprinkler heads or portion of 100 sprinkler heads in excess of 500: $100; and

vi. For each floor level serviced above or below the ground-level floor: $200;

c. New installation or modification of an extinguishing system using clean agent, halon, dry chemical, carbon dioxide, or other extinguishing material:

i. Servicing up to 5,000 square feet: $200; and

ii. For each 5,000 square feet or portion of 5,000 square feet serviced in excess of 5,000 square feet: $50;

d. New installation of one automatic hood extinguishing system: $150;

e. Modification of one existing automatic hood extinguishing system: $75;

f. New installation of a fire pump:

i. For the first fire pump: $250; and

ii. For each additional fire pump: $150;

g. Modification of one existing fire pump: $100;

h. New installation or modification of underground fire line and hydrants:

i. System consisting of up to 500 lineal feet: $300; and

ii. For each 500 lineal feet or portion of 500 lineal feet in excess of 500 lineal feet: $175;

i. New installation of standpipe system:

i. System consisting of up to four standpipes: $200; and

ii. For each four standpipes or portion of four standpipes in excess of four: $100;

j. Modification of standpipe system: $50;

k. New installation of a fire alarm system:

i. Servicing up to 1,000 square feet: $225;

ii. Servicing between 1,001 and 2,000 square feet: $300;

iii. Servicing between 2,001 and 10,000 square feet: $450;

iv. Servicing between 10,001 and 50,000 square feet: $500;

v. For each 50,000 square feet or portion of 50,000 square feet serviced in excess of 50,000 square feet: $200;

vi. For each floor level serviced above or below the ground-level floor: $200; and

vii. For smoke detection throughout serviced area: 50% increase in fee calculated under subsections (A)(2)(k)(i) through (A)(2)(k)(vi); and

l. Modification of a fire alarm system by adding:

i. One to five fire alarm devices: $100; and

ii. Six or more fire alarm devices: $150;

3. Permit issuance fees:

a. Fire protection permit: $30 per system permitted;

b. Underground liquid fuel storage tank: $164;

c. Tire storage: $82;

d. Above-ground liquid fuel storage tank: $164;

e. Pyrotechnics: $164;

f. Special-event tent: $164;

g. Hydrogen fuel cell: $164;

h. Fair or trade show: $164;

i. Explosives or blasting storage: $164;

j. Compressed gases: $164;

k. Cryogens: $164; and

l. Liquefied petroleum tank: $164; and

4. Re-inspection fees: If the State Fire Marshal has to conduct a re-inspection because an entity failed to cancel or was not prepared for a previously scheduled inspection or because the site failed the inspection, the State Fire Marshal shall charge a minimum of $164 for the re-inspection. The State Fire Marshal shall increase the minimum re-inspection fee by $82 for each 25 miles or portion of 25 miles in excess of the first 25 miles required to travel to and from the site of the re-inspection.

B. The State Fire Safety Committee shall authorize the State Fire Marshal to refund any fee paid under this Section if:

1. The permit holder applies for a refund on a form furnished by the State Fire Marshal no more than 180 days after the fee is paid; and

2. The State Fire Marshal determines that the fee paid was erroneous.

History

• New Section made by final rulemaking at 14 A.A.R. 2829, effective August 30, 2008 (Supp. 08-3).
• Article 3, consisting of Sections R4-26-301 through R4-36-308, repealed by summary action with an interim effective date of December 26, 1997. Historical notes in this Article were corrected for clarification in Supp. 98-2. Adopted summary rules filed June 5, 1998; interim effective date of December 26, 1997, now the permanent effective date (Supp. 98-2).

Article 3 INTERNATIONAL FIRE CODE MODIFICATIONS AND ACCEPTED PRACTICES

Ariz. Admin. Code § R4-36-301 Definitions

The following terms as used in the International Fire Code, incorporated by reference at R4-36-201, apply to the State Fire Code established in this Chapter, unless the context otherwise requires:

1. "Department of fire prevention" means the State Fire Marshal or the State Fire Marshal's designated representative.

1.2. "Fire chief" means the State Fire Marshal.

3. "Fire code official" means the State Fire Marshal or the State Fire Marshal's designated representative.

2.4. "Fire department" means the State Fire Marshal or the State Fire Marshal's designated representative.

3. Section 202, the definition of Occupancy Classification for R-3 within the Residential Group is modified to read: Residential occupancies where the occupancies are primarily permanent in nature and not classified as R-1, R-2, R-4, or I including:

a. Boarding houses (non-transient) with 16 or fewer occupants

b. Boarding houses (transient) with 10 or fewer occupants

c. Building that do not contain more than four dwelling units

d. Care facilities that provide accommodations for five or fewer persons receiving care

e. Congregate living facilities (non-transient) with 16 or fewer occupants

f. Congregate living facilities (transient) with 10 or fewer occupants

g. Care facilities within a dwelling. Care facilities for five or fewer persons receiving care that are within a single-family dwelling are permitted to comply with the International Residential Code provided an automatic sprinkler system is installed in accordance with Section 903.3.1.3 or Section P2904 of the International Residential Code.

History

• Adopted effective November 1, 1995 (Supp. 95-4). R4-36-301 repealed by summary action with an interim effective date of December 26, 1997; filed in the Office of the Secretary of State December 5, 1997 (Supp. 97-4). Adopted summary rules filed June 5, 1998; interim effective date of December 26, 1997, now the permanent effective date (Supp. 98-2). New Section made by final rulemaking at 13 A.A.R. 449, effective April 7, 2007 (Supp. 07-1). Amended by final rulemaking at 21 A.A.R. 2973, effective 1/2/2016. Amended by final rulemaking at 27 A.A.R. 2797, effective 1/7/2022.

Ariz. Admin. Code § R4-36-302 Appendices

The International Fire Code (2018 Edition), which is incorporated by reference at R4-36-201, is modified as shown in Exhibit A.

History

• Adopted effective November 1, 1995 (Supp. 95-4). R4-36-302 repealed by summary action with an interim effective date of December 26, 1997; filed in the Office of the Secretary of State December 5, 1997 (Supp. 97-4). Adopted summary rules filed June 5, 1998; interim effective date of December 26, 1997, now the permanent effective date (Supp. 98-2). New Section made by final rulemaking at 13 A.A.R. 449, effective April 7, 2007 (Supp. 07-1). Amended by final rulemaking at 21 A.A.R. 2973, effective 1/2/2016. Amended by final rulemaking at 27 A.A.R. 2797, effective 1/7/2022.

Ariz. Admin. Code § R4-36-303 Permits

A. The following time-frames are established for permits issued under the State Fire Code:

1. The Office of the State Fire Marshal shall determine within five business days after receipt of a permit application and plan submission whether the permit application and plan are administratively complete and ready for review.

The Office of the State Fire Marshal shall either grant or deny the permit within 60 calendar days after the documents are determined to be administratively complete.

3. A permittee shall commence work within 180 days after the permit is issued or apply in writing for an extension from the State Fire Marshal. Without an extension, the permit is valid only for 180 days from the date of issuance.

B. The holder of an operational or construction permit is entitled to inspections as prescribed in this Chapter. The Office of the State Fire Marshal shall invoice a re-inspection caused by a violation or cancellation without 24-hours' notice at a rate established in the fee schedule and shall not conduct the re-inspection until the fee is paid.

C. Section 105.1.1 is modified to read: Permits required. Any property owner or authorized agent that intends to conduct an operation or business, install or modify systems and equipment that are regulated by this code, or cause any such work to be done, shall first make application to the fire code official and obtain the required permit. The fire code official is authorized to waive the requirement for any permit listed in sections 105.6.1 through 105.6.46 and 105.7.1 through 107.16.

D. Section 105.1.2 is modified to read: Types of permits. There shall be two types of permits as follows:

1. Operational permit. An operational permit allows the applicant to conduct an operation for which a permit is required by Section 105.6 for a period that does not exceed 180 days from the date of issuance.

2. Construction permit. A construction permit allows the applicant to install or modify systems and equipment for which a permit is required by Section 105.7.

E. Section 105.2.4, the first sentence is modified to read: The fire code official shall examine or cause to be examined each application for a permit or a permit amendment.

F. Section 105.3.1, the first sentence is modified to read: An operational permit shall remain in effect until reissued, renewed, or revoked, or for 180 days.

G. Section 105.3.3 is modified to read: Occupancy prohibited before approval. The building or structure shall not be occupied prior to the fire code official issuing a report indicating that applicable provisions of this code have been met.

History

• Adopted effective November 1, 1995 (Supp. 95-4). R4-36-303 repealed by summary action with an interim effective date of December 26, 1997; filed in the Office of the Secretary of State December 5, 1997 (Supp. 97-4). Adopted summary rules filed June 5, 1998; interim effective date of December 26, 1997, now the permanent effective date (Supp. 98-2). New Section made by final rulemaking at 13 A.A.R. 449, effective April 7, 2007 (Supp. 07-1). Amended by final rulemaking at 14 A.A.R. 2829, effective August 30, 2008 (Supp. 08-3). Amended by final rulemaking at 21 A.A.R. 2973, effective 1/2/2016. Amended by final rulemaking at 27 A.A.R. 2797, effective 1/7/2022.

Ariz. Admin. Code § R4-36-304 Inspections and Enforcement

A. Section 109.1 is modified to read: Board of appeals established. In order to hear and decide appeals of orders, decisions, or other determinations made by the fire code official regarding application or interpretation of this code, the authority having jurisdiction may establish a board of appeals. If established, the board of appeals shall be appointed by and hold office at the pleasure of the governing body. The fire code official shall be an ex officio member of the board of appeals with no vote on any matter before the board. The board of appeals shall adopt rules of procedure for conducting its business. The board of appeals shall provide a written copy of the findings and decision in an appeal to the appellant and fire code official.

B. Section 109.4 is modified to read: Violation penalties. If a person violates a provision of this code or fails to comply with any of the requirements of the code, the State Fire Marshal shall proceed in accordance with A.R.S. § 41-2196 .

C. Section 111.2 is modified to read: Issuance. The State Fire Marshal shall issue a stop work order, referred to in statute as a cease and desist order, in accordance with A.R.S. § 41-2196 .

D. Section 111.4 is modified to read: Failure to Comply. Any person who shall continue any work having been served with a stop work order, except such work as that person is directed to perform to remove a violation or unsafe condition, is subject to the provisions of A.R.S. § 41-2196 .

History

• Adopted effective November 1, 1995 (Supp. 95-4). R4-36-304 repealed by summary action with an interim effective date of December 26, 1997; filed in the Office of the Secretary of State December 5, 1997 (Supp. 97-4). Adopted summary rules filed June 5, 1998; interim effective date of December 26, 1997, now the permanent effective date (Supp. 98-2). New Section made by final rulemaking at 13 A.A.R. 449, effective April 7, 2007 (Supp. 07-1). Amended by final rulemaking at 21 A.A.R. 2973, effective 1/2/2016. Amended by final rulemaking at 27 A.A.R. 2797, effective 1/7/2022.

Ariz. Admin. Code § R4-36-305 [Repealed]

History

• Adopted effective November 1, 1995 (Supp. 95-4). R4-36-305 repealed by summary action with an interim effective date of December 26, 1997; filed in the Office of the Secretary of State December 5, 1997 (Supp. 97-4). Adopted summary rules filed June 5, 1998; interim effective date of December 26, 1997, now the permanent effective date (Supp. 98-2). New Section made by final rulemaking at 13 A.A.R. 449, effective April 7, 2007 (Supp. 07-1). Amended by final rulemaking at 21 A.A.R. 2973, effective 1/2/2016. Repealed by final rulemaking at 27 A.A.R. 2797, effective 1/7/2022.

Ariz. Admin. Code § R4-36-306 [Repealed]

History

• Adopted effective November 1, 1995 (Supp. 95-4). R4-36-306 repealed by summary action with an interim effective date of December 26, 1997; filed in the Office of the Secretary of State December 5, 1997 (Supp. 97-4). Adopted summary rules filed June 5, 1998; interim effective date of December 26, 1997, now the permanent effective date (Supp. 98-2). New Section made by final rulemaking at 13 A.A.R. 449, effective April 7, 2007 (Supp. 07-1). Repealed by final rulemaking at 27 A.A.R. 2797, effective 1/7/2022.

Ariz. Admin. Code § R4-36-307 [Repealed]

History

• Adopted effective November 1, 1995 (Supp. 95-4). R4-36-307 repealed by summary action with an interim effective date of December 26, 1997; filed in the Office of the Secretary of State December 5, 1997 (Supp. 97-4). Adopted summary rules filed June 5, 1998; interim effective date of December 26, 1997, now the permanent effective date (Supp. 98-2). New Section made by final rulemaking at 13 A.A.R. 449, effective April 7, 2007 (Supp. 07-1). Amended by final rulemaking at 21 A.A.R. 2973, effective 1/2/2016. Repealed by final rulemaking at 27 A.A.R. 2797, effective 1/7/2022.

Ariz. Admin. Code § R4-36-308 [Repealed]

History

• Adopted effective November 1, 1995 (Supp. 95-4). R4-36-308 repealed by summary action with an interim effective date of December 26, 1997; filed in the Office of the Secretary of State December 5, 1997 (Supp. 97-4). Adopted summary rules filed June 5, 1998; interim effective date of December 26, 1997, now the permanent effective date (Supp. 98-2). New Section made by final rulemaking at 13 A.A.R. 449, effective April 7, 2007 (Supp. 07-1). Amended by final rulemaking at 21 A.A.R. 2973, effective 1/2/2016. Repealed by final rulemaking at 27 A.A.R. 2797, effective 1/7/2022.

Ariz. Admin. Code § R4-36-309 [Repealed]

History

• New Section made by final rulemaking at 13 A.A.R. 449, effective April 7, 2007 (Supp. 07-1). Amended by final rulemaking at 21 A.A.R. 2973, effective 1/2/2016. Repealed by final rulemaking at 27 A.A.R. 2797, effective 1/7/2022.

Ariz. Admin. Code § R4-36-310 Explosives and Fireworks

A. Section 5601.1.3 is modified to read: Fireworks. The possession, manufacture, storage, sale, handling, and use of fireworks are prohibited. Exceptions:

1. Storage and handling of fireworks as allowed in Section 5604.

2. Manufacture, assembly and testing of fireworks as allowed in Section 5605.

3. The use of fireworks for fireworks displays as allowed in Section 5608.

4. The possession, storage, sale, handling and use of specific types of Division 1.4G fireworks where allowed by A.R.S. Title 36, Chapter 13, Article 1 or local ordinances and regulations, provided the fireworks comply with 16 CFR Parts 1500 and 1507 and 49 CFR Parts 100-185, for consumer fireworks.

B. Section 3301.1.3, exception 4 is deleted and replaced as follows: This section shall not be construed to prohibit or restrict the manufacture or possession, by a qualified pyrotechnic expert, of aerial set pieces designed for use in pyrotechnic displays, or the display of such set pieces in accordance with the terms of A.R.S., Title 36, Chapter 13, Article 1. A.R.S. § 36-1602(B) .

C. Section 3301.1.3, exception 5 is added to read: 5. Additional uses are permitted as provided by law.

D. Section 3301.2.4.2 is modified to read: Fireworks display. The permit holder shall furnish a bond or certificate of insurance in the amount of one million dollars for the payment of all potential damages to a person or persons or to property by reason of the permitted display, and arising from any acts of the permit holder, the agency, employees, or subcontractors.

E. Section 3302.1 is modified to substitute the following definition of "FIREWORKS" for the existing definition: "Fireworks" (a) Means any combustible or explosive composition, substance or combination of substances, or any article prepared for the purpose of producing a visible or audible effect by combustion, explosion, deflagratinon or detonation, and toy cannons in which explosives are used, the type of balloon which requires fire underneath to propel it, firecrackers, torpedoes, skyrockets, roman candles, daygo bombs, sparklers or other fireworks of like construction, fireworks containing any explosive or combustible compound, and any tablet or other device containing an explosive substance. (b) Does not include: (i) Toy pistols, toy canes, toy guns or other devices in which paper caps containing not more than twenty-five hundredths grains of explosive compound are used if constructed so that the hand cannot come in contact with the cap when in place for the explosion. (ii) Toy pistol paper caps that contain less than twenty-hundredths grains of explosive mixture, or fixed ammunition or primers therefore. (iii) Federally deregulated novelty items known as snappers, snap caps, party poppers or glow worms that contain less than twenty-five hundredths grains of explosive compound." A.R.S. § 36-1601(1) .

History

• New Section made by final rulemaking at 13 A.A.R. 449, effective April 7, 2007 (Supp. 07-1). Amended by final rulemaking at 21 A.A.R. 2973, effective 1/2/2016.

Ariz. Admin. Code § R4-36-311 [Repealed]

History

• New Section made by final rulemaking at 13 A.A.R. 449, effective April 7, 2007 (Supp. 07-1). Repealed by final rulemaking at 21 A.A.R. 2973, effective 1/2/2016.

Article 4 PERMISSIBLE CONSUMER FIREWORKS

Ariz. Admin. Code § R4-36-401 Material Incorporated by Reference

As required by A.R.S. § 36-1609(A), the State Fire Marshal incorporates by this reference NFPA 1124, Code for the Manufacture, Transportation, Storage and Retail Sales of Fireworks and Pyrotechnic Articles, 2013 edition as published August 29, 2012, which is published by the National Fire Protection Association, 1 Batterymarch Park, P.O. Box 9101, Quincy, MA 02169-7471 and is available from NFPA at www.nfpa.org and the Office of the State Fire Marshal. The incorporated material does not include a later amendment or edition but is modified as specified in R4-36-402.

History

• New Section made by final rulemaking at 17 A.A.R. 107, effective January 11, 2011 (Supp. 11-1). Amended by final rulemaking at 21 A.A.R. 571, effective 6/7/2015.

Ariz. Admin. Code § R4-36-402 Modification of NFPA 1124

A. Whenever the term "Consumer fireworks" is used in NFPA 1124, substitute the term "Consumer firework" as defined at A.R.S. § 36-1601(1).

B. Whenever the term "Display fireworks" is used in NFPA 1124, substitute the term "Display firework" as defined at A.R.S. § 36-1601(2).

C. Whenever the term "Fireworks" is used in NFPA 1124, substitute the term "Fireworks" as defined at A.R.S. § 36-1601(3).

History

• New Section made by final rulemaking at 17 A.A.R. 107, effective January 11, 2011 (Supp. 11-1).

Ariz. Admin. Code § R4-36-403 Civil Penalties

A. Under the authority provided by A.R.S. § 36-1610, the State Fire Marshal shall impose a civil penalty of $1,000 for each incident of prohibited use of fireworks on state land when the State Fire Marshal determines that the incident of prohibited use of fireworks posed a risk of harm to life or property.

B. As used in A.R.S. § 36-1610 and subsection (A), an incident of prohibited use of fireworks means the combustion, explosion, deflagration, or detonation of a single firework device.

History

• New Section made by final rulemaking at 17 A.A.R. 107, effective January 11, 2011 (Supp. 11-1).

Chapter 38 BOARD OF HOMEOPATHIC AND INTEGRATED MEDICINE EXAMINERS

Article 1 GENERAL

Ariz. Admin. Code § R4-38-101 Definitions

In addition to the definitions at A.R.S. § 32-2901, in this Chapter:

1. "Beneficial clinical usage" means that usage results of a therapy modality or treatment are documented by:

a. Clinical reports from national or international organizations;

b. Professionally recognized publications of clinical indications and contraindications;

c. National or international instructional courses providing training in the use of the therapy modality, or treatment; or

d. Professional peer review presentations of physicians' usage results with the therapy modality or treatment at local, county, state, national or international meetings.

2. "Classical homeopathy" means a system of medical practice expounded by Samuel Hahnemann in the Organon of Medicine that treats a disease by the administration of minute doses of a remedy that would in healthy persons produce symptoms of the disease treated.

3. "Complex homeopathy" means a system of medical practice that combines one or more homeopathic remedies that are not described in the Organon of Medicine.

4. "EAV" means electric acupuncture according to Reinhard Voll.

5. "Fifth Pathway program" means an academic program created by the Council on Medical Education of the American Medical Association specifically for American medical students studying abroad.

6. "Generally accepted experimental criteria in homeopathy" means:

a. A protocol in which a therapy modality or treatment is administered in the smallest amount necessary to stimulate a healing response with a minimum of clinical aggravation of symptoms or side effects;

b. A process of recording the clinical efficacy of a therapy modality or treatment reflected by measurements of symptom aggravation or improvement, laboratory testing, and changes in physiologic functioning; or

c. A process by which innovative diagnostic procedures and devices are analyzed and evaluated according to their ability to assist a physician in assessing the degree of electrical resistance or conduction disturbance in the totality of a patient's presenting signs, symptoms, and physiologic responses and predict or monitor the totality of the patient's responses to a therapy modality or treatment.

7. "Homeopathic indication" means a recognized standard of practice of homeopathic practitioners that describes a sign, symptom, and physical finding that leads to the recommendation of a particular substance or therapeutic procedure.

8. "Metal poisoning" means a level of toxic metals present in a patient that in the professional judgment of a licensee is inconsistent with the patient's ability to achieve optimal health.

9. "Proving method of administration" means testing a homeopathic drug on healthy volunteers by recording, compiling, and organizing symptoms that are developed into a repertory.

10. "Repertory" means a compilation, usually in book form, of information categorized by the different systems of the body and providing an index of symptoms and a listing of corresponding homeopathic remedies.

11. "Rubric" means a guiding symptom leading to a homeopathic remedy.

History

• Adopted effective June 3, 1988 (Supp. 88-2). Heading amended effective February 7, 1995 (Supp. 95-1). Section repealed; new Section made by final rulemaking at 11 A.A.R. 2008, effective July 2, 2005 (Supp. 05-2).

Ariz. Admin. Code § R4-38-102 Additional Requirements for Applicants Graduated from an Unapproved School of Medicine

In addition to the requirements for a license prescribed in A.R.S. § 32-2912, an applicant who has not graduated from an approved school of medicine shall meet the following:

1. Hold a standard certificate issued by the Educational Council for Foreign Medical Graduates; or

2. Complete a Fifth Pathway program of one academic year of supervised clinical training under the direction of an approved school of medicine in the United States and upon completion of the Fifth Pathway program complete a 24-month internship, residency, or clinical fellowship program accredited by the Accreditation Council on Graduate Medical Education (ACGME).

History

• Adopted effective June 3, 1988 (Supp. 88-2). Section repealed; new Section made by final rulemaking at 11 A.A.R. 2008, effective July 2, 2005 (Supp. 05-2).

Ariz. Admin. Code § R4-38-103 Postgraduate Requirements for Licensure

Under A.R.S. § 32-2912(F)(3), an applicant for licensure shall:

Have a degree of doctor of medicine in homeopathy issued by a homeopathic college or other Board-approved educational institution, or

2. Have successfully completed:

a. Formal postgraduate courses approved under R4-38-104, or

b. A preceptorship approved under R4-38-105.

History

• Adopted effective June 3, 1988 (Supp. 88-2). Section repealed; new Section made by final rulemaking at 11 A.A.R. 2008, effective July 2, 2005 (Supp. 05-2). Former R4-38-103 renumbered to R4-38-104; new Section made by final rulemaking at 17 A.A.R. 1980, effective November 12, 2011 (Supp. 11-3).

Ariz. Admin. Code § R4-38-104 Approved Postgraduate Coursework

A. An applicant who seeks licensure based on successful completion of formal postgraduate courses shall:

1. Complete at least 300 hours of formal postgraduate courses in one or more of the treatment modalities specified in subsections (C)(1) through (6);

Ensure that at least 40 of the 300 required hours are in a course of classical homeopathy; and

3. Submit with the application required under R4-38-108 a statement from the sponsor of the formal postgraduate course that includes:

a. The applicant's name,

b. The name of the course sponsor,

c. The dates on which the course was taken,

d. A brief description of the course content,

e. The number of hours completed, and

f. Whether the applicant successfully completed the course.

B. The Board shall approve a formal postgraduate course if the Board determines that:

1. Except as provided in subsection (B)(4), the course content provides training in one or more of the treatment modalities specified in subsections (C)(1) through (6).

2. There is evidence that the course instructor is qualified in the subject matter of the course; and

3. The course sponsor is recognized within the homeopathic, osteopathic, or allopathic medical profession as a provider of postgraduate training and continuing education; or

4. An applicant who has completed postgraduate coursework in treatment modalities not specified in subsections (C)(1) through (6) shall submit evidence of the postgraduate coursework with the application sufficient to enable the Board to determine whether the postgraduate coursework is related to the practice of homeopathic medicine as defined in statute.

C. An applicant who wishes to practice a specific treatment modality listed in subsections (C)(1) through (6) shall demonstrate proficiency in the modality by completing the indicated number of postgraduate course hours or certification by the indicated credentialing authority.

Acupuncture:

a. Classical acupuncture:

i. Certification by the National Certification Commission for Acupuncture and Oriental Medicine (NCCAOM), or

ii. Completing at least 220 hours of postgraduate courses recognized by the American Academy of Medical Acupuncture or other sponsor approved by the Board that provides equivalent training.

b. Electro-diagnosis: Completing at least 50 hours of postgraduate courses in electro-diagnosis that are approved by the Board.

2. Chelation therapy: Completing at least 16 hours of postgraduate courses offered by the American Board of Clinical Metal Toxicology, American College of Alternative Medicine, International College of Integrative Medicine, or the American Academy of Environmental Medicine or other sponsor approved by the Board that provides equivalent training.

3. Classical homeopathy: Completing at least 90 hours of formal postgraduate courses in classical homeopathy approved by the Board, or whose sponsor is recognized by the Council on Homeopathic Education, the American Institute of Homeopathy, the American Board of Homeotherapeutics, the Homeopathic Association of Naturopathic Physicians or the Council for Homeopathic Certification.

4. Complex homeopathy and electro-therapeutics, EAV and related: Completing at least 90 hours of formal postgraduate courses in complex homeopathy approved by the Board, or whose sponsor is recognized by the Council on Homeopathic Education, the American Institute of Homeopathy, the American Board of Homeotherapeutics, the Homeopathic Association of Naturopathic Physicians, or the Council for Homeopathic Certification.

Neuromuscular integration:

a. Completing a residency or fellowship in physical medicine or graduation from an osteopathic medical school; or

b. Completing at least 220 hours of formal postgraduate courses in neuromuscular integration therapies that are approved by the Board.

6. Orthomolecular therapy and nutrition: completing at least 300 hours of postgraduate courses in orthomolecular therapy and nutrition approved by the Board.

History

• Adopted effective February 22, 1988 (Supp. 88-1). Amended effective January 27, 1995. Amended effective February 7, 1995 (Supp. 95-1). Amended effective November 12, 1996 (Supp. 96-4). Section repealed; new Section made by final rulemaking at 11 A.A.R. 2008, effective July 2, 2005 (Supp. 05-2). Former R4-38-104 renumbered to R4-38-105; new R4-38-104 renumbered from R4-38-103 and amended by final rulemaking at 17 A.A.R. 1980, effective November 12, 2011 (Supp. 11-3).

Ariz. Admin. Code § R4-38-105 Approval of Preceptorship

A. An applicant who seeks licensure based on successful completion of a preceptorship shall obtain the Board's approval of the preceptorship by submitting the following with the application required under R4-38-108 :

1. A notarized affidavit from each preceptor on the preceptor's letterhead attesting to:

a. The educational qualifications of the preceptor,

b. The number of years the preceptor has been conducting preceptorships;

c. The dates of the preceptorship,

d. An outline of the training conducted,

e. Which of the treatment modalities listed in A.R.S. § 32-2901(22) were involved in the training,

f. The number of hours of didactic and clinical training in each treatment modality, and

g. The general nature of the services performed during the training; and

2. A summary from the applicant of each preceptorship including:

a. The name of each preceptor,

b. The treatment modalities included in each preceptorship, and

c. The total number of hours claimed instead of formal postgraduate courses.

B. The Board shall approve a preceptorship under this Section if the Board determines that:

1. The preceptorship provides training in one or more of the treatment modalities specified in R4-38-104;

2. The preceptorship involves a balance of didactic and clinical training;

The preceptor has been in full-time clinical practice for at least three years and meets the educational requirements of R4-38-302(C) in the treatment modality being precepted; and

4. If the preceptorship involves training in classical homeopathy, the preceptorship includes case-taking, repertory use, materia medica, philosophy and history of homeopathy, acute remedies, constitutional prescribing, posology, homeopathy prescription policy, and remedy handling policy.

History

• Adopted effective June 3, 1988 (Supp. 88-2). Section repealed; new Section made by final rulemaking at 11 A.A.R. 2008, effective July 2, 2005 (Supp. 05-2). Amended by emergency rulemaking at 12 A.A.R. 4894, effective December 4, 2006 for 180 days (Supp. 06-4). Emergency expired. Amended by final rulemaking at 13 A.A.R. 2924, effective August 7, 2007 (Supp. 07-3). Amended by final rulemaking at 16 A.A.R. 178, effective March 6, 2010 (Supp. 10-1). Former R4-38-105 renumbered to R4-38-106; new R4-38-105 renumbered from R4-38-104 and amended by final rulemaking at 17 A.A.R. 1980, effective November 12, 2011 (Supp. 11-3).

Ariz. Admin. Code § R4-38-106 Fees

A. The Board establishes and shall collect the following fees, which are specifically authorized by A.R.S. § 32-2914:

1. Application for license: $550.00

2. Issuance of initial license: $250.00

3. Annual renewal of license: $1000.00

4. Late renewal penalty: $350.00

5. Application for dispensing permit: $200.00

Annual renewal of dispensing permit: $200.00

7. Locum tenens registration application: $200.00

8. Locum tenens registration issuance: $100.00

Application for approval of a practical education program: $150.00

10. Annual renewal of approval of a practical education program: $50.00

Initial application to register a medical assistant: $200.00

12. Annual renewal of registration of medical assistant: $200.00

B. The Board shall collect the following amounts for the services described:

1. Annual directory: $25.00

2. Copies, per page: $0.25

3. Copies, per audio tape: $35.00

4. Copies, per 1.44 M computer disk: $100.00

5. Mailing lists - non-commercial (per name): $0.05

Mailing lists - commercial (per name): $0.25

7. Mailing list labels (per name): $0.30

8. Copy of statutes or rules: $5.00

History

• Adopted effective June 3, 1988 (Supp. 88-2). Section repealed; new Section made by final rulemaking at 11 A.A.R. 2008, effective July 2, 2005 (Supp. 05-2). Former R4-38-106 renumbered to R4-38-107; new R4-38-106 renumbered from R4-38-105 by final rulemaking at 17 A.A.R. 1980, effective November 12, 2011 (Supp. 11-3). Amended by final rulemaking at 18 A.A.R. 2143, effective October 7, 2012 (Supp. 12-3).

Ariz. Admin. Code § R4-38-107 Examination

A. The examination for a license consists of two parts:

1. A timed written examination that includes questions addressing the treatment modalities listed in A.R.S. § 32-2901(22). To pass the written examination, an applicant shall obtain a score of at least 70 percent; and

2. A personal interview with the Board to examine an applicant's personal and professional history as it applies to homeopathic medicine. The Board may ask questions to clarify issues regarding the applicant's competence to engage in the practice of medicine safely, unprofessional conduct in the applicant's professional record, and whether the scope of the applicant's practice falls within the scope of homeopathic medicine as defined at A.R.S. § 32-2901(22).

B. An applicant may use a copy of Kent's Repertory as a reference during the written examination. An applicant shall not use a computer or other written material during the written examination.

History

• Adopted effective June 13, 1988 (Supp. 88-2). Amended effective February 7, 1995 (Supp. 95-1). Amended by final rulemaking at 11 A.A.R. 2008, effective July 2, 2005 (Supp. 05-2). Section repealed; new R4-38-107 renumbered from R4-38-106 and amended by final rulemaking at 17 A.A.R. 1980, effective November 12, 2011 (Supp. 11-3).

Ariz. Admin. Code § R4-38-108 Application for Licensure

A. To apply for licensure, an applicant shall submit the following directly to the Board:

1. An application form that contains the following information about the applicant:

a. Name as the applicant wants the name to appear on a license;

b. Social Security number, as required under A.R.S. §§ 25-320(P) and 25-502(K);

c. Date and place of birth;

d. Personal identifying characteristics including gender, weight, height, eye and hair colors, and any identifying marks;

e. Business name and address;

f. Residential address;

g. Business telephone and fax numbers;

h. E-mail address;

i. Date on which the applicant expects to take the written examination required under A.R.S. § 32-2913;

j. Name of the approved medical school from which the applicant obtained an allopathic or osteopathic medical degree and the date of the degree;

k. Name of the hospital program at which the applicant served as an intern and the years of the internship;

l. Names and addresses of three physicians who will send the Board letters of recommendation for the applicant;

m. List of the states or other jurisdictions in which the applicant is or ever has been licensed to practice medicine;

n. List of specialty colleges of which the applicant is a member;

o. List of specialty boards by which the applicant is certified;

p. List of the places where the applicant has practiced medicine and the dates of practice;

q. Statement indicating whether the applicant:

i. Has, within the last 10 years, had a medical malpractice judgment entered against an applicant or settled a malpractice claim against the applicant;

ii. Has ever been convicted of or pled guilty or nolo contendere to a criminal charge in an adult court of record;

iii. Has been charged with a crime that is pending adjudication in an adult court of record;

iv. Has had a state or other jurisdiction refuse or deny the applicant a license to practice medicine or has allowed the applicant to withdraw a license application instead of being refused or denied a license to practice medicine;

v. Has had a state or other jurisdiction take disciplinary action against the applicant's license to practice medicine including placing the license on probation, suspending the license, limiting or restricting the license, revoking the license, or accepting surrender of the license;

vi. Has had a state or other jurisdiction, including a federal agency, suspend, limit, restrict, revoke, deny, or accept surrender in lieu of action of the applicant's registration to possess, dispense, or prescribe controlled substances;

vii. Has or had, within the last 10 years, a mental illness or psychological condition that impaired the applicant's ability to practice medicine or function as a medical student;

viii. Is now or has been within the last 10 years dependent upon alcohol or drugs; and

ix. Has had a specialty board or college suspend, revoke, or deny certification to the applicant.

r. Notarized signature and attestation that the information provided is true, correct, and complete;

2. A summary listing the course title, sponsor, dates attended, and credit hours and evidence of completing the 300 hours of postgraduate coursework required under R4-38-104 or the preceptorship required under R4-38-105;

3. If the answer to any item in subsections (A)(1)(q)(i) through (ix) is yes, detailed information regarding the nature, date, and location of the incident, or the nature of the condition, and the identity of the agency, court, or organization involved, action taken, and current status;

4. An Arizona Statement of Citizenship and documentary evidence of U.S. citizenship or qualified alien status;

5. A list of the homeopathic modalities the applicant intends to make available under the applicant's supervision if the applicant is licensed;

6. If the applicant intends to use an experimental form of diagnosis or treatment in the applicant's homeopathic medical practice, a copy of the written informed consent materials that a patient will sign before examination or treatment;

7. Two photographs of the applicant's face taken within the last 60 days;

8. A copy of the membership card provided by a specialty college of which the applicant is a member;

9. A copy of the certification card provided by a specialty board by which the applicant is certified;

10. A completed and signed form authorizing individuals, organizations, previous employers, and schools to release to the Board information regarding the applicant;

11. A current curriculum vitae that includes all professional activity from medical school to the present; and

12. The license application fee specified in R4-38-106.

B. An applicant for licensure shall ensure that the following information is submitted directly to the Board:

Verification of graduation provided by the allopathic or osteopathic medical college from which the applicant graduated;

2. Letters of recommendation, on professional letterhead and notarized, from three licensed physicians; and

3. Verification of licensure from every jurisdiction in which the applicant is or ever has been licensed to practice medicine.

History

• Adopted effective June 13, 1988 (Supp. 88-2). Amended by final rulemaking at 11 A.A.R. 2008, effective July 2, 2005 (Supp. 05-2). Former R4-38-108 renumbered to R4-38-110; new Section made by final rulemaking at 17 A.A.R. 1980, effective November 12, 2011 (Supp. 11-3).

Ariz. Admin. Code § R4-38-109 License Renewal

A. The Board shall provide a licensee with at least 30 days' notice of the need to renew the licensee's license. It is the responsibility of the licensee to renew timely. Failure to receive notice of the need to renew does not excuse failure to renew timely.

B. Under A.R.S. § 32-2915(G), a licensee who wishes to continue practicing homeopathic medicine shall submit the license renewal materials described in subsection (E) annually on or before the last day of the month in which the license was initially issued.

C. A licensee who fails to comply with subsection (E) by the date specified in subsection (B) may apply for license renewal within 60 days after the date specified in subsection (B) by:

1. Submitting to the Board the license renewal materials described in subsection (E), and

2. Paying the late renewal penalty prescribed in R4-38-106.

D. If a licensee fails to comply with either subsection (B) or (C), the licensee's license expires and the licensee shall immediately cease practicing homeopathic medicine. A licensee whose license expires may obtain licensure only by complying again with R4-38-108 and taking the examination specified in R4-38-107.

E. To renew a license issued by the Board, a licensee shall submit the following directly to the Board:

1. A license renewal application that contains the following information about the applicant:

a. Name;

b. License number;

c. Business name and address;

d. Residential address;

e. Business telephone number;

f. E-mail address;

g. Address and telephone numbers of each location at which the licensee practices;

h. Number of the active M.D. or D.O. license held by the licensee and name of the state that issued the license; and

i. A statement indicating whether during the last 12 months:

i. A licensing authority of another jurisdiction denied the licensee a license to practice allopathic, homeopathic, or osteopathic medicine and if so, the name of the jurisdiction, date of the denial, and an explanation of the circumstances;

ii. A licensing authority of another jurisdiction revoked, suspended, limited, restricted, or took other action regarding a license of the licensee and if so, the name of the jurisdiction taking action, nature and date of the action taken, and an explanation of the circumstances;

iii. The licensee has been convicted of or pled guilty or nolo contendere to a criminal charge, including driving under the influence of drugs or alcohol, and if so, the name of the jurisdiction in which convicted, nature of the crime, date of conviction, and current status;

iv. A lawsuit was filed or settlement entered into or judgment entered against the licensee alleging professional malpractice or negligence in the practice of homeopathic, allopathic, or osteopathic medicine and if so, the case number, date of action, the matters alleged, and whether the lawsuit is still pending or the manner in which the settlement or judgment was resolved; and

v. The licensee has or had a mental illness or psychological condition that may impair the licensee's ability to practice homeopathic medicine safely and skillfully and if so, the nature of the condition and any accommodations necessary;

vi. The licensee has been charged with or arrested for any felony or misdemeanor involving conduct that may affect patient safety or a felony as required under A.R.S. § 32-3208.

2. A list of the treatment modalities the licensee makes available under the licensee's supervision;

3. If the licensee uses an experimental form of diagnosis or treatment in the licensee's practice of medicine, a copy of the written informed consent materials that a patient signs before examination or treatment;

4. A list of any specialty certifications held by the licensee, the certifying entity, and the date the certification expires;

5. If the licensee dispenses drugs or devices as part of the licensee's practice of homeopathic medicine:

a. The licensee's DEA registration number;

b. A statement of whether a complaint has been filed or legal action has been taken against the licensee by a court or federal or state agency for dispensing a device, drug, or substance and if so, the name and address of the court or federal or state agency and documentation of the action taken; and

c. A list of the items dispensed;

6. An Arizona Statement of Citizenship and documentary evidence of U.S. citizenship or qualified alien status;

7. An affirmation that the licensee has completed the continuing education required under A.R.S. § 32-2915;

8. An affirmation that the licensee is in compliance with A.R.S. § 32-3211 regarding medical records;

9. The license renewal fee prescribed under R4-38-106; and

10. The licensee's dated signature affirming that the information provided is true, correct, and complete.

History

• Adopted effective June 13, 1988 (Supp. 88-2). Amended by final rulemaking at 11 A.A.R. 2008, effective July 2, 2005 (Supp. 05-2). Former R4-38-109 renumbered to R4-38-111; new Section made by final rulemaking at 17 A.A.R. 1980, effective November 12, 2011 (Supp. 11-3).

Ariz. Admin. Code § R4-38-110 Notification of Change in Contact Information

The Board shall communicate with a licensee using the most recent contact information provided to the Board. To ensure timely communication from the Board, a licensee shall advise the Board in writing within 45 days of opening an additional office or a change in name, office or residential address, or telephone number.

History

• Adopted effective June 3, 1988 (Supp. 88-2). Section repealed by final rulemaking at 11 A.A.R. 2008, effective July 2, 2005 (Supp. 05-2). New R4-38-110 renumbered from R4-38-108 and amended by final rulemaking at 17 A.A.R. 1980, effective November 12, 2011 (Supp. 11-3).

Ariz. Admin. Code § R4-38-111 Experimental Forms of Diagnosis and Treatment

A. The Board neither approves nor advocates specific experimental therapies. The Board considers the standards in this Section in determining whether a licensee is in compliance with A.R.S. § 32-2933(27). The Board considers a therapy that is in violation of applicable state or federal statutes, or state or federal rules or regulations regarding drugs and devices to be unprofessional conduct under A.R.S. § 32-2933(27).

B. Experimental forms of diagnosis or treatment, within the meaning of A.R.S. § 32-2933(27), include:

1. Administration of a pharmaceutical agent untested for safety in humans;

2. Use of a physical agent or electromagnetic current or field in a manner not supported by established clinical usage; and

3. Therapy modalities and diagnostic methods that are not included in the practice of homeopathic medicine as defined in A.R.S. § 32-2901(22) and do not meet the criteria of subsection (C).

C. The following are not an experimental form of diagnosis or treatment under A.R.S. § 32-2933(27):

1. A substance or therapy modality administered on a homeopathic indication that has been in beneficial clinical usage by professionally trained, legally qualified physicians for at least 10 years;

2. Homeopathic medications listed in the Homeopathic Pharmacopoeia of the United States;

3. Homeopathic medications that have been characterized by toxicity studies or by the "proving" method of administration on healthy volunteers to determine the medication's spectrum of action;

4. Administration of a pharmaceutical agent for a therapeutic indication supported by clinical usage if the agent is approved to be marketed publicly for other therapeutic indications by the appropriate regulatory agency; and

5. A procedure used for patient education, preventative medicine, or general health assessment or enhancement such as bio-terrain analysis, live blood analysis, soft laser, magnetic therapy, oxidative therapy, and microelectric therapy, and other procedures considered by the Board to be in beneficial clinical usage.

History

• Adopted effective June 3, 1988 (Supp. 88-2). Amended by final rulemaking at 11 A.A.R. 2008, effective July 2, 2005 (Supp. 05-2). Former R4-38-111 renumbered to R4-38-112; new R4-38-111 renumbered from R4-38-109 by final rulemaking at 17 A.A.R. 1980, effective November 12, 2011 (Supp. 11-3).

Ariz. Admin. Code § R4-38-112 Peer Review

A. A licensee using an experimental form of diagnosis and treatment such as vaccine therapy for cancer without affiliation with a recognized research institution, institutional review board, or peer review committee may request or the Board may require review of the procedure by the Board or a Board-appointed peer review committee.

B. In conducting the review, the Board or Board-appointed peer review committee shall examine protocols, recordkeeping, analyses of results, and informed patient consent forms and procedures. Based on the review, the Board shall determine the licensee's compliance with generally accepted homeopathic experimental criteria under A.R.S. § 32-2933(27).

C. As used in A.R.S. § 32-2933(27), "periodic review by a peer review committee" means peer review for compliance with any form of experimental medicine occurs at a minimum of five-year intervals through a recognized research institution, institutional review board, or a peer review committee. The chairperson of a Board-appointed peer review committee shall be appointed by the Board president and approved by the Board.

D. During a review of a licensee's use of experimental forms of diagnosis and treatment or at any other time the Board deems appropriate, the licensee shall submit informed patient consent forms and protocols and other records indicating the licensee's compliance with generally accepted experimental criteria designated in A.R.S. § 32-2933(27).

History

• Adopted effective June 3, 1988 (Supp. 88-2). Amended by final rulemaking at 11 A.A.R. 2008, effective July 2, 2005 (Supp. 05-2). Section repealed; new R4-38-112 renumbered from R4-38-111 by final rulemaking at 17 A.A.R. 1980, effective November 12, 2011 (Supp. 11-3).

Ariz. Admin. Code § R4-38-113 Chelation Therapy Practice Requirements

A. Before a licensee may practice chelation therapy for other than the treatment of metal poisoning, the licensee:

1. Shall document completion of the postgraduate education required in R4-38-104(C)(2); and

2. Submit to and obtain approval from the Board of the informed patient consent form required by A.R.S. § 32-2933(27). As part of the documentation submitted with the informed patient consent form, the licensee shall include a copy of the chelation therapy protocol.

B. A licensee shall ensure that detailed records and periodic analysis of results on patients consistent with the most recent informed consent and protocol on file with the Board are maintained consistent with A.R.S. § 32-2933(27) and available for periodic review by a peer review committee designated by the Board. The licensee shall ensure that retention of patient medical and treatment records conform to the requirements of A.R.S. § 32-2936.

History

• Adopted effective June 3, 1988 (Supp. 88-2). Amended effective February 7, 1995 (Supp. 95-1). Amended by final rulemaking at 11 A.A.R. 2008, effective July 2, 2005 (Supp. 05-2). Amended by final rulemaking at 17 A.A.R. 1980, effective November 12, 2011 (Supp. 11-3).

Ariz. Admin. Code § R4-38-114 Rehearing or Review of Decision

A. Except as provided in subsection (G), any party to an appealable agency action or a contested case before the Board who is aggrieved by a decision rendered in the case may file with the Board not later than 30 days after service of the decision, a written motion for rehearing or review of the decision, specifying the particular grounds for the motion. A decision is served when personally delivered or five days after the date the decision is mailed to the party at the party's last known residence or place of business.

B. A motion for rehearing may be amended at any time before a ruling by the Board. Any other party may file a response within 15 days after the motion or amended motion is filed. The Board may require the filing of written briefs upon the issues raised in the motion and may provide for oral argument.

C. The Board may grant a rehearing or review of the decision for any of the following reasons materially affecting the moving party's rights:

1. Irregularity in the administrative proceedings of the Board or the hearing officer, or any order or abuse of discretion that results in the moving party being deprived of a fair hearing;

2. Misconduct of the Board or the non-moving party;

Accident or surprise that could not have been prevented by ordinary prudence;

4. Newly discovered material evidence that with reasonable diligence could not have been discovered and produced at the original hearing;

5. Excessive or insufficient penalties;

6. Error in the admission or rejection of evidence or other errors of law occurring at the administrative hearing; or

7. The decision is not justified by the evidence or is contrary to law.

D. The Board may affirm or modify the decision or grant a rehearing to all or any of the parties and on all or part of the issues for any of the reasons set forth in subsection (C). An order granting a rehearing shall specify the ground or grounds on which the rehearing is granted, and the rehearing shall cover only those matters.

E. Not later than 30 days after a decision is rendered, the Board may on its own initiative order a rehearing or review of its decision for any reason for which it might have granted a rehearing on motion of a party. After giving the parties or their counsel notice and an opportunity to be heard on the matter, the Board may grant a motion for rehearing for a reason not stated in the motion. In either case, the order granting the rehearing shall specify the grounds for the rehearing.

F. When a motion for rehearing is based upon an affidavit the party shall serve the affidavit with the motion. Within 10 days after service, an opposing party may serve an opposing affidavit. The Board may extend the period to serve an opposing affidavit for an additional 20 days for good cause shown or by written stipulation of the parties. The Board may permit a reply affidavit.

G. If the Board makes specific findings that the immediate effectiveness of the decision is necessary for the immediate preservation of the public peace, health, or safety and that a rehearing or review of the decision is impracticable, unnecessary, or contrary to the public interest, the Board may issue the decision as a final decision without an opportunity for a rehearing or review. If a decision is issued as a final decision without an opportunity for rehearing, any application for judicial review of the decision shall be made within the time limits permitted for applications for judicial review of the Board's final decisions.

H. The terms "contested case" and "party" as used in this Section are defined in A.R.S. § 41-1001. The term "appealable agency action" is defined in A.R.S. § 41-1092.

History

• Adopted effective June 3, 1988 (Supp. 88-2). Amended by final rulemaking at 11 A.A.R. 2008, effective July 2, 2005 (Supp. 05-2).

Ariz. Admin. Code § R4-38-115 Use of Title and Abbreviation

A. The use of the abbreviation "M.D.(H.)" or "D.O.(H.)" (with or without periods), is equivalent to the written designation, "Doctor of Medicine (Homeopathic)" or "Doctor of Osteopathy (Homeopathic)."

B. A homeopathic physician practicing in this state who is not licensed by the Arizona Board of Medical Examiners or the Arizona Board of Osteopathic Examiners in Medicine and Surgery shall not use any designation other than the initials M.D.(H.) or D.O.(H.) (with or without periods) to indicate a doctoral degree.

C. A physician licensed by the Board and the Arizona Board of Medical Examiners or the Board and the Arizona Board of Osteopathic Examiners in Medicine and Surgery shall use M.D., M.D.(H.) or D.O., D.O.(H.) as appropriate (with or without periods).

D. A licensee practicing in this state shall display the license issued by the Board or an official duplicate of the license in a conspicuous location in the reception area of each office facility.

History

• Adopted effective January 27, 1995 (Supp. 95-1). Amended by final rulemaking at 11 A.A.R. 2008, effective July 2, 2005 (Supp. 05-2). Amended by final rulemaking at 17 A.A.R. 1980, effective November 12, 2011 (Supp. 11-3).

Ariz. Admin. Code § R4-38-116 Continuing Education Requirement

A. Under A.R.S. § 32-2915(F), a licensee shall complete at least 20 hours of Board-approved continuing education in the 12 months before submitting the license renewal materials required under R4-38-109. If a licensee completes more than 20 hours of continuing education during a year, the licensee shall not report the extra hours in a subsequent year.

B. A licensee shall ensure that the licensee obtains and maintains for two years documentary evidence of complying with the continuing education requirement.

C. An hour of continuing education consists of 60 minutes of participation unless specified otherwise in subsection (D).

D. The following continuing education programs and activities are approved by the Board and do not require an application under R4-38-117 :

Participating in an internship, residency, or fellowship at a teaching institution approved by the American Medical Association, Association of American Medical Colleges, or American Osteopathic Association. A licensee may claim one credit hour of continuing education for each day of training in a full-time approved program, or for a less than full-time training on a pro-rata basis. For purposes of this subsection, teaching institutions define "full-time";

2. Participating in an education program for an advanced degree in a medical or medically-related field in a teaching institution approved by the American Medical Association, Association of American Medical Colleges, or American Osteopathic Association. A licensee may claim one credit hour of continuing education for each one day of full-time study or less than a full-time study on a pro rata basis. For purposes of this subsection, teaching institutions define "full-time";

3. Participating in full-time research in a teaching institution approved by the American Medical Association, Association of American Medical Colleges, or American Osteopathic Association. A licensee may claim one credit hour of continuing education for each one day of full-time research, or less than full-time research on a pro rata basis. For purposes of this subsection, teaching institutions define "full-time";

4. An educational program certified as Category 1 by an organization accredited by the Accreditation Council for Continuing Medical Education or the American Osteopathic Association;

5. A medical education program designed to provide understanding of current developments, skills, procedures, or treatments related to the practice of medicine and provided by an organization or institution accredited by the Accreditation Council for Continuing Medical Education or the American Osteopathic Association; and

6. A homeopathic medical education course approved or offered by the Council on Homeopathic Education.

E. The following activities are approved by the Board as continuing education and do not require an application under R4-38-117 subject to the specified limitations:

Serving as an instructor of medical students, house staff, other physicians, or allied health professionals from a hospital or other health care institution if serving as an instructor provides the licensee with an understanding of current developments, skills, procedures, or treatments related to the practice of allopathic, osteopathic, or homeopathic medicine. A licensee who serves as an instructor:

a. May claim one hour of continuing education for each hour of instruction up to a maximum of 10 hours, and

b. If the licensee teaches substantially the same class more than once, may claim hours of continuing education only for the first time the class is taught;

2. Publishing or presenting a paper, report, or book that deals with current developments, skills, procedures, or treatments related to the practice of allopathic, osteopathic, or homeopathic medicine. A licensee who publishes or presents a paper, report, or book:

a. May claim one hour of continuing education for each hour preparing, writing, and presenting up to a maximum of 10 hours; and

b. May claim hours of continuing education only after the date of publication or presentation; and

3. Participating in the following activities if the participation provides the licensee with an understanding of current developments, skills, procedures, or treatments related to the practice of allopathic, osteopathic, or homeopathic medicine. A licensee may claim one hour of continuing education for each hour of participation in the following activities up to a maximum of six hours:

a. Completing a self-instructed medical education program through the use of videotape, audiotape, film, filmstrip, radio broadcast, or computer;

b. Reading scientific journals and books;

c. Preparing for and obtaining specialty board certification or recertification; and

d. Participating on a staff or quality of care committee or utilization review committee in a hospital, health care institution, or government agency.

F. The Board shall approve a program or activity note listed in subsection (D) or (E) as continuing education if the provider of the program or activity makes application under R4-38-117 and the Board determines that the program or activity:

1. Is designed to provide the participant with:

a. Understanding of current developments, procedures, or treatments related to the practice of homeopathic medicine as defined at A.R.S. § 32-2901(22);

b. Knowledge and skills used to practice homeopathic medicine safely and competently; or

c. Knowledge and skills related directly or indirectly to patient care including practice management, medical ethics, or language necessary to the patient population served;

2. Includes a method by which the participant evaluates the:

a. Stated objectives of the program or activity,

b. Instructor knowledge and teaching ability,

c. Effectiveness of the teaching methods used, and

d. Usefulness or applicability of the information provided; and

3. Provides the participant with a certificate of attendance that shows the:

a. Name of the participant;

b. Name of the approved continuing education;

c. Name of the continuing education provider;

d. Date, time, and location of the continuing education; and

e. Hours of instruction provided.

G. Except as specified in subsection (H), a licensee who fails to comply with subsection (A) may submit to the Board a notice of 60-day extension. The licensee shall submit the notice of 60-day extension no later than the date indicated in R4-38-109(B). If a licensee who submits a notice of 60-day extension fails to comply with the continuing education requirement and submit the affirmation required by R4-38-109(E)(7) within the extension period, the licensee's license expires and the licensee shall immediately cease practicing homeopathic medicine. A licensee whose license expires may obtain licensure only by complying again with R4-38-108 and taking the examination specified in R4-38-107.

H. If a licensee fails to comply with subsection (A) because of disability, military service, absence from the U.S., or other circumstance beyond the control of the licensee, the licensee may submit to the Board a request for a temporary waiver of the continuing education requirement that includes the reason for noncompliance, the number of hours of continuing education completed, and the amount of time requested for the licensee to complete the continuing education requirement. The licensee shall submit the request for temporary waiver no later than the date specified in R4-38-109(B). The Board shall evaluate the request for temporary waiver and provide written notice to the licensee of the time within which the licensee shall comply with subsection (A).

History

• New Section made by final rulemaking at 17 A.A.R. 1980, effective November 12, 2011 (Supp. 11-3).

Ariz. Admin. Code § R4-38-117 Application for Continuing Education Approval

A. To obtain Board approval of a continuing education under R4-38-116(F), the provider of the continuing education shall submit the following to the Board at least 10 days before the meeting at which the Board will consider the continuing education for approval:

1. An application for approval, using a form available from the Board, which contains the following information:

a. Title of the continuing education;

b. Name and address of the continuing education provider;

c. Name and telephone and fax numbers of the contact person for the continuing education provider;

d. Date, time, and place at which the continuing education will be taught, if known;

e. Subject matter of the continuing education;

f. Objective of the continuing education;

g. Method of instruction; and

h. Number of continuing education hours requested; and

2. The following documents:

a. Curriculum vitae of the continuing education instructor,

b. Detailed outline of the continuing education,

c. Agenda for the continuing education showing hours of instruction and subject matter taught in each hour,

d. Method by which participants will evaluate the continuing education, and

e. Certificate of attendance that meets the requirements of R4-38-116(F)(3).

B. A provider of continuing education shall not advertise that a continuing education is approved until the Board approves the application submitted under subsection (A).

C. The Board's approval of a continuing education is valid for one year or until there is a change in subject matter, instructor, or hours of instruction. At the end of one year or when there is a change in subject matter, instructor, or hours of instruction, the provider of the continuing education shall reapply for approval.

History

• New Section made by final rulemaking at 17 A.A.R. 1980, effective November 12, 2011 (Supp. 11-3).

Ariz. Admin. Code § R4-38-118 Audit of Compliance and Sanction for Noncompliance with Continuing Education Requirement

A. When notice of the need to renew a license is provided under R4-38-109(A), the Board shall also provide notice of an audit of continuing education records to a random sample of licensees.

B. A licensee who is notified of a continuing education audit shall submit documentary evidence of compliance with the continuing education requirement at the same time that the licensee submits the renewal application required under R4-38-109(E).

C. If a licensee subject to a continuing education audit fails to submit the required evidence no later than the date specified in R4-38-109(C), the licensee is considered to have committed an act of unprofessional conduct and is subject to probation or license suspension or revocation.

History

• New Section made by final rulemaking at 17 A.A.R. 1980, effective November 12, 2011 (Supp. 11-3).

Article 2 DISPENSING OF DRUGS BY HOMEOPATHIC PHYSICIANS

Ariz. Admin. Code § R4-38-201 Definitions

In addition to the definitions in A.R.S. §§ 32-2901, 32-2933, and 32-2951, the following definitions apply in this Chapter:

1. "Administer" means the direct application of a controlled substance, prescription-only drug, dangerous drug as defined in A.R.S. § 13-3401, narcotic drug as defined in A.R.S. § 13-3401, homeopathic medication, natural substance, or non-prescription drug, whether by injection, inhalation, ingestion, or any other means, to the body of a patient or research subject by a homeopathic physician, a homeopathic physician's nurse or assistant, or by the patient or research subject at a homeopathic physician's direction.

2. "Label" means a display of written, printed, or graphic matter on the immediate container of an article and, on the outside wrapper or container, if the display on the immediate wrapper or container is not easily legible through the outside wrapper.

3. "Labeling" means all labels and other written, printed, or graphic matter:

a. On an article or any of its containers or wrappers and

b. Accompanying the article.

4. "Manufacturer" means each person who prepares, derives, produces, compounds, processes, packages or repackages, or labels a drug in a place devoted to manufacturing the drug, but does not include a pharmacy, pharmacist, or physician.

5. "Natural substance" means an herbal phytotherapeutic or oxygen, carbon, or nitrogen-based therapeutic agent, vitamin, mineral, or food-factor concentrate isolated from animal, vegetable, or mineral sources for nutritional augmentation.

6. "Official compendium" means the latest revisions of the Pharmacopoeia of the United States and the Homeopathic Pharmacopoeia of the United States, the latest revision of the National Formulary, or any current supplement.

7. "Packaging" means the act or process of placing a drug in a container to dispense or distribute the drug.

8. "Pharmaceutical drug" means a drug intended for use in preventing or curing disease or relieving pain.

History

• Adopted effective September 13, 1993 (Supp. 93-3). Amended by final rulemaking at 9 A.A.R. 1599, effective July 5, 2003 (Supp. 03-2).

Ariz. Admin. Code § R4-38-202 General Provisions

A. A homeopathic physician shall not dispense unless the physician obtains from the Board a permit to dispense. The physician may renew the permit annually at the same time the license is renewed. The physician shall include the following on the permit application or renewal form:

1. The classes of drugs the physician will dispense, including controlled substances, pharmaceutical drugs, homeopathic medications, prescription-only drugs, natural substances, non-prescription drugs defined in A.R.S. § 32-1901(46), and devices defined in A.R.S. § 32-1901(18);

2. The location where the physician will dispense; and

3. A copy of the physician's current Drug Enforcement Administration (DEA) registration, or an affidavit averring that the physician does not possess a DEA registration and that the physician will not prescribe or dispense controlled substances.

B. If a homeopathic physician determines that a shortage exists in a controlled substance maintained for dispensing, the physician shall immediately notify the Board, the local law enforcement agency, and the Department of Public Safety by telephone. The physician shall also provide written notification to the Board within seven days of the date of the discovery of the shortage.

History

• Adopted effective September 13, 1993 (Supp. 93-3). Amended by final rulemaking at 9 A.A.R. 1599, effective July 5, 2003 (Supp. 03-2).

Ariz. Admin. Code § R4-38-203 Repealed

History

• Adopted effective September 13, 1993 (Supp. 93-3). Section repealed by final rulemaking at 9 A.A.R. 1599, effective July 5, 2003 (Supp. 03-2).

Ariz. Admin. Code § R4-38-204 Repealed

History

• Adopted effective September 13, 1993 (Supp. 93-3). Section repealed by final rulemaking at 9 A.A.R. 1599, effective July 5, 2003 (Supp. 03-2).

Ariz. Admin. Code § R4-38-205 Repealed

History

• Adopted effective September 13, 1993 (Supp. 93-3). Section repealed by final rulemaking at 9 A.A.R. 1599, effective July 5, 2003 (Supp. 03-2).

Ariz. Admin. Code § R4-38-206 Packaging

In addition to the requirements of A.R.S. § 32-2951, a dispensing homeopathic physician shall dispense a controlled substance or prescription-only pharmaceutical drug in a light-resistant container with a consumer safety cap, unless the patient or patient's representative and the physician agree otherwise.

History

• Adopted effective September 13, 1993 (Supp. 93-3). Amended by final rulemaking at 9 A.A.R. 1599, effective July 5, 2003 (Supp. 03-2).

Article 3 EDUCATION, SUPERVISION, AND DELEGATION STANDARDS FOR REGISTRATION OF MEDICAL ASSISTANTS BY HOMEOPATHIC PHYSICIANS

Ariz. Admin. Code § R4-38-301 Definitions

The definitions in A.R.S. §§ 32-2901, 32-2933, and 32-2951 apply to this Article. Additionally, in this Article:

"Advertisement" means a written, oral, or electronic communication, including a business card or telephone directory listing, which is intended, directly or indirectly, to inform a person that a medical assistant provides a homeopathic procedure.

"Delegated procedure" means a technical homeopathic function that a medical assistant is qualified to perform and is specified in the medical assistant's Board-approved job description.

"Electrodermal testing device" means an instrument that is FDA-registered for the measurement of galvanic skin response.

"FDA" means the United States Food and Drug Administration.

"Homeopathic modality" means a method of diagnosis and treatment listed in the definition of the practice of homeopathic medicine at A.R.S. § 32-2901.

"Homeopathic repertorization" means to assess an individual's symptoms and use a reference to determine the appropriate homeopathic remedy for each symptom.

"Homeotherapeutic instruction" means education regarding the signs, symptoms, and physical findings that lead to the recommendation of a particular substance or therapeutic procedure.

"Hour" means 60 minutes.

"Kinesiology" means the scientific study of human movement.

"Patient record," as used in A.R.S. § 32-2936, means a medical record, as defined at A.R.S. § 12-2291.

History

• Adopted effective January 27, 1995 (Supp. 95-1). Amended by final rulemaking at 16 A.A.R. 178, effective March 6, 2010 (Supp. 10-1).

Ariz. Admin. Code § R4-38-302 Requirements to Supervise a Medical Assistant; Standards for Supervision

A. Before a homeopathic physician applies to the Board to register a medical assistant under R4-38-306, the homeopathic physician shall be licensed by the Board.

B. When a homeopathic physician applies to the Board to register a medical assistant, the homeopathic physician shall submit evidence, as outlined in R4-38-103(C), that the homeopathic physician is qualified in the homeopathic modality of the procedure that will be delegated to the medical assistant.

C. The Board shall find that a homeopathic physician is qualified in the homeopathic modality of the procedure that will be delegated to a medical assistant if the homeopathic physician submits with the application to register the medical assistant certificates of attendance or other evidence that the homeopathic physician completed postgraduate coursework in the delegated homeopathic modality equal to or exceeding the number of hours specified in R4-38-103(C)(1) through (6).

D. A homeopathic physician who supervises a registered medical assistant shall:

Perform and document in the patient record the following for each patient for whom the medical assistant performs a delegated procedure:

a. Initial evaluation,

b. Treatment planning including any modification in the treatment plan, and

c. Re-evaluation of the patient's health status every fourth visit and at the time of discharge or termination of treatment;

2. Respond within 15 minutes to a telephone call or other telecommunication from a medical assistant who performs a delegated procedure when the homeopathic physician is not physically present at the location at which the medical assistant is working;

3. Ensure that a note is placed in the patient record every time the medical assistant seeks direction from the homeopathic physician regarding a delegated procedure performed for a patient;

4. Ensure that the medical assistant performs only delegated procedures that are in the medical assistant's Board-approved job description;

5. Provide a specific written order for any procedure delegated to and performed by the medical assistant for a patient;

6. Ensure that the specific written order required under subsection (D)(5) is placed in the patient record on the day that the medical assistant performs the delegated procedure;

7. Ensure that the medical assistant makes a contemporaneous note in the patient record of any procedure performed by the medical assistant for the patient;

8. Review, initial, and date the medical assistant notes placed in patient records within one week after each note is made and initial and date each note; and

9. Review with the medical assistant a patient's response to treatments performed by the medical assistant:

a. Within three months of the initial visit,

b. After any significant change in the initial treatment plan, and

c. After an adverse reaction.

History

• Adopted effective January 27, 1995 (Supp. 95-1). Former R4-38-302 renumbered to R4-38-303; new Section R4-38-302 made by final rulemaking at 16 A.A.R. 178, effective March 6, 2010 (Supp. 10-1).

Ariz. Admin. Code § R4-38-303 Board Standards for a Formal Education Program

A. The Board establishes the following minimum standards for a formal education program in the subject area specified:

1. Neuromuscular integration therapy procedures. A formal education program in neuromuscular integration therapy procedures shall:

a. Be provided at an educational institution and designed to qualify a graduate as a physical therapist assistant in a U.S. jurisdiction; or

b. Consist of 750 hours of educational training and 250 hours of supervised clinical experience in Feldenkrais, Rolfing, Hellerwork, Trager, Orthobionomy, Shiatsu, Reiki, Polarity, Jin Shin Jyutsu, or a similar therapy;

2. Homeopathic repertorization procedures. A formal education program in homeopathic repertorization procedures shall:

a. Be provided at an educational institution,

b. Be designed to train a graduate in classical homeopathy, and

c. Consist of the following:

i. 200 hours of education training, and

ii. 100 hours of supervised clinical experience, and

3. Nutrition counseling and orthomolecular therapy procedures. A formal education program in nutrition counseling and orthomolecular therapy procedures shall:

a. Be provided at an educational institution, and

b. Consist of the following:

i. 500 hours of education training, and

ii. 175 hours of supervised clinical internship, or

c. Result in certification by the Clinical Nutrition Certification Board.

B. If a homeopathic physician applies to register as a medical assistant an individual who completed a formal education program in a homeopathic modality other than those listed in subsection (A), the homeopathic physician shall submit to the Board evidence that the program consists of educational training and clinical supervision that is substantially equivalent to the requirements specified in R4-38-103(C).

History

• Adopted effective January 27, 1995 (Supp. 95-1). Section repealed; new R4-38-303 renumbered from R4-38-302 and amended by final rulemaking at 16 A.A.R. 178, effective March 6, 2010 (Supp. 10-1).

Ariz. Admin. Code § R4-38-304 Approved Practical Education Program; Renewal

A. A homeopathic physician who wishes to provide on-the-job practical education to an unregistered individual shall apply for and obtain Board approval of a practical education program specifically designed for the unregistered individual before providing the practical education program.

B. The Board's approval of a practical education program is specific to the unregistered individual being trained. A homeopathic physician who wishes to provide on-the-job practical education to more than one unregistered individual shall apply for and obtain Board approval of a practical education program for each unregistered individual.

C. The Board shall approve a practical education program only if the program meets one of the following minimum standards:

Neuromuscular integration therapy procedures. For each therapy listed in R4-38-303(A)(1)(b) in which practical education is provided, 375 hours of instruction and 125 hours of supervised clinical experience;

2. Homeopathic repertorization procedures.

a. If performed with an electrodermal testing device or kinesiology, 180 hours of homeotherapeutic instruction including at least 45 hours of supervised clinical experience;

b. If performed without an electrodermal testing device or kinesiology, 200 hours of homeotherapeutic instruction and 100 hours of supervised clinical experience;

3. Nutrition counseling and orthomolecular therapy procedures, 500 hours of instruction and 170 hours of supervised clinical experience; and

4. Other homeopathic procedure. Hours of instruction and supervised clinical experience that the Board determines is sufficient to enable the unregistered individual being trained to perform as a medical assistant in a safe and competent manner.

D. To obtain the Board's approval of a practical education program, the homeopathic physician who will provide the training shall:

Provide the following information on a form obtained from the Board:

a. Name of the unregistered individual for whom the practical education program is designed,

b. Residential address and telephone number of the unregistered individual,

c. Social Security number of the unregistered individual,

d. A training protocol that identifies the:

i. Homeopathic procedure in which the unregistered individual will be trained,

ii. Subject matter on which instruction will be provided and the hours devoted to each subject, and

iii. Manner in which supervised clinical experience will be provided,

e. Address at which the practical education program will be conducted,

f. Name of the homeopathic physician who will provide the practical education, and

g. License number of the homeopathic physician who will provide the practical education.

2. Attach the following to the form required under subsection (D)(1):

a. Documentation of any previous on-the-job training or formal education, as described in R4-38-303, completed by the unregistered individual for whom the practical education program is designed;

b. Documentation that the homeopathic physician is qualified in the procedure in which training will be provided. For the procedures in which training may be provided, the Board shall accept certificates of attendance or other evidence that the homeopathic physician completed postgraduate course work in the homeopathic procedure to be taught equal to or exceeding the number of hours specified in R4-38-103(C)(1) through (6).

3. Sign the application form affirming that the homeopathic physician shall:

a. Ensure that the unregistered individual being trained is not held out or represented to be a medical assistant,

b. Ensure that the unregistered individual is supervised at all times,

c. Ensure that the unregistered individual is assigned only tasks that the unregistered individual can perform safely and competently,

d. Ensure that the unregistered individual is not registered by the Board as a medical assistant before completing the practical education program, and

e. Provide the unregistered individual with a certificate or other evidence of completion when the unregistered individual completes the Board-approved practical education program. The homeopathic physician shall include the following information on the certificate or other evidence of completion:

i. Name of the unregistered individual completing the practical education program,

ii. Name and license number of the homeopathic physician who provided the practical education program,

iii. Date on which Board approval was obtained for the practical education program,

iv. Dated signature of the homeopathic physician affirming that the practical education program completed met the standards established by the Board.

E. The Board's approval of a practical education program is valid for one year. If the homeopathic physician who obtained approval of the practical education program does not complete providing the program within one year, the homeopathic physician may renew the program by submitting to the Board a letter affirming continued compliance with this Section and paying the fee listed in R4-38-105.

History

• Adopted effective January 27, 1995 (Supp. 95-1). Amended by final rulemaking at 16 A.A.R. 178, effective March 6, 2010 (Supp. 10-1).

Ariz. Admin. Code § R4-38-305 Minimum Requirements for Registration of a Homeopathic Medical Assistant

A. The Board shall approve the registration of an individual as a homeopathic medical assistant only if the homeopathic physician who will supervise the individual submits evidence that the individual:

Completed a formal education program that meets the standards at R4-38-303, or

2. Completed a practical education program that is approved by the Board under R4-38-304.

B. The Board shall approve the registration of an individual as a homeopathic medical assistant only if the individual is employed and supervised by a homeopathic physician who submits the evidence required under R4-38-302(C) showing that the homeopathic physician is qualified in the homeopathic modality in which the individual will work.

History

• Adopted effective January 27, 1995 (Supp. 95-1). Section repealed; new Section R4-38-305 made by final rulemaking at 16 A.A.R. 178, effective March 6, 2010 (Supp. 10-1).

Ariz. Admin. Code § R4-38-306 Application to Register a Medical Assistant

A. If a homeopathic physician intends that an individual who meets one of the minimum requirements listed in R4-38-305(A) work as a medical assistant, the homeopathic physician shall submit to the Board an application to register the individual within two weeks after employing the individual.

B. To register an individual who meets one of the standards at R4-38-305(A) as a medical assistant, a homeopathic physician shall submit to the Board the following information on a form obtained from the Board:

1. About the individual being registered:

a. Name;

b. Residential address;

c. Residential and mobile telephone numbers;

d. E-mail address;

e. Social Security number;

f. Address of the practice location at which the individual will perform delegated procedures;

g. Telephone and fax numbers of the clinic at which the individual will perform delegated procedures;

h. Statement of whether the individual completed a formal education program that meets the standards at R4-38-303 or a practical education program approved by the Board under R4-38-304;

i. Statement of whether the individual is or ever has been licensed as a health care practitioner in a U.S. jurisdiction in a profession subject to regulation by licensure in Arizona and if so:

i. A list of all jurisdictions in which the individual is or ever has been licensed as a health care professional, and

ii. A list of the health care professions in which the individual is or ever has been licensed; and

iii. A statement whether the individual has ever been subject to a disciplinary proceeding by a health care regulatory board in any jurisdiction and if so, the jurisdiction, health care profession, date, and cause and result of the disciplinary proceeding:

j. Statement of whether the individual has ever been charged with or convicted of any criminal act and if so, the nature of the criminal act, date, jurisdiction, and current status;

k. Statement of whether the individual is a U.S. citizen and if not, whether the individual is an alien qualified to work in the U.S.; and

l. Dated signature of the individual being registered affirming that the information provided under subsections (B)(1)(a) through (k) is true, correct, and complete;

2. Description of the homeopathic procedures and other duties that will be delegated to the individual being registered, and

About the homeopathic physician:

a. Name,

b. License number, and

c. Dated signature of the homeopathic physician affirming that:

i. All information provided, including the materials listed in subsection (C), is true, correct, and complete; and

ii. The homeopathic physician has reviewed the standards for supervision listed at R4-38-302 and agrees to comply with the standards.

C. In addition to the form required under subsection (B), a licensed homeopathic physician applying to register an individual as a medical assistant shall attach the following materials to the form:

1. A curriculum vitae or resume of the individual being registered;

2. If the individual being registered completed a formal education program that meets the standards at R4-38-303, an official transcript from the school, college, or technical institution that provided the program;

3. If the individual being registered completed a practical education program approved by the Board under R4-38-304, a copy of the certificate or other evidence of completion required under R4-38-304;

4. If the individual being registered has ever been charged with or convicted of any criminal act, a certified copy of the original charging document and a copy of all court documents relating to the individual's current status;

5. If the individual being registered is not a U.S. citizen, a copy of the document that shows the individual is qualified to work in the U.S.;

6. The evidence required under R4-38-302(C) showing that the homeopathic physician is qualified in the homeopathic modality to be delegated; and

7. The fee required under R4-38-105.

D. Multiple homeopathic physicians who work in the same medical practice may apply jointly to register one individual as a medical assistant. If multiple homeopathic physicians apply jointly to register one individual as a medical assistant, each shall:

1. Provide the information and affirmation required under subsection (B)(3), and

2. Provide the evidence required under subsection (C)(6).

E. A homeopathic physician who has registered a medical assistant may amend the medical assistant's job description provided under subsection (B)(2). To amend the job description of a registered medical assistant, the homeopathic physician shall submit to the Board:

1. A new job description that identifies the homeopathic procedures and other duties that will be delegated to the registered medical assistant,

2. The documentation required under subsection (C)(2) or (3) showing that the registered medical assistant is qualified to perform the procedures and other duties to be delegated, and

3. The evidence required under subsection (C)(6) showing that the homeopathic physician is qualified in the homeopathic modality to be delegated.

History

• Adopted effective January 27, 1995 (Supp. 95-1). Former R4-38-306 renumbered to R4-38-309; new R4-38-306 renumbered from R4-38-308 and amended by final rulemaking at 16 A.A.R. 178, March 6, 2010 (Supp. 10-1).

Ariz. Admin. Code § R4-38-307 Additional Requirements to Register a Previously Licensed Health Care Practitioner

A. An individual who is or ever has been licensed as a health care practitioner in a U.S. jurisdiction in a profession subject to regulation by licensure in this state shall not attempt to practice the health care profession outside of this state's regulatory authority by obtaining registration as a medical assistant under this Chapter.

B. A homeopathic physician may register as a medical assistant an individual previously licensed or subject to professional regulation as a health care practitioner in a U.S. jurisdiction, only if the individual meets one of the standards in R4-38-305(A). To register as a medical assistant an individual previously licensed or subject to professional regulation as a health care practitioner in a U.S. jurisdiction, a homeopathic physician shall submit to the Board the application form and materials required under R4-38-306(B) and (C).

C. In addition to complying with subsection (B), a homeopathic physician applying to register as a medical assistant an individual previously licensed or subject to professional regulation as a health care professional in a U.S. jurisdiction shall submit to the Board an affidavit from the individual being registered stating the reason for which the individual seeks employment as a homeopathic medical assistant rather than as a licensed Arizona health care practitioner in accordance with the individual's professional training.

D. The Board shall conduct an investigation of the individual's health care professional practice in all jurisdictions in which the individual is or ever has been licensed. The Board shall ensure that the investigation is sufficient to determine whether the individual ever engaged in unprofessional conduct, was deemed incompetent, or was physically or mentally unable to provide health care services safely.

E. The Board shall conduct a personal interview with the homeopathic physician and the individual being registered to determine whether:

1. The description of homeopathic procedures and delegated duties provided under subsection (B) is accurate,

2. The supervisory relationship between the homeopathic physician and individual will not constitute a violation of A.R.S. § 32-2933(11),

3. The homeopathic physician understands the supervisory responsibilities, and

4. The individual being registered understands the limitations under this Article and applicable statutes.

History

• Adopted effective January 27, 1995 (Supp. 95-1). Former R4-38-307 renumbered to R4-38-312; new R4-38-307 renumbered from R4-38-310 and amended by final rulemaking at 16 A.A.R. 178, effective March 6, 2010 (Supp. 10-1).

Ariz. Admin. Code § R4-38-308 Renewal of Medical Assistant Registration

A. The registration of a medical assistant expires:

1. When the medical assistant ceases to be employed by the homeopathic physician who registered the medical assistant, or

2. When the supervising homeopathic physician fails to comply with subsection (B) by December 31.

B. To renew the registration of a medical assistant, on or before December 31of each year, the supervising homeopathic physician shall submit to the Board:

1. A renewal application form, which is available from the Board, and provide the following information:

a. About the homeopathic physician.

i. Name;

ii. Name of medical facility at which the homeopathic physician is employed;

iii. Address of the medical facility;

iv. Telephone and fax numbers of the medical facility;

v. E-mail address of the homeopathic physician; and

vi. Dated signature of the homeopathic physician affirming that the information provided is true, correct, and complete;

b. About the medical assistant.

i. Name;

ii. Residential address;

iii. Residential telephone number;

iv. Homeopathic procedures delegated to the medical assistant;

v. Practice locations at which the medical assistant works;

vi. Statement of whether the medical assistant has been arrested or charged with a criminal act during the last year; and if so, the nature of the criminal act, date, jurisdiction, and current status; and

vii. Dated signature of the medical assistant affirming that the information provided is true, correct, and complete; and

2. The fee specified in R4-38-105 for annual renewal of a medical assistant registration.

C. When a medical assistant's registration expires, the supervising homeopathic physician may register the medical assistant again by complying with R4-38-306.

History

• Adopted effective January 27, 1995 (Supp. 95-1). Former R4-38-308 renumbered to R4-38-306; new Section R4-38-308 made by final rulemaking at 16 A.A.R. 178, effective March 6, 2010 (Supp. 10-1).

Ariz. Admin. Code § R4-38-309 Restrictions on Delegated Procedures

A homeopathic physician shall not delegate the following procedures to a registered medical assistant:

1. Psycho-therapeutic procedures, including individual or group psychotherapy, clinical hypnosis, or other behavioral health interventions subject to independent regulation in this state; or

2. Dispensing drugs, homeopathic agents, herbal products, natural products, or therapy devices if the supervising homeopathic physician has not obtained from the Board a dispensing permit.

History

• Adopted effective January 27, 1995 (Supp. 95-1). Former R4-38-309 renumbered to R4-38-310; new R4-38-309 renumbered from R4-38-306 and amended by final rulemaking at 16 A.A.R. 178, effective March 6, 2010 (Supp. 10-1).

Ariz. Admin. Code § R4-38-310 Registration Not Transferable; Multiple Employers

A. The registration and job description of a medical assistant are not transferable from one employing homeopathic physician to another or from one medical assistant to another.

1. If a medical assistant changes from one employing homeopathic physician to another, the new employing homeopathic physician shall apply to the Board to register the medical assistant;

2. If a homeopathic physician employs a new medical assistant, the homeopathic physician shall apply to the Board to register the new medical assistant.

B. A medical assistant may be employed by more than one homeopathic physician.

1. If the multiple homeopathic physicians by whom a medical assistant is employed are part of the same medical practice, they shall apply jointly under R4-38-306(D) to register the medical assistant;

2. If the multiple homeopathic physicians by whom a medical assistant is employed are not part of the same medical practice, each shall apply under R4-38-306 to register the medical assistant.

History

• Adopted effective January 27, 1995 (Supp. 95-1). Former R4-38-310 renumbered to R4-38-307; new R4-38-310 renumbered from R4-38-309 and amended by final rulemaking at 16 A.A.R. 178, effective March 6, 2010 (Supp. 10-1).

Ariz. Admin. Code § R4-38-311 Responsibilities of a Registered Medical Assistant

After approval by the Board, a registered medical assistant shall:

1. Perform only the homeopathic procedures and duties specified under R4-38-306(B)(2),

2. Wear a clearly labeled name tag stating the designation "medical assistant" and the specific homeopathic modality in which the registered medical assistant is approved to work, and

3. Ensure that any advertisement includes:

a. The designation "medical assistant,"

b. The name of the supervising physician, and

c. A clear indication of the supervised nature of the delegated procedures provided.

History

• Adopted effective January 27, 1995 (Supp. 95-1). Section repealed, new Section made by final rulemaking at 16 A.A.R. 178, effective March 6, 2010 (Supp. 10-1).

Ariz. Admin. Code § R4-38-312 Unprofessional Conduct

The following conduct by a homeopathic physician who supervises a medical assistant is unprofessional conduct because the conduct does or might constitute a danger to the health, welfare, or safety of the patient or the public:

1. Obtaining board approval for a practical education program or supervision of the medical assistant under false pretenses,

Failing to adhere to a standard for supervision listed in R4-38-302(D),

3. Failing to register and maintain registration for the medical assistant as required by this Article,

4. Allowing the medical assistant to perform a procedure not specified in the medical assistant's Board-approved job description,

5. Delegating a procedure to an individual who is not registered with the Board or for whom the homeopathic physician has not obtained approval of a practical education program,

6. Holding out or representing that an unregistered individual for whom the homeopathic physician is providing an approved practical education program is a medical assistant, and

7. Failing to ensure that the medical assistant complies with A.R.S. § 32-2933 and this Article.

History

• New Section R4-38-312 renumbered from R4-38-307 and amended by final rulemaking at 16 A.A.R. 178, effective March 6, 2010 (Supp. 10-1).

Article 4 APPLICATION AND RENEWAL PROCESS; TIME-FRAMES

Ariz. Admin. Code § R4-38-401 Definitions

In this Article, the following terms apply:

1. "Application period" means 365 days, starting from the date an initial application and fee are received in the Board office under A.R.S. § 32-2912(F)(3) and (4).

2. "Deficiency notice" means a written, comprehensive list of missing information or documents.

3. "Prescribed fee" means a fee permitted by A.R.S. § 32-2914 or prescribed by R4-38-104.

4. "Serve" means sending the document by U.S. mail to the last address provided by the applicant.

5. "Staff" means any person employed or designated by the Board to perform administrative tasks.

History

• Adopted effective September 24, 1998 (Supp. 98-3).

Ariz. Admin. Code § R4-38-402 Application; Initial License, Permit, or Registration

A. An applicant shall submit to the Board office a signed, notarized application form, the contents of which are described by A.R.S. Title 32, Chapter 29 and 4 A.A.C. 38; any supporting information required; and the prescribed fee. Within 90 days after receipt of an initial application package, staff shall finish an administrative completeness review.

1. If the application package is complete, staff shall serve the applicant with a written notice of administrative completeness informing the applicant of the date, time, and place of the Board's consideration of the application.

2. If the application package is deficient, staff shall serve the applicant with a written deficiency notice. The 90-day time-frame for staff to finish the administrative completeness review is suspended from the date the deficiency notice is served until all missing information is received.

B. Except as otherwise provided by law, the applicant shall provide all missing information within 180 days after the date on the deficiency notice, including information from other agencies, institutions, and persons. If the applicant has not already done so, the applicant shall take the written examination prescribed in R4-38-105 within the 180 days.

C. Within 90 days after receipt of a complete initial application package, the Board shall render a decision on the initial license, permit, or registration. The applicant shall undergo the oral examination and interview prescribed in R4-38-106 within the 90 days.

1. If the Board finds the applicant meets the licensing requirements, the Board shall grant a license effective on the date that the Board receives the license issuance fee. If no license fee is required, the Board shall grant the permit or registration, which is effective on the date granted.

2. If the Board finds the applicant does not meet the licensing requirements, the Board shall issue a written notice of denial of license.

3. If the Board determines that there are substantive deficiencies in the application, the Board shall serve a single comprehensive written request for additional information.

4. The 90-day substantive review time-frame is suspended from the date on the request for additional information until the date that all requested information is received. Except as otherwise provided by law, the applicant shall provide the requested information within 60 days from the date on the notice.

D. If an applicant fails to provide the information required in subsections (B) and (C), the Board shall determine whether to deny the application or to consider it withdrawn under A.R.S. § 32-2912(F).

History

• Adopted effective September 24, 1998 (Supp. 98-3).

Ariz. Admin. Code § R4-38-403 Application; Renewal of License, Permit, or Registration

A. On or before the deadlines prescribed in A.R.S. § 32-2915(D), an applicant for renewal of a license, permit or registration shall submit to the Board a renewal application form, the contents of which are prescribed by A.R.S. Title 32, Chapter 29 and 4 A.A.C. 38, and the appropriate fees.

B. Within 30 days after receipt of a renewal application package, staff shall notify the applicant that the package is either complete or deficient.

1. If the application package is complete, staff may serve the applicant with a written notice of administrative completeness. If the notice of administrative completeness is not served within 30 days after receipt of a renewal application package, the package is deemed complete.

2. If the renewal application package is deficient, staff shall serve the applicant with a written deficiency notice. The 30-day time-frame for staff to finish the administrative completeness review is suspended from the date the deficiency notice is served until all missing information is received.

C. Except as otherwise provided by law, an applicant for renewal shall provide all missing information within 10 days after the date on the deficiency notice or by the applicable deadline prescribed in A.R.S. § 32-2915, whichever is later.

D. Within 90 days of receipt of a complete renewal application package, the Board shall either issue a license renewed notice, showing the effective year of renewal, or conduct a substantive review of those renewal applications which, when considered alone or in conjunction with additional information, raise a concern that the applicant's conduct may be in violation of A.R.S. Title 32, Chapter 29. The Board shall investigate and resolve such a concern under A.R.S. § 32-2934.

E. If an applicant for renewal fails to provide the missing information required by subsection (C), the license, permit, or registration expires effective January 1 of the renewal year for which the application was made and the Board shall not refund any renewal fees paid for that year.

History

• Adopted effective September 24, 1998 (Supp. 98-3).

Chapter 39 BOARD FOR PRIVATE POSTSECONDARY EDUCATION

Article 1 DEFINITIONS, LICENSURE, REPORTING

Ariz. Admin. Code § R4-39-101 Definitions

In addition to the definitions in A.R.S. §§ 32-3001 and 32-3071, the following definitions apply in this Chapter unless the context otherwise requires:

1. "Accreditation" has the same meaning as "accredited" in A.R.S. § 32-3001.

2. "Applicant" means a private postsecondary education institution on whose behalf an application is submitted to the Board for a license to operate the institution and offer vocational programs or grant degrees.

2. "Board" means the Arizona State Board for Private Postsecondary Education.

3. "Conditional license" means a non-renewable one-year license issued by the Board to a private non-accredited vocational or degree-granting institution.

4. "Day" means a calendar day unless specified otherwise.

5. "DE" means the United States Department of Education.

6. "GTR" means gross tuition revenue.

7. "Licensee" means a private postsecondary education institution that is licensed by the Board and offers vocational programs or grants degrees.

8. "Management capability" as used in A.R.S. § 32-3051(10), means continuous coordination of all federal, state, and accreditation requirements, as applicable, in a manner that provides an educationally enriching environment that benefits students.

9. "Misrepresent" means to give a false or misleading representation with the intent to deceive or be unfair.

4. "New," as used in this Section and in R4-39-104 and R4-39-106 means a:

a. Private non-accredited vocational institution that has not previously been issued a license by the Board to operate as a private non-accredited vocational institution in this state, or

b. Private non-accredited degree-granting institution that has not previously been issued a license by the Board to operate as a private non-accredited degree-granting institution in this state.

5. "Person" has the meaning in A.R.S. § 1-215 .

10. "Operate" has the meaning specified in A.R.S. § 32-3001 and includes the concept of "physical presence" as defined by the National Council for State Authorization Reciprocity Agreements (See http://nc-sara.org).

6. 11. "Provisional license" means a renewable one-year license issued by the Board to a private non-accredited degree-granting institution.

7. 12. "Regular license" means a renewable one-year license issued by the Board to a:

a. Private accredited vocational institution,

b. Private accredited degree-granting institution, or

c. Private non-accredited vocational institution.

8. 13. "Signature" means:

a. A handwritten or stamped representation of an individual's name or a symbol intended to represent an individual's name, or

b. An "electronic signature" as defined in A.R.S. § 44-7002.

9. 14. "Signing" means the act of providing a signature.

10. 15. "Staff" means an individual employed by or representing a private vocational institution or private degree-granting institution.

11. 16. "Student fees" means charges incurred by a student or a funding source on behalf of the student for registration, admission, tuition financing, loans, or charges for books, laboratory fees, or other education-related costs .

"Teach-out" means the process by which a private postsecondary education institution fulfills its educational and contractual obligations to currently enrolled students before voluntarily closing a program the institution offers or before closing the institution.

18. "Tuition" means a fee paid for instruction at a college or university or a private school.

History

• Adopted effective June 27, 1985 (Supp. 85-3). Amended by final rulemaking at 11 A.A.R. 2262, effective August 6, 2005 (Supp. 05-2). Amended by final rulemaking at 22 A.A.R. 921, effective 6/4/2016.

Ariz. Admin. Code § R4-39-102 Licenses Issued and Licensing Time Frames

A. A license from the Board issued to a private degree-granting institution authorizes the institution to operate and grant degrees.

B. A license from the Board issued to a private vocational institution authorizes the institution to operate and offer a vocational program.

C. If a private degree-granting or private vocational institution is accredited, the Board shall issue a regular license to the institution if the institution meets the standards in R4-39-103.

D. If a private degree-granting or private vocational institution is non-accredited, the Board shall issue a conditional license to the institution if the institution meets the standards in R4-39-104 or R4-39-106, as applicable. The institution may operate under a conditional license for only one year.

1. At the end of one year, the conditional license of a non-accredited, private, vocational institution becomes, upon approval by the Board, a regular license if the institution meets the standards in R4-39-105.

2. At the end of one year, the conditional license of a non-accredited, private, degree-granting institution becomes, upon approval by the Board, a provisional license if the institution meets the standards in R4-39-107.

E. A non-accredited, private, degree-granting institution may continue to operate with a provisional license if the institution continues to meet the standards in R4-39-107.

C. F. All licenses issued by the Board are effective for 12 months from the date of issuance. To continue to operate a private vocational institution or private degree-granting institution, a licensee shall annually renew the license under R4-39-105 or R4-39-107, as applicable.

D. The Board shall issue the following licenses to private, vocational institutions:

1. An original license of an accredited, private, vocational institution is a regular license to operate vocational programs.

2. A license renewal of an accredited, private, vocational institution is a regular license to continue to operate vocational programs.

3. An original license of a new, non-accredited, private, vocational institution is a one-year conditional license to operate vocational programs.

4. A license renewal of a non-accredited, private, vocational institution is a regular license to continue to operate vocational programs.

E. The Board shall issue the following licenses to private, degree-granting institutions:

1. An original license of an accredited, private, degree-granting institution is a regular license to operate degree programs or grant degrees.

2. A license renewal of an accredited, private, degree-granting institution is a regular license to continue to operate degree programs or grant degrees.

3. An original license of a new, non-accredited, private, degree-granting institution that complies with the provisions of R4-39-106 is a conditional license to operate degree programs or grant degrees.

4. A license renewal of a non-accredited, private, degree-granting institution that complies with the provisions of R4-39-107 is a provisional license to continue to operate degree programs or grant degrees.

F. G. For the purpose of A.R.S. § 41-1073, the Board establishes the following licensing time frames:

1. For a conditional or regular license application to operate a vocational institution or a regular license application to operate a degree-granting institution:

a. Administrative completeness review time frame: 135 days;

b. Substantive review time frame: 45 days;

c. Overall time frame: 180 days.

2. For a conditional or provisional license application to operate a degree-granting institution:

a. Administrative completeness review time frame: 150 days;

b. Substantive review time frame: 90 days;

c. Overall time frame: 240 days.

3. For a license renewal application to continue to operate a vocational or degree-granting institution or for a supplemental license application:

a. Administrative completeness review time frame: 60 days;

b. Substantive review time frame: 45 days;

c. Overall time frame: 105 days.

G. H. Within the time specified in subsection (G), the Board shall finish an administrative completeness review.

1. If the application is complete, the Board shall notify the applicant that the application is complete and that the administrative completeness review is finished. The substantive review will begin on the date the notice is served.

2. If the application is incomplete, the Board shall send the applicant a notice that specifies what information is missing and other deficiencies found in the application. The administrative completeness review time frame is suspended from the date the notice is served until the applicant provides the Board with the missing information and corrects all deficiencies.

a. An applicant with an incomplete application shall submit the missing information and correct the deficiencies within 60 days after receiving the notice.

b. If the applicant cannot comply with the 60-day deadline in subsection (H)(2)(a), the applicant may request an extension of no more than 30 days by submitting a written request to the Board that documents the reasons the applicant is unable to meet the 60-day deadline and is postmarked or delivered before the deadline specified in subsection (H)(2)(a).

c. The Board shall grant the request for an extension of the 60-day deadline if the Board determines that the extension will enable the applicant to submit all missing information and correct all deficiencies. The Board shall grant only one extension of the 60-day deadline specified in subsection (H)(2)(a).

d. If the applicant responds to the notice provided under subsection (H)(2) by providing some of the missing information and correcting some of deficiencies but the Board determines the application is still incomplete, the Board shall send the applicant a second notice that specifies what information is missing and other deficiencies found in the application and provide the applicant with 60 days in which to complete the application. The Board shall not grant an extension of the 60-day deadline provided with a second deficiency notice.

e. If the applicant fails to submit all missing information or correct all deficiencies within the 60-day deadline provided under subsection (H)(2)(d), the Board shall close the application. An applicant whose application is closed and later wishes to be licensed shall submit a new application and pay the fee required under R4-39-201.

d. f. When the Board receives the missing information and the deficiencies are corrected, the Board shall notify the applicant that the administrative completeness review is finished. The substantive review will begin on the date the notice is served.

e. If the revised application containing all missing information and correcting all deficiencies is not submitted within the 60-day deadline or the time permitted by an extension, the Board shall close the application. An applicant whose application is closed and who later wishes to seek licensure, shall apply a new.

H. I. Within the time specified in subsection (G), the Board shall complete a substantive review of the application, which may include onsite verification.

1. If the Board finds that the applicant meets all requirements defined in statute and rule, the Board shall grant the license.

2. If the Board finds that the applicant fails to meet all requirements defined in statute and rule, the Board shall deny the license.

3. 1. If the Board finds deficiencies during the substantive review of the application, the Board shall issue a comprehensive written request for additional information and the deadline for submitting the additional information. The time frame for substantive review of an application is suspended from the date the comprehensive written request for additional information is served until the information is received.

2. When the applicant and Board agree in writing, the Board may make supplemental requests for information.

4. 3. When the applicant and Board agree in writing, the Board shall grant extensions of the substantive review time frame consistent with A.R.S. § 41-1075(B).

5. 4. If the applicant fails to submit the additional information by the deadline, the Board shall close the application. An applicant whose application is closed and who later wishes to be licensed, shall submit a new application.

J. At the end of the substantive review, the Board shall decide whether to grant a license to the applicant.

1. If the Board finds that the applicant meets all requirements defined in statute and rule, the Board shall grant a license.

If the Board finds that the applicant fails to meet all requirements defined in statute and rule, the Board shall deny a license.

3. If the Board denies a license, the Board shall send the applicant a notice of denial that specifies why a license was denied and describes the applicant's right to request a hearing regarding the denial.

History

• Adopted effective June 27, 1985 (Supp. 85-3). Amended effective November 14, 1997 (Supp. 97-4). Amended by final rulemaking at 22 A.A.R. 921, effective 6/4/2016.

Ariz. Admin. Code § R4-39-103 Requirements for a Regular License to Operate a Private Accredited Vocational Degree-granting Institution in Arizona

A. A person shall not operate a private accredited vocational or degree-granting institution without a regular license granted by the Board.

B. Except as specified in subsection (B)(6), the Board shall not grant or renew a regular license if:

1. Within 10 years before filing the application packet required in subsection (D) or since the start date of the current licensure period, an individual with at least 20 percent ownership in the applicant or an officer or employee who controls, manages, or represents the applicant in this state has been convicted in this state or any jurisdiction of any crime, regardless of whether the crime is a misdemeanor or felony, that a reasonable person would consider relevant to the legal and ethical operation of an educational institution;

2. Within 10 years before filing the application packet required in subsection (D) or since the start date of the current licensure period, a person with at least 20 percent ownership in the applicant or an officer or employee who controls, manages, or represents the applicant in this state has had a license to operate a vocational or degree-granting institution revoked in this state or any jurisdiction;

3. The applicant provides false or misleading information on or with the application packet required by this Section;

4. The applicant was previously licensed by the Board and ceased operation without complying with R4-39-402 and R4-39-406; or

5. The applicant ceased to operate or offer a program and as a result:

a. The Board was obligated to make a payment from the Student Tuition Recovery Fund established under A.R.S. § 32-3072, or

b. The DE or a private entity forgave loans, in whole or in part, to affected students; and

6. If the conviction described in subsection (B)(1) was discharged, expunged, set aside, or vacated, the Board shall consider this fact when exercising its discretionary power under this Section.

C. The Board shall grant or renew a regular license only if:

1. The applicant provides the information required in subsection (D); and

The information provided under subsection (D) demonstrates:

a. For a regular license to operate a private accredited vocational institution, compliance with A.R.S. § 32-3021(B);

b. For a regular license to operate a private accredited degree-granting institution, compliance with A.R.S. § 32-3022(B);

c. The ability to provide educational services as represented to the public;

d. Institutional accreditation or accreditation of each program to be offered; and

e. Compliance with all accreditation standards established by each accrediting agency that accredits the applicant's programs or the institution through which the programs are operated.

D. An applicant for an initial regular license shall submit to the Board an application packet that includes:

1. The filing fee required under R4-39-201;

2. The information and documentation required in R4-39-104(D)(2), if required, and (D)(3) through (D)(17);

3. The name of each accrediting agency that accredits the applicant or the applicant's programs;

4. For each accrediting agency named in subsection (D)(3), documentation from the accrediting agency that confirms the current accreditation status of the applicant or the applicant's programs;

5. Attestation by the individual signing the application that the applicant complies and will continue to comply with all accreditation standards established by each accrediting agency named in subsection (D)(3);

6. A copy of the applicant's most recent DE program participation agreement and financial aid audit, if applicable;

7. For each federal student financial aid program named in the agreement in subsection (D)(6), documentation from the DE demonstrating participation in the federal student financial aid program and showing the applicant's default rate for the last three years, if applicable;

Attestation by the individual signing the application that the applicant complies and will continue to comply with all DE requirements governing federal student financial aid programs named in the agreement in subsection (D)(6);

9. A copy of the applicant's current catalog and enrollment agreement that meets the accreditation standards established by each accrediting agency named in subsection (D)(3); and

10. A surety bond, cash deposit, or equivalent security if required under A.R.S. § 32-3023 and R4-39-108.

E. No later than 60 days before a licensee's regular license expires, the licensee shall submit to the Board a license renewal application packet that includes:

1. The filing fee required under R4-39-201; and

2. The information and documentation required in:

a. R4-39-104(D)(2) if required under A.R.S. § 32-3023 and R4-39-108;

b. R4-39-104(D)(3), (D)(4), (D)(5), (D)(8)(a) and (c), (D)(12), and (D)(17); and

b. c. Subsections (D)(3) through (D)(10);

3. A list of all individuals or persons referenced in R4-39-104(D)(14) and (D)(15);

4. A report on the annual enrollment and retention and placement rates for each program offered by the licensee, if the report is required by DE or the accrediting agency that accredits the program or licensee;

5. For each program offered, an indication whether the program is offered by residential or online delivery or both; and

6. A list of all programs that are in teach-out and:

a. The names of all students in each program,

b. The anticipated completion date of each student, and

c. Contact information for each student.

F. A licensee shall:

1. Notify the Board in writing within 24 hours if the licensee:

a. Receives a grant of accreditation issued by an accrediting agency other than an accrediting agency named under subsection (D)(3);

b. Becomes eligible to participate in a federal student financial aid program other than a federal student financial aid program named in the agreement under subsection (D)(6);

2. c. Ceases to be accredited or has a program that ceases to be accredited by an accrediting agency named under subsection (D)(3);

3. d. Ceases to be eligible to participate in a federal student financial aid program named in the agreement under subsection (D)(6);

e. Decides to cease operations; or

f. Knows or should know that the license is under investigation by any state or federal agency or an accrediting agency; and

4. 2. Notify the Board in writing within five business days of:

a. A change in any grant of accreditation issued by an accrediting agency named under subsection (D)(3) or (F)(1)(a) including but not limited to the following adverse actions:

i. Suspending accreditation,

ii. Withdrawing or cancelling accreditation,

iii. Placing accredited institution on probation,

iv. Requiring accredited institution to show cause, or

v. Requiring a specific corrective action, or

b. A change in eligibility to participate in a federal student financial aid program named in the agreement under subsection (D)(6) or (F)(1)(b).

G. The Board may conduct an inspection, under A.R.S. § 41-1009, of an applicant's or licensee's place of business to determine compliance with the requirements of A.R.S. Title 32, Chapter 30 and this Article.

H. As provided in A.R.S. § 32-3051, the Board may discipline a licensee that:

Violates a requirement in subsection (F); or

2. Intentionally or negligently misrepresents any material information in documents or information presented to the Board.

History

• Adopted effective May 21, 1985 (Supp. 85-3). Amended effective October 10, 1997 (Supp. 97-4). Amended by final rulemaking at 11 A.A.R. 2262, effective August 6, 2005 (Supp. 05-2). Amended by final rulemaking at 22 A.A.R. 921, effective 6/4/2016.

Ariz. Admin. Code § R4-39-104 Requirements for a Conditional License to Operate a New Private Non-accredited Vocational Institution in Arizona

A. A person shall not operate a private non-accredited vocational institution without a conditional license granted by the Board.

B. Except as specified in subsection (B)(6), the Board shall not grant a conditional license if:

1. Within 10 years before filing the application packet required in subsection (D), an individual with at least 20 percent ownership in the applicant or an officer or employee who controls, manages, or represents the applicant in this state has been convicted in this state or any jurisdiction of any crime, regardless of whether the crime is a misdemeanor or felony, that a reasonable person would consider relevant to the legal and ethical operation of an educational institution;

2. Within 10 years before filing the application packet required in subsection (D), a person with at least 20 percent ownership in the applicant or an officer or employee who controls, manages, or represents the applicant in this state has had a license to operate a vocational or degree-granting institution revoked in this state or any jurisdiction;

3. The applicant provides false or misleading information on or with the application required by this Section;

4. The applicant was previously licensed by the Board and ceased operations without complying with R4-39-402 and R4-39-406; or

5. The applicant ceased to operate or offer a program and as a result:

a. The Board was obligated to make a payment from the Student Tuition Recovery Fund established under A.R.S. § 32-3072, or

b. The DE or a private entity forgave loans, in whole or in part, to affected students; and

6. If the conviction described in subsection (B)(1) was discharged, expunged, set aside, or vacated, the Board shall consider this fact when exercising its discretionary power under this Section.

C. The Board shall grant a conditional license to an applicant if:

1. The applicant provides the information and documentation required in subsection (D); and

2. The information provided under subsection (D) demonstrates:

a. Compliance with A.R.S. § 32-3021(B)(1) through (11); and

b. The ability to provide educational services as represented to the public.

D. An applicant for a conditional license shall submit to the Board an application packet that includes:

1. The filing fee required under R4-39-201;

2. A letter of credit, surety bond, cash deposit, or equivalent security, as required under A.R.S. § 32-3023, of $15,000 or another amount determined by the Board under R4-39-108;

2. 3. An application form provided by the Board containing:

a. The applicant's name, street address, mailing address, telephone number, fax number, e-mail address, and web site address, if applicable;

b. If the applicant has a headquarters in another state or jurisdiction, the headquarters' street address, mailing address, telephone number, fax number, and e-mail address;

c. Responses to questions regarding the distribution of ownership, business type, and legal structure;

d. As applicable, identification of:

i. All members of the board of directors or board of trustees,

ii. All persons with at least 20 percent ownership in the applicant, and

iii. All individuals responsible for controlling, managing, or representing the applicant in this state;

e. Responses to questions regarding whether a person identified in subsection (D)(3)(d) has ever applied for or been issued a license to operate a vocational or degree-granting institution in this state or any jurisdiction;

f. Responses to questions regarding the finances, federal or state tax liabilities, management capabilities, and criminal history of the persons identified under subsection (D)(3)(d)(ii);

g. Responses to questions regarding programs and student recruitment, enrollment, retention, placement, and financing;

h. Name of the director required under R4-39-303(B) and evidence that the director is qualified;

h. i. Staffing information including:

iRequired minimum qualifications of faculty for each program to be offered;

ii. Total number of current administrative personnel and faculty members;

iii. ii The number of administrative personnel and faculty members projected at the end of the first licensure period; and

iv. iii The names of all current administrative personnel and faculty members;

i. j. Attestation by the individual signing the application that the applicant will comply with all applicable requirements in A.R.S. Title 32, Chapter 30, and this Chapter;

j. k. Attestation by the individual signing the application that all information required as part of the application packet has been submitted and is true and accurate; and

k. l. The notarized signature of an owner of the applicant or an owner's legal representative and date of signature;

4. Financial statements or financial documentation required under R4-39-108;

5. Evidence of the insurance required under R4-39-108;

3. 6. If applicable, a copy of the applicant's articles of incorporation, partnership or joint venture documents, or limited liability documents;

7. A business plan that includes:

a. Executive summary with highlights, objectives, and mission;

b. Applicant summary;

c. Programs offered and services provided;

d. Marketing plan and implementation; and

e. Financial plan that includes three-year projections and financial resources available to demonstrate financial stability;

4. 8. For each program to be offered, a form provided by the Board describing:

a. Program content, length, and delivery system information;

b. Program prerequisites and completion requirements;

c. Student fees as defined at R4-39-101;

d. Any required textbooks or program learning materials;

e. Any equipment or technology or competency requirements;

f. As applicable:

i. Library resources;

ii. Clinical training, practica, externships, internships, or special features;

iii. Graduate employment opportunities; and

iv. Licensing requirements for a graduate of the program to practice; and

g. Attach to the form, a copy of the certificate or diploma to be awarded when the program is completed.

5. 9. A copy of the applicant's student enrollment agreement meeting the requirements in R4-39-401;

6. A copy of each type of certificate or diploma to be awarded;

7. 10. A copy of the applicant's catalog meeting the requirements in R4-39-301;

8. 11. A copy of each brochure, promotional document, uniform resource locator, or advertisement intended for students or potential students;

9. 12. A copy of the applicant's student grievance procedure that:

a. Is published in the applicant's catalog required under subsection (D)(10);

b. Provides the steps and time frames involved in the grievance procedure;

c. References the student's right under A.R.S. § 32-3052 to file a complaint with the Board;

d. Lists the Board's address, telephone number, and web site; and

e. If the applicant requires arbitration as part of the student grievance procedure, includes the following statement: Arbitration of a student grievance is required. Arbitration will take place at a location reasonably convenient for both parties giving due consideration to the student's ability to travel and other pertinent circumstances. Both parties will attempt to have proceedings take place within a reasonable time and without undue delay. The arbitration proceedings will follow the spirit if not the letter of the consumer due process protocol of the American Arbitration Association. The protocol includes but is not limited to a fundamentally fair process; an independent and impartial, competent, and qualified arbitrator; independent administration of the arbitration; reasonable cost; right to representation; and possibility of mediation. Arbitration does not preclude other avenues of recourse, including but not limited to possible relief in small claims court, unless and until the arbitration result is made binding. Arbitration of a student grievance does not preclude the student from seeking a remedy from the Arizona Board of Private Postsecondary Education.

10. 13. An institutional organizational chart including staff names and position titles;

11. 14. For each individual identified under subsection (D)(3)(d), a form provided by the Board describing the individual's professional and educational background;

12. 15. For each faculty member named under subsection (D)(3)(h)(iv), a form provided by the Board describing the individual's professional and educational background;

13. 16. For each location within the state from which the applicant will operate:

a. A form provided by the Board describing the facility;

b. Line drawings, floor plans, or photographs showing each story of the facility, the room layout, room usage, and each door, window, and exit; and

c. Documentation from the local jurisdiction of compliance with all applicable fire codes, building codes, and zoning ordinances; and

14. Documentation of insurance required under R4-39-108 ;

15. Financial statements or financial documentation required under R4-39-108 ;

16. A surety bond, cash deposit, or equivalent security as required under A.R.S. § 32-3023 and R4-39-108 ; and

Other information the Board or applicant believes is relevant and will assist the Board to determine whether the applicant is in compliance with all licensing requirements under A.R.S. Title 32, Chapter 30 and this Article.

E. Before granting a conditional license, the Board shall conduct an inspection, under A.R.S. § 41-1009, of an applicant's place of business to determine compliance with subsection (C).

F. If the Board grants a conditional license to an applicant, the conditional licensee:

1. Shall not describe or refer to itself using the terms "licensed," "approved," or "accredited;" and

2. May describe or refer to itself using the terms "conditionally licensed" or "conditional license."

G. After granting a conditional license, the Board may conduct an inspection, under A.R.S. § 41-1009, of a licensee's place of business to determine continuing compliance with the requirements of A.R.S. Title 32, Chapter 30 and this Article.

H. Under the authority provided at A.R.S. § 32-3051, the Board may discipline a licensee that intentionally or negligently misrepresents any material information in documents or testimony presented to the Board.

History

• Adopted effective May 21, 1985 (Supp. 85-3). Amended effective October 10, 1997 (Supp. 97-4). Amended by final rulemaking at 11 A.A.R. 2262, effective August 6, 2005 (Supp. 05-2). Amended by final rulemaking at 22 A.A.R. 921, effective 6/4/2016.

Ariz. Admin. Code § R4-39-105 Requirements for a Regular License to Continue to Operate a Private Non-accredited Vocational Institution in Arizona

A. Except as specified in subsection (A)(6), the Board shall not grant or renew a regular license to an applicant, if:

1. Since the start date of the current licensure period, an individual with at least 20 percent ownership in the applicant or an officer or employee who controls, manages, or represents the applicant in this state has been convicted in this state or any jurisdiction of any crime, regardless of whether the crime is a misdemeanor or felony, that a reasonable person would consider relevant to the legal and ethical operation of an educational institution;

Since the start date of the current licensure period, a person with at least 20 percent ownership in the applicant or an officer or employee who controls, manages, or represents the applicant in this state has had a license to operate a vocational or degree-granting institution revoked in this state or any jurisdiction;

3. The applicant provides false or misleading information on or with an application required by this Section;

4. The applicant was previously licensed by the Board and ceased operations without complying with R4-39-402 and R4-39-406; or

5. The applicant ceased to operate or offer a program and as a result:

a. The Board was obligated to make a payment from the Student Tuition Recovery Fund established under A.R.S. § 32-3072, or

b. The DE or a private entity forgave loans, in whole or in part, to affected students; and

6. If the conviction described in subsection (A)(1) was discharged, expunged, set aside, or vacated, the Board shall consider this fact when exercising its discretionary power under this Section.

B. The Board shall grant or renew a regular license to a licensee if the licensee submits an application and:

1. The application includes the information required in subsection (C); and

2. The information provided demonstrates:

a. Compliance with A.R.S. § 32-3021(B)(1) through (11); and

b. The ability to provide educational services as represented to the public.

C. No later than 60 days before expiration of a licensee's conditional or regular license, the licensee shall submit to the Board an application packet that includes:

The filing fee required under R4-39-201;

2. The information and documentation required in R4-39-104(D)(2) through (D)(5), (D)(8)(a) and (c), (D)(9), (D)(10), (D)(12), (D)(14), (D)(15) and (D)(17); and

3. Information regarding the annual enrollment and retention and placement rates for each program offered by the licensee;

D. No later than 60 calendar days before the expiration date of the applicant's regular license, an applicant for renewal of a regular license shall submit to the Board an application packet including:

1. The filing fee required under R4-39-201 ; and

2. The information and documentation required in R4-39-104(D)(2), (D)(4), (D)(5), (D)(7), (D)(9), (D)(10), and (D)(14) through (D)(17).

D. A licensee that fails to comply with subsection (C) and allows the licensee's conditional or regular license to expire shall:

1. Comply with subsection (C) within 30 days after the license expires, and

2. Pay the late renewal fee prescribed under A.R.S. § 32-3027(A)(7); or

3. Immediately cease operating in this state.

E. The Board may conduct an inspection, under A.R.S. § 41-1009, of a licensee's place of business to determine compliance with the requirements in A.R.S. Title 32, Chapter 30 and this Article.

F. As provided in A.R.S. § 32-3051, the Board may discipline a licensee that:

Intentionally or negligently misrepresents any material information in documents or testimony presented to the Board, or

2. Fails to comply fully with subsection (C) or (D) but continues to operate in this state.

History

• Adopted effective June 27, 1985 (Supp. 85-3). Amended effective October 10, 1997 (Supp. 97-4). Amended by final rulemaking at 11 A.A.R. 2262, effective August 6, 2005 (Supp. 05-2). Amended by final rulemaking at 22 A.A.R. 921, effective 6/4/2016.

Ariz. Admin. Code § R4-39-106 Requirements for a Conditional License to Operate a Private Non-accredited Degree-granting Institution in Arizona

A. A person shall not operate a private non-accredited degree-granting institution without a conditional license granted by the Board.

B. Except as specified in subsection (B)(4), the Board shall not grant a conditional license to an applicant, if:

1. Within 10 years before filing the application packet required in subsection (D), an individual with at least 20 percent ownership in the applicant or an officer or employee who controls, manages, or represents the applicant in this state has been convicted in this state or any jurisdiction of any crime, regardless of whether the crime is a misdemeanor or felony, that a reasonable person would consider relevant to the legal and ethical operation of an educational institution;

2. Within 10 years before filing the application packet required in subsection (D), a person with at least 20 percent ownership in the applicant or an officer or employee who controls, manages, or represents the applicant in this state has had a license to operate a vocational or degree-granting institution revoked in this state or any jurisdiction; or

3. The applicant provides false or misleading information on or with an application required by this Section; and

4. If the conviction described in subsection (B)(1) was discharged, expunged, set aside, or vacated, the Board shall consider this fact when exercising its discretionary power under this Section.

C. The Board shall grant a conditional license to an applicant if the applicant submits an application and:

1. The application includes the information required in subsection (D); and

The information provided demonstrates:

a. Compliance with A.R.S. §§ 32-3021(B)(1) through (11) and 32-3022(C); and

b. The ability to provide educational services as represented to the public.

D. An applicant for a conditional license shall submit to the Board an application packet that includes:

1. The filing fee required under R4-39-201;

2. The information and documentation required in R4-39-104(D)(2) through (D)(17);

3. The name of each accrediting agency to which the applicant will apply for accreditation of the applicant's programs or the institution through which the programs are offered;

4. For each accrediting agency named under subsection (D)(3), attestation by the individual signing the application that the applicant has read and understands documentation published or provided by the accrediting agency that explains the accrediting agency's accreditation process, including eligibility requirements, application procedures, self-evaluation processes and requirements, accreditation criteria or standards, and accrediting team visits; and

5. A chronological timeline identifying the applicant's projected progress in gaining accreditation from each accrediting agency named under subsection (D)(3)

6. On a form provided by the Board, responses to questions regarding the applicant's ability to gain accreditation from each accrediting agency named under subsection (D)(3).

E. If the Board grants a conditional license to an applicant, the conditional licensee shall:

1. Notify the Board in writing within 24 hours if the licensee:

a. Is determined by an accrediting agency named under subsection (D)(3) to be ineligible to apply for accreditation with the accrediting agency;

b. Is precluded from initiating or continuing in the accreditation process by an accrediting agency named under subsection (D)(3);

c. Is denied accreditation by an accrediting agency named under subsection (D)(3); or

d. Knows or should know that an investigation of the licensee is being or was conducted by a state or federal agency or an accrediting agency;

Within five days of:

a. Receipt, submit to the Board a copy of any document from an accrediting agency named under subsection (D)(3) that pertains to the licensee's progress in gaining accreditation from the accrediting agency; and

3. b. Mailing or sending, submit to the Board a copy of any document mailed or sent by the licensee to an accrediting agency named under subsection (D)(3) that pertains to the licensee's progress in gaining accreditation from the accrediting agency; and

3. Within 10 days after determining that the licensee failed to meet the timeline submitted under subsection (D)(5), submit written notice of the failure to the Board.

F. Before granting a conditional license, the Board shall conduct an inspection, under A.R.S. § 41-1009, of an applicant's place of business to determine compliance with subsection (C).

G. If the Board grants a conditional license to an applicant, while licensed, the conditional licensee:

1. Shall not describe or refer to itself using the terms "licensed," "approved," or "accredited;" and

2. May describe or refer to itself using the terms "conditionally licensed" or "conditional license."

H. The Board may conduct an inspection under A.R.S. § 41-1009 of a licensee's place of business to determine compliance with the requirements of this Article.

I. As provided in A.R.S. § 32-3051, the Board may discipline a licensee that:

Violates a requirement in subsection (E), or

2. Intentionally or negligently misrepresents any material information in documents or testimony presented to the Board.

History

• Adopted effective June 27, 1985 (Supp. 85-3). Amended effective October 10, 1997 (Supp. 97-4). Amended by final rulemaking at 11 A.A.R. 2262, effective August 6, 2005 (Supp. 05-2). Amended by final rulemaking at 22 A.A.R. 921, effective 6/4/2016.

Ariz. Admin. Code § R4-39-107 Requirements for a Provisional License to Continue to Operate a Private Non-accredited Degree-granting Institution in Arizona

A. Except as specified in subsection (A)(7), the Board shall not grant or renew a provisional license to an applicant if:

1. Since the start date of the current licensure period, an individual with at least 20 percent ownership in the applicant or an officer or employee who controls, manages, or represents the applicant in this state has been convicted in this state or any jurisdiction of a any crime regardless of whether the crime is a misdemeanor or felony, that a reasonable person would consider relevant to the legal and ethical operation of an educational institution;

Since the start date of the current licensure period, a person with at least 20 percent ownership in the applicant or an officer or employee who controls, manages, or represents the applicant in this state has had a license to operate a vocational or degree-granting institution revoked in this state or any jurisdiction;

3. The applicant provides false or misleading information on or with an application required by this Section;

4. The applicant fails to apply for accreditation as required under R4-39-106(D)(3) or fails to make progress consistent with the chronological timeline specified under R4-39-106(D)(5) for three consecutive renewal periods;

5. The applicant was previously licensed by the Board and ceased to operate without complying with R4-39-402 and R4-39-406; or

6. The applicant ceased to operate or offer a program and as a result:

a. The Board was obligated to make a payment from the Student Tuition Recovery Fund established under A.R.S. § 32-3072, or

b. The DE or a private entity forgave loans, in whole or in part, to affected students; and

7. If the conviction described in subsection (A)(1) was discharged, expunged, set aside, or vacated, the Board shall consider this fact when exercising its discretionary power under this Section.

B. The Board shall grant or renew a provisional license to an applicant if the applicant submits an application and:

1. The application includes the information required in subsection (C); and

2. The information provided demonstrates:

a. Compliance with A.R.S. §§ 32-3021(B)(1) through (11) and 32-3022(C);

b. The ability to provide educational services as represented to the public; and

c. Progress in gaining accreditation from each accrediting agency named under R4-39-106(D)(3).

C. No later than 60 days before expiration of a licensee's conditional or provisional license, an applicant for an initial or renewed provisional license shall submit to the Board an application packet that includes:

The filing fee required under R4-39-201;

2. The information and documentation required in R4-39-104(D)(2) through (D)(5), (D)(8)(a) and (c), (D)(9), (D)(10), (D)(12), (D)(14), (D)(15), and (D)(17);

3. A report on the annual enrollment and retention and placement rates for each program offered;

4. Documents that demonstrate the applicant met the chronological timeline submitted under R4-39-106(D)(5); and

5. Copies of application documents and all correspondence with all accrediting agencies named under R4-39-106(D)(3), if applicable.

D. No later than 60 calendar days before the expiration date of a licensee's provisional license, an applicant for renewal of a provisional license shall submit to the Board an application packet including:

1. The filing fee required under R4-39-201 ;

2. The information and documentation required in R4-39-104(D)(2), (D)(4), (D)(5) through (D)(10), and (D)(14) through (D)(17);

3. A chronological timeline identifying the applicant's continued progress in gaining accreditation from each accrediting agency named under R4-39-106(D)(3) ;

4. On a form provided by the Board, responses to questions regarding the applicant's continued progress in gaining accreditation from each accrediting agency named under R4-39-106(D)(3) ;

5. Copies of application documents submitted to an accrediting agency named under R4-39-106(D)(3), if applicable; and

6. Documentation from each accrediting agency named under R4-39-106(D)(3) that demonstrates that the applicant is actively seeking accreditation.

D. A licensee that fails to comply with subsection (C) and allows the licensee's conditional or provisional license to expire shall:

1. Comply with subsection (C) within 30 days after the license expires, and

2. Pay the late renewal fee prescribed under A.R.S. § 32-3027(A)(7); or

3. Immediately cease operating in this state.

E. A licensee shall:

1. Notify the Board in writing by the next business day if the licensee:

a. Is determined by an accrediting agency named under R4-39-106(D)(3) to be ineligible to apply for accreditation with the accrediting agency;

b. Is precluded from initiating or continuing in the accreditation process by an accrediting agency named under R4-39-106(D)(3);

c. Is denied accreditation by an accrediting agency named under R4-39-106(D)(3);

d. Knows or should know that the licensee is or was under investigation by a state or federal agency or an accrediting agency; or

e. Decides to cease operations;

2. Within five days of:

a. Receipt, submit to the Board a copy of any document from an accrediting agency named under R4-39-106(D)(3) that pertains to the licensee's progress in gaining accreditation from the accrediting agency; and

3. b. Mailing or sending, submit to the Board a copy of any document mailed or sent by the licensee to an accrediting agency named under R4-39-106(D)(3) that pertains to the licensee's progress in gaining accreditation from the accrediting agency; and

3. Within 10 days after determining that the licensee failed to meet the timeline submitted under subsection R4-39-106(D)(5), submit written notice of the failure to the Board.

F. The Board may conduct an inspection, under A.R.S. § 41-1009, of a licensee's place of business to determine compliance with the requirements of this Article.

G. As provided in A.R.S. § 32-3051, the Board may discipline a licensee that:

Violates a requirement in subsection (E),

2. Intentionally or negligently misrepresents any material information in documents or testimony presented to the Board, or

3. Fails to comply fully with subsection (C) or (D) but continues to operate in this state.

History

• Adopted effective June 27, 1985 (Supp. 85-3). Amended effective February 23, 1993 (Supp. 93-1). Amended effective October 10, 1997 (Supp. 97-4). Amended by final rulemaking at 11 A.A.R. 2262, effective August 6, 2005 (Supp. 05-2). Amended by final rulemaking at 22 A.A.R. 921, effective 6/4/2016.

Ariz. Admin. Code § R4-39-108 Surety Bond, Cash Deposit, or Letter of Credit; Insurance; Financial Statement Requirements; and Finance Committee

A. An applicant or licensee under R4-39-104, R4-39-105, R4-39-106, or R4-39-107 shall have a surety bond, cash deposit, or letter of credit as required under A.R.S. § 32-3023(A). The Board shall determine the dollar amount of the surety bond, cash deposit, or letter of credit under A.R.S. § 32-3023(C).

B. The Board may require an applicant or licensee under R4-39-103 or R4-39-110(D) or (E) have a surety bond, cash deposit, or letter of credit as allowed under A.R.S. § 32-3023(B). The Board shall determine whether a surety bond, cash deposit, or letter of credit is required of an applicant or licensee under R4-39-103 or R4-39-110(D) or (E) and if so, the amount of the surety bond, cash deposit, or letter of credit. In determining whether and the amount of surety bond, cash deposit, or letter of credit to require, the Board shall consider the following factors:

1. Whether the institution has sources of funding other than tuition and the percentage of the institution's funding contributed by the other sources;

2. The amount of time programs offered by the institution require for completion; and

3. The criteria regarding financial responsibility specified under subsection (I)(4).

C. The Board shall use the following guidelines to determine the amount of surety bond, cash deposit, or letter of credit to require of an applicant or licensee:

1. The minimum amount required for applicants and licensees is $15,000;

Additional amounts required of an accredited institution:

a. If the annual GTR is less than $400,000, 15 percent of annual GTR; and

b. If the annual GTR is $400,000 or more, 10 percent of annual GTR; and

3. Additional amounts required of a non-accredited institution:

a. If the annual GTR is less than $400,000, 20 percent of annual GTR; and

b. If the annual GTR is $400,000 or more, 15 percent of annual GTR.

D. An applicant or licensee that meets the requirement under subsection (A) or (B) with a surety bond shall purchase the surety bond from a surety company that has a rating of A or higher from a national rating service.

C. E. An applicant or licensee shall:

1. Have and maintain with an insurance company authorized to transact business in this state coverage that is adequate to protect the applicant or licensee's assets in the event of damage or a finding of liability:

a. For an applicant or licensee with annual GTR of $1,000,000 or more:

i. A minimum single occurrence of $1,000,000 for educators' errors and omissions or malpractice liability insurance; and

b. ii. A minimum single occurrence of $1,000,000 for general liability coverage for operation of the institution;

b. For an applicant or licensee with annual GTR more than $500,000 but less than $1,000,000:

i. A minimum single occurrence of not less than the previous year's GTR plus 10 percent for educators' errors and omissions or malpractice liability insurance; and

ii. A minimum single occurrence not less than the previous year's GTR plus 10 percent of general liability coverage for the operation of institution;

c. For an applicant or licensee with annual GTR equal to or less than $500,000:

i. A minimum single occurrence of not less than $500,000 for educators' errors and omissions or malpractice liability insurance; and

ii. A minimum single occurrence not less $500,000 of general liability coverage for the operation of institution; or

2. Be self-insured for the amounts in subsection (C)(1).

D. F. An applicant or licensee shall submit to the Board a fiscal year-end financial statement that complies with the following requirements:

1. Financial statements that are prepared and signed by an independent, certified public accountant currently licensed by the Arizona State Board of Accountancy or by the accountancy board in the state of the applicant's or licensee's headquarters;

2. 1. If the applicant or licensee has annual GTR greater than $350,000:

a. Is prepared and compiled, reviewed, or audited by a certified public accountant in accordance with generally accepted accounting principles; and

b. Includes a statement of cash flows and disclosures; or

2. If the applicant or licensee has annual GTR equal to or less than $350,000:

a. Is compiled, reviewed, or audited in accordance with generally accepted accounting principles; and

b. Includes supporting documentation requested by the Board; and

3. Includes additional financial information if required by the Board under subsections (G) and (H).

E. G. The Board shall require an applicant or licensee to submit additional financial documentation if:

1. The fiscal year-end financial statement is for a reporting period that ended more than six months before the date of license application; or

2. The applicant has not previously operated in this state or any other jurisdiction.

F. H. The Board may require an applicant or licensee to submit additional financial documentation if:

1. The Board has concerns based on the applicant's or licensee's responses to questions regarding the distribution of ownership, business type, and legal structure; or

2. The financial documentation submitted shows:

a. Current ratio of assets to liabilities less than 1:1,

b. Current negative net worth,

c. Net losses during each of the last two years,

d. Subject to additional DE reporting requirements or has a composite score of less than 1.5,

e. Current cash reserves are insufficient to make required refunds,

f. Current financial obligations are not being met,

g. Applicant or licensee has a history of revocation or negative action in this or another state,

h. Current negative cash flow, or

i. Financial responsibility standards for accreditation are not being met.

I. The Board shall appoint a Finance Committee that consists of at least three member of the Board:

1. The Finance Committee shall comply with the open meeting requirements at A.R.S. Title 38, Chapter 3, Article 3.1.

2. The Finance Committee shall assess the financial responsibility of an applicant or licensee.

3. If the Finance Committee determines that the information submitted under this Section is not sufficient to demonstrate that an applicant or licensee has financial responsibility, the Finance Committee shall work with the applicant or licensee to improve the demonstration.

4. After reviewing the information submitted under this Section, the Finance Committee shall determine that the applicant or licensee:

a. Has demonstrated financial responsibility and grant a license;

b. Has not demonstrated financial responsibility but grant a license contingent on the licensee doing one or more of the following:

i. Submitting quarterly reports,

ii. Submitting a financial improvement plan,

iii. Submitting two-year financial projections, and

iv. Posting a surety bond, cash deposit, or letter of credit that exceeds the amount determined under subsection (C);

c. Has not demonstrated financial responsibility and postpone action to allow the applicant or licensee to provide additional information; or

d. Has not demonstrated financial responsibility and refer the matter to the whole Board for Board action.

History

• Adopted effective May 21, 1985 (Supp. 85-3). Amended effective November 6, 1998 (Supp. 98-4). Section repealed; new Section made by final rulemaking at 11 A.A.R. 2262, effective August 6, 2005 (Supp. 05-2). Amended by final rulemaking at 22 A.A.R. 921, effective 6/4/2016.

Ariz. Admin. Code § R4-39-109 Supplemental License Applications

A. A licensee shall submit to the Board an application for a supplemental license at least 45 days before doing any of the following:

1. Offering a new or additional vocational or degree-granting program;

2. Operating from a new or additional location; or

3. Changing the name of the licensed institution.

B. The Board shall grant a supplemental license to a private vocational or degree-granting institution if the Board determines that the supplemental license application submitted under subsection (A) complies with A.R.S. §§ 32-3021 through 32-3051 and this Chapter.

History

• Adopted effective May 21, 1985 (Supp. 85-3). Section R4-39-109 repealed; new Section R4-39-109 renumbered from R4-39-110 and amended effective November 6, 1998 (Supp. 98-4). Amended by final rulemaking at 22 A.A.R. 921, effective 6/4/2016.

Ariz. Admin. Code § R4-39-110 Change of Ownership or Control

A. In this Section, "change of ownership or control" means is indicated by the following:

1. For a privately held corporation whose control is vested in those who control the voting stock of the corporation:

a. At least 50 percent or more of the voting stock changes from one owner to another within a five-year period; or

b. At least 50 percent of the assets of the corporation are sold regardless of whether the sale is called an asset or securities purchase, a stock or share exchange, or something else;

2. For a publicly traded corporation whose control is vested in the voting members of the board of directors:

a. At least 50 percent of the voting members of the board of directors change within a 12-month period, or

b. At least 50 percent of the assets of the publicly traded corporation are sold regardless of whether the sale is called an asset or securities purchase, a stock or share exchange, or something else;

3. For a non-profit corporation whose control is vested in the voting members of the board of trustees:

a. At least 50 percent of the voting members of the board of trustees change within a 12-month period, or

b. The chief executive officer of the non-profit corporation changes;

4. For a limited partnership whose control is vested in a corporate general partner, the corporate general partner:

a. Has a change of ownership or control as determined under subsections (A)(1) through (A)(3); or

b. At least 50 percent of the assets of the corporate general partner are sold regardless of whether the sale is called an asset or securities purchase, a stock or share exchange, or something else;

5. For a limited liability company whose control is vested in members who control a majority of the interest in the company:

a. At least 50 percent interest changes within a 12- month period; or

b. At least 50 percent of the assets of the limited liability company are sold regardless of whether the sale is called an asset or securities purchase, a stock or share exchange, or something else;

6. For a sole proprietor or a limited partnership that is not described in subsection (A)(4), if at least 50 percent interest changes within a five-year period; and

7. For any business entity described in subsections (A)(1) through (A)(6), when the entity changes from one business form to another including when a non-profit entity becomes a for-profit entity or when a privately held corporation becomes a publicly traded corporation.

B. If assets are sold under subsection (A)(1), (A)(2), (A)(4), or (A)(5), regardless of whether the sale is called an asset or securities purchase, a stock or share exchange, or something else, the sale must transfer liabilities for students enrolled at the time of closing.

C. For the purposes of this Section, assets and liabilities are determined according to generally accepted accounting principles.

B. D. A change of ownership or control does not occur under subsection (A) if an interest is transferred by operation of law or inheritance to a parent, grandparent, spouse, or child.

C. E. A licensee shall, within seven days, notify the Board in writing and explain the following:

1. A change of ownership or control as described under subsection (A); or

2. A change of interest or of the voting members of the board of directors of more than 20 percent but less than 50 percent.

D. F. No later than 60 days after the date on the notice provided under subsection (E), a licensed private accredited institution shall submit to the Board a license application packet that includes:

1. The filing fee required under R4-39-201(E);

2. Either:

a. Information and documentation specified in R4-39-103(D)(3) through (D)(10), as applicable, R4-39-104(D)(2), if required, and (D)(3) through (D)(6), (D)(8)(a) and (c) through (D)(12), (D)(14), and (D)(17); or

b. If required by an accrediting agency that accredits the licensee's programs or the institution through which the programs are offered, a copy of change of ownership documents submitted by the licensee to the accrediting agency;

3. Attestation that the applicant will assume financial responsibility, as required under R4-39-404(C), for all student tuition refunds for which the institution has an obligation; and

4. Other information determined by the Board to be relevant to determining the applicant's compliance with licensing requirements under A.R.S. Title 32, Chapter 30 and this Article.

E. G. No later than 60 days after the date on the notice provided under subsection (E), a licensed private non-accredited institution shall submit to the Board a license application packet that includes:

1. The filing fee required under R4-39-201(E);

2. For a private non-accredited vocational institution, information and documentation specified in R4-39-104(D)(3) through (D)(6), (D)(8)(a) and (c), (D)(12) through (D)(14) and (D)(17);

3. For a private non-accredited degree-granting institution, information and documentation specified in R4-39-103(D)(3) through (D)(10), as applicable, R4-39-104(D)(2) through (D)(6), (D)(8)(a) and (c), (D)(12) through (D)(14) and (D)(17);

4. Attestation that the applicant will assume financial responsibility, as required under R4-39-404(C), for all student tuition refunds for which the institution has a financial obligation; and

5. Other information determined by the Board to be relevant to determining the applicant's compliance with licensing requirements under this Article.

F. H. Except as specified in subsection (H)(6), the Board shall not grant a license as a result of a change of ownership or control to an applicant if:

1. Within 10 years before filing the application packet required in subsection (G) or (H) or since the start date of the current licensure period, an individual with at least 20 percent ownership in the applicant or an officer or employee who controls, manages, or represents the applicant in this state has been convicted in this state or any jurisdiction of any crime, regardless of whether the crime is a misdemeanor or felony, that a reasonable person would consider relevant to the legal and ethical operation of an educational institution;

2. Within 10 years before filing the application packet required in subsection (G) or (H) or since the start date of the current licensure period, a person with at least 20 percent ownership in the applicant or an officer or employee who controls, manages, or represents the applicant in this state has had a license to operate a vocational degree-granting institution revoked in this state or any jurisdiction;

3. The applicant provides false or misleading information on or with the application required by this Section;

4. The applicant was previously licensed by the Board and ceased operation without complying with R4-39-402 and R4-39-406; or

5. The applicant ceased to operate or offer a program and as a result:

a. The Board was obligated to make a payment from the Student Tuition Recovery Fund established under A.R.S. § 32-3072, or

b. The DE or a private entity forgave loans, in whole or in part, to affected students; and

6. If the conviction described in subsection (H)(1) was discharged, expunged, set aside, or vacated, the Board shall consider this fact when exercising its discretionary power under this Section.

G . I.The Board shall grant a license as a result of a change of ownership or control, if the applicant:

1. Demonstrates compliance with A.R.S. §§ 32-3021 through 32-3027, as applicable; and

2. Meets the application requirements in subsection (F) or (G).

H. J. The Board may conduct an inspection, under A.R.S. § 41-1009, of an applicant's or licensee's place of business to determine compliance with the requirements of A.R.S. Title 32, Chapter 30 and this Article.

History

• Adopted effective May 21, 1985 (Supp. 85-3). Amended effective February 23, 1993 (Supp. 93-1). R4-39-110 renumbered to R4-39-109; new Section R4-39-110 renumbered from R4-39-111 and amended (Supp. 98-4). Amended by final rulemaking at 11 A.A.R. 2262, effective August 6, 2005 (Supp. 05-2). Amended by final rulemaking at 22 A.A.R. 921, effective 6/4/2016.

Ariz. Admin. Code § R4-39-111 Honorary Degrees

A. Only a currently licensed, accredited private degree-granting institution may apply to award an honorary degree. Before offering to grant or granting an honorary degree, a currently licensed, accredited private degree-granting institution shall submit an application for a supplemental license for an honorary degree to the Board for the Board's verification, review, and administrative action.

B. The Board shall approve the application for a supplemental license for an honorary degree if the honorary degree is consistent with the institution's currently offered degree-granting programs.

C. An accredited private degree-granting institution whose application for a supplemental license for an honorary degree is approved shall ensure that the honorary degree identifies in its title or name and bears on its face that it is an honorary degree.

History

• Adopted effective May 21, 1985 (Supp. 85-3). R4-39-111 renumbered to R4-39-110; new Section R4-39-111 renumbered from R4-39-112 and amended effective November 6, 1998 (Supp. 98-4). Amended by final rulemaking at 22 A.A.R. 921, effective 6/4/2016.

Ariz. Admin. Code § R4-39-112 Repealed

History

• Adopted effective May 21, 1985 (Supp. 85-3). Repealed effective November 6, 1998 (Supp. 98-4).

Article 2 FEES

Ariz. Admin. Code § R4-39-201 Fees

A. The filing fee for a license to operate a private vocational or degree-granting institution is $800.

B. The annual filing fee for a license renewal to continue to operate a private vocational or degree-granting institution is the following amount based on the institution's annual GTR:

1. Less than $50,000 annual GTR, $600;

2. $50,000/$249,999 annual GTR, $750;

3. $250,000/499,999 annual GTR, $1,000;

$500,000/$999,999 annual GTR, $1,300;

5. $1,000,000/$2,499,999 annual GTR, $1,650;

6. $2,500,000/$6,999,999 annual GTR, $2,000; or

$7,000,000 or more annual GTR, $2,300.

C. The filing fee for each application for a supplemental license to offer a new or additional private vocational or degree-granting program is $500.

D. The filing fee for each application for a supplemental license to offer a private vocational or degree-granting program from a new or additional location is $500.

E. The filing fee for an application for a supplemental license to continue to operate a private vocational or degree-granting institution following a change of ownership or control is $500.

F. The fee for an onsite verification or inspection is the actual cost incurred or $500, whichever is less.

History

• Adopted effective June 27, 1985 (Supp. 85-3). Section R4-39-201 repealed, new Section R4-39-201 adopted effective May 19, 1988 (Supp. 88-2). Emergency amendments adopted effective January 12, 1993, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 93-1). Emergency amendments adopted again effective April 12, 1993, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 93-2). Emergency amendments adopted again effective July 12, 1993 (Supp. 93-3). Amendments permanently adopted with changes effective October 12, 1993 (Supp. 93-4). Amended effective November 6, 1998 (Supp. 98-4). Amended by final rulemaking at 22 A.A.R. 921, effective 6/4/2016.

Article 3 OPERATION OF PRIVATE NON-ACCREDITED INSTITUTIONS

Ariz. Admin. Code § R4-39-301 Catalog

A. A licensee offering a non-accredited program shall ensure that the licensee has a catalog that includes the following information:

The licensee's:

a. Name;

b. Street, mailing, e-mail, and web site addresses, if applicable; and

c. Telephone and fax numbers;

2. If the licensee has a headquarters in another state or jurisdiction, the headquarters':

a. Street, mailing, e-mail, and web site addresses, if applicable; and

b. Telephone and fax numbers;

3. The effective date of the catalog;

4. The names and titles of:

a. All members of any board of directors or board of trustees,

b. All individuals responsible for managing the licensee in this state, and

c. All members of executive management who live outside this state;

5. A list of all programs offered by the licensee;

6. For each program to be offered:

a. A topical outline, including a statement of purpose, objectives, subjects, units, skills, and jobs to be learned in the program, and the number of clock, credit, or semester hours to be spent by the student in each phase of the program;

b. Any program prerequisites and completion requirements;

c. Tuition and student fees;

d. Any required textbooks or program learning materials;

e. d. Any required equipment or technology;

e. Any required competencies;

f. Any library resources;

g. f. Any clinical training, practica, externships, internships, or special features of the program;

h. g. Any graduate employment opportunities; and

i. h. Licensure requirements for a graduate to practice, if any;

7. Any allowable student tuition reductions, discounts, and scholarships and educational loans that comply with R4-39-308;

8. Any available student payment schedules and financing options that comply with R4-39-308;

9. Student eligibility requirements for tuition reductions, discounts, and scholarships, educational loans, payment schedules, and financing options, if applicable;

10. Refund policies that comply with R4-39-308 and R4-39-404;

11. Any student services provided by the licensee;

12. A description of:

a. Educational delivery systems used in the program, including classroom-based instruction, directed study, distance education, and online computer-based learning; and

b. Available library resources;

13. For licensees operating on an academic calendar, identification of:

a. Start and end dates for each semester, quarter, term, or session offered; and

b. Vacation periods and holidays; or

c. Explanation of the enrollment period;

Policies and regulations governing:

a. Admission requirements or program enrollment;

b. Program or course cancellation;

c. Grading procedures;

d. Change in student status, including:

i. Leave of absence;

ii. Readmission; and

iii. Probation, suspension, or expulsion;

e. Standards for satisfactory academic progress;

f. Graduation requirements;

g. Grade reports and transcripts; and

h. As applicable:

i. Student attendance; and

ii. Credit for previous education, training, work, or life experience; and

15. Student grievance procedure that meets the requirements at R4-39-104(D)(12).

B. A licensee offering a non-accredited program shall make the catalog required under subsection (A) available to students and prospective students in a written or electronic format.

C. Within 10 days from the date a licensee offering a non-accredited program revises the catalog required under subsection (A) or publishes a new catalog, the licensee shall submit to the Board a written or electronic copy of the revised or new catalog.

History

• Adopted effective May 21, 1985 (Supp. 85-3). Amended by final rulemaking at 11 A.A.R. 2262, effective August 6, 2005 (Supp. 05-2). Amended by final rulemaking at 22 A.A.R. 921, effective 6/4/2016.

Ariz. Admin. Code § R4-39-302 Facilities and Equipment

A. A licensee offering a non-accredited program shall ensure that the:

1. Building, classrooms, equipment, furniture, grounds, instructional devices, and other physical facilities of the licensee are appropriate to achieve the educational objectives of the institution;

2. Physical facility and equipment comply with all:

a. Safety requirements and health standards of the city, county, state, and any other authority in which the facility is located; and

b. Local and state planning, building, zoning, and fire codes; and

3. Physical facility and equipment comply with local and state laws for planning, building, zoning, and fire codes;

4. 3. Insurance required under R4-39-108 is adequate to protect the assets of the licensee in the event of damage or a finding of liability.

5. B. A licensee offering a non-accredited program shall comply with R4-39-109 before offering the non-accredited program from an unlicensed, new, or additional location.

History

• Adopted effective May 21, 1985 (Supp. 85-3). Amended by final rulemaking at 5 A.A.R. 4451, effective November 3, 1999 (Supp. 99-4). Amended by final rulemaking at 11 A.A.R. 2262, effective August 6, 2005 (Supp. 05-2). Amended by final rulemaking at 22 A.A.R. 921, effective 6/4/2016.

Ariz. Admin. Code § R4-39-303 Staff

A. A licensee offering a non-accredited program shall ensure that:

1. The licensee has an on-site director who is qualified under subsection (B) and designated to carry out the duties under subsection (C);

2. Each staff member communicates information regarding the licensee, programs, and educational services that is true and as represented in the licensee's catalog, required under R4-39-301, and brochures, promotional materials, or advertisements provided to or intended for students or potential students;

3. The licensee has sufficient staff to provide instruction and educational services as represented in the licensee's catalog, required under R4-39-301, and brochures, promotional materials, or advertisements provided to or intended for students or potential students; and

Instruction and services are provided to a student as represented in the licensee's catalog, required under R4-39-301, and brochures, promotional materials, or advertisements provided to the student.

B. A licensee offering a non-accredited program shall employ an on-site director who is qualified as follows:

1. Is of good moral character; and

2. Has academic, administrative and supervisory experience the Board determines is consistent with the ability to operate and deliver a non-accredited program.

B. C. The on-site director designated under subsection (A)(1) shall:

1. Supervise the day-to-day operation of the licensee;

2. For each program to be offered by the licensee, implement a curriculum capable of preparing a student enrolled in the program:

a. To achieve the program's occupational objective,

b. To complete requirements for the program degree or other credential, and

c. To obtain a specific entry-level job covered in the program;

3. Ensure that all faculty members meet the requirements in subsection (D) or (E); and

4. Develop and implement a plan, with specific goals, benchmarks, and time frames, for faculty improvement.

C. D. A licensee offering a non-accredited vocational program shall ensure that a faculty member has:

1. At least two years of practical work experience in the subject the faculty member is teaching unless the faculty member is teaching in an emerging discipline in which case the Board shall consider an alternative standard to determine qualification of the faculty member;

2. Postsecondary education in the subject the faculty member is teaching from an accredited institution or an institution licensed to operate as a postsecondary educational institution by the state in which the faculty member received the postsecondary education;

3. Taken teacher-training courses appropriate to the level of qualification required by the program offered; and

Maintained professional competence by participating in continuing education.

D. E. A licensee offering a non-accredited degree-granting program shall ensure that a faculty member has:

1. At least two years of practical work experience in the subject the faculty member is teaching;

2. A degree from an accredited institution equal to or exceeding the degree awarded to a graduate of the program in which the faculty member is teaching;

3. Taken teacher-training courses appropriate to the level of qualification required by the program offered; and

4. Maintained professional competence by participating in continuing education.

E. F.A licensee offering a non-accredited program shall ensure that:

1. Within 30 days after the director designated under subsection (A) resigns, is terminated, or is otherwise unable to fulfill all responsibilities established under subsection (C), the Board is notified in writing; and

2. Within 30 days after the licensee designates a new director, a completed form, which is available from the Board, describing the new director's professional and educational background is submitted to the Board.

3. Within 10 calendar days from the date the institution employs a new faculty member, a completed form provided by the Board describing the individual's professional and educational background is submitted to the Board.

History

• Adopted effective May 21, 1985 (Supp. 85-3). Amended by final rulemaking at 5 A.A.R. 4451, effective November 3, 1999 (Supp. 99-4). Amended by final rulemaking at 11 A.A.R. 2262, effective August 6, 2005 (Supp. 05-2). Amended by final rulemaking at 22 A.A.R. 921, effective 6/4/2016.

Ariz. Admin. Code § R4-39-304 Advertising

A. A licensee offering a non-accredited program shall ensure that all advertising is truthful and does not include a false or misleading statement about the institution, personnel, faculty, courses, diploma or certificate awarded, services, or occupational opportunities for a graduate.

B. The Board may institute disciplinary proceedings against a licensee offering a non-accredited program or the licensee's representative for false or misleading advertising.

C. A licensee offering a non-accredited program shall not solicit students in:

1. The "help wanted" section of a newspaper, magazine, or other publication, regardless of whether the publication is printed or online; or

2. Employment or unemployment lines in which individuals stand while seeking work or benefits.

D. A licensee offering a non-accredited program shall not use any form of the word "guarantee" or "free" in solicitations or advertising in:

1. A brochure, catalog, bulletin, leaflet, or other publication of the licensee; or

2. A newspaper, magazine, or similar publication, regardless of whether the publication is printed or online.

E. A licensee offering a non-accredited program shall ensure that all printed advertising includes the name, phone number, and address of the licensee.

F. The Board shall review the catalog, brochure, promotional document, uniform resource locator, student enrollment agreement, and other materials submitted under R4-39-104 to ensure the materials comply with the requirements of this Section.

History

• Adopted effective May 21, 1985 (Supp. 85-3). Former Section R4-39-304 repealed; new Section R4-39-304 renumbered from R4-39-305 and amended by final rulemaking at 5 A.A.R. 4451, effective November 3, 1999 (Supp. 99-4). Amended by final rulemaking at 22 A.A.R. 921, effective 6/4/2016.

Ariz. Admin. Code § R4-39-305 Recruitment

A. A licensee offering a non-accredited program shall ensure that all information contained in the licensee's catalog, required under R4-39-301, and in brochures, promotional materials, and advertisements provided to or intended for students or potential students is true.

B. During student recruitment or before a student signs an enrollment agreement, a licensee offering a non-accredited program:

1. May provide a student tuition reduction, discount, or scholarship, or educational loan only as authorized under R4-39-308; and

2. Shall not guarantee employment to a prospective student.

C. A licensee offering a non-accredited program shall ensure that a staff member responsible for student recruitment or student admission:

1. Uses only those titles that accurately reflect the staff member's actual duties and responsibilities;

2. Is not designated as a counselor or advisor; and

3. Does not make final decisions regarding tuition, student fees, tuition reduction, discounts, or scholarships, educational loans, payment schedules, financing options, or refunds.

History

• Adopted effective May 21, 1985 (Supp. 85-3). Amended effective February 23, 1993 (Supp. 93-1). Former Section R4-39-305 renumbered to R4-39-304; new Section R4-39-305 renumbered from R4-39-306 and amended by final rulemaking at 5 A.A.R. 4451, effective November 3, 1999 (Supp. 99-4). Amended by final rulemaking at 11 A.A.R. 2262, effective August 6, 2005 (Supp. 05-2). Amended by final rulemaking at 22 A.A.R. 921, effective 6/4/2016.

Ariz. Admin. Code § R4-39-306 Admission Requirements

A. A licensee offering a non-accredited program shall establish, publish, and administer admission requirements.

B. If an entrance exam is required for admission, a licensee offering a non-accredited program shall:

1. Set a minimum passing score for admission that is consistent with the standard established by the exam developer,

2. Admit only an individual who obtains the minimum passing score on the entrance exam,

3. Maintain a copy of the completed entrance exam in the student's permanent record, and

4. Not allow an individual who fails the entrance exam to take the exam again within 30 days.

C. If an entrance exam is not required for admission, a licensee offering a non-accredited program shall admit only an individual who demonstrates the ability to satisfactorily complete the prescribed training through:

1. Initial interview,

2. Letter of recommendation,

3. High school diploma, certificate of high school equivalency, or completion of a secondary education in a home school setting that complies with all state law;

4. Official educational transcripts; or

5. Other requirements established by the licensee.

History

• Adopted effective May 21, 1985 (Supp. 85-3). Former Section R4-39-306 renumbered to R4-39-305; new Section R4-39-306 renumbered from R4-39-307 and amended by final rulemaking at 5 A.A.R. 4451, effective November 3, 1999 (Supp. 99-4). Amended by final rulemaking at 22 A.A.R. 921, effective 6/4/2016.

Ariz. Admin. Code § R4-39-307 Placement

If a licensee offering a non-accredited program offers placement services to a student, the licensee shall:

1. Maintain evidence of a student referral for job placement that includes the following information:

a. The name of the student referred,

b. The name of the prospective employer,

c. Result of referral, and

d. Final placement or other disposition;

Prepare a student for placement by instructing the student in:

a. Resume preparation and interviewing procedures,

b. Appropriate dress and personal grooming, and

c. Conduct on the job;

Ensure that a student or graduate understands that a list of potential employers given to the student or graduate by the licensee is not a referral or offer of placement; and

4. Ensure that each student application clearly indicates that job placement is not guaranteed to a graduate or student.

History

• Adopted effective May 21, 1985 (Supp. 85-3). Amended effective February 23, 1993 (Supp. 93-1). Former Section R4-39-307 renumbered to R4-39-306; new Section R4-39-307 renumbered from R4-39-308 and amended by final rulemaking at 5 A.A.R. 4451, effective November 3, 1999 (Supp. 99-4). Amended by final rulemaking at 22 A.A.R. 921, effective 6/4/2016.

Ariz. Admin. Code § R4-39-308 Tuition, Pricing, and Refund Policies

A. A licensee offering a non-accredited program may charge students enrolled in the same program different tuition and student fees, only:

1. After publishing notice of a program price change to be effective for all students enrolling in the program or starting classes on or after a specified date;

2. For students who have chosen to modify programs or services so that a tuition reduction is warranted;

3. For students requiring additional services or otherwise incurring additional charges;

4. For students who are eligible for tuition reductions associated with payment schedules, financing options, or educational loans;

4. 5. For students meeting tuition discount eligibility requirements in subsection (B); or

5. 6. For students receiving tuition scholarships under subsection (C).

B. A licensee offering a non-accredited program that offers a tuition discount shall:

1. Publish in the licensee's catalog, required under R4-39-301, allowable tuition discounts and student eligibility requirements for each tuition discount, including tuition discounts for students:

a. Enrolling as part of a group,

b. Who are similarly situated, or

c. Enrolling under the same program or course schedule; and

2. Make tuition discounts available to all students who meet eligibility requirements.

C. A licensee offering a non-accredited program that offers a full or partial tuition scholarship shall:

1. Publish in the institution's catalog, required under R4-39-301, available tuition scholarships and student eligibility requirements for each tuition scholarship, including terms, conditions, application procedures, deadline dates, basis for selection, range of award amounts, and aggregate award amounts; and

2. Objectively evaluate all applicants for tuition scholarships, and award tuition scholarships only to students who meet eligibility requirements.

D. A licensee offering a non-accredited program that offers a full or partial educational loan shall:

1. Publish in the licensee's catalog, required under R4-39-301, available full or partial educational loans and student eligibility requirements for each full or partial educational loan, including terms, conditions, application procedures, deadline dates, range of loan amounts, aggregate loan amounts, interest rates, and loan repayment requirements;

2. Make the full or partial educational loans available to all students who meet eligibility requirements; and

3. Offer and administer the full or partial educational loans as required under R4-39-406.

E. A licensee offering a non-accredited program that offers payment schedules or financing options shall:

1. Publish in the licensee's catalog, required under R4-39-301, payment schedules and financing options and student eligibility requirements for each payment schedule and financing option, including terms and conditions, application procedures, interest rates, and monthly payments; and

2. Make the payment schedules and financing options available to all students who meet eligibility requirements.

F. A licensee offering a non-accredited program:

1. Shall not require a prospective student to make a non-refundable payment until the prospective student signs an enrollment agreement and is accepted for enrollment, and

2. Shall ensure that a prospective student understands the prospective student's rights under R4-39-404.

G. A licensee offering a non-accredited program shall have a refund policy that:

1. Applies to all students,

2. Meets the requirements in R4-39-404, and

3. Is described using identical language in both the catalog that is required under R4-39-301 and the student enrollment agreement that is required under R4-39-104 and meets the standards at R4-39-401.

H. A licensee offering a non-accredited program shall ensure that all student tuition, student fees, tuition reductions, discounts, and scholarships, educational loans, payment schedules, financing options, and refund policies applicable to a student are:

1. Fully disclosed in writing on a student's enrollment agreement or applicable financial documents;

2. Consistent with information in the licensee's catalog, required under R4-39-301, and any brochures, promotional materials, or advertisements provided to or intended for students or potential students; and

3. Authorized under this Section.

I. A licensee offering a non-accredited program shall:

1. Charge a student tuition and student fees as identified in writing on a student's enrollment agreement or applicable financial documents;

2. Collect tuition and student fees from a student according to a payment schedule or financing option identified in writing on a student's enrollment agreement or applicable financial documents; and

3. Refund tuition and student fees charged to a student according to the refund policy identified in writing on a student's enrollment agreement or applicable financial documents.

History

• Adopted effective May 21, 1985 (Supp. 85-3). Amended effective February 23, 1993 (Supp. 93-1). Former Section R4-39-308 renumbered to R4-39-307; new Section R4-39-308 renumbered from R4-39-309 and amended by final rulemaking at 5 A.A.R. 4451, effective November 3, 1999 (Supp. 99-4). Amended by final rulemaking at 11 A.A.R. 2262, effective August 6, 2005 (Supp. 05-2). Amended by final rulemaking at 22 A.A.R. 921, effective 6/4/2016.

Ariz. Admin. Code § R4-39-309 Renumbered

History

• Adopted effective May 21, 1985 (Supp. 85-3). Amended effective February 23, 1993 (Supp. 93-1). Section renumbered to R4-39-308 by final rulemaking at 5 A.A.R. 4451, effective November 3, 1999 (Supp. 99-4).

Ariz. Admin. Code § R4-39-310 Repealed

History

• Adopted effective May 21, 1985 (Supp. 85-3). Section repealed by final rulemaking at 5 A.A.R. 4451, effective November 3, 1999 (Supp. 99-4).

Article 4 OPERATION OF ALL LICENSED INSTITUTIONS

Ariz. Admin. Code § R4-39-401 Student Records

A. For students enrolled after the effective date of this Section, a licensee shall maintain records required under this Section in electronic form. The licensee shall ensure that the electronic records are not in a proprietary format and are easily searchable by student.

A. B. A licensee shall maintain a complete, accurate, and permanent record for each student ever enrolled. The licensee shall ensure that the student record includes the following:

1. An enrollment agreement containing, but not limited to, the following information:

a. Name and address of student;

b. Date the program begins;

c. Title of the course or courses within the program;

d. c. Total clock or credit hours of the program;

e. d. Payment schedule and total cost to the student;

f. e. Refund policy of the licensee;

g. f. A statement indicating that the individual signing the agreement has read and understands all aspects of the agreement;

h. g. The notice required under 16 CFR 433 ;

i. h. A clear statement by the licensee that the licensee does not guarantee:

i. Job placement to graduates when the program is complete; or

ii. Credits or coursework will transfer to another school, college, or university;

j. i. If the licensee requires arbitration as part of the student grievance procedure, the following statement: Arbitration of a student grievance is required. Arbitration will take place at a location reasonably convenient for both parties giving due consideration to the student's ability to travel and other pertinent circumstances. Both parties will attempt to have proceedings take place within a reasonable time and without undue delay. The arbitration proceedings will follow the spirit if not the letter of the consumer due process protocol of the American Arbitration Association. The protocol includes but is not limited to a fundamentally fair process; an independent and impartial, competent, and qualified arbitrator; independent administration of the arbitration; reasonable cost; right to representation; and possibility of mediation. Arbitration does not preclude other avenues of recourse, including but not limited to possible relief in small claims courts, unless and until the arbitration result is made binding. Arbitration of a student grievance does not preclude the student from seeking a remedy from the Arizona Board of Private Postsecondary Education;

k. j. A notice of the right to cancel the enrollment agreement within three days by complying with R4-39-404(A); and

l. k. Signature of the student and an official of the licensee;

2. Copy of the entrance exam, if applicable;

3. A transcript;

4. Grades received, where applicable;

5. Student attendance information;

Counseling records; and

Financial aid records for a length of time as required by the U.S. Department of Education; and

8. A record of all obligations incurred and all funds paid by or on behalf of the student to the licensee.

C. A licensee shall maintain financial aid records for each student for the length of time required by the DE.

B. D. A licensee shall make student records available and readily accessible for use and review by an authorized official of the licensee or authorized representative of the Board.

C. E. A licensee that gives credit toward a course based on job experience, training, or life experience shall record that credit in the student's official transcript, which is part of the student record required under subsection (B). The licensee shall ensure the student's official transcript shows the portion of the course for which the student is given credit based on job experience, training, or life experience.

D. F. In addition to the information required under subsections (B), and (E), a licensee shall include the following information, as applicable, in the record of a student who graduates:

1. Class rank upon graduating, where applicable.

2. 1. Job placement provided, and

3. 2. Place of employment and beginning salary after graduation.

G. A licensee shall ensure that records required under this Section:

1. Whether in paper or electronic form, are maintained securely and protected against damage or loss from fire, water, theft, tampering, or other harm;

Are maintained in perpetuity or submitted to the Board under R4-39-402; and

3. Are made available and readily accessible for use and review by an authorized representative of the Board.

History

• Adopted effective May 21, 1985 (Supp. 85-3). Amended by final rulemaking at 6 A.A.R. 1129, effective March 7, 2000 (Supp. 00-1). Amended by final rulemaking at 22 A.A.R. 921, effective 6/4/2016.

Ariz. Admin. Code § R4-39-402 Preservation of Records

A. No more than 15 days after a licensee ceases operation, the licensee shall submit to the Board a legible copy of all student records required in R4-39-401. The licensee shall submit the student records in electronic form if the records exist in electronic form. The licensee shall ensure that records in electronic form are in a non-proprietary format.

B. After a licensee submits records to the Board as required under subsection (A), the Board shall retain for each student the enrollment agreement, transcript, account ledger card, and a copy of the diploma or degree conferred. The Board shall retain these records according to the retention schedule approved by the Arizona State Library, Archives, and Public Records.

History

• Adopted effective May 21, 1985 (Supp. 85-3). Amended effective February 23, 1993 (Supp. 93-1). Amended by final rulemaking at 11 A.A.R. 2262, effective August 6, 2005 (Supp. 05-2). Amended by final rulemaking at 22 A.A.R. 921, effective 6/4/2016.

Ariz. Admin. Code § R4-39-403 Complaint Procedures

A. If a student has a complaint against a licensee and exhausts all available grievance procedures, including all appeals, established by the licensee, the student may file a written complaint with the Board. The student shall ensure that the complaint is filed within two years after the latest of the following. The date on which the student:

1. Last attended the licensee;

2. Completed the licensee's grievance procedure, including all appeals; or

3. Is able to demonstrate that the licensee failed to follow the licensee's grievance procedure.

B. A student who files a complaint under subsection (A) shall:

1. Use a form that is available from the Board,

2. Sign the form and attest that all information provided is true and correct, and

3. Attach to the form documentation that supports the allegations on which the complaint is based.

C. The Board shall not accept an anonymous complaint. An individual, whether a student or non-student, who files a complaint may request to remain anonymous to the licensee if the individual believes the complaint may result in adverse action towards the individual. The Board cannot, however, guarantee that disclosure of the individual's identity will not occur in the process of honoring the licensee's due process rights.

D. The Board shall not accept a complaint regarding a grade dispute or the licensee's employment practices or compliance with the Americans with Disabilities Act.

C. E.After the complaint committee authorized under A.R.S. § 32-3052(D) reviews the complaint and the results of the staff investigation of the complaint, the complaint committee shall take one of the actions defined under A.R.S. § 32-3052(E).

1. Determine that the student complaint needs further investigation. Based upon the outcome of the investigation, the complaint may be re-heard by the Complaint Committee or referred to the Board;

2. Determine that the student complaint does not demonstrate that a violation of statute or rule occurred and recommend to the Board that the complaint be dismissed; or

3. Determine that the complaint demonstrates that a violation of statute or rule occurred and send a report of its findings and recommendation to the Board.

D. Upon receipt of the Complaint Committee's findings and recommendation, the Board shall affirm, reverse, adopt, modify, supplement, amend, or reject the report, in whole or in part, and determine there are reasonable grounds that the complaint demonstrates a violation of Board statutes and rules.

E. If the Board determines there are reasonable grounds to believe that the complaint demonstrates a violation of Board statute or rules, the Board shall set the matter for hearing under A.R.S. § 41-1092 et seq.

F. If a non-student has a complaint against a licensee, the non-student may file a written complaint with the Board. The non-student complainant shall ensure that the complaint is filed within one year from the date on which the event prompting the complaint occurred.

G. Subsections (B) through (E) apply to non-student complaints.

History

• Adopted effective May 21, 1985 (Supp. 85-3). Amended by final rulemaking at 6 A.A.R. 1129, effective March 7, 2000 (Supp. 00-1). Amended by final rulemaking at 22 A.A.R. 921, effective 6/4/2016.

Ariz. Admin. Code § R4-39-404 Tuition Refund Policy

A. A licensee shall allow a student or prospective student to cancel an enrollment agreement with the licensee if the student or prospective student submits a written notice of cancellation to the licensee within three days, excluding Saturday, Sunday, and state and federal holidays, of signing the enrollment agreement.

B. No later than 30 calendar days after a licensee receives a written notice of cancellation described in subsection (A), the licensee shall provide to the student or the person that paid the student's tuition and student fees a refund of 100 percent of all student fees and tuition paid.

C. A licensee offering an accredited program shall develop and implement policies and procedures for cancellations and tuition refunds that:

1. Are published in the catalog that meets the accreditation standards established by each accrediting agency named in R4-39-103(D)(3) and the enrollment agreement required under R4-39-401;

2. Are applicable to all students; and

3. Comply with:

a. Accreditation standards established by each accrediting agency named under R4-39-103(D)(3) or (F)(1)(a); and

b. DE requirements governing each federal student financial aid program in the agreement under R4-39-103(D)(6) or (F)(1)(b).

D. A licensee offering a non-accredited program shall develop and implement policies and procedures for cancellations and tuition refunds that:

1. Are published in the catalog required under R4-39-301 and enrollment agreement required under R4-39-401;

2. Are applicable to all students;

3. Are based on an established time period for each program that:

a. Has a prescribed student tuition obligation and tuition refund calculation; and

b. Does not exceed the full length of the program or one calendar year, whichever is less;

4. Allow the licensee to retain an administrative fee or registration fee not to exceed $200.00 if the fee is published in the catalog required under R4-39-301 and enrollment agreement required under R4-39-401;

5. Provide the following refunds for a student who withdraws from or is terminated by the licensee:

a. Before beginning classes in a time period, a refund of 100 percent of the tuition charges for the time period;

b. If 10 percent or less of the time period used under subsection (D)(3) has expired, a refund of at least 90 percent of the tuition charges for the time period;

c. If more than 10 percent but less than or equal to 20 percent of the time period used under subsection (D)(3) has expired, a refund of at least 80 percent of the tuition charges for the time period;

d. If more than 20 percent but less than or equal to 30 percent of the time period used under subsection (D)(3) has expired, a refund of at least 70 percent of the tuition charges for the time period;

e. If more than 30 percent but less than or equal to 40 percent of the time period used under subsection (D)(3) has expired, a refund of at least 60 percent of the tuition charges for the time period;

f. If more than 40 percent but less than or equal to 50 percent of the time period used under subsection (D)(3) has expired, a refund of at least 50 percent of the tuition charges for the time period; and

g. If more than 50 percent of the time period used under subsection (D)(3) has expired, no refund or a refund in an amount determined by the licensee.

E. When calculating a refund under subsection (D)(5), a licensee offering a non-accredited program shall:

1. Use the last date of attendance as the date of withdrawal or termination to determine the percentage of time in the program that expired;

2. Determine that a student has withdrawn from an institution if the student has not attended any class for 30 consecutive scheduled class days; and

3. Using the date established under subsection (E)(1), base the percentage of the time expired on either clock hours elapsed for a program measured in clock hours or the number of days elapsed since the start of the period established under subsection (D)(3).

F. A licensee offering a non-accredited program is exempt from the requirement in subsection (D)(5), regarding refunding tuition and fees, for a program that:

1. Is less than 50 clock hours

2. Has a total cost of less than $1000, and

3. Is provided by a private non-accredited vocational institution or a private non-accredited degree-granting institution.

History

• New Section made by final rulemaking at 11 A.A.R. 2262, effective August 6, 2005 (Supp. 05-2). Amended by final rulemaking at 22 A.A.R. 921, effective 6/4/2016.

Ariz. Admin. Code § R4-39-405 [Repealed]

History

• New Section made by final rulemaking at 11 A.A.R. 2262, effective August 6, 2005 (Supp. 05-2). Repealed by final rulemaking at 22 A.A.R. 921, effective 6/4/2016.

Ariz. Admin. Code § R4-39-406 Ceasing to Operate or to Offer a Program; Teach-out Plan

A. At least 60 days before a licensee ceases to operate or to offer a program in which a student is enrolled, the licensee shall determine whether there is another institution able and willing to offer a teach-out program to students enrolled with the licensee. If another institution is able and willing to offer a teach-out program, the licensee and teach-out institution shall enter a contract with the following terms:

1. The teach-out institution shall offer each student affected by the licensee ceasing to operate or to offer a program, an opportunity to resume and complete the program in which the student is enrolled, or a substantially similar program, within a reasonable time and same geographic area as the licensee;

The teach-out institution shall provide each affected student with timely notice of the availability of the teach-out program including information about differences between the teach-out program and the program in which the student is enrolled with the licensee;

The teach-out institution shall advertise the availability of the teach-out program;

4. The teach-out institution shall provide equitable treatment to the students in the teach-out program;

5. The teach-out institution shall not alter the mission or operations of the teach-out institution for currently enrolled students; and

6. The teach-out institution shall affirm the institution has the capacity to provide teach-out students with all instruction and services the teach-out students contracted for but did not receive from the licensee.

B. At least 60 days before a licensee ceases to operate or to offer a program in which a student is enrolled, the licensee shall submit for review by the Board a teach-out plan that includes the following:

1. A list of all students who will be affected by the licensee ceasing to operate or to offer a program,

2. For each student identified under subsection (B)(1):

a. Name of program in which the student is participating, and

b. Estimated graduation date; and

3. Whether the teach out will occur at the licensee, a teach-out institution with which the licensee has a contract under subsection (A), or a combination of the licensee and teach-out institution. If the teach out will occur, in whole or in part, at a teach-out institution:

a. Whether the teach-out institution will use faculty of the licensee to complete the teach out;

b. Whether the degree, diploma, or certificate awarded on completion of the teach-out program will be awarded by the licensee or the teach-out institution;

c. Whether students who are enrolled but not attending the licensee or those on a leave of absence from the licensee are entitled to participate in the teach-out program; and

d. A copy of the contracts, if any, entered under subsection (A).

A. C.At least 30 days before a licensee ceases to operate or to offer a program in which a student is enrolled, or makes a teach-out program available to a student enrolled in a program that the licensee will cease to offer, the licensee shall provide written notice of ceasing to operate or to offer the program, or availability of the teach-out program to:

Each enrolled student affected by the licensee's decision to cease to operate or to offer a program, and

2. The Board.

B. D. Except as provided in subsections (E) and (F), no later than 30 days after a licensee ceases to operate or to offer a program in which a student is enrolled, the licensee shall provide a refund of 100 percent of student fees and tuition paid by the student or other funding source on behalf of the student.

C. E. The refund requirement in subsection (D) does not apply if a student enrolled in a licensee that ceases to operate or in a program that the licensee ceases to offer transfers to another institution and receives training or academic credit comparable to the training or academic credit that the student would have received if the licensee had not ceased to operate or to offer the program.

D. F. The refund requirement in subsection (D) does not apply if a licensee that ceases to offer a program in which a student is enrolled provides the student an alternative program that is equivalent to the program no longer offered, as determined by the Board, in:

1. Program content;

2. Program length and schedule;

3. Tuition, student fees, payment schedules, and financing options;

Accreditation status, if applicable;

5. Award of credentials;

6. Instruction and equipment;

7. Placement assistance and student services, if applicable; and

8. Facilities.

E. G. This Section applies to a licensee regardless of whether the licensee is at fault in the closure of the licensee or cessation of a program.

History

• New Section made by final rulemaking at 11 A.A.R. 2262, effective August 6, 2005 (Supp. 05-2). Amended by final rulemaking at 22 A.A.R. 921, effective 6/4/2016.

Ariz. Admin. Code § R4-39-407 Use of Terms

A. Except as provided in subsection (B), only an accredited, degree-granting licensee may use the term "university" or any other name or title in literature, catalogs, pamphlets, or other materials made available to the public that implies or would lead a reasonable person to believe the licensee is an institution of higher education or grants educational credentials, academic credit, or professional degrees.

B. A licensee may use the term "university" in its name if the licensee:

1. Offers at least one program leading to a post-baccalaureate or higher degree and is regionally or nationally accredited by a DE-recognized accrediting agency;

2. Was licensed in this state and used the term "university" in its name before the effective date of this Section; and

3. Is chartered or licensed in another state using the term "university" in its name.

C. A licensee may use terms such as "certified," "master," and "professional" in a program title, advertising, and student materials if a student is designated as "certified," "master," or "professional" only:

1. After the student completes the program and passes an examination that requires a showing of proficiency or ability;

2. If the designation is:

a. Conferred by a nationally recognized industry-related organization;

b. Conferred by an industry-related board or commission that is statutorily created; or

c. A commonly accepted industry practice; and

3. If the diploma to be issued from a program is submitted to the Board for review before the program is offered.

D. A licensee shall not use the term "master's" in the title of a vocational program.

History

• Adopted by final rulemaking at 22 A.A.R. 921, effective 6/4/2016.

Ariz. Admin. Code § R4-39-408 Transfer of Credit

A. A licensee may accept credit that a student earned for a course completed at another postsecondary education institution if the licensee determines that the course is comparable in scope and content to a course offered by the licensee.

B. A licensee that intends to allow a student to transfer credit from another postsecondary education institution to the licensee shall establish a transfer policy that:

1. Is based on appropriate criteria such as:

a. Comparability in scope and content,

b. Applicability to the program into which transfer is requested,

c. Competencies achieved in the course for which credit is to be transferred and whether the competencies align with the program into which transfer is requested,

d. Preparedness of the student at the time of transfer,

e. Age of the credit to be transferred, and

f. Grade earned in the course to be transferred;

2. Is not based solely on whether the postsecondary education institution or program from which credit is to be transferred is accredited and if accredited, the accrediting agency;

3. Requires that at least 25 percent of the credit required to complete a non-degree or undergraduate program be obtained from the licensee;

4. Requires that more than 50 percent of the credit required to complete a graduate degree program be obtained from the licensee;

5. Is applied in a systematic and consistent manner; and

6. Is published in the catalog required under R4-39-103(D)(9) or R4-39-301, as applicable.

C. A licensee that has a transfer policy as described under subsection (B) shall place in a student's record a copy of the transcript from the postsecondary education institution from which a transfer of credit is sought.

History

• Adopted by final rulemaking at 22 A.A.R. 921, effective 6/4/2016.

Article 5 INVESTIGATIONS; HEARING PROCEDURES; AND ASSESSING COSTS

Ariz. Admin. Code § R4-39-501 Investigations

A. The Board shall investigate any sworn complaint against a person or entity alleging violation of A.R.S. § 32-3001 et seq. or this Chapter. For purposes of this Section, "investigated party" means an entity or person that is the subject of a Board investigation.

B. Board staff may request production of records or information from an investigated party or complainant, and request an interview with an employee or agent of the investigated party. The investigated party may file written objections with the Board regarding the Board's request for production of records or information or an interview within 15 days after receipt of the request. Unless the investigated party timely files an objection to the Board's request, the investigated party shall produce the requested documents or information and make an employee or agent of the investigated party available for interview by the Board. Board staff shall attempt to resolve informally an objection to a request for documents, information, or an interview. If no resolution is reached, the Board shall hear and decide the matter.

C. The Board shall not disclose documents and materials relating to an investigated matter except to the investigated party, until the matter is closed, settled by stipulation, or set for hearing under Title 41, Chapter 6, Article 10.

D. When an investigation is complete, the matter shall be referred to the Board's Complaint Committee for consideration.

E. After consideration of the matter investigated, the Complaint Committee may take

1. Instruct Board staff to conduct further investigation. After further investigation, the matter may be re-heard by the Complaint Committee or referred to the Board;

2. Determine that the investigation does not demonstrate a violation of A.R.S. § 32-3001 et seq. or this Chapter and recommend to the Board that the investigation be closed; or

3. Determine that the investigation demonstrates there are reasonable grounds to indicate a violation of A.R.S. § 32-3001 et seq. or this Chapter and send a report of its findings and recommendation to the Board any of the actions specified in A.R.S. § 32-3052(E).

F. If the Complaint Committee refers the matter to the Board, the Board shall assess the information provided and take any of the actions authorized under A.R.S. § 32-3052 ((F) through (J).

History

• Adopted effective May 21, 1985 (Supp. 85-3). Amended effective February 23, 1993 (Supp. 93-1). Section repealed; new Section made by final rulemaking at 8 A.A.R. 1947, effective April 2, 2002 (Supp. 02-2). Amended by final rulemaking at 22 A.A.R. 921, effective 6/4/2016.

Ariz. Admin. Code § R4-39-502 Hearings

A. The Board shall ensure that all hearings are conducted before the Board or an administrative law judge under A.R.S. Title 41, Chapter 6, Article 10.

1. Parties may stipulate to any facts that are not in dispute. A stipulation may be made in writing or orally by reading the stipulation into the record of the hearing. A stipulation is binding on the parties unless the Board grants a party permission to withdraw from the stipulation. The Board may, on its own motion, set aside a stipulation and proceed to ascertain the facts.

The Board may, on its own motion or at the request of a party, call a conference of the parties at any time to clarify procedures for the hearing or legal or factual issues involved.

3. By order of the Board, proceedings involving a common question of law or fact may be consolidated for hearing of any or all of the matters at issue.

B. If, after proper notice, a licensee fails to appear at any proceeding before the Board, the Board may render a decision based on the evidence and information available to the Board.

C. The decision of the Board is a final administrative decision under A.R.S. § 41-1092.08(F).

History

• Adopted effective May 21, 1985 (Supp. 85-3). Amended effective February 23, 1993 (Supp. 93-1). Section repealed; new Section made by final rulemaking at 8 A.A.R. 1947, effective April 2, 2002 (Supp. 02-2). Amended by final rulemaking at 22 A.A.R. 921, effective 6/4/2016.

Ariz. Admin. Code § R4-39-503 Rehearing or Review of Board's Decision

A. The Board shall provide for a rehearing and review of its decisions under A.R.S. Title 41, Chapter 6, Article 10 and the rules established by the Office of Administrative Hearings.

B. Except as provided in subsection (J), a party is required to file a motion for rehearing or review of a Board decision to exhaust the party's administrative remedies.

A. C. Any party aggrieved by a final administrative decision of the Board may file with the Board no later than 30 days after service of the decision, a written motion for rehearing or review of the decision specifying the particular grounds for the rehearing or review as provided in subsection (E).

B. D. A motion for rehearing or review may be amended at any time before the Board rules on the motion. A response may be filed by any other party within 15 days after a motion or amended motion is filed. The Board may require that written briefs be filed on the issues raised in the motion and may provide for oral argument.

C. E. The Board shall grant a rehearing or review of a decision for any of the following reasons that materially affect the moving party's rights:

1. Irregularity in the administrative proceedings or any order or abuse of discretion that deprived the moving party of a fair hearing;

2. Misconduct of the Board, the administrative law judge, or the prevailing party;

3. Accident or surprise that could not have been prevented by ordinary prudence;

4. Newly discovered material evidence that could not, with reasonable diligence, have been discovered and produced at the original hearing;

5. An excessive or insufficient penalty;

6. Error in the admission or rejection of evidence or other error of law occurring at the administrative hearing;

7. The Board's decision is the result of passion or prejudice; or

7. 8. The findings of fact or decision are not justified by the evidence or is contrary to law.

F. The Board may affirm or modify a decision or grant a rehearing to all or any of the parties on all or part of the issues for any of the reasons in subsection (E). The Board shall specify the particular grounds for any order modifying a decision or granting a rehearing.

D. G. No later than 10 days after the date of a decision and after giving the parties or their counsel notice and an opportunity to be heard, the Board may grant a rehearing or review on its own initiative for any reason for which it might have granted relief on motion of a party. The Board may grant a motion for rehearing or review, timely served, for a reason not stated in the motion. A rehearing or review shall cover only those matters specified in the Board's order.

E. No later than 10 days after a decision is rendered, the Board may on its own initiative order a rehearing or review of its decision for any reason listed in subsection (C). An order granting such a rehearing or review shall specify the grounds on which it is granted

F. H. When a motion for rehearing or review is based on affidavits, the affidavits shall be filed and served with the motion. An opposing party may, within 15 days after service, file and serve opposing affidavits.

I. If a rehearing is granted, the Board shall hold the rehearing within 60 days after the date on the order granting the rehearing.

J. If the Board makes a specific finding that a particular decision needs to be effective immediately to preserve the public peace, health, or safety and that a review or rehearing of the decision is impracticable, unnecessary, or contrary to the public interest, the Board shall issue the decision as a final decision without an opportunity for rehearing or review.

History

• New Section made by final rulemaking at 8 A.A.R. 1947, effective April 2, 2002 (Supp. 02-2). Amended by final rulemaking at 22 A.A.R. 921, effective 6/4/2016.

Ariz. Admin. Code § R4-39-504 Assessing Costs

As authorized under A.R.S. § 32-3052(M), the Board may assess a person that is determined to have violated any provision of A.R.S. Title 32, Chapter 30 and this Chapter the Board's reasonable costs and expenses, including attorney fees, incurred in conducting an investigation, informal interview, committee or Board meetings, or administrative hearing.

History

• Adopted by final rulemaking at 22 A.A.R. 921, effective 6/4/2016.

Article 6 STUDENT TUITION RECOVERY FUND

Ariz. Admin. Code § R4-39-601 Submission of Assessments

A. Before September 30 of each year, the Board shall provide written notice to each licensee specified in A.R.S. § 32-3072(B) from which an assessment, as defined in A.R.S. § 32-3071(1), is due. The Board shall send the notice by certified mail and ensure that the notice specifies the amount of the assessment, date the assessment is due, and penalty for failing to pay the assessment timely. As authorized by A.R.S. § 32-3072(B), the Board shall determine the amount of the assessment as follows:

1. The assessment for a licensee seeking renewal of a regular or provisional license shall be based on the number of newly enrolled students for the 12-month period identified on the license renewal application required under R4-39-108 or R4-39-107(D).

2. The assessment for a new licensee shall be based on the number of newly enrolled students during the fiscal year ending June 30.

3. The assessment for a cosmetology school as defined in A.R.S. § 32-3071(3) or a professional driver training school as defined in A.R.S. § 32-3071(10) shall be based on the number of newly enrolled students during the fiscal year ending June 30.

B. Using data available on June 30, the Board shall determine annually the amount of funds in the Student Tuition Recovery Fund ("Fund"). If the Fund balance exceeds $500,000, the Board shall require an assessment only from a licensee that was newly or provisionally licensed during the fiscal year that ended on June 30.

C. If a licensee disputes the amount of an assessment, the Board shall place the matter on the agenda for a public meeting. The licensee disputing an assessment shall be prepared to:

1. Submit information or documents showing why the assessment is believed to be incorrect; and

2. Have a representative present to address the Board.

History

• Adopted effective August 14, 1990 (Supp. 90-3). Amended by final rulemaking at 7 A.A.R. 4256, effective September 12, 2001 (Supp. 01-3). Amended by final rulemaking at 22 A.A.R. 921, effective 6/4/2016.

Ariz. Admin. Code § R4-39-602 Claims

A. The Board shall investigate a claim against the Fund and find:

1. The claim is valid if:

a. Student educational records confirm that the claim is filed by a person injured as defined in A.R.S. § 32-3071(6); and

b. The claim is filed within one year after the licensee ceased operations;

2. The claim is invalid because:

a. It is filed more than one year after the licensee ceased operations;

b. The claimant is participating in a teach-out; or

c. The claimant voluntarily transferred to another institution and received different training for the same or greater cost than was paid to the licensee that ceased operations.

B. If the Board finds a claim is valid, the Board shall determine the amount and the party to be paid as follows:

1. The claim payment shall include only the actual amount of tuition and student fees paid in cash or with a student loan. The Board shall not make a claim payment for a grant, scholarship, or debt owed to another state, local, or federal governmental agency.

2. A claim payment shall be made first to a student-loan holder for the amount owed on the loan, and then to the student or other person for the amount already paid on the student loan or cash payments.

C. The Board shall pay a valid claim within 120 days after the public meeting at which the claim is considered.

D. A claimant who is not satisfied with the Board's decision on a claim may file a motion for hearing as allowed under A.R.S. Title 41, Chapter 6, Article 10.

History

• Adopted effective August 14, 1990 (Supp. 90-3). Amended by final rulemaking at 7 A.A.R. 4256, effective September 12, 2001 (Supp. 01-3). Amended by final rulemaking at 22 A.A.R. 921, effective 6/4/2016.

Ariz. Admin. Code § R4-39-603 Student Record Requests

A. The Board shall maintain the student records of a licensee that ceases operations as specified in R4-39-402(B). For purposes of this Section, "student records" has the meaning in R4-39-401.

B. The Board shall provide the student records of a student who attended a licensee that ceased operations, if the following are submitted:

1. Name and social security number of the student;

Name of the licensee that ceased operations;

3. Student name used while attending the licensee that ceased operations;

Identification of the student record requested;

5. Name and address of the party to whom the student record is to be mailed;

Signature of the student whose record is requested or a student record release form signed by the student whose record is requested and authorizing a third party to obtain the student record, if applicable; and

7. $10 for processing the request and 25 cents per page for copying.

History

• New Section made by final rulemaking at 7 A.A.R. 4256, effective September 12, 2001 (Supp. 01-3). Amended by final rulemaking at 22 A.A.R. 921, effective 6/4/2016.

Chapter 40 Department of Veterans' Services - Arizona State Veteran Home

Article 1 EXPIRED

Ariz. Admin. Code § R4-40-101 Expired

History

• Adopted effective January 2, 1996 (Supp. 96-1). Amended by final rulemaking at 10 A.A.R. 2990, effective September 11, 2004 (Supp. 04-3). Section expired under A.R.S. § 41-1056(J) at 25 A.A.R. 3450, effective October 1, 2019 (Supp. 19-4).

Article 2 EXPIRED

Ariz. Admin. Code § R4-40-201 Expired

History

• Adopted effective January 2, 1996 (Supp. 96-1). Amended by final rulemaking at 10 A.A.R. 2990, effective September 11, 2004 (Supp. 04-3). Section expired under A.R.S. § 41-1056(J) at 25 A.A.R. 3450, effective October 1, 2019 (Supp. 19-4).

Article 3 EXPIRED

Ariz. Admin. Code § R4-40-301 Expired

History

• Adopted effective January 2, 1996 (Supp. 96-1). Amended by final rulemaking at 10 A.A.R. 2990, effective September 11, 2004 (Supp. 04-3). Amended by final rulemaking at 14 A.A.R. 2709, effective August 2, 2008 (Supp. 08-2). Section expired under A.R.S. § 41-1056(J) at 25 A.A.R. 3450, effective October 1, 2019 (Supp. 194).

Ariz. Admin. Code § R4-40-302 Expired

History

• Adopted effective January 2, 1996 (Supp. 96-1). Amended by final rulemaking at 10 A.A.R. 2990, effective September 11, 2004 (Supp. 04-3). Section expired under A.R.S. § 41-1056(J) at 25 A.A.R. 3450, effective October 1, 2019 (Supp. 19-4).

Ariz. Admin. Code § R4-40-303 Repealed

History

• Adopted effective January 2, 1996 (Supp. 96-1). Section repealed by final rulemaking at 10 A.A.R. 2990, effective September 11, 2004 (Supp. 04-3).

Ariz. Admin. Code § R4-40-304 Expired

History

• Adopted effective January 2, 1996 (Supp. 96-1). Amended by final rulemaking at 10 A.A.R. 2990, effective September 11, 2004 (Supp. 04-3). Section expired under A.R.S. § 41-1056(J) at 25 A.A.R. 3450, effective October 1, 2019 (Supp. 19-4).

Ariz. Admin. Code § R4-40-305 Repealed

History

• Adopted effective January 2, 1996 (Supp. 96-1). Section repealed by final rulemaking at 10 A.A.R. 2990, effective September 11, 2004 (Supp. 04-3).

Ariz. Admin. Code § R4-40-306 Repealed

History

• Adopted effective January 2, 1996 (Supp. 96-1). Section repealed by final rulemaking at 10 A.A.R. 2990, effective September 11, 2004 (Supp. 04-3).

Article 4 REPEALED

Ariz. Admin. Code § R4-40-401 Repealed

History

• Adopted effective January 2, 1996 (Supp. 96-1). Section repealed by final rulemaking at 10 A.A.R. 2990, effective September 11, 2004 (Supp. 04-3).

Ariz. Admin. Code § R4-40-402 Repealed

History

• Adopted effective January 2, 1996 (Supp. 96-1). Section repealed by final rulemaking at 10 A.A.R. 2990, effective September 11, 2004 (Supp. 04-3).

Ariz. Admin. Code § R4-40-403 Repealed

History

• Adopted effective January 2, 1996 (Supp. 96-1). Section repealed by final rulemaking at 10 A.A.R. 2990, effective September 11, 2004 (Supp. 04-3).

Ariz. Admin. Code § R4-40-404 Repealed

History

• Adopted effective January 2, 1996 (Supp. 96-1). Section repealed by final rulemaking at 10 A.A.R. 2990, effective September 11, 2004 (Supp. 04-3).

Article 5 EXPIRED

Ariz. Admin. Code § R4-40-501 Expired

History

• Adopted effective January 2, 1996 (Supp. 96-1). Amended by final rulemaking at 10 A.A.R. 2990, effective September 11, 2004 (Supp. 04-3). Section expired under A.R.S. § 41-1056(J) at 25 A.A.R. 3450, effective October 1, 2019 (Supp. 19-4).

Ariz. Admin. Code § R4-40-502 Repealed

History

• Adopted effective January 2, 1996 (Supp. 96-1). Section repealed by final rulemaking at 10 A.A.R. 2990, effective September 11, 2004 (Supp. 04-3).

Article 6 EXPIRED

Ariz. Admin. Code § R4-40-601 Expired

History

• Adopted effective January 2, 1996 (Supp. 96-1). Amended by final rulemaking at 10 A.A.R. 2990, effective September 11, 2004 (Supp. 04-3). Section expired under A.R.S. § 41-1056(J) at 25 A.A.R. 3450, effective October 1, 2019 (Supp. 19-4).

Article 7 EXPIRED

Ariz. Admin. Code § R4-40-701 Expired

History

• Adopted effective January 2, 1996 (Supp. 96-1). Amended by final rulemaking at 10 A.A.R. 2990, effective September 11, 2004 (Supp. 04-3). Section expired under A.R.S. § 41-1056(J) at 25 A.A.R. 3450, effective October 1, 2019 (Supp. 19-4).

Ariz. Admin. Code § R4-40-702 Repealed

History

• Adopted effective January 2, 1996 (Supp. 96-1). Section repealed by final rulemaking at 10 A.A.R. 2990, effective September 11, 2004 (Supp. 04-3).

Ariz. Admin. Code § R4-40-703 Repealed

History

• Adopted effective January 2, 1996 (Supp. 96-1). Section repealed by final rulemaking at 10 A.A.R. 2990, effective September 11, 2004 (Supp. 04-3).

Article 8 EXPIRED

Ariz. Admin. Code § R4-40-801 Expired

History

• Adopted effective January 2, 1996 (Supp. 96-1). Amended by final rulemaking at 10 A.A.R. 2990, effective September 11, 2004 (Supp. 04-3). Section expired under A.R.S. § 41-1056(J) at 25 A.A.R. 3450, effective October 1, 2019 (Supp. 19-4).

Article 9 EXPIRED

Ariz. Admin. Code § R4-40-901 Expired

History

• New Section made by final rulemaking at 10 A.A.R. 2990, effective September 11, 2004 (Supp. 04-3). Section expired under A.R.S. § 41-1056(J) at 25 A.A.R. 3450, effective October 1, 2019 (Supp. 19-4).

Ariz. Admin. Code § R4-40-902 Expired

History

• New Section made by final rulemaking at 10 A.A.R. 2990, effective September 11, 2004 (Supp. 04-3). Section expired under A.R.S. § 41-1056(J) at 25 A.A.R. 3450, effective October 1, 2019 (Supp. 19-4).

Chapter 43 Board of Occupational Therapy Examiners

Article 1 GENERAL PROVISIONS

Ariz. Admin. Code § R4-43-101 Definitions

In addition to the definitions at A.R.S. § 32-3401, in this Chapter:

1. "Facility of Practice" means the principal location of an agency or organization where an occupational therapist or occupational therapy assistant practices occupational therapy.

2. "Good Moral Character" means an applicant has not been convicted of a felony or a misdemeanor within 5 years before application and never been convicted of a felony or misdemeanor involving moral turpitude.

3. "Health Care Professional" means a person certified as an Occupational Therapist or an Occupational Therapy Assistant by the American Occupational Therapy Certification Board or the National Board for Certification in Occupational Therapy, Inc. or any medical professional licensed by A.R.S. Title 32 or the equivalent if licensed outside of Arizona.

4. "Immediate area" means an occupational therapist is on the same floor and within 80 feet of an occupational therapy aide providing services to an occupational therapy patient.

5. "Immorality or misconduct that tends to discredit the occupational therapy profession" means:

a. Engaging in false advertising of occupational therapy services.

b. Engaging in assault and battery of a patient, client, or other person with whom the licensee has a professional relationship.

c. Falsifying patient or client documentation or reports.

d. Failing to provide appropriate supervision of an occupational therapy assistant or unlicensed personnel performing occupational therapy.

e. Failing to provide a comprehensive occupational therapy service compatible with current research within ethical and professional standards, or failing to provide services based upon an evaluation of the patient or client needs and appropriate treatment procedures.

f. Failing to document or maintain patient treatment records, or failing to prepare patient or client reports within 30 days of service or treatment.

g. Failing to renew a license while continuing to practice occupational therapy.

h. Falsely claiming to have performed a professional service, charging for a service not rendered, or representing a service as the licensee's own when the licensee has not rendered the service or assumed supervisory responsibility for the service.

i. Obtaining a fee, a referral fee, or other compensation by fraud or misrepresentation.

j. Sexually inappropriate conduct with a client or patient, or with a former client or patient within 6 months after the termination of treatment.

k. Signing a blank, undated, or unprepared prescription form.

l. Using fraud, misrepresentation, or deception in assisting another person to obtain or attempt to obtain an occupational therapist or occupational therapy assistant license.

m. Violating any federal law, state law, administrative rules, or regulations concerning the practice of occupational therapy.

n. Violating rules or statutes concerning the training of unlicensed occupational therapy personnel or requiring an unlicensed person to provide occupational therapy services without proper training.

6. "Licensee" means a person licensed in Arizona as an occupational therapist or an occupational therapy assistant.

7. "Occupational therapy aide," "unlicensed personnel," and "occupational therapy technician" mean a person who is not licensed as an occupational therapist or occupational therapy assistant, working under the continuous supervision of a licensed occupational therapist.

8. "Physically present" means a supervising occupational therapist is present to observe the practice of occupational therapy.

9. "Premises" means the building and the surrounding property in which the occupational therapy is practiced.

10. "Person" means the same as in A.R.S. § 41-1001.

11. "Supervision" means a collaborative process for the responsible periodic review and inspection of all aspects of occupational therapy services. The following levels of supervision are minimal. An occupational therapist may assign an increased level of supervision if necessary for the safety of a patient or client. The levels of supervision are:

a. "Close supervision" means the supervising occupational therapist provides initial direction to the occupational therapy assistant and daily contact while on the premises.

b. "Continuous supervision" means the supervising occupational therapist is in the immediate area of the occupational therapy aide performing supportive services.

c. "General supervision" means the supervising occupational therapist has face-to-face contact with the occupational therapy assistant at least once every 30-calendar days on a per patient or client basis while on the premises, with the supervising occupational therapist available by telephone or by written communication.

d. "Minimal supervision" means the supervising occupational therapist has face-to-face contact with the occupational therapy assistant at least once every 30-calendar days while on the premises.

e. "Routine supervision" means the supervising occupational therapist has face-to-face contact with the occupational therapy assistant at least once every 15-calendar days on a per patient or client basis while on the premises, with the supervising occupational therapist available by telephone or by written communication.

12. "Supportive Services" means clerical and maintenance activities, preparation of work area or equipment, and delegated, routine aspects of an intervention session with a patient or client that require no adaptations by an occupational therapy aide.

History

• Emergency rule adopted effective December 12, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). Emergency rule adopted again effective March 11, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Emergency rule adopted again effective June 5, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Emergency rule adopted again effective September 8, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Adopted with changes effective October 14, 1992 (Supp. 92-4). Amended effective November 6, 1997 (Supp. 97-4). Amended by final rulemaking at 5 A.A.R. 1427, effective April 22, 1999 (Supp. 99-2). Amended by final rulemaking at 6 A.A.R. 707, effective January 25, 2000 (Supp. 00-1).

Ariz. Admin. Code § R4-43-102 Fees

A. The Board shall charge the following fees:

1. An applicant for licensure:

a. Application fee: $100. This fee is in addition to the initial license fee.

b. Limited permit fee: $35. Upon full licensure, the Board shall subtract $35 from the initial licensure fee.

2. A licensee:

a. Reinstatement fee: $75. This reinstatement fee is in addition to the appropriate license renewal fee.

b. Duplicate license fee: $10.

3. An occupational therapist:

a. Initial license fee: $135.

b. Renewal license fee: $135.

c. Inactive status renewal fee: $25.

4. An occupational therapy assistant:

a. Initial license fee: $70.

b. Renewal license fee: $70.

c. Inactive status renewal fee: $15.

B. All fees set forth in subsection (A) are nonrefundable except as provided in A.R.S. § 41-1077.

1. Initial application, initial licensure, limited permit, and returned or insufficient fund replacement checks shall be remitted in cash, cashier's check, or money order.

2. Renewal, duplicate license, and reinstatement fees shall be remitted in cash, cashier's check, money order, or personal check.

History

• Emergency rule adopted effective December 12, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). Emergency rule adopted again effective March 11, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Emergency rule adopted again effective June 5, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Emergency rule adopted again effective September 8, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Adopted with changes effective October 14, 1992 (Supp. 92-4). Amended effective September 15, 1994 (Supp. 94-3). Amended effective June 4, 1998 (Supp. 98-2). Amended by final rulemaking at 5 A.A.R. 1427, effective April 22, 1999 (Supp. 99-2).

Ariz. Admin. Code § R4-43-103 Service by the Board

Pursuant to A.R.S. § 41-1063(A), service may be made by, for and on behalf of the Board of any decision, order, subpoena, notice or other process by personal service or by mailing a copy by certified mail. Service by certified mail shall be made to the last address of record filed with the Board. Service upon an attorney who has appeared on behalf of a party constitutes service upon the party. If service is by certified mail, service is complete upon deposit in the United States mail.

History

• Emergency rule adopted effective December 12, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). Emergency rule adopted again effective March 11, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Emergency rule adopted again effective June 5, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Emergency rule adopted again effective September 8, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Adopted with changes effective October 14, 1992 (Supp. 92-4).

Article 2 LICENSURE

Ariz. Admin. Code § R4-43-201 Initial Application

A. An applicant for an initial license to practice as an occupational therapist or an occupational therapy assistant shall submit an application form provided by the Board to the Board's office. The application and all supporting documentation shall be received by the Board at least 7 days before a Board meeting to be considered at that Board meeting.

B. The initial application form shall be signed by an applicant and include the following information on the applicant:

1. Applicant's last name, 1st name, and middle name;

2. How applicant's name is to be shown on the licensure certificate;

3. Other names used;

4. Social security number;

5. Residence address;

6. Alternate mailing address if the residential address is to remain confidential;

7. The type of license for which applying;

8. The amount of the application and license fee to be submitted;

9. Applicant's American Occupational Therapy Certification Board or National Board for Certification in Occupational Therapy, Inc. certification number, date of certification, and the number of times the applicant has taken the national examination;

10. Education;

11. Professional experience, field work, or both within the last 5 years;

Employer's name, address, and telephone number;

13. Current and previous occupational therapy or other professional license or certification numbers from other states and foreign countries and the status of the license or certification;

14. Current and previous disciplinary actions;

15. Affidavit of applicant.

C. An applicant shall submit or cause to be submitted on the applicant's behalf the following:

1. Application fee;

2. Written verification received from:

a. The National Board For Certification In Occupational Therapy, Incorporated or the American Occupational Therapy Certification Board of a passing score on the examination administered by these entities; or

b. Certified letters of good standing issued by each state that has previously issued the applicant an occupational therapy license, provided at least 1 of the states requires standards for licensure equivalent to the requirements for licensure in this Chapter and A.R.S. §§ 32-3401 et seq.

3. Recommendation of good moral character from 2 health care professionals on a form that shall include the following:

a. Applicant's last name, 1st name, and middle initial, and other names used by applicant;

b. Applicant's mailing address;

c. Applicant's American Occupational Therapy Certification Board or the National Board For Certification In Occupational Therapy certification number;

d. Period of time the health care professional has known the applicant;

e. Period of time the health care professional has worked with the applicant;

f. A statement that the health care professional considers the applicant to be of good moral character;

g. Address, city, state, and zip code where the health care professional worked with the applicant;

h. A description of the professional relationship or professional experience with the applicant and why the health care professional recommends the applicant for an occupational therapy license;

i. Name, address, and telephone number of the health care professional;

j. The professional license or certification number and issuing agency of the health care professional;

k. The health care professional's signature and date.

D. An applicant applying for a limited permit shall submit the application and information listed in subsections (B), (C), and this subsection. An Arizona licensed occupational therapist assuming the professional and legal responsibility for supervision of a limited permit applicant shall complete and sign a Direct Supervision Agreement for a Limited Permit form with the Board. The occupational therapist shall file the Direct Supervision Agreement for a Limited Permit form with the Board before the Board shall issue a limited permit. The Direct Supervision Agreement for a Limited Permit form shall contain the following:

1. Applicant's last name, 1st name, middle name, and other names used by the applicant;

2. Date the form is completed and signed by the supervising occupational therapist;

3. Name of the supervising occupational therapist;

4. Arizona license number of the supervising occupational therapist;

5. Limited permittee's employment address;

6. Supervisor's mailing address;

7. Supervisor's employment address and employment telephone number;

8. Description of supervision;

9. Signature of the supervising occupational therapist.

E. The Board shall retain the application and documents filed in support of the application.

F. If the Board denies an application, the applicant may, within 30 days of service of the notice of denial, make a written request for a hearing to review the Board's decision. The hearing shall be conducted under A.R.S. Title 41, Chapter 6, Article 10.

G. In a hearing conducted on a denial of a license, the applicant has the burden of proof.

History

• Emergency rule adopted effective December 12, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). Emergency rule adopted again effective March 11, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Emergency rule adopted again effective June 5, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Emergency rule adopted again effective September 8, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Adopted with changes effective October 14, 1992 (Supp. 92-4). Amended effective September 15, 1994 (Supp. 94-3). Amended by final rulemaking at 5 A.A.R. 1427, effective April 22, 1999 (Supp. 99-2).

Ariz. Admin. Code § R4-43-202 Renewal of License

A. A licensee shall renew a license by submitting to the Board a renewal application, proof of completion of the continuing education requirements in R4-43-203, and paying the renewal fee within 2 years of initial licensure or last license renewal date.

B. The renewal application form provided by the Board shall include the following:

1. Applicant's last name, first name, middle initial, and other names used by the applicant;

2. How applicant's name is to be shown on the renewal license;

3. Residence address;

4. Alternate mailing address if the residential address is to remain confidential;

5. Current Arizona Board of Occupational Therapy Examiners license number;

6. Type of renewal license for which applying;

7. The amount of the renewal fee;

8. Disciplinary actions since initial licensure;

Hours and titles of continuing education completed;

10. Total hours of continuing education completed;

11. Social security number;

12. Employer's name, address, and telephone number;

Signature and date.

C. Unless otherwise required by A.R.S. § 32-3202, a license that is not renewed within 2 years of the date of issuance expires by operation of law. A licensee may reinstate within 180 calendar days of the expiration date upon payment of the required renewal fee, a reinstatement fee under R4-43-102(A)(2)(a) and submittal of proof of completion of the continuing education requirements in R4-43-203.

History

• Emergency rule adopted effective December 12, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). Emergency rule adopted again effective March 11, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Emergency rule adopted again effective June 5, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Emergency rule adopted again effective September 8, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Adopted with changes effective October 14, 1992 (Supp. 92-4). Former Section R4-43-202 repealed; new Section R4-43-202 renumbered from R4-43-203 and amended by final rulemaking at 5 A.A.R. 1427, effective April 22, 1999 (Supp. 99-2).

Ariz. Admin. Code § R4-43-203 Continuing Education for Renewal of License

A. A licensee shall complete continuing education for renewal of a license as follows:

1. Occupational Therapist, 20 clock-hours for renewal of a 2-year license; and

Occupational Therapy Assistant, 12 clock-hours for renewal of a 2-year license.

B. A licensee shall complete the continuing education clock hours in subsection (A) within the 2-year period before the date the licensee's license expires, or if requesting a return to active status license, within the 2-year period before the date the licensee submits the return to active status request to the Board.

C. Continuing education shall contribute to professional competency and the practice of occupational therapy. The Board shall determine if continuing education hours contribute directly to the professional competency and if the continued education hours relate to the clinical practice of occupational therapy.

D. A licensee may fulfill the licensee's continuing education requirement by completing any of the following:

1. A professional workshop, seminar, or conference and submitting proof of attendance as follows:

a. The American and Arizona Occupational Therapy Association's original check-in sheet displaying the organization's name, official stamp, hours, and licensee's name; or

b. Photocopy of a signed certificate or letter issued by the sponsoring organization or instructor displaying the clock-hours, date of attendance, name of the workshop, seminar, or conference, licensee's name, and information necessary to contact the sponsoring organization or instructor for verification of attendance;

2. Self-study or formal study through course work and submitting a photocopy of a signed certificate or letter issued by the sponsoring organization or instructor displaying the clock hours, dates of attendance, name of the study or course work, licensee's name, and information necessary to contact the sponsoring organization or instructor for verification of attendance;

3. Viewing a taped video presentation and submitting a photocopy of a signed certificate or letter issued by the sponsoring organization or instructor displaying the clock-hours, dates of attendance, name of the study or course work, licensee's name, and information necessary to contact the sponsoring organization or instructor for verification of attendance;

Undergraduate, graduate college, or university course work of a grade "C" or better and submitting a course completion notification sheet and a statement describing how the course extends the licensee's professional skill and knowledge;

5. Publishing:

a. A book, for a maximum credit of 10 clock-hours, and submitting a copy of the book;

b. An article, for a maximum credit of 4 clock-hours, and submitting a copy of the article;

c. A chapter of a book, for a maximum of 5 clock-hours, and submitting a copy of the chapter or book;

d. A film, for a maximum of 6 clock-hours, and submitting a copy of the film; or

e. A videotape, for a maximum of 6 clock-hours, and submitting a copy of videotape;

6. Presenting a program, workshop, seminar, or conference of not less than 1.5 hours in duration for a maximum of 4 clock-hours and submitting a brochure, agenda, or similar printed material describing:

a. The content of the presentation, workshop, seminar, or conference;

b. The date, duration, and location of the presentation conference, workshop, or seminar; and

c. The name of the presenting licensee or a signed certificate or letter from the program organizer if other than the presenting licensee; or

7. In-service training related to clinical occupational therapy services excluding safety, fire evacuation, and cardiopulmonary resuscitation (CPR), for a maximum of 4 clock-hours and submitting:

a. A letter from the supervising occupational therapist or other immediate supervisor; and

b. A licensee's statement consisting of:

i. Specific topics,

ii. Presenters,

iii. Dates,

iv. Times,

v. Location, and

vi. How the training or in-service relates to the clinical practice of occupational therapy or contributes to professional competency.

History

• Emergency rule adopted effective December 12, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). Emergency rule adopted again effective March 11, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Emergency rule adopted again effective June 5, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Emergency rule adopted again effective September 8, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Adopted with changes effective October 14, 1992 (Supp. 92-4). Amended effective September 15, 1994 (Supp. 94-3). Former Section R4-43-203 renumbered to R4-43-202; new Section R4-43-203 renumbered from R4-43-204 and amended by final rulemaking at 5 A.A.R. 1427, effective April 22, 1999 (Supp. 99-2).

Ariz. Admin. Code § R4-43-204 Inactive License

A. A licensee may transfer an active license into inactive status if the licensee's license is current and in good standing.

B. The licensee shall not practice during the time the license is inactive.

C. A licensee may renew or reactivate an inactive license by:

1. Submitting a renewal application under R4-43-202;

2. Paying the licensure renewal fee under R4-43-102 or, if reactivating an inactive license, paying the renewal fee less the last inactive status fee paid by the applicant; and

3. Meeting the continuing education requirements under R4-43-203.

History

• R4-43-204 adopted by emergency effective December 12, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). Emergency rule adopted again effective March 11, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Emergency rule adopted again effective June 5, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Emergency rule adopted again effective September 8, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Section R4-43-204 adopted by emergency action permanently adopted as R4-43-205, new Section R4-43-204 adopted effective October 14, 1992 (Supp. 92-4). Amended effective September 15, 1994 (Supp. 94-3). Amended effective December 5, 1997 (Supp. 97-4). Former Section R4-43-204 renumbered to R4-43-203; new Section R4-43-204 renumbered from R4-43-205 and amended by final rulemaking at 5 A.A.R. 1427, effective April 22, 1999 (Supp. 99-2).

Ariz. Admin. Code § R4-43-205 Procedures for Processing License Applications

A. Initial application for a license or permit.

1. Within 60 calendar days after receipt of an initial application for a license or permit, the Board shall perform an administrative completeness review and notify the applicant in writing that the application is either complete or incomplete. If the application is incomplete, the notice shall specify what documentation or information is missing.

2. If the Board has notified an applicant that an application is incomplete within the 60-day administrative completeness review timeframe, the timeframe is suspended from the date of the notice.

3. An applicant with an incomplete application shall submit all missing documentation and information within 60 days from the date of the notice. If the applicant fails to do so for an initial license or permit, the Board may close the applicant's file. An applicant whose file has been closed and who later wishes to become licensed, shall apply anew.

4. Except for a limited permit application, an application is not complete until the applicant has fully complied with the application requirements of A.R.S Title 32, Chapter 34 and this Article. A limited permit application is complete when the Board receives all of the information required in R4-43-201(D) except for the exam score in R4-43-201(C)(2)(a).

5. If an applicant for an initial license or permit cannot submit all missing documentation or information within 60 days from the date of the notice, the applicant may request an extension by submitting a written request to the Board post marked or delivered not later than 60 days from the date of the notice. The written request for an extension shall explain the reasons for the applicant's inability to meet the 60-day deadline.

6. Under A.R.S. § 32-3403(A), the Executive Director's duties shall include review of requests for an extension. The Executive Director shall grant an extension request, if the extension will enable the applicant to submit the missing documentation or information, but shall not grant an extension of more than 60 days. The Executive Director shall notify the applicant in writing of the decision to grant or deny the request for an extension.

7. If the applicant fails to submit all missing documentation and information within the extension period, the Board may close the applicant's file. An applicant whose file has been closed and who later wishes to become licensed, shall apply anew.

8. After receipt of all missing documentation or information within the administrative completeness timeframe specified in this Section, the Board shall notify the applicant in writing that the application is complete.

9. The Board shall perform the substantive review and issue or deny the license or permit no later than 60 days after receipt of a complete application. For this subsection, the date of receipt is the date of the notice advising the applicant that the application is complete.

B. Renewal license application, request to transfer into inactive status, or application to return to active status.

1. Within 60 calendar days after receipt of an application described in subsection (B)(2), the Board shall perform an administrative completeness review and notify the applicant in writing that the application is complete or incomplete.

2. The following applications are governed by this subsection:

a. A renewal license application;

b. A request to transfer into inactive status by a licensee with an unexpired license; and

c. A renewal application to return to active status.

3. If the Board has notified an applicant that an application is incomplete within the 60-day administrative completeness review timeframe, the timeframe is suspended from the date of the notice.

4. An application is not complete until the applicant has fully complied with all of the application requirements of A.R.S. Title 32, Chapter 34 and this Article.

5. After receipt of all missing documentation and information within the administrative completeness timeframe specified in this Section, the Board shall notify the applicant that the application is complete.

6. The substantive review timeframe runs from the date of the Board's notice advising the applicant that the application is complete until the Board grants or denies the renewal or transfer. The substantive review timeframe is 60 days.

7. A timely submittal renewal application causes the license to remain in effect until further notice by the Board.

8. If a licensee fails to submit a renewal application before the expiration date, the applicant may seek reinstatement under R4-43-202(C) if applicable or reapply under R4-43-201.

C. For the purposes of A.R.S. § 41-1073, the Board establishes the following timeframes for any license or permit it issues:

1. Administrative completeness review timeframe: 60 days.

2. Substantive review timeframe: 60 days.

Overall timeframe: 120 days.

History

• R4-43-204 adopted by emergency effective December 12, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). Emergency rule adopted again effective March 11, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Emergency rule adopted again effective June 5, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Emergency rule adopted again effective September 8, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Former R4-43-204 now adopted as R4-43-205 effective October 14, 1992 (Supp. 92-4). Amended effective September 15, 1994 (Supp. 94-3). Former Section R4-43-205 renumbered to R4-43-204; new Section R4-43-205 renumbered from R4-43-206 and amended by final rulemaking at 5 A.A.R. 1427, effective April 22, 1999 (Supp. 99-2).

Ariz. Admin. Code § R4-43-206 Renumbered

History

• Adopted effective October 21, 1997 (Supp. 97-4). Section R4-43-206 renumbered to R4-43-205 by final rulemaking at 5 A.A.R. 1427, effective April 22, 1999 (Supp. 99-2).

Article 3 HEARINGS

Ariz. Admin. Code § R4-43-301 Hearing Procedures

The Board shall conduct all hearings held under A.R.S. § 32-3442 et seq. in accordance with A.R.S. Title 41, Chapter 6, Article 10 and rules issued by the Office of Administrative Hearings.

History

• Emergency rule adopted effective December 12, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). Emergency rule adopted again effective March 11, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Emergency rule adopted again effective June 5, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Emergency rule adopted again effective September 8, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Adopted without change effective October 14, 1992 (Supp. 92-4). Amended by final rulemaking at 5 A.A.R. 1427, effective April 22, 1999 (Supp. 99-2).

Ariz. Admin. Code § R4-43-302 Rehearing or Review of Decision

A. The Board shall provide for a rehearing and review of its decisions under A.R.S. Title 41, Chapter 6, Article 10 and rules established by the Office of Administrative Hearings.

B. A party is required to file a motion for rehearing or review of a decision of the Board to exhaust the party's administrative remedies.

C. A party may amend a motion for rehearing or review at any time before the Board rules on the motion.

D. The Board may grant a rehearing or review for any of the following reasons materially affecting a party's rights:

1. Irregularity in the proceedings of the Board, or any order or abuse of discretion, that deprived the moving party of a fair hearing;

2. Misconduct of the Board, its staff, an administrative law judge, or the prevailing party;

3. Accident or surprise that could not have been prevented by ordinary prudence;

4. Newly discovered material evidence that could not, with reasonable diligence, have been discovered and produced at the hearing;

5. Excessive penalty;

6. Error in the admission or rejection of evidence or other errors of law occurring at the hearing or during the progress of the proceedings;

7. That the Board's decision is a result of passion or prejudice; or

8. That the findings of fact or decision is not justified by the evidence or is contrary to law.

E. The Board may affirm or modify a decision or grant a rehearing to all or any of the parties on all or part of the issues for any of the reasons in subsection (D). An order modifying a decision or granting a rehearing shall specify with particularity the grounds for the order.

F. When a motion for rehearing or review is based upon affidavits, they shall be served with the motion. An opposing party may, within 15 days after service, serve opposing affidavits. The Board may extend this period for a maximum of 20 days, for good cause as described in subsection (I).

G. Not later that 10 days after the date of a decision, after giving parties notice and an opportunity to be heard, the Board may grant a rehearing or review on its own initiative for any reason for which it might have granted relief on motion of a party. The Board may grant a motion for rehearing or review, timely served, for a reason not stated in the motion.

H. If a rehearing is granted, the Board shall hold the rehearing within 60 days after the issue date on the order granting the rehearing.

I. The Board may extend all time limits listed in this Section upon a showing of good cause. A party demonstrates good cause by showing that the grounds for the party's motion or other action could not have been known in time, using reasonable diligence, and:

1. A ruling on the motion will further administrative convenience, expedition, or economy; or

2. A ruling on the motion will avoid undue prejudice to any party.

History

• Emergency rule adopted effective December 12, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). Emergency rule adopted again effective March 11, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Emergency rule adopted again effective June 5, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Emergency rule adopted again effective September 8, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Adopted with changes effective October 14, 1992 (Supp. 92-4). Amended by final rulemaking at 5 A.A.R. 1614, effective May 6, 1999 (Supp. 99-2).

Article 4 REGULATORY PROVISIONS

Ariz. Admin. Code § R4-43-401 Supervision of Occupational Therapy Assistants

A. Only a licensed occupational therapist shall:

1. Prepare an initial treatment plan, initiate or re-evaluate a client or patient's treatment plan, or authorize in writing a change of a treatment plan;

2. Delegate duties to a licensed occupational therapy assistant, designate an assistant's duties, and assign a level of supervision; and

3. Authorize a patient discharge.

B. A licensed occupational therapy assistant shall not:

1. Evaluate or develop a treatment plan independently;

2. Initiate a treatment plan before a client or patient is evaluated and a treatment plan is prepared by an occupational therapist;

3. Continue a treatment procedure appearing harmful to a patient or client until the procedure is reevaluated by an occupational therapist; or

Continue or discontinue occupational therapy services unless the treatment plan is approved or re-approved by a supervising occupational therapist.

C. A supervising occupational therapist shall supervise a licensed occupational therapy assistant as follows:

1. Not less than routine supervision if the occupational therapy assistant has less than 12 months work experience in a particular practice setting or with a particular skill.

2. Not less than general supervision if the occupational therapy assistant has more than 12 months but less than 24 months of experience in a particular practice setting or with a particular skill.

3. Not less than minimal supervision if an occupational therapy assistant has more than 24 months of experience in a particular practice setting or with a particular skill.

4. Increased level of supervision, if necessary, for the safety of a patient or client.

History

• Emergency rule adopted effective December 12, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). Emergency rule adopted again effective March 11, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Emergency rule adopted again effective June 5, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Emergency rule adopted again effective September 8, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Adopted with changes effective October 14, 1992 (Supp. 92-4). Amended by final rulemaking at 6 A.A.R. 707, effective January 25, 2000 (Supp. 00-1).

Ariz. Admin. Code § R4-43-402 Supervision of Occupational Therapy Aides and Other Unlicensed Personnel

A. An occupational therapy aide shall not provide occupational therapy services in any setting. However, an occupational therapy aide may provide supportive services assigned by an occupational therapist or occupational therapy assistant after the aide is specifically trained to provide the supportive services by an occupational therapist.

B. An occupational therapy aide shall receive continuous supervision.

C. An occupational therapy aide shall not act independently.

D. An occupational therapy aide shall not perform the following tasks:

1. Evaluate a client or patient;

2. Prepare a treatment plan;

3. Make entries in client or patient record regarding client or patient status;

4. Develop, plan, adjust, or modify treatment procedures;

5. Interpret referrals or prescriptions for occupational therapy services;

6. Continue a task if there is a change in the client's or patient's condition;

7. Perform any task without adequate training or skills; and

8. Perform any task requiring licensure under A.R.S. § 32-3401-3445.

History

• Emergency rule adopted effective December 12, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). Emergency rule adopted again effective March 11, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Emergency rule adopted again effective June 5, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Emergency rule adopted again effective September 8, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Adopted with changes effective October 14, 1992 (Supp. 92-4). Amended by final rulemaking at 6 A.A.R. 707, effective January 25, 2000 (Supp. 00-1).

Ariz. Admin. Code § R4-43-403 Designation of Title

An unlicensed person who works in a facility of practice shall use 1 of the following titles:

1. A person practicing under a limited permit shall use the term "Limited Permit" following the person's name.

2. An occupational therapy aide shall use the term "OT Aide" following the occupational therapy aide's name.

3. An occupational therapy student enrolled in an accredited program in occupational therapy shall use the term "OT Student" following the student's name.

History

• Emergency rule adopted effective December 12, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). Emergency rule adopted again effective March 11, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Emergency rule adopted again effective June 5, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Emergency rule adopted again effective September 8, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Adopted without change effective October 14, 1992 (Supp. 92-4). Amended by final rulemaking at 6 A.A.R. 707, effective January 25, 2000 (Supp. 00-1).

Ariz. Admin. Code § R4-43-404 Limited Permit Practice

A. Any change or addition of a supervising occupational therapist requires the filing of a new Direct Supervision Agreement for a Limited Permit form by the supervisor under R4-43-201(D). The supervisor shall submit the Direct Supervision Agreement for a Limited Permit form within 7 days of any change or addition of a supervising occupational therapist.

B. The supervising occupational therapist shall co-sign all patient records documenting patient treatment and progress.

History

• Emergency rule adopted effective December 12, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). Emergency rule adopted again effective March 11, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Emergency rule adopted again effective June 5, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Emergency rule adopted again effective September 8, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Adopted with changes effective October 14, 1992 (Supp. 92-4). Amended effective September 15, 1994 (Supp. 94-3). Amended by final rulemaking at 5 A.A.R. 1427, effective April 22, 1999 (Supp. 99-2).

Ariz. Admin. Code § R4-43-405 Display of License Certificate

Each licensee shall display a current license certificate issued by the Board in a prominent place in each facility of practice. A licensee may use a copy of the license certificate to satisfy this requirement.

History

• Emergency rule adopted effective December 12, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). Emergency rule adopted again effective March 11, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Emergency rule adopted again effective June 5, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Emergency rule adopted again effective September 8, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Adopted with changes effective October 14, 1992 (Supp. 92-4). Amended effective September 15, 1994 (Supp. 94-3). Amended by final rulemaking at 5 A.A.R. 1427, effective April 22, 1999 (Supp. 99-2).

Ariz. Admin. Code § R4-43-406 Change of Name or Address

A. A licensee shall notify the Board in writing within 30 days of a legal name change. A copy of the official document evidencing the name change shall be included. The Board shall issue a duplicate license certificate reflecting the name change.

B. A licensee shall notify the Board in writing within 30 days of a change in mailing address.

History

• Emergency rule adopted effective December 12, 1991, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 91-4). Emergency rule adopted again effective March 11, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-1). Emergency rule adopted again effective June 5, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Emergency expired. Emergency rule adopted again effective September, 1992, pursuant to A.R.S. § 41-1026, valid for only 90 days (Supp. 92-2). Adopted without change effective October 14, 1992 (Supp. 92-4). Amended effective September 15, 1994 (Supp. 94-3). Amended by final rulemaking at 5 A.A.R. 1427, effective April 22, 1999 (Supp. 99-2).

Chapter 44 Auditor General

Article 1 SUSPENSION AND DEBARMENT OF CONTRACTORS PROVIDING SCHOOL DISTRICT AUDIT SERVICES; DISAPPROVAL OF CONTRACTS

Ariz. Admin. Code § R4-44-101 Definitions

The following definitions shall apply throughout these rules except as otherwise required by the context or except as otherwise defined by statute:

1. "Affiliate" means a person controlling, controlled by, or under common control with another person.

2. "Auditor General" means the person designated pursuant to A.R.S. § 41-1279.01(A) to act as Auditor General.

3. "Contractor" means the person or entity who contracts with a school district to provide audit services.

4. "Debarment" means a decision to preclude or prohibit a person from offering a bid or proposal for school district audit services for a period not to exceed three years.

5. "Decision" means a written determination by the Auditor General which is signed by the Auditor General.

6. "Person" means a corporation, company, partnership, firm, association, or society, as well as a natural person.

7. "Suspension" means a decision to preclude or prohibit a person from offering a bid or proposal for school district audit services for a period not to exceed one year.

History

• Adopted effective July 23, 1993 (Supp. 93-3).

Ariz. Admin. Code § R4-44-102 Parties

In any hearing, the parties include all persons named in the notice of hearing including the Auditor General, a contractor, and all persons properly admitted as intervenors. All parties are bound by the decisions of the Auditor General relating to the hearing.

History

• Adopted effective July 23, 1993 (Supp. 93-3).

Ariz. Admin. Code § R4-44-103 Hearing Officer

The hearing officer appointed by the Auditor General may make findings of fact and conclusions of law and recommend that the Auditor General make certain orders after the hearing officer has heard all of the evidence. In addition, the hearing officer may make all determinations on procedural matters in the course of the hearing or rehearing.

History

• Adopted effective July 23, 1993 (Supp. 93-3).

Ariz. Admin. Code § R4-44-104 Cause for Suspension or Debarment

The causes for suspension or debarment include the following:

1. Conviction of any person or affiliate of such person for commission of a criminal offense arising out of obtaining or attempting to obtain a public or private contract or subcontract or in the performance of such contract or subcontract.

2. Conviction of any person or affiliate of such person under any statute of the federal government, this state, or any other state for embezzlement, theft, fraudulent schemes and artifices, fraudulent schemes and practices, bid rigging, perjury, forgery, bribery, falsification or destruction of records, receiving stolen property, or any other offense indicating a lack of business integrity or business honesty.

3. Conviction or civil judgment finding a violation by any person or affiliate of any such person under state or federal antitrust statutes.

4. Violations of material contract provisions including but not limited to failure to perform or negligent performance of any term or standard of one or more school district audit services contracts. The failure to perform caused by acts beyond the control of the contractor shall not be considered to be a basis for suspension or debarment.

5. Any other cause deemed to affect the ability to perform as a contractor, including suspension or debarment of such person or any affiliate of such person by another state agency or political subdivision.

History

• Adopted effective July 23, 1993 (Supp. 93-3).

Ariz. Admin. Code § R4-44-105 Notice of Hearing and Response

A. If the Auditor General believes that cause exists to suspend or debar a contractor, the Auditor General shall notify the contractor in writing of such basis or cause and set the date, time, and place for hearing.

B. The contractor shall file a response to the assertions contained in the notice of hearing. The response shall be in writing and shall be filed with the Auditor General within 20 days after service of the notice upon the contractor. If the notice is amended any time subsequent to service of the notice, the contractor may be required to answer the amended assertions within a reasonable time.

C. A response filed under this rule shall briefly state the position or defenses of the responding contractor and shall specifically admit or deny each of the assertions contained in the notice. If the responding contractor is without or is unable to reasonably obtain knowledge or information sufficient to form a belief as to the truth of an assertion, the contractor shall so state and this shall have the effect of a denial. Any assertion not denied shall be deemed to be admitted.

D. If a contractor fails to file a response within the time provided, the assertions contained in the notice of hearing shall be deemed to be admitted.

History

• Adopted effective July 23, 1993 (Supp. 93-3).

Ariz. Admin. Code § R4-44-106 Service

A. All notices and documents required to be served by the Auditor General and all documents filed by any contractor may be served by mail or by delivery in person. Service of any document shall be deemed complete when a true copy is deposited in the United States mail with first class postage prepaid, addressed to addressee of record, or upon personal delivery to the contractor. Service upon an attorney or agent who has appeared on behalf of the Auditor General or on behalf of a contractor shall constitute service upon the Auditor General or upon the contractor on whose behalf the particular attorney or agent has appeared.

B. Copies of all papers or documents filed shall be served on the hearing officer, if any, and upon the contractor. The Auditor General may require a copy of any document to be served upon any other persons or entities. Proof of service may be made by affidavit of the person making service, or by written acceptance of the service by the person upon whom the document is served. An original and one legible copy of all documents shall be filed with the Auditor General.

History

• Adopted effective July 23, 1993 (Supp. 93-3).

Ariz. Admin. Code § R4-44-107 Form of Documents; Motions

A. All papers filed with the Auditor General in any matter pertaining to the hearing shall be typewritten or legibly written on paper no larger than 8 1/2 by 11 inches, shall contain the name and address of the party or other correspondent, shall designate the title and docket number, if any, shall state the name and address of each person or entity served with a copy, shall be properly captioned, and shall be signed by the individual or entity filing it or by at least one attorney who represents the entity or individual. The signature certifies that the signer has read the paper, that to the best of the signer's knowledge, information, and belief, there is good ground to support its contents and that it is not interposed for delay.

B. A motion for an order shall be made in writing stating the grounds with particularity and setting forth the relief sought except that a motion made during a hearing need not be in writing. All motions made prior to hearing shall be served upon all parties who shall have 10 days after service of the motion to respond except in the case of unforeseeable circumstances or emergency, in which case the motion shall be heard as soon as practicable after the motion has been served on the other parties. If any party to the hearing fails to timely respond or any party fails to appear at oral argument of the motion, if any, the Auditor General or the hearing officer may dispose of the motion summarily. Any party may request oral argument on any motion or the Auditor General or the hearing officer may require oral argument.

History

• Adopted effective July 23, 1993 (Supp. 93-3).

Ariz. Admin. Code § R4-44-108 Continuances; Extensions of Time

A. A continuance or postponement of the time for filing any response required by these rules or of any hearing may be granted, in the interests of justice, by the Auditor General or the hearing officer upon application in writing or upon stipulation between the Auditor General and all other parties.

B. Whenever a party has the right or is required to do some act within a prescribed period after the service of a notice or other paper and the notice or paper is served by mail, five days shall be added to the prescribed period.

History

• Adopted effective July 23, 1993 (Supp. 93-3).

Ariz. Admin. Code § R4-44-109 Stipulations

Parties to any proceeding may by written stipulation agree upon any matter involved in the proceeding. If approved by the Auditor General or the hearing officer, the stipulation shall be binding upon all parties to the proceeding or as between the parties stipulating. Notwithstanding the foregoing, the Auditor General or the hearing officer may require presentation of evidence for proof of stipulated facts.

History

• Adopted effective July 23, 1993 (Supp. 93-3).

Ariz. Admin. Code § R4-44-110 Prehearing Statements

A. Not less than two days before hearing, each party shall ensure that the Auditor General or the designated hearing officer has received a prehearing statement which shall be so designated and which shall set forth with specificity the following:

1. A list of all exhibits and witnesses to be used at the hearing; and

2. A list of the issues of law and fact which the party submitting the prehearing statement believes to be material.

B. No other exhibits or witnesses shall be used during the hearing other than those listed and exchanged, except for good cause shown or for impeachment purposes.

History

• Adopted effective July 23, 1993 (Supp. 93-3).

Ariz. Admin. Code § R4-44-111 Hearing Procedures

A. A hearing for suspension or debarment is a contested case as defined by A.R.S. § 41-1001(3), and the provisions of A.R.S. Title 41, Chapter 6, Article 6 (A.R.S. § 41-1061 et seq.) apply to those cases.

B. The hearing officer may:

1. Hold prehearing conferences to settle, simplify, or identify the issues in a proceeding, or to consider other matters that may aid in the expeditious disposition of the proceeding;

2. Require parties to state their positions concerning the various issues in the proceeding;

3. Require parties to produce for examination those relevant witnesses and documents under their control;

4. Rule on motions and other procedural items on matters pending before such officer;

5. Regulate the course of the hearing and conduct of participants;

Establish time limits for submission of motions or memoranda;

7. Impose appropriate sanctions against any person failing to obey an order under these procedures, which may include:

a. Refusing to allow the person to assert or oppose designated claims or defenses, or prohibiting that person from introducing designated matters in evidence;

b. Excluding all testimony of an unresponsive or evasive witness; and

c. Expelling a person from further participation in the hearing;

9. Take official notice of any material fact not appearing in evidence in the record, if the fact is among the traditional matters of judicial notice; and

10. Administer oaths or affirmations.

History

• Adopted effective July 23, 1993 (Supp. 93-3).

Ariz. Admin. Code § R4-44-112 Recording; Transcript

All hearings before the Auditor General or a hearing officer shall be mechanically recorded or stenographically reported. Nothing contained herein shall be construed as prohibiting or limiting any person from mechanically recording the proceedings or having them stenographically reported. However, the official record of the proceeding shall be that which is designated by the Auditor General. The cost of the reporter, if any, and the transcript shall be paid by the party making the request unless assessment of the cost is waived by the Auditor General.

History

• Adopted effective July 23, 1993 (Supp. 93-3).

Ariz. Admin. Code § R4-44-113 Decision

A. The decision shall:

1. Be in writing;

2. State separately the findings of fact and conclusions of law and the order of the Auditor General and the effective period of the action; and

3. Be served on the parties.

B. A decision shall be effective on the date signed by the Auditor General.

History

• Adopted effective July 23, 1993 (Supp. 93-3).

Ariz. Admin. Code § R4-44-114 Period of Suspension or Debarment

A. The period of time for a suspension shall not exceed one year from the date of the decision.

B. The period of time for a debarment shall not exceed three years from the date of the decision.

C. If suspension or debarment is based solely upon suspension or debarment by another governmental agency, the period of suspension or debarment may run concurrently with the period established by that other suspending or debarring agency.

History

• Adopted effective July 23, 1993 (Supp. 93-3).

Ariz. Admin. Code § R4-44-115 Rehearing

A. Any party aggrieved by a decision rendered by the Auditor General may file with the Auditor General or the hearing officer, not later than 15 days after service of the decision, a written motion for rehearing or review of the decision specifying the particular grounds therefor.

B. A motion to alter or amend a decision or order shall be filed not later than 15 days after service of the decision.

C. A motion for rehearing under this rule may be amended at any time before it is ruled upon by the Auditor General.

D. A response, if any, shall be filed and served within ten days after service of such motion.

E. The Auditor General or the hearing officer may require the filing of written memoranda upon the issues raised in the motion and may provide for oral argument.

F. Any argument not raised in the request or in the response is waived.

G. Rehearing of the decision may be granted for any of the reasons materially affecting the moving party's rights:

Irregularity in the proceedings before the Auditor General or hearing officer or an abuse of discretion by the Auditor General or hearing officer, whereby the moving party was deprived of a fair hearing;

2. Misconduct of the Auditor General, staff or hearing officer, or the prevailing parties;

3. Accident or surprise which could not have been prevented by ordinary prudence;

4. Newly discovered material evidence which could not with reasonable diligence have been discovered and produced at the original hearing; or

5. A showing that the decision was not justified by the evidence or is contrary to law.

H. An order granting rehearing shall specify with particularity the grounds on which the rehearing is granted and the rehearing shall cover only those matters so specified.

I. The Auditor General or the hearing officer, within the time for filing a request for rehearing under this rule, may order a rehearing of the decision for any reason for which a rehearing might have been granted on application of a party.

J. The Auditor General or the hearing officer may affirm or modify the decision or grant a rehearing to all or any of the parties and on all or part of the issues for any of the reasons set forth above.

History

• Adopted effective July 23, 1993 (Supp. 93-3).

Ariz. Admin. Code § R4-44-116 Reinstatement

A. The Auditor General may, at any time after a final decision on a suspension or debarment, reinstate a contractor or rescind the decision upon a determination that the cause upon which the suspension or debarment is based no longer exists or has been substantially mitigated.

B. Any suspended or debarred person may request reinstatement by submitting a petition to the Auditor General supported by documentary evidence showing that the cause for suspension or debarment no longer exists or has been substantially mitigated.

C. The Auditor General may require a hearing on the request for reinstatement.

D. The decision on reinstatement shall be in writing, be made within 30 days after the request is filed or, if there is a hearing, 30 days after hearing, and specify the factors on which it is based.

E. Decisions on reinstatement requests are not subject to judicial appeal.

History

• Adopted effective July 23, 1993 (Supp. 93-3).

Ariz. Admin. Code § R4-44-117 Disapproval of Contracts

A. The Auditor General may disapprove a contract for the same causes provided for in R4-44-104.

B. The Auditor General may disapprove a contract if the contract does not contain a provision to the following effect: "The audit shall be conducted in accordance with generally accepted auditing standards, Government Auditing Standards, issued by the Comptroller General of the United States, and Office of Management and Budget Circular A-128, Audits of State and Local Governments."

C. A decision to disapprove a contract shall be in writing and shall state the cause or reasons for the disapproval. The disapproval shall be sent to the school district.

History

• Adopted effective July 23, 1993 (Supp. 93-3).

Chapter 45 Board of Respiratory Care Examiners

Article 1 GENERAL PROVISIONS

Ariz. Admin. Code § R4-45-101 Definitions

In addition to the definitions in A.R.S. § 32-3501, in this Chapter, unless otherwise specified:

"Applicant" means an individual who meets the qualifications of A.R.S. § 32-3523 and applies for licensure under A.R.S. § 32-3522.

"Approved continuing education" means a planned course or program that the Board confirms meets the criteria in R4-45-210 or is approved by the American Association for Respiratory Care or the Arizona Society for Respiratory Care.

"Continuing education unit" or "CEU" means a segment of an approved continuing education.

"CRT examination" means the objective measure of essential knowledge, skills, and abilities required of an entry-level respiratory therapist, which is approved by the Board and administered by the NBRC.

"Day" means calendar day.

"Direct supervision" means that a licensed respiratory care practitioner, or physician licensed under A.R.S. Title 32, Chapters 13 or 17, is physically present at a work site and readily available to provide respiratory care to a patient.

"Executive Director" means the officer employed by the Board to perform administrative and investigative functions.

"Grandfathered" means to license a respiratory therapist who has a CRT credential and applies for licensure before January 1, 2017 without meeting the qualifications required by these rules.

"License" means the document issued by the Board to practice respiratory care in Arizona.

"License application package" means a license application form and any documents required to be submitted with the license application form.

"Licensee" means an individual who holds a current license issued under A.R.S. Title 32, Ch. 35. "National Board for Respiratory Care, Inc." or "NBRC" means the national credentialing board for respiratory therapy.

"Pharmacological, diagnostic, and therapeutic agents," as used in A.R.S. § 32-3501(5), means medications that are aerosolized and given through artificial airways or vascular access.

"RRT credential" means an award issued to a respiratory therapist by the NBRC who passes the RRT examination.

"RRT examination" means the objective measure of essential knowledge, skills, and abilities at a level that is higher than the CRT examination and that is required of a respiratory therapist and approved by the Board.

"Verification by a licensed respiratory therapist," as used in A.R.S. § 32-3521(B)(7) and (C), means a licensee's written confirmation, before equipment is delivered, that the equipment is consistent with the patient's prescription and needs.

"Verification of license" means a form the Board provides to an applicant to submit for completion by a state to confirm that the applicant currently holds or previously held a license, certification, or registration from that state.

History

• Adopted effective September 12, 1996 (Supp. 96-3). Amended by final rulemaking at 5 A.A.R. 1110, effective March 22, 1999 (Supp. 99-1). Amended by final rulemaking at 12 A.A.R. 968, effective May 6, 2006 (Supp. 06-1). Amended by final rulemaking at 22 A.A.R. 2181, effective 10/2/2016.

Ariz. Admin. Code § R4-45-102 Fees

A. Under the authority provided by A.R.S. § 32-3526 or other specified statutes, the Board establishes and shall collect the following fees:

1. Application for a license, $100;

2. Application based on a diploma from a foreign respiratory therapy school, $200;

3. Initial license, $120;

4. Biennial renewal of a license, $150;

5. Verifying an Arizona license to another state:

a. Current valid license, $25;

b. Expired license, $50;

6. Duplicate license or duplicate wallet license card, $25;

7. Copy of the Board's Respiratory Care Practitioner Register compiled under A.R.S. § 32-3504(A)(7):

a. Noncommercial, $25;

b. Commercial, $25 or the amount allowed under A.R.S. § 39-121.03(A), whichever is greater;

Insufficient funds check submitted to the Board as payment of any fee, $25;

9. Fingerprint fee, authorized by A.R.S. § 41-1750(L), remitted by credit card, certified check, or money order, $50; and

10. Copy of the audiotape of a hearing under A.R.S. § 41-1092.07(E), $25.

B. With the exception of the fingerprint fee specified in subsection (A)(10), all fees shall be remitted to the Board of Respiratory Examiners by personal check, credit card, certified check, or money order. All fees remitted to the Board are nonrefundable, except as provided in A.R.S. § 41-1077.

History

• Adopted effective September 12, 1996 (Supp. 96-3). Amended by final rulemaking at 5 A.A.R. 1110, effective March 22, 1999 (Supp. 99-1). Amended by final rulemaking at 6 A.A.R. 1575, effective April 4, 2000 (Supp. 00-2). Amended by final rulemaking at 12 A.A.R. 968, effective May 6, 2006 (Supp. 06-1). Amended by final rulemaking at 14 A.A.R. 832, effective May 3, 2008 (Supp. 08-1). Amended by final rulemaking at 22 A.A.R. 2181, effective 10/2/2016. Amended by exempt rulemaking at 23 A.A.R. 834, effective 6/1/2017.

Ariz. Admin. Code § R4-45-103 Service by the Board

Service of any decision, order, subpoena, notice, or other written process may be made by, for, or on behalf of the Board by personal service or by mailing a copy by certified mail. The Board shall make service by certified mail to the address of record on file with the Board. Service upon an attorney who has appeared on behalf of a party constitutes service upon the party. If service is by certified mail, service is complete upon deposit in the United States mail.

History

• Adopted effective September 12, 1996 (Supp. 96-3). Amended by final rulemaking at 12 A.A.R. 968, effective May 6, 2006 (Supp. 06-1).

Ariz. Admin. Code § R4-45-104 Change of Name or Address

A. A licensee shall notify the Board in writing within 30 days after the licensee's name is legally changed. The licensee shall include with the notice a notarized or certified copy of the official document evidencing the name change. At the time of notification, the licensee shall request a duplicate license in the new name and pay the fee prescribed in R4-45-102(A)(7).

B. A licensee shall notify the Board in writing within 10 days after a change in the licensee's address of record.

History

• Adopted effective September 12, 1996 (Supp. 96-3). Amended by final rulemaking at 12 A.A.R. 968, effective May 6, 2006 (Supp. 06-1).

Ariz. Admin. Code § R4-45-105 Electronic Communication

A. To facilitate communication between the Board and an applicant, licensee, or continuing education provider, the Board shall make the following forms available on its web site:

1. Application for licensure,

2. Verification of licensure,

3. License renewal application,

4. Notice of change of address.

B. After completing a form that is available on the Board's web site, an applicant or licensee shall submit the form to the Board electronically or by mail or personal delivery.

C. An applicant or licensee that submits a form to the Board electronically shall use mail or personal delivery to submit or have submitted on behalf of the applicant other documents required under this Chapter.

D. An applicant or licensee that does not have access to the Board's web site may request from the Board a printed copy of any form listed in subsection (A).

History

• New Section made by final rulemaking at 14 A.A.R. 832, effective May 3, 2008 (Supp. 08-1). Amended by final rulemaking at 22 A.A.R. 2181, effective 10/2/2016.

Article 2 LICENSURE

Ariz. Admin. Code § R4-45-201 Application

A.In addition to meeting the qualifications listed in A.R.S. § 32-3523(A), an applicant for a license to practice as a respiratory care practitioner shall submit the following information on the Board's license application form:

1. The applicant's full name and Social Security number;

2. The applicant's current mailing, permanent and e-mail addresses;

3. The applicant's current employer's name, address, and telephone number;

The applicant's current employment position and beginning date of employment;

5. The applicant's current supervisor's name and telephone number;

6. The applicant's area of care or specialty;

7. The applicant's birth date;

8. The applicant's home and work telephone numbers;

9. Any name by which the applicant has ever been known. The applicant shall submit documentation of name change if the applicant is applying for licensure under a name different from that on the applicant's credentials, educational degree, or diploma;

10. A statement of the facts entitling the applicant to take the RRT examination, to receive a license without examination under R4-45-206;

11. The name of any state or province in which the applicant has been granted a certification, registration, or license as a respiratory care practitioner; including the number, date issued, expiration date, and a statement whether that certificate, registration, or license has ever been the subject of discipline, censure, probation, practice restriction, suspension, revocation, or cancellation;

12. A statement whether the applicant has ever been denied a professional license or certificate or the privilege of taking an examination by a governing licensing authority and, if the answer is yes, a complete explanation of the denial including date, state or province, and a copy of any order issued;

A statement whether the applicant is the subject of any pending disciplinary action that is directly or indirectly related to the practice of respiratory therapy and, if the answer is yes, a complete explanation, including date, state or province, and a copy of any order issued;

14. A statement whether the applicant has ever voluntarily surrendered a professional license and, if the answer is yes, a complete explanation, including dates, state or province, and a copy of any order issued;

15. A statement whether the applicant has ever filed an application for a respiratory care practitioner license in Arizona and, if the answer is yes, the date;

16. A statement whether the applicant has been enrolled in or committed to a substance-abuse or alcohol-treatment program in the past 10 years and, if the answer is yes, a complete explanation, including date, place, and a copy of any documentation of completion of the program;

17. Except for a minor traffic violation, a statement whether the applicant has ever been convicted of, pled no contest (nolo contendere) to, entered into any agreement concerning an arrest or charge (even if the agreement resulted in a dismissal or expungement of record), or has an outstanding arrest or charge for any violation of any law of any state of the United States, or a foreign country and, if the answer is yes, a complete explanation, including place, date, and a copy of any pertinent documentation such as a court order or plea agreement;

18. A statement whether the applicant has had an intemperance to drugs or alcohol within the last 10 years and, if the answer is yes, a complete explanation;

19. The applicant's physical description, including height, weight, and eye and hair color;

20. The highest level of education completed by the applicant;

21. Evidence of the applicant's U.S. citizenship, alien status, legal residency, or lawful presence in the U.S.;

Consistent with the Board's authority under A.R.S. § 32-3522(B)(4), other information or documentation the Board determines is necessary to evaluate the applicant fully;

23. A record or documentation release; and

24. The applicant's certification that the information provided is true and complete and that the applicant has not engaged in any act prohibited by Arizona law or this Chapter.

B. An applicant shall submit or have submitted on the applicant's behalf the following with the license application form:

1. If NBRC- registered, a copy of the applicant's:

a. NBRC-issued registration;

b. RRT examination results; or

c. If grandfathered, CRT examination results.

2. If not NBRC-certified or registered, a copy of the applicant's diploma awarded upon successful completion of an approved respiratory therapy training program or letter of completion from the registrar of an approved respiratory therapy training program that provides the date of the applicant's successful completion;

3. If ever licensed as a respiratory care practitioner in another state, the information specified in R4-45-205;

4. If foreign-trained, the information specified in R4-45-204;

5. The fee required under R4-45-102(A)(1); and

6. A full set of fingerprints submitted on a card provided by the Board for a state and federal criminal background check along with the fee prescribed at R4-45-102(A)(10).

C. An applicant shall inform the Board in writing of a change in the applicant's address or other contact information within 10 days from the date of the change.

D. An applicant shall inform the Board immediately, by fax or e-mail, of the following:

1. A change in any non-contact information provided on the license application,

2. A change in the applicant's employment status and the reason for the change, or

3. Other information that a reasonable person would believe is relevant to the Board's decision to grant or deny a license to the applicant.

History

• Adopted effective September 12, 1996 (Supp. 96-3). Amended by final rulemaking at 5 A.A.R. 1110, effective March 22, 1999 (Supp. 99-1). Amended by final rulemaking at 12 A.A.R. 968, effective May 6, 2006 (Supp. 06-1). Amended by final rulemaking at 14 A.A.R. 832, effective May 3, 2008 (Supp. 08-1). Amended by final rulemaking at 22 A.A.R. 2181, effective 10/2/2016.

Ariz. Admin. Code § R4-45-202 Approved Respiratory Therapy Training Programs

The Board shall approve any respiratory therapy training program that is accredited by the Committee on Accreditation for Respiratory Care.

History

• Adopted effective September 12, 1996 (Supp. 96-3). Amended by final rulemaking at 12 A.A.R. 968, effective May 6, 2006 (Supp. 06-1).

Ariz. Admin. Code § R4-45-203 Examinations

A. Except when a license may be issued without an examination under A.R.S. § 32-3524 or grandfathered, an applicant shall pass the RRT examination. The passing score is the scaled score set by the NBRC.

B. An applicant shall inform the Board as soon as possible by one of the following methods that the applicant passed the RRT examination:

1. Forward to the Board a copy of either the examination results or certificate, or

2. Direct the NBRC to forward to the Board a copy of either the examination results or certificate.

History

• Adopted effective September 12, 1996 (Supp. 96-3). Amended by final rulemaking at 12 A.A.R. 968, effective May 6, 2006 (Supp. 06-1). Amended by final rulemaking at 22 A.A.R. 2181, effective 10/2/2016.

Ariz. Admin. Code § R4-45-204 Application by a Foreign-trained Applicant

An applicant who has a diploma from a respiratory therapy school located outside the United States shall:

1. Cause the school from which the diploma was issued to deliver to the Board a certified copy of course transcripts and other information concerning the applicant's course of study sufficient to enable the Board to determine whether the course of study is equivalent to a training program approved under R4-45-202, and

2. Submit a photocopy of the applicant's diploma from the foreign respiratory therapy school.

History

• Adopted effective September 12, 1996 (Supp. 96-3). Amended by final rulemaking at 12 A.A.R. 968, effective May 6, 2006 (Supp. 06-1). Amended by final rulemaking at 14 A.A.R. 832, effective May 3, 2008 (Supp. 08-1).

Ariz. Admin. Code § R4-45-205 Application Based on Licensure by Another State

If an application for a license is based on licensure by another state, the applicant shall cause the state that issued the license to deliver to the Board:

1. A certified copy of the license;

2. A verification of license, completed, signed, and authenticated by seal or notarization by the Board of the state issuing the license; and

3. Either a copy of the results of the RRT examination or a copy of another examination administered to the applicant, the results of the other examination, and any information necessary to enable the Board to determine whether the other examination is equivalent to the RRT examination.

History

• Adopted effective September 12, 1996 (Supp. 96-3). Amended by final rulemaking at 12 A.A.R. 968, effective May 6, 2006 (Supp. 06-1). Amended by final rulemaking at 14 A.A.R. 832, effective May 3, 2008 (Supp. 08-1). Amended by final rulemaking at 22 A.A.R. 2181, effective 10/2/2016.

Ariz. Admin. Code § R4-45-206 Licensure Based on Organizational Registration or Certification

The Board shall issue a license to an applicant without examination if the applicant:

1. Is qualified under A.R.S. § 32-3523,

2. Files an application for licensure under R4-45-201, and

3. Is registered or certified as a respiratory therapist by the NBRC.

History

• Adopted effective September 12, 1996 (Supp. 96-3). Amended by final rulemaking at 12 A.A.R. 968, effective May 6, 2006 (Supp. 06-1).

Ariz. Admin. Code § R4-45-207 Renewal

A. A respiratory care practitioner's first license expires on the licensee's second birthday following issuance of the license. Thereafter, a respiratory care practitioner's license expires every other year on the licensee's birthday.

B. To apply for renewal of a license, a licensee shall:

1. Complete a license renewal application form and provide the following information:

a. Applicant's full name;

b. Applicant's Arizona license number;

c. Applicant's mailing, permanent, and e-mail addresses and telephone number;

d. Applicant's highest educational degree;

e. Applicant's employment status;

f. Applicant's principal field of employment;

g. Current employer's name and address;

h. Current supervisor's name and telephone number;

i. Applicant's physical description, including height, weight, and eye and hair color;

j. A statement whether, since the time of last application, the applicant:

i. Has been arrested for, has pled guilty or no contest to, or has been convicted of a felony, misdemeanor, or undesignated offense, and if the answer is yes, a complete explanation, including place, date, charge, and a copy of any pertinent documentation such as a court order or plea agreement;

ii. Has been arrested for a traffic violation that resulted in a fine greater than $150, and if the answer is yes, a complete explanation, including date, offense, and a copy of any pertinent documentation such as a court order;

iii. Has been named in a civil or malpractice lawsuit relating to the applicant's employment as a respiratory care practitioner, and if the answer is yes, a complete explanation;

iv. Has been or is subject to any disciplinary action, consent order, or settlement regarding the applicant's license in any jurisdiction, and if the answer is yes, a complete explanation;

v. Has abused illegal substances, prescription drugs, or alcohol or been enrolled or committed to a substance-abuse or alcohol-treatment program, and if the answer is yes, a complete explanation, including date, place, and copy of any documentation of program completion; and

vi. Has been disciplined, suspended, or terminated from employment as a respiratory care practitioner, and if the answer is yes, a complete explanation;

k. A statement of whether the applicant is in compliance with all federal and state law regarding storage, transfer, and access to medical records;

l. Evidence of the applicant's U.S. citizenship, alien status, legal residency, or lawful presence in the U.S.; and

m. The applicant's certification that the information provided is true and complete;

2. Pay the renewal fee prescribed in R4-45-102(A)(4); and

3. Complete the required continuing education units.

C. The Board shall notify a licensee of:

1. Need to renew the licensee's license,

2. Expiration of the licensee's license, and

3. Audit of the licensee's continuing education records.

D. If a license expires because it is not renewed timely, the former licensee may apply for late renewal within two years from the date of expiration. To apply for late renewal, the former licensee shall comply with subsection (B).

E. If a former licensee does not apply for late renewal under subsection (D), the former licensee may obtain a new license only by applying as a new applicant.

F. Misrepresentation of information on the license renewal application form or of compliance with the continuing education requirement in R4-45-208 constitutes grounds for disciplinary action.

History

• Adopted effective September 12, 1996 (Supp. 96-3). Amended by final rulemaking at 12 A.A.R. 968, effective May 6, 2006 (Supp. 06-1). Amended by final rulemaking at 14 A.A.R. 832, effective May 3, 2008 (Supp. 08-1).

Ariz. Admin. Code § R4-45-208 Continuing Education Requirement

A. The following definitions apply to this Article:

1. "Acceptable documentation" means:

a. Transcripts;

b. Letters from course instructors;

c. Certificates of Completion or other formal certifications provided by:

i. Hospitals;

ii. Course instructors; or

iii. Health organizations.

2. "Initial licensure period" means the period of time from the date a licensee first obtains a license, to the date of the licensee's second birthday following the date a licensee first obtains a license.

3. "Two-year licensure period" means the period of time two years from the initial licensure period, including the date a licensee renews a license pursuant to subsection (C).

B. Pursuant to A.R.S. § 32-3504(A)(9),

1. A a licensee shall acquire 20 CEUs during an initial licensure period and every two-year licensure period. A licensee shall acquire at least two of the 20 CEUs in ethics.

C. In order to renew a license, a licensee shall report compliance with the continuing education requirement.

D. A licensee shall maintain acceptable documentation for all CEUs for five years from the most recent date on the documentation,

E. Notwithstanding subsection (A), acceptable documentation other than a transcript must include the:

1. Licensee's full name;

2. Title and date of the course or activity;

3. Number of CEUs earned; and

4. Instructor's name and signature.

F. A licensee shall submit acceptable documentation showing evidence of compliance only if requested by the Board.

G. 2. During the first licensure period, a licensee shall use the licensure issuance date as the beginning of the period in which the licensee is required to acquire CEUs. A licensee shall acquire 20 hours of CEUs before expiration of the first licensure period. Subsequent continuing education periods coincide with subsequent licensure periods. The Board shall accept CEUs pursuant to R4-45-209.

History

• Adopted effective September 12, 1996 (Supp. 96-3). Amended by final rulemaking at 12 A.A.R. 968, effective May 6, 2006 (Supp. 06-1). Amended by exempt rulemaking at 23 A.A.R. 834, effective 6/1/2017.

Ariz. Admin. Code § R4-45-209 Acceptable Continuing Education

A. The Board shall accept CEUs from a continuing education course approved by the:

1. American Academy of Allergy, Asthma & Immunology;

2. American Academy of Pediatrics;

3. American Academy of Physician Assistants;

4. American Association for Respiratory Care and its state affiliates;

5. American Association of Critical Care Nurses and its state affiliates;

American College of Chest Physicians;

7. American College of Emergency Physicians;

8. American College of Physicians;

9. American College of Health Care Executives;

American Heart Association;

American Lung Association and its state affiliates;

12. American Medical Association and its state affiliates;

13. American Nurses Association and its state affiliates;

14. American Osteopathic Association and its state affiliates;

15. American Thoracic Society and its state affiliates;

16. Arizona Society for Respiratory Care;

17. Center for Disease Control;

18. Centers for Medicare Medicaid (Joint Commission);

College of American Pathologists;

20. National Asthma Educator Certification Board

21. Red Cross of America;

22. Society for American Anesthesiology; or

23. Society of Critical Care Medicine and its state affiliates.

B. The provider of, or an individual who takes, a continuing education course that is not approved by the American Association for Respiratory Care or the Arizona Society for Respiratory Care may apply to the Board for approval under R4-45-210 . The Board shall accept no more than 15 CEUs during an initial licensure period or a two-year licensure period for courses or activities a licensee completed online, except for live courses or activities a licensee completed online.

C. The Board shall accept no more than five CEUs during an initial licensure period or a two-year licensure period in any one of the following courses:

1. Advanced cardiac life support;

2. Neonatal advanced life support or neonatal resuscitation program; and

Pediatric advanced life support.

D. The Board shall not accept any CEUs in basic life support.

E. The Board shall accept no more than 10 CEUs during an initial licensure period or a two-year licensure period for each NBRC specialty examination the licensee passes during the initial licensure period or the two-year licensure period.

F. Notwithstanding subsection (E), the Board shall not accept CEUs for the following NBRC practitioner examinations:

1. The Therapist Multiple-Choice Examination; or

The Clinical Simulation Examination.

History

• Adopted effective September 12, 1996 (Supp. 96-3). Amended by final rulemaking at 12 A.A.R. 968, effective May 6, 2006 (Supp. 06-1). Amended by exempt rulemaking at 23 A.A.R. 834, effective 6/1/2017.

Ariz. Admin. Code § R4-45-210 [Repealed]

History

• Adopted effective September 12, 1996 (Supp. 96-3). Amended by final rulemaking at 12 A.A.R. 968, effective May 6, 2006 (Supp. 06-1). Amended by final rulemaking at 14 A.A.R. 832, effective May 3, 2008 (Supp. 08-1). Repealed by exempt rulemaking at 23 A.A.R. 834, effective 6/1/2017.

Ariz. Admin. Code § R4-45-211 Audit of Compliance and Sanction for Noncompliance with Continuing Education Requirement

The Board shall provide notice of an audit of continuing education records to a random sample of licensees. A licensee subject to a continuing education audit shall submit documentation that demonstrates compliance with the continuing education requirement within the time specified in the audit notice. If the licensee fails to submit documentation that demonstrates compliance with the continuing education requirement on or before the date specified in the audit notice, the Board shall provide written notice of intent to revoke the license issued to the licensee.

History

• Adopted effective September 12, 1996 (Supp. 96-3). Amended by final rulemaking at 12 A.A.R. 968, effective May 6, 2006 (Supp. 06-1). Amended by final rulemaking at 14 A.A.R. 832, effective May 3, 2008 (Supp. 08-1).

Ariz. Admin. Code § R4-45-212 Waiver of Requirements

A. When applying for renewal of a license, a licensee may request a waiver from completion of the continuing education requirement. The Board shall grant a waiver only if the licensee verifies in writing that during the period immediately before expiration of the license, the licensee:

1. Resided in a country outside the United States for at least one year, reasonably preventing completion of the continuing education requirement;

2. Was absent from Arizona for at least one year, reasonably preventing completion of the continuing education requirement; or

3. Was prevented from completing the continuing education requirement for reasons of health or other good cause including:

a. Physical or mental disability of the licensee for at least one year, reasonably preventing completion of the continuing education requirement; or

b. Physical or mental disability of a member of the licensee's family for at least one year and the licensee had responsibility for the family member's care, preventing completion of the continuing education requirement.

B. A licensee who claims a disability under subsection (A)(3) shall submit with the waiver request a written verification of the disability by a licensed physician.

History

• Adopted effective September 12, 1996 (Supp. 96-3). Amended by final rulemaking at 12 A.A.R. 968, effective May 6, 2006 (Supp. 06-1).

Ariz. Admin. Code § R4-45-213 [Repealed]

History

• Adopted effective September 12, 1996 (Supp. 96-3). Amended by final rulemaking at 12 A.A.R. 968, effective May 6, 2006 (Supp. 06-1). Amended by final rulemaking at 14 A.A.R. 832, effective May 3, 2008 (Supp. 08-1). Repealed by final rulemaking at 22 A.A.R. 2181, effective 10/2/2016.

Ariz. Admin. Code § R4-45-214 Standards of Professional Conduct

Conduct or practice that is contrary to recognized standards of ethics of the respiratory therapy profession, as used in A.R.S. § 32-3501(10)(i), includes the following:

1. Engaging in the practice of respiratory care in a manner that harms or may harm a patient or that the Board determines falls below the community standard;

2. Procuring or attempting to procure by fraud or misrepresentation a license or renewal of a license to practice respiratory care;

3. Violating a formal order, condition of probation, or stipulation issued by the Board, another regulatory entity of any state, or a court of law;

4. Obtaining a fee by fraud, deceit, or misrepresentation;

5. Falsely claiming attendance at an approved continuing education to meet license renewal requirements;

6. Endangering a patient's or the public's physical or emotional health or safety or engaging in conduct or practice that may reasonably be expected to do so;

7. Engaging in sexual intimacies with a patient unless the sexual intimacies were initiated before the practitioner-patient relationship was established;

8. Committing an act of sexual abuse, misconduct, harassment, or exploitation;

9. Acting in a manner that the Board determines, based on community standards, constitutes incompetence, gross negligence, repeated negligence, or negligence that results in harm or death of a patient;

10. Abandoning or neglecting a patient, including leaving a respiratory therapy assignment before properly advising supervisory personnel;

11. Failing to report for scheduled duty without properly advising supervisory personnel;

12. Using or being under the influence of alcohol, illegal drugs or substances, or drugs or substances that impair judgment, while on duty in any health care work location;

13. Impersonating another licensed practitioner;

14. Knowingly employing, directing, or supervising an individual in the performance of respiratory care who is not authorized to practice respiratory care;

15. Violating the confidentiality of information concerning a patient;

16. Inaccurately recording, falsifying, or altering a patient record, including a patient chart or medication administration record;

Misrepresenting or omitting a fact on an application for employment as a respiratory care practitioner;

Retaliating against any person who reports in good faith to the Board alleged incompetence or illegal or unethical conduct of any practitioner;

19. Using, removing, or possessing property that belongs to an individual or entity without authorization;

20. Threatening the physical health or safety of a Board member or the Board's staff; and

21. Knowingly exceeding the scope of practice for a respiratory care practitioner at any health care location as the scope of practice is defined by the entity responsible for that health care location.

History

• Adopted effective September 12, 1996 (Supp. 96-3). Amended by final rulemaking at 5 A.A.R. 1110, effective March 22, 1999 (Supp. 99-1). Amended by final rulemaking at 12 A.A.R. 968, effective May 6, 2006 (Supp. 06-1). Amended by final rulemaking at 14 A.A.R. 832, effective May 3, 2008 (Supp. 08-1). Amended by final rulemaking at 14 A.A.R. 3430, effective October 4, 2008 (Supp. 08-3).

Ariz. Admin. Code § R4-45-215 Procedures for Processing Initial License Applications; Time-frames

A. For the purpose of A.R.S. § 41-1073, the Board establishes the following licensing time-frames for an initial license application:

1. Administrative completeness review time-frame: 15 days;

2. Substantive review time-frame: 90 days;

3. Overall time-frame: 105 days.

B. The administrative completeness review time-frame listed in subsection (A)(1) begins on the date the Board receives a license application package. During the administrative completeness review time-frame, the Board shall notify the applicant that the package is either complete or incomplete. If the package is incomplete, the notice shall specify what information is missing.

C. An initial license application package is not complete until the Board receives the results of the state and federal criminal background check required at A.R.S. § 32-3504(A)(6), and the applicant fully complies with the requirements of R4-45-201, the applicable provisions of R4-45-202 through R4-45-206, and submits the fee prescribed in R4-45-102(A)(3).

D. An applicant with an incomplete license application package shall supply the missing information within 210 days from the date of the notice. Both the administrative completeness review and overall time-frames are suspended from the date of the Board's notice until the date that the Board office receives all missing information.

E. Upon receipt of all missing information, the Board shall notify the applicant that the license application package is complete. The Board shall not send a separate notice of completeness if the Board grants or denies a license within the administrative completeness review time-frame in subsection (A)(1).

F. If an applicant fails to submit the missing information within the 210 days provided under subsection (D), the Board shall close the applicant's file. An applicant whose file is closed and who later wishes to be licensed, shall apply anew.

G. The substantive review time-frame listed in subsection (A)(2) begins on the date of the Board's notice of administrative completeness.

H. If the Board determines during the substantive review that additional information is needed, the Board shall send the applicant a comprehensive written request for the additional information. Both the substantive review and overall time-frames are suspended from the date on the Board's request until the date that the Board office receives the additional information.

I. Within the time listed in subsection (A)(3), the Board shall grant or deny a license.

J. If the Board denies a license, the Board shall send the applicant a written notice explaining:

1. The reason for denial, with citations to supporting statutes or rules;

The applicant's right to seek a fair hearing to challenge the denial; and

3. The time period for appealing the denial.

History

• New Section adopted by final rulemaking at 5 A.A.R. 1110, effective March 22, 1999 (Supp. 99-1). Amended by final rulemaking at 12 A.A.R. 968, effective May 6, 2006 (Supp. 06-1).

Ariz. Admin. Code § R4-45-216 Procedures for Processing License Renewal or Reinstatement Applications; Time-frames

A. For the purposes of A.R.S. § 41-1073, the Board establishes the following licensing time-frames for renewal or reinstatement of a license:

1. Administrative completeness review time-frame: 7 days;

2. Substantive review time-frame: 60 days;

3. Overall time-frame: 67 days.

B. The administrative completeness review time-frame listed in subsection (A)(1) begins on the date the Board receives a license renewal application package. Within seven days of receiving a license renewal application package, the Executive Director shall notify the applicant that the license renewal application package is complete or incomplete. If the license renewal application package is incomplete, the Board's notice shall specify the missing information.

C. A license renewal application package is not complete until the applicant fully complies with R4-45-207 and R4-45-208.

D. The Board shall not send a notice of completeness if the Board renews the license within the administrative completeness time-frame in subsection (A)(1).

E. The Board shall substantively review a license renewal application package and grant or deny the renewal within 60 days from the postmark date of the completion notice as follows:

1. For an applicant who submits a license renewal application package before the applicant's existing license expires:

a. If the license renewal application package is complete, the Board shall renew the license; or

b. If the license renewal application package is incomplete and the applicant supplies the missing information before the existing license expires, the Board shall renew the license;

2. For an applicant with an incomplete license renewal application package who supplies the missing information within seven days after the date the applicant's license expires, or an applicant who submits a complete license renewal application package within seven days after the date that the applicant's license expires, the Executive Director shall review the applicant's compliance with A.R.S. § 32-3556. The Board shall notify the applicant of the Board requirement for a signed statement regarding whether the applicant violated A.R.S. § 32-3556 during the time that the applicant's license was expired. The applicant shall submit the required statement within seven days from the postmark date of the Board's notice. Upon receipt of a complete license renewal application package and the signed statement:

a. For an applicant who did not knowingly violate A.R.S. § 32-3556, the Board shall renew the license and issue a letter of concern within the substantive review time-frame;

b. For an applicant who knowingly violated A.R.S. § 32-3556, the Board shall:

i. Deny the renewal unless the applicant can demonstrate to the Board that no person was harmed by the violation, and the applicant understands the nature and consequences of the applicant's actions; or

ii. Require the applicant to appear before the Board, present evidence regarding the applicant's violation of A.R.S. § 32-3556, and enter into an agreement regarding discipline. The Board shall conditionally renew the applicant's license. The Board shall remove the condition when the applicant complies fully with the agreement;

3. An applicant with an incomplete license renewal application package who supplies the missing information more than seven days after the date the applicant's license expires, or an applicant who submits a complete license renewal application package more than seven days but less than two years after the date the applicant's license expires, is an applicant for reinstatement. The Executive Director shall review the applicant's compliance with A.R.S. § 32-3556. The Board shall notify the applicant of the Board requirement for a signed statement regarding whether the applicant violated A.R.S. § 32-3556. The applicant shall submit the required statement within seven days from the postmark date of the Board's notice. Upon receipt of the signed statement, the Board shall:

i. Deny the reinstatement unless the applicant can demonstrate to the Board that no person was harmed by the violation, and the applicant understands the nature and consequences of the applicant's actions; or

ii. Require the applicant to appear before the Board, present evidence regarding the applicant's violation of A.R.S. § 32-3556, and enter into an agreement regarding discipline. The Board shall conditionally reinstate the applicant's license. The Board shall remove the condition when the applicant complies fully with the agreement.

F. If the Board denies a license renewal or reinstatement, the Board shall send the applicant written notice explaining:

1. The reason for denial, with citations to supporting statutes or rules;

2. The applicant's right to seek a fair hearing to challenge the denial; and

3. The time period for appealing the denial.

History

• New Section adopted by final rulemaking at 5 A.A.R. 1110, effective March 22, 1999 (Supp. 99-1). Amended by final rulemaking at 12 A.A.R. 968, effective May 6, 2006 (Supp. 06-1).

Ariz. Admin. Code § R4-45-217 Appeal from Denial

A. If the Board denies a license, an applicant may make a written request for a hearing to review the denial. The applicant shall file the request with the Board within 30 days following service of notice of the denial. The request shall state specifically the reasons why the Board should review its decision. The Board shall schedule the hearing at its next meeting or at the first meeting that is convenient for all parties.

B. If an applicant who is denied a license does not request a hearing to review the denial or if the denial is affirmed, the Board shall administratively close the applicant's file. An individual who wishes to be considered for licensure after the individual's file is administratively closed shall reapply.

History

• New Section adopted by final rulemaking at 5 A.A.R. 1110, effective March 22, 1999 (Supp. 99-1). Amended by final rulemaking at 12 A.A.R. 968, effective May 6, 2006 (Supp. 06-1).

Ariz. Admin. Code § R4-45-218 Reinstatement Following Revocation; Modification of Probation

A. Under A.R.S. § 32-3554, a former licensee whose license is revoked may apply to the Board after one year to have the license reinstated. A licensee who is placed on probation may apply to the Board after one year to have the conditions of probation modified.

B. If a former licensee wishes to have a revoked license reinstated after the time stated in subsection (A), the former licensee shall meet the qualifications in A.R.S. § 32-3523(A) and comply with R4-45-201.

C. A licensee who is placed on probation shall comply with R4-45-207 while on probation. If the licensee wishes to have the conditions of probation modified after the time stated in subsection (A), the licensee shall submit to the Board:

1. A letter that contains the following information:

a. Name and address of licensee,

b. License number,

c. Date on which probation was imposed,

d. Reason that probation was imposed,

e. Conditions of probation,

f. Modification of conditions of probation requested, and

g. Reason a modification of conditions is warranted; and

Evidence that supports the request for modification of conditions.

D. The Board shall grant or deny a request for modification of conditions of probation based on its assessment of whether the licensee has complied with all conditions of probation and is able to practice respiratory care in a safe, skillful, and professional manner.

History

• New Section made by final rulemaking at 14 A.A.R. 3430, effective October 4, 2008 (Supp. 08-3). Amended by final rulemaking at 22 A.A.R. 2181, effective 10/2/2016.

Article 3 HEARINGS

Ariz. Admin. Code § R4-45-301 Hearing Procedures

The Board shall conduct all hearings, including those held under A.R.S. § 32-3553, according to the procedures in A.R.S. Title 41, Chapter 6, Article 10.

History

• Adopted effective September 12, 1996 (Supp. 96-3). Amended by final rulemaking at 12 A.A.R. 968, effective May 6, 2006 (Supp. 06-1). Amended by final rulemaking at 14 A.A.R. 832, effective May 3, 2008 (Supp. 08-1).

Ariz. Admin. Code § R4-45-302 Rehearing or Review of Decision

A. The Board shall provide for a rehearing and review of its decisions under A.R.S. Title 41, Chapter 6, Article 10 and the rules established by the Office of Administrative Hearings.

B. Except as provided in subsection (I), a party is required to file a motion for rehearing or review of a decision of the Board to exhaust the party's administrative remedies.

C. A party may amend a motion for rehearing or review at any time before the Board rules on the motion.

D. The Board may grant a rehearing or review for any of the following reasons materially affecting a party's rights:

1. Irregularity in the proceedings of the Board or any order or abuse of discretion that deprived the moving party of a fair hearing;

2. Misconduct of the Board, its staff, or an administrative law judge;

3. Accident or surprise that could not have been prevented by ordinary prudence;

4. Newly discovered evidence that could not, with reasonable diligence, have been discovered and produced at the hearing;

5. Excessive penalty;

6. Error in the admission or rejection of evidence or other errors of law occurring at the hearing or during the progress of the proceedings; or

7. The findings of fact or decision is not justified by the evidence or is contrary to law.

E. The Board may affirm or modify a decision or grant a rehearing or review to all or some of the parties on all or some of the issues for any of the reasons in subsection (D). An order modifying a decision or granting a rehearing or review shall specify with particularity the grounds for the order. If a rehearing or review is granted, the rehearing or review shall cover only the matters specified in the order.

F. Not later than 15 days after the date of a decision, and after giving the parties notice and an opportunity to be heard, the Board may, on its own initiative, order a rehearing or review of its decision for any reason it might have granted a rehearing or review on motion of a party. The Board may grant a motion for rehearing or review, timely served, for a reason not stated in the motion. An order granting a rehearing or review shall specify the grounds on which the rehearing or review is granted.

G. When a motion for rehearing or review is based upon affidavits, they shall be served with the motion. An opposing party may serve opposing affidavits within 15 days after service of the motion. This period may be extended by the Board for a maximum of 20 days for good cause as described in subsection (H) or upon written stipulation of the parties. Reply affidavits may be permitted.

H. The Board may extend all time limits listed in this Section upon a showing of good cause. A party demonstrates good cause by showing that the grounds for the party's motion or other action could not have been known in time, using reasonable diligence, and a ruling on the motion will:

1. Further administrative convenience, expedition, or economy; or

2. Avoid undue prejudice to any party.

I. If, in a particular decision, the Board makes a specific finding that the immediate effectiveness of the decision is necessary for preservation of the public health, safety, or welfare, the decision may be issued as a final decision without an opportunity for rehearing or review. If an application for judicial review of the decision is made, it shall be made under A.R.S. § 12-901 et seq.

History

• Adopted effective September 12, 1996 (Supp. 96-3). Amended by final rulemaking at 12 A.A.R. 968, effective May 6, 2006 (Supp. 06-1).

Chapter 46 DEPARTMENT OF INSURANCE AND FINANCIAL INSTITUTIONS - FINANCIAL INSTITUTIONS DIVISION, REAL ESTATE APPRAISAL

Article 1 GENERAL PROVISIONS

Ariz. Admin. Code § R4-46-101 Definitions

The definitions in A.R.S. §§ 32-3601, 32-3651, and 32-3661 apply to this Chapter. Additionally, unless the context otherwise requires, in this Chapter:

"Accredited" means approved by an accrediting agency recognized by the Council for Higher Education Accreditation or the U.S. Secretary of Education.

"Administrative law judge" has the meaning stated at A.R.S. § 41-1092(1).

"AMC" means appraisal management company as defined at A.R.S. § 32-3661.

"Appealable agency action" has the meaning stated at A.R.S. § 41-1092(3).

"Appraisal practice" means valuation services performed by an individual acting as an appraiser, including but not limited to an appraisal or appraisal review.

"Appraiser" means an individual, other than a property tax agent as defined at A.R.S. § 32-3651, registered, licensed, or certified by the Department to complete valuation assignments regarding real estate competently in a manner that is independent, impartial, and objective.

"AQB" means the Appraisal Qualifications Board as defined at A.R.S. § 32-3601.

"Assignment" means the valuation service that an appraiser provides as a consequence of an agreement between the appraiser and a client.

"Classroom education" means appraisal education delivered in a setting where there is no geographical separation between the instructor and student.

"Complaint" means a written allegation against a party.

"Conditional dismissal" means an agreement which allows the Director to dismiss the complaint upon the respondent's completion of a Department specified continuing education course.

"Contested case" has the meaning stated at A.R.S. § 41-1001(6).

"Conviction" means a judgment by any state or federal court of competent jurisdiction in a criminal case, regardless of whether an appeal is pending or could be taken, and includes any judgment or order based on a plea of no contest.

"Course owner" means a person or a combination of persons that own the proprietary rights to a course. A course owner may have developed the course or may have purchased the proprietary rights to the course.

"Department" has the meaning stated at A.R.S. § 6-101(5).

"Director" has the meaning stated at A.R.S. § 6-101(7).

"Disciplinary action" means any regulatory sanction imposed by the Director, other than remedial action imposed through a letter of remedial action, and may include corrective education, a civil money penalty, restriction on the nature and scope of the respondent's practice, monitoring, probation, mentorship, suspension, revocation, or an acceptance of surrender of a license or certificate or a combination of the above.

"Distance education" means appraisal education delivered in a setting in which the learner and instructor are geographically separated.

"Federally Regulated Appraisal Management Company" has the meaning stated at A.R.S. § 32-3661(9).

"Investigation" means a fact-finding process and review that is initiated when the Department receives a complaint.

"Investigator" means an individual who is a Department employee or operates under a contract with the Department to carry out investigations of alleged violations.

"Jurisdictional criteria" means the statutory standards of A.R.S. §§ 6-123, 6-124, and A.R.S. Title 32, Chapter 36, used by the Department to determine whether a complaint falls within its jurisdiction.

"Letter of concern" means a non-disciplinary advisory letter to notify a respondent that the finding of the Director does not warrant disciplinary action, but is nonetheless cause for concern and that its continuation may result in disciplinary action.

"Letter of remedial action" means a non-disciplinary letter that requires a respondent to take remedial action when any minor violation of A.R.S. Title 32, Chapter 36 or this Chapter is found.

"Mentor" means a certified appraiser authorized by the Department to supervise the work product of an appraiser who is subject to disciplinary action by the Director.

"Party" means each person or agency named or admitted as a party or properly seeking and entitled to participate in any proceeding.

"Person" means a natural person or any legal or commercial entity including a corporation, business trust, estate, trust, partnership, limited partnership, joint venture, association, limited liability company, limited liability partnership, or limited liability limited partnership.

"Probation" means a term of oversight by the Department, imposed upon a respondent as part of a disciplinary action, which may include submission of logs, working under the supervision of a mentor, or other conditions intended to protect the public and educate the respondent.

"Property Tax Agent" has the meaning stated at A.R.S. § 32-3651(3).

"Remedial action" means any corrective remedy that is designed to assist the respondent in improving the respondent's professional practice.

"Respondent" means an appraiser, course owner, property tax agent, or appraisal management company against whom a complaint has been filed or any other party responding to an investigation, an action, a motion or a proceeding before the Director.

"Secondary provider" means a person that purchases or otherwise lawfully acquires the right to provide a course independently of the course owner that retains proprietary rights to the course.

"USPAP" means the Uniform Standards of Professional Appraisal Practice, issued and updated by The Appraisal Foundation and made state law under A.R.S. § 32-3610.

"Work file" means the documentation necessary to support the analysis, opinions, and conclusions of an appraisal assignment or tax appeal.

History

• Adopted effective December 29, 1995 (Supp. 95-4). Amended effective October 1, 1998; filed in the Office of the Secretary of State September 10, 1998 (Supp. 98-3). Amended by final rulemaking at 11 A.A.R. 1880, effective May 3, 2005 (Supp. 05-2). Amended by final rulemaking at 11 A.A.R. 2018, effective July 2, 2005 (Supp. 05-2). Amended by final rulemaking at 13 A.A.R. 1381, effective June 2, 2007 (Supp. 07-2). Amended by final rulemaking at 14 A.A.R. 1434, effective May 31, 2008 (Supp. 08-2). Amended by Final rulemaking at 21 A.A.R. 1675, effective 10/6/2015. Amended by final rulemaking at 25 A.A.R. 1139, effective 6/10/2019. Amended by final rulemaking at 28 A.A.R. 893, effective 6/11/2022.

Ariz. Admin. Code § R4-46-102 Powers of Director

A. The Director may appoint advisory committees the Director deems appropriate. The committees shall make advisory recommendations which may be accepted, rejected, or modified at the Director's discretion.

B. Under the authority provided by A.R.S. § 32-3605(B), the Director may designate, train, and supervise volunteer licensees to conduct compliance audits of approved courses under Section R4-46-508.

History

• Adopted effective December 29, 1995 (Supp. 95-4). Amended by Final rulemaking at 21 A.A.R. 1675, effective 10/6/2015. Amended by final rulemaking at 28 A.A.R. 893, effective 6/11/2022.

Ariz. Admin. Code § R4-46-103 [Repealed]

History

• Adopted effective December 29, 1995 (Supp. 95-4). Amended effective October 1, 1998; filed in the Office of the Secretary of State September 10, 1998 (Supp. 98-3). Amended by Final rulemaking at 21 A.A.R. 1675, effective 10/6/2015. Repealed by final rulemaking at 25 A.A.R. 1139, effective 6/10/2019.

Ariz. Admin. Code § R4-46-104 Repealed

History

• Adopted effective December 29, 1995 (Supp. 95-4). Amended effective October 1, 1998; filed in the Office of the Secretary of State September 10, 1998 (Supp. 98-3). Section repealed by final rulemaking at 13 A.A.R. 1388, effective June 2, 2007 (Supp. 07-2).

Ariz. Admin. Code § R4-46-105 Repealed

History

• Adopted effective December 29, 1995 (Supp. 95-4). Section repealed by final rulemaking at 13 A.A.R. 1388, effective June 2, 2007 (Supp. 07-2).

Ariz. Admin. Code § R4-46-106 Fees

A. Under the specific authority provided by A.R.S. §§ 32-3607, 32-3619, and 32-3667, the Director establishes and shall collect the following fees:

1. Application for original license or certificate: $400.

2. Application for registration as a trainee appraiser: $300.

3. Examination: The amount established by the AQB-approved examination provider.

4. Biennial renewal of a license or certificate: $425.

5. Renewal of registration as a trainee appraiser: $300.

6. Delinquent renewal (in addition to the renewal fee): $25.

7. National Registry: The amount established by the Appraisal Subcommittee.

8. Application for license or certificate by reciprocity: $400.

9. Application for non-resident temporary license or certificate: $150.

10. Course approval:

a. Core-curriculum qualifying education

i. Initial course approval: $200.

ii. Renewal of course approval: $200.

b. Continuing education

i. Initial course approval: $200.

ii. Renewal of course approval: $200.

11. Application for initial registration as an appraisal management company: $2,500.

12. Biennial renewal of registration as an appraisal management company: $2,500.

B. The fees established in subsection (A) and those specified in A.R.S. § 32-3652 are not refundable unless the provisions of A.R.S. § 41-1077 apply.

C. A person shall pay fees by cash or credit or debit card, or by certified or cashier's check, or money order payable to the Department of Insurance and Financial Institutions.

History

• Adopted effective December 29, 1995 (Supp. 95-4). Amended effective October 1, 1998; filed in the Office of the Secretary of State September 10, 1998 (Supp. 98-3). Amended by final rulemaking at 14 A.A.R. 225, effective March 8, 2008 (Supp. 08-1). Amended by final rulemaking at 17 A.A.R. 2605, effective December 6, 2011 (Supp. 11-4). Amended by exempt rulemaking at 19 A.A.R. 4023, effective November 21, 2013. Amended by Final rulemaking at 21 A.A.R. 1675, effective 10/6/2015. Amended by final rulemaking at 25 A.A.R. 1139, effective 6/10/2019. Amended by final rulemaking at 28 A.A.R. 893, effective 6/11/2022.

Ariz. Admin. Code § R4-46-107 Procedures for Processing Applications

A. To comply with A.R.S. Title 41, Chapter 6, Article 7.1, the following time-frames are established for processing applications for registration, licensure, certification, and designation, including renewal applications, and applications for course approval:

1. The Department shall notify the applicant within 60 days after receipt of the application that it is either administratively complete or incomplete. If the application is incomplete, the Department shall specify in the notice what information is missing.

2. A final decision shall be rendered not later than 60 days after the applicant successfully completes all requirements in statute or this Chapter.

3. The overall time-frame for action is 120 days, 60 days for administrative completeness review and 60 days for substantive review.

B. An applicant whose application is incomplete shall supply the missing information within 60 days after the date of the notice unless the time-frame is extended by mutual agreement. The administrative completeness review time-frame stops running on the date of the Department's written notice of an incomplete application and resumes when the Department receives a complete application. If the applicant fails to submit a complete application within the specified time limit, the Department may reject the application and close the file. An applicant may reapply.

C. If the Director denies registration, licensure, certification, designation, or course approval to an applicant, the Department shall send the applicant written notice explaining:

1. The reason for denial, with citations to supporting statutes or rules,

The applicant's right to seek a hearing to appeal the denial, and

3. The time for appealing the denial.

History

• Adopted by Final rulemaking at 21 A.A.R. 1675, effective 10/6/2015. Amended by final rulemaking at 25 A.A.R. 1139, effective 6/10/2019. Amended by final rulemaking at 28 A.A.R. 893, effective 6/11/2022.

Article 2 REGISTRATION, LICENSURE, AND CERTIFICATION AS AN APPRAISER

Ariz. Admin. Code § R4-46-201 Appraiser Qualification Criteria

A. Classifications. As specified in A.R.S. § 32-3612, Arizona recognizes five classifications of appraisers. These classifications are:

1. Registered trainee appraiser,

2. State licensed real estate appraiser,

3. State certified residential real estate appraiser,

4. State certified general real estate appraiser, and

5. Designated supervisory appraiser.

B. Qualification criteria. Except as provided elsewhere in this Article, an applicant for an original or renewal of a registration, licensure, certification, or designation shall meet the classification-specific qualification criteria established and updated January 1, 2022 by the AQB, which is incorporated by reference. A copy of the incorporated materials is on file with the Department and may be obtained from the Department or the Appraisal Foundation. This rule does not incorporate any later date or edition of this material.

C. Regardless of whether a transaction is federally related:

A state licensed residential appraiser is limited to the scope of practice in A.R.S. § 32-3612(3), and

2. A state certified residential appraiser is limited to the scope of practice in A.R.S. § 32-3612(2).

D. If an applicant for registration, licensure, or certification meets the qualification criteria prescribed in A.R.S. Title 32, Chapter 36 and this Article, including evidence that the applicant has applied for a valid fingerprint clearance card pursuant to A.R.S. § 32-3620(B) and has submitted the application and the biennial National Registry fees specified in Section R4-46-106, the registration, license, or certificate that entitles the applicant to practice within the appropriate scope specified in A.R.S. § 32-3612 for the term specified in A.R.S. § 32-3616 shall be issued.

History

• Amended by exempt rulemaking at 19 A.A.R. 4023, effective November 21, 2013. Amended by final rulemaking at 25 A.A.R. 1139, effective 6/10/2019. Amended by final rulemaking at 28 A.A.R. 893, effective 6/11/2022.

Ariz. Admin. Code § R4-46-201.01 Application for Designation as a Supervisory Appraiser; Supervision of a Registered Trainee Appraiser

A. An individual who wishes to act as a supervisory appraiser for a registered trainee appraiser shall:

1. Apply for and obtain designation as a supervisory appraiser before providing supervision to a registered trainee appraiser,

2. Have been state certified for at least three years, and

3. Apply for designation under A.R.S. § 32-3614.02.

B. To apply for designation as a supervisory appraiser, a certified appraiser shall submit to the Department:

1. An application for designation;

2. A statement whether the applicant for designation has been disciplined in any jurisdiction in the last three years in a manner that affects the applicant's eligibility to engage in appraisal practice and if so, the name of the jurisdiction, date of the discipline, circumstances leading to the discipline, and date when the discipline was completed;

3. Evidence that the applicant for designation completed a training course that complies with the course content established by the AQB and that is specifically oriented to the requirements and responsibilities of supervisory and trainee appraisers;

4. A signed affirmation that the applicant for designation will comply with the USPAP Competency Rule for the property type and geographic location in which the supervision will be provided; and

5. Any other information and documentation that is necessary to meet the qualification criteria established and updated by the AQB.

C. Supervision requirements:

1. A registered trainee appraiser may have more than one designated supervisory appraiser.

2. A designated supervisory appraiser shall not supervise more than three registered trainee appraisers at any one time.

3. A registered trainee appraiser shall maintain a separate appraisal log for each designated supervisory appraiser and, at a minimum, include the following in each log for each appraisal:

a. Type of property,

b. Date of report,

c. Address of appraised property,

d. Description of work performed by the registered trainee appraiser,

e. Scope of review and supervision provided by the designated supervisory appraiser,

f. Number of actual work hours worked by the registered trainee appraiser on the assignment, and

g. Signature and state certificate number of the designated supervisory appraiser.

4. A designated supervisory appraiser shall provide to the Department in writing the name and address of each registered trainee appraiser within 10 days of engagement and notify the Department in writing within 10 days when the engagement ends.

5. If a registered trainee appraiser or designated supervisory appraiser fails to comply with the applicable requirements of this Section:

a. The registered trainee appraiser or the designated supervisory appraiser may be subject to disciplinary action under A.R.S. § 32-3631(A)(8), and

b. The registered trainee appraiser shall not receive experience credit for hours logged during the period that the registered trainee appraiser or designated supervisory appraiser failed to comply with the applicable requirements of this Section.

The Director may decline the experience credit hours logged during any period that the registered trainee appraiser or designated supervisory appraiser failed to comply with this Section. The registered trainee appraiser and designated supervisory appraiser shall provide documentation and justification of the non-compliance for review by the Director.

History

• New section made by exempt rulemaking at 19 A.A.R. 4023, effective November 21, 2013. Amended by final rulemaking at 25 A.A.R. 1139, effective 6/10/2019. Amended by final rulemaking at 28 A.A.R. 893, effective 6/11/2022. Amended by final rulemaking at 30 A.A.R. 3515, effective 1/5/2025.

Ariz. Admin. Code § R4-46-202 [Repealed]

History

• Adopted effective December 29, 1995 (Supp. 95-4). Amended effective October 1, 1998; filed in the Office of the Secretary of State September 10, 1998 (Supp. 98-3). Amended by final rulemaking at 6 A.A.R. 768, effective February 3, 2000 (Supp. 00-1). Amended by final rulemaking at 11 A.A.R. 1880, effective May 3, 2005 (Supp. 05-2). Amended by final rulemaking at 13 A.A.R. 1381, effective June 2, 2007 (Supp. 07-2). Amended by exempt rulemaking at 19 A.A.R. 4023, effective November 21, 2013. Repealed by final rulemaking at 25 A.A.R. 1139, effective 6/10/2019.

Ariz. Admin. Code § R4-46-202.01 Application for Licensure or Certification by Reciprocity

A. To be eligible to obtain a license or certify an individual certificate by reciprocity in the same classification, as specified in Section R4-46-201(A), in which an individual is currently licensed or certified, the individual shall submit:

1. Evidence that the applicant is licensed or certified in a state that meets the standards established at A.R.S. § 32-3618;

2. A completed application form;

3. Disclosure of the state(s) in which the individual is currently licensed or certified;

Has the state in which the individual is currently licensed or certified send a verification of credential directly to the Superintendent that provides the following information:

a. License or certification number;

b. Classification, as specified in R4-46-201(A), in which the individual is currently licensed or certified;

c. Statement of whether the license or certificate is in good standing; and

d. Statement of whether disciplinary proceedings are pending against the individual;

Evidence that the individual has applied for a valid fingerprint clearance card pursuant to A.R.S. § 32-3620(B); and

5. The application and biennial National Registry fees specified under Section R4-46-106.

6. Submits the application and biennial National Registry fees specified in R4-46-106 .

B. The Department shall verify the following information:

1. License or certification number;

Classification, as specified in Section R4-46-201(A), in which the individual is currently licensed or certified; and

3. Whether the license or certificate is in good standing.

History

• New section made by exempt rulemaking at 19 A.A.R. 4023, effective November 21, 2013. Amended by final rulemaking at 25 A.A.R. 1139, effective 6/10/2019. Amended by final rulemaking at 28 A.A.R. 893, effective 6/11/2022.

Ariz. Admin. Code § R4-46-203 Application for Non-resident Temporary Licensure or Certification

A. To be eligible to obtain a non-resident temporary license or certificate, an individual shall:

1. Be licensed or certified as an appraiser in a state other than Arizona;

Not be licensed or certified as an appraiser in Arizona; and

3. Have a dated and signed letter from a client that names the individual and indicates the client has engaged the individual to conduct an appraisal in Arizona, identifies the property or properties to be appraised, and specifies a date certain for completion of the assignment that is no more than one year from the date on which the Director issues a non-resident temporary license or certificate.

B. To apply for a non-resident temporary license or certificate, an individual who meets the pre-requisites in subsection (A) shall submit:

1. A completed application form;

2. An irrevocable consent to service of process;

Evidence that the applicant has applied for a valid fingerprint clearance card pursuant to A.R.S. § 32-3620(B); and

4. The application fee specified under Section R4-46-106.

5. The fee required under R4-46-106 .

C. The Director shall grant an extension of no more than 120 days to an individual to whom a non-resident temporary license or certificate has been issued if the individual provides written notice before the date specified in subsection (A)(3) that more time is needed to complete the assignment described in subsection (A)(3).

D. An appraiser to whom a non-resident temporary license or certificate has previously been issued may, if qualified under subsection (A), apply for another non-resident temporary license or certificate by complying with subsection (B), except the the applicant is not required to comply again with subsection (B)(3) unless the card has expired, or is suspended or cancelled.

E. The Director shall issue no more than 10 non-resident temporary licenses or certificates to an individual in any 12-month period.

History

• New section made by exempt rulemaking at 19 A.A.R. 4023, effective November 21, 2013. Amended by final rulemaking at 25 A.A.R. 1139, effective 6/10/2019. Amended by final rulemaking at 28 A.A.R. 893, effective 6/11/2022.

Ariz. Admin. Code § R4-46-204 Licensure and Certification Examinations

A. An applicant for licensure or certification may schedule an examination after the Department provides written notice to the applicant, to the extent written notice is required by the AQB. In such case, an applicant shall have 90 days from the written notice to successfully complete the AQB-approved examination for the classification for which application is made unless the timeframe is extended by mutual agreement.

B. An applicant for licensure or certification who fails to pass the required examination or fails to appear for a scheduled examination may schedule another examination by providing written notice to the Superintendent and paying the examination fee specified in R4-46-106 . The applicant remains subject to the specified time limit in subsection (A) or in R4-46-107, as applicable.

History

• Amended by exempt rulemaking at 19 A.A.R. 4023, effective November 21, 2013. Amended by final rulemaking at 25 A.A.R. 1139, effective 6/10/2019. Amended by final rulemaking at 28 A.A.R. 893, effective 6/11/2022.

Ariz. Admin. Code § R4-46-205 [Repealed]

History

• Adopted effective December 29, 1995 (Supp. 95-4). R4- 46-205 renumbered to R4-46-206; new Section R4-46- 205 renumbered from R4-46-204 and amended effective October 1, 1998; filed in the Office of the Secretary of State September 10, 1998 (Supp. 98-3). Amended by final rulemaking at 13 A.A.R. 1381, effective June 2, 2007 (Supp. 07-2). Amended by exempt rulemaking at 19 A.A.R. 4023, effective November 21, 2013. Repealed by final rulemaking at 25 A.A.R. 1139, effective 6/10/2019.

Ariz. Admin. Code § R4-46-206 [Repealed]

History

• Adopted effective December 29, 1995 (Supp. 95-4). R4- 46-206 renumbered to R4-46-207; new Section R4-46- 206 renumbered from R4-46-205 and amended effective October 1, 1998; filed in the Office of the Secretary of State September 10, 1998 (Supp. 98-3). Amended by final rulemaking at 11 A.A.R. 1880, effective May 3, 2005 (Supp. 05-2). Amended by final rulemaking at 13 A.A.R. 1381, effective June 2, 2007 (Supp. 07-2). Repealed by exempt rulemaking at 19 A.A.R. 4023, effective November 21, 2013.

Ariz. Admin. Code § R4-46-207 [Repealed]

History

• Adopted effective December 29, 1995 (Supp. 95-4). R4- 46-207 renumbered to R4-46-209; new Section R4-46- 207 renumbered from R4-46-206 and amended effective October 1, 1998; filed in the Office of the Secretary of State September 10, 1998 (Supp. 98-3). Amended by final rulemaking at 11 A.A.R. 1880, effective May 3, 2005 (Supp. 05-2). Amended by final rulemaking at 13 A.A.R. 1381, effective June 2, 2007 (Supp. 07-2) Amended by exempt rulemaking at 19 A.A.R. 4023, effective November 21, 2013. Repealed by final rulemaking at 25 A.A.R. 1139, effective 6/10/2019.

Ariz. Admin. Code § R4-46-209 Registration, License, or Certificate; Name Change; Conviction and Judgment Disclosure

A. If the name of an appraiser is legally changed, the appraiser shall submit written notice of the change to the Department and provide documentation showing the circumstances under which the name change occurred. A new registration, license, or certificate with the correct name shall be issued.

B. Within 30 days after the filing date of a criminal conviction in any jurisdiction, an appraiser or property tax agent who has been convicted shall report the conviction to the Department. The report shall include a copy of the initial indictment, information or complaint filed, the final judgment entered by the court, and all other relevant legal documents.

C. Within 30 days after the final disposition of a matter, an appraiser or property tax agent shall report to the Department any civil judgment based on fraud, misrepresentation, or deceit in the making of any appraisal entered against the appraiser or property tax agent.

History

• Amended by exempt rulemaking at 19 A.A.R. 4023, effective November 21, 2013. Amended by final rulemaking at 25 A.A.R. 1139, effective 6/10/2019. Amended by final rulemaking at 28 A.A.R. 893, effective 6/11/2022.

Ariz. Admin. Code § R4-46-210 Repealed

History

• R4-46-210 renumbered from R4-46-208 and amended effective October 1, 1998; filed in the Office of the Secretary of State September 10, 1998 (Supp. 98-3). Section repealed by final rulemaking at 13 A.A.R. 1381, effective June 2, 2007 (Supp. 07-2)

Article 3 COMPLAINT INVESTIGATIONS

Ariz. Admin. Code § R4-46-301 Complaints and Investigations; Complaint Resolution

A. Complaints and Investigations

1. The Department shall investigate a complaint, if the complaint meets the minimum jurisdictional criteria.

2. The Department may notify the respondent of a complaint.

3. The Department may require that the respondent file a written response to the complaint and provide any one or more of the following:

a. Appraisal report,

b. Appraisal review,

c. Consulting assignment,

d. Property tax appeal at issue,

e. Work file, and

f. Any other relevant records.

4. The Department may assign or contract with an investigator.

5. Under A.R.S. §§ 6-123(3), 6-124, 12-2212, and 32-3631(C), the Director may compel testimony or document production, regardless of whether an investigation is in process.

B. Complaint Resolution

1. Without limiting any other remedy allowed by statute, if the Director finds a violation of A.R.S. Title 32, Chapter 36, or this Chapter, the Director may:

a. Dismiss the matter based upon mitigating factors;

b. Issue a letter of concern;

c. Issue an order, which may include disciplinary action and/or remedial action; or

d. Resolve the matter by settlement.

2. Any time after a complaint has been filed against a respondent, the matter may be resolved by a settlement in which the respondent agrees to accept disciplinary action and/or remedial action by consent. If the Director determines that the proposed settlement will adequately protect the public, the Director may issue a letter of remedial action, or enter into another form of stipulation, agreed settlement, or consent with the respondent. The Director may also allow for a conditional dismissal.

History

• Adopted effective December 29, 1995 (Supp. 95-4). Amended effective October 1, 1998; filed in the Office of the Secretary of State September 10, 1998 (Supp. 98-3). Amended by final rulemaking at 11 A.A.R. 2018, effective July 2, 2005 (Supp. 05-2). Amended by final rulemaking at 13 A.A.R. 1388, effective June 2, 2007 (Supp. 07-2). Amended by final rulemaking at 25 A.A.R. 1139, effective 6/10/2019. Amended by final rulemaking at 28 A.A.R. 893, effective 6/11/2022.

Article 3.1 [Repealed]

Ariz. Admin. Code § R4-46-301.01 [Repealed]

History

• Adopted by final rulemaking at 25 A.A.R. 1139, effective 6/10/2019. Amended by final rulemaking at 28 A.A.R. 893, effective 6/11/2022. Repealed by final rulemaking at 28 A.A.R. 3617, effective 1/1/2023.

Article 3 COMPLAINT INVESTIGATIONS

Ariz. Admin. Code § R4-46-302 [Repealed]

History

• Adopted effective December 29, 1995 (Supp. 95-4). R4-46-302 repealed; new Section R4-46-302 renumbered from R4-46-303 and amended effective October 1, 1998; filed in the Office of the Secretary of State September 10, 1998 (Supp. 98-3). Amended by final rulemaking at 11 A.A.R. 2018, effective July 2, 2005 (Supp. 05-2). Amended by final rulemaking at 13 A.A.R. 1388, effective June 2, 2007 (Supp. 07-2). Repealed by final rulemaking at 25 A.A.R. 1139, effective 6/10/2019.

Article 3.1 [Repealed]

Ariz. Admin. Code § R4-46-302.01 [Repealed]

History

• Adopted by final rulemaking at 25 A.A.R. 1139, effective 6/10/2019. Amended by final rulemaking at 28 A.A.R. 893, effective 6/11/2022. Repealed by final rulemaking at 28 A.A.R. 3617, effective 1/1/2023.

Article 3 COMPLAINT INVESTIGATIONS

Ariz. Admin. Code § R4-46-303 [Repealed]

History

• Adopted effective December 29, 1995 (Supp. 95-4). R4-46-303 renumbered to R4-46-302; new Section R4-46-303 renumbered from R4-46-304 and amended effective October 1, 1998; filed in the Office of the Secretary of State September 10, 1998 (Supp. 98-3). Amended by final rulemaking at 11 A.A.R. 2018, effective July 2, 2005 (Supp. 05-2). Repealed by final rulemaking at 25 A.A.R. 1139, effective 6/10/2019.

Article 3.1 [Repealed]

Ariz. Admin. Code § R4-46-303.01 [Repealed]

History

• Adopted by final rulemaking at 25 A.A.R. 1139, effective 6/10/2019. Amended by final rulemaking at 28 A.A.R. 893, effective 6/11/2022. Repealed by final rulemaking at 28 A.A.R. 3617, effective 1/1/2023.

Article 3 COMPLAINT INVESTIGATIONS

Ariz. Admin. Code § R4-46-304 [Repealed]

History

• Adopted effective December 29, 1995 (Supp. 95-4). R4-46-304 renumbered to R4-46-303; new Section R4-46-304 renumbered from R4-46-305 and amended effective October 1, 1998; filed in the Office of the Secretary of State September 10, 1998 (Supp. 98-3). Amended by final rulemaking at 13 A.A.R. 1388, effective June 2, 2007 (Supp. 07-2). Repealed by final rulemaking at 25 A.A.R. 1139, effective 6/10/2019.

Article 3.1 [Repealed]

Ariz. Admin. Code § R4-46-304.01 [Repealed]

History

• Adopted by final rulemaking at 25 A.A.R. 1139, effective 6/10/2019. Amended by final rulemaking at 28 A.A.R. 893, effective 6/11/2022. Repealed by final rulemaking at 28 A.A.R. 3617, effective 1/1/2023.

Article 3 COMPLAINT INVESTIGATIONS

Ariz. Admin. Code § R4-46-305 [Repealed]

History

• Adopted effective December 29, 1995 (Supp. 95-4). R4-46-305 repealed; new Section R4-46-305 renumbered from R4-46-306 and amended effective October 1, 1998; filed in the Office of the Secretary of State September 10, 1998 (Supp. 98-3). Amended by final rulemaking at 13 A.A.R. 1388, effective June 2, 2007 (Supp. 07-2). Repealed by final rulemaking at 25 A.A.R. 1139, effective 6/10/2019.

Article 3.1 [Repealed]

Ariz. Admin. Code § R4-46-305.01 [Repealed]

History

• Adopted by final rulemaking at 25 A.A.R. 1139, effective 6/10/2019. Amended by final rulemaking at 28 A.A.R. 893, effective 6/11/2022. Repealed by final rulemaking at 28 A.A.R. 3617, effective 1/1/2023.

Article 3 COMPLAINT INVESTIGATIONS

Ariz. Admin. Code § R4-46-306 [Repealed]

History

• Adopted effective December 29, 1995 (Supp. 95-4). R4-46-306 renumbered to R4-46-305 effective October 1, 1998; filed in the Office of the Secretary of State September 10, 1998 (Supp. 98-3). Amended by final rulemaking at 11 A.A.R. 2018, effective July 2, 2005 (Supp. 05-2). Amended by final rulemaking at 13 A.A.R. 1388, effective June 2, 2007 (Supp. 07-2). Repealed by final rulemaking at 25 A.A.R. 1139, effective 6/10/2019.

Article 3.1 [Repealed]

Ariz. Admin. Code § R4-46-306.01 [Repealed]

History

• Adopted by final rulemaking at 25 A.A.R. 1139, effective 6/10/2019. Amended by final rulemaking at 28 A.A.R. 893, effective 6/11/2022. Repealed by final rulemaking at 28 A.A.R. 3617, effective 1/1/2023.

Ariz. Admin. Code § R4-46-307.01 [Repealed]

History

• Adopted by final rulemaking at 25 A.A.R. 1139, effective 6/10/2019. Amended by final rulemaking at 28 A.A.R. 893, effective 6/11/2022. Repealed by final rulemaking at 28 A.A.R. 3617, effective 1/1/2023.

Article 4 APPRAISAL MANAGEMENT COMPANIES

Ariz. Admin. Code § R4-46-401 Application for Initial Registration

A. Unless exempt under A.R.S. § 32-3663 or 12 USC § 3353(c), a person shall not engage in business as an AMC and shall not provide any appraisal management services unless registered with the Department.

B. To register under subsection (A), a person shall submit:

1. A registration application, which is available from the Department and on its website, and provide the information and certifications required under A.R.S. § 32-3662(B);

2. The name and contact information of the controlling person who will be the main contact for all communication between the Department and the AMC;

3. For the controlling person, each officer, and each individual who owns 10% or more of the AMC:

a. A copy of a fingerprint clearance card application under A.R.S. § 41-1758.03, and

b. The certification required under A.R.S. § § 32-3668(B)(3) or 32-3669(B)(1), as applicable;

4. Proof of the surety bond required under A.R.S. § 32-3667 and Section R4-46-402; and

5. The application fee specified under Section R4-46-106.

C. If an AMC operates in Arizona under more than one name, other than a DBA, the controlling person of the AMC shall ensure that a complete application, as described in subsection (B), is submitted in each name under which the AMC will operate. However, if an individual previously submitted a copy of a valid fingerprint clearance card application under subsection (B), the individual is not required to resubmit the fingerprint clearance card unless the card has expired, or is suspended, or cancelled.

History

• Adopted effective December 29, 1995 (Supp. 95-4). R4-46-401 amended effective October 1, 1998; filed in the Office of the Secretary of State September 10, 1998 (Supp. 98-3). Amended by final rulemaking at 5 A.A.R. 2734, effective July 21, 1999 (Supp. 99-3). Amended by final rulemaking at 6 A.A.R. 1577, effective April 4, 2000 (Supp. 00-2). Amended by final rulemaking at 7 A.A.R. 1373, effective March 7, 2001 (Supp. 01-1). Amended by final rulemaking at 8 A.A.R. 1951, effective April 3, 2002 (Supp. 02-2). Amended by final rulemaking at 9 A.A.R. 1603, effective May 6, 2003 (Supp. 03-2). Amended by final rulemaking at 10 A.A.R. 2677, effective June 8, 2004 (Supp. 04-2). Amended by final rulemaking at 11 A.A.R. 475, effective January 4, 2005 (Supp. 05-1). Amended by final rulemaking at 12 A.A.R. 2186, effective July 1, 2006 (Supp. 06-2). Amended by final rulemaking at 14 A.A.R. 31, effective December 4, 2007 (Supp. 07-4). Amended by final rulemaking at 16 A.A.R. 1992, effective September 14, 2010 (Supp. 10-3). Adopted by Final rulemaking at 21 A.A.R. 1675, effective 10/6/2015. Amended by final rulemaking at 25 A.A.R. 1139, effective 6/10/2019. Amended by final rulemaking at 28 A.A.R. 893, effective 6/11/2022.

Ariz. Admin. Code § R4-46-402 Bond Required

A. The surety bond required under A.R.S. § 32-3667 shall be in the amount of $20,000 and shall be issued by a surety company authorized to do business in Arizona.

B. The controlling person of a registered AMC shall ensure that the surety bond required under A.R.S. § 32-3667 requires the issuing surety company to provide written notice to the Department by registered or certified mail at least 30 days before the surety company cancels the bond and within 30 days after the surety company pays a loss under the bond.

C. The surety bond required under A.R.S. § 32-3667 is to be used exclusively to ensure that a registered AMC pays:

1. All amounts owed to persons that perform real estate appraisal services for the AMC, and

2. All amounts adjudged against the AMC as a result of either negligent or improper real property appraisal services or appraisal management services or of a breach of contract in performing real property appraisal services or appraisal management services.

D. The controlling person of a registered AMC shall ensure that the required surety bond is:

1. Maintained in the amount of $20,000;

2. Funded to $20,000 within seven days after being drawn down; and

3. Maintained for at least one year after the AMC's registration expires, is revoked or surrendered, or otherwise ends.

E. If the Department receives notice from the surety company of intent to cancel the required bond, the Department shall notify the controlling person of the AMC and require that the controlling person submit proof of a replacement bond before the existing bond is cancelled. Under A.R.S. § 32-3678, failure to maintain the required bond is grounds for disciplinary action.

F. If a registered AMC operates in Arizona under more than one name, other than a DBA, the controlling person shall ensure that a separate surety bond in the amount of $20,000 is maintained in each name.

G. If the name of a registered AMC is changed, the controlling person of the registered AMC shall ensure that a surety bond in the amount of $20,000 is:

1. Maintained in the former name for one year after the name is changed, and

Obtained in the registered AMC's new name.

H. A person damaged by a registered AMC's failure to pay an obligation listed in subsection (C) has a right of action against the surety bond. The damaged person shall begin the action in a court of competent jurisdiction within one year after the AMC failed to pay the amount owed or the amount adjudged against the AMC.

I. If the surety bond required under A.R.S. § 32-3667 is cancelled, liability of the issuing surety company is not limited or cancelled regarding any claim against the surety bond for actions by the AMC while the surety bond was in force.

History

• Adopted by Final rulemaking at 21 A.A.R. 1675, effective 10/6/2015. Amended by final rulemaking at 25 A.A.R. 1139, effective 6/10/2019. Amended by final rulemaking at 28 A.A.R. 893, effective 6/11/2022.

Ariz. Admin. Code § R4-46-403 Change in Controlling Person or Agent for Service of Process; Notice of Adverse Action

A. If any of the information submitted under R4-46-401(B)(2) changes, the controlling person of the registered AMC shall provide to the Department written notice of the change within 10 business days.

B. If an individual becomes the controlling person of a registered AMC and the information required under R4-46-401(B)(3) was not previously submitted for the individual, the new controlling person shall ensure that the required information is submitted to the Department within 10 business days after the change in controlling person.

C. If a registered AMC is required under A.R.S. § 32-3662(B)(4) to provide the name and contact information for an agent for service of process in this state, the controlling person of the AMC shall provide the Department written notice of any change in the information within 10 business days.

D. If the regulated entity, the responsible person, any controlling person, or any direct or indirect owner of the firm has ever been, or is currently, the subject of any complaint, investigation, or disciplinary action against a license, certificate, registration, or membership by any state regulatory agency, or any professional or occupational credentialing authority that resulted in an adverse judgment against them, including any denial, or voluntary surrender, withdrawal, or resignation of a credential in lieu of disciplinary action, the controlling person of the AMC shall provide the Department with written notice of such action within 10 business days after such action has been finalized.

History

• Adopted by Final rulemaking at 21 A.A.R. 1675, effective 10/6/2015. Amended by final rulemaking at 25 A.A.R. 1139, effective 6/10/2019. Amended by final rulemaking at 28 A.A.R. 893, effective 6/11/2022. Amended by final rulemaking at 30 A.A.R. 3515, effective 1/5/2025.

Ariz. Admin. Code § R4-46-404 Application for Renewal Registration

A. Under A.R.S. § 32-3665, an initial registration for an AMC expires one year after the date of issuance. A renewal registration for an AMC expires two years after the date of issuance.

B. To renew registration for an AMC, the controlling person of the registered AMC shall, within 60 days before expiration, submit:

1. A renewal registration application,

2. The certifications required under A.R.S. § 32-3662(B),

3. Proof of the surety bond required under A.R.S. § 32-3667 and Section R4-46-402,

4. The renewal fee under Section R4-46-106,

5. Evidence that each person who has at least a 10% ownership interest in the AMC and the controlling person have applied for a valid fingerprint clearance card unless a valid fingerprint clearance card is currently on file with the Department, and

6. Disclose any changes to the percentage of ownership.

C. If the controlling person of a registered AMC fails to comply with subsection (B) and the registration expires, the controlling person shall ensure that the AMC immediately ceases providing all appraisal management services. The Department may accept a renewal application after the expiration date if within 90 days of the date of expiration but shall assess a delinquent renewal fee in addition to the renewal fee.

History

• Adopted by Final rulemaking at 21 A.A.R. 1675, effective 10/6/2015. Amended by final rulemaking at 25 A.A.R. 1139, effective 6/10/2019. Amended by final rulemaking at 28 A.A.R. 893, effective 6/11/2022.

Ariz. Admin. Code § R4-46-405 Certifications; National Registry Reporting

A. Under A.R.S. § 32-3672, the controlling person of a registered AMC is required to make certain certifications to the Department at the time the AMC's registration is renewed.

B. To make the certifications required under A.R.S. § 32-3672, the controlling person of a registered AMC shall use a form that is available from the Department and on its website.

C. The controlling person of a registered AMC shall make available to the Department, upon request, evidence that the certifications are true and that the systems, processes, and records certified are effective in protecting the public.

D. In accordance with the provisions contained in 12 U.S.C. § 3338, each authorized representative or controlling person of an AMC that is either registered with the state or federally regulated and operating in Arizona shall annually submit an AMC National Registry Report to the Department at least 15 days prior to March 1st of each year for the period from January 1 to December 31 of the previous year. The AMC National Registry Report shall include:

1. Identifying information for the AMC;

2. The number of appraisers who have performed an appraisal for the AMC in connection with a covered transaction in the state during the previous year, or from the commencement of business for AMCs not in existence for the entire previous year; and

3. A signed affirmation by written declaration.

E. The AMC shall pay, at the time it submits the National Registry Report to the Department, the fee required under 12 U.S.C. § 3338(a)(4).

F. A registered AMC or federally regulated AMC operating in Arizona who fails to timely submit a National Registry Report to the Department and to remit the AMC National Registry fee shall not appear on the AMC National Registry.

G. Under A.R.S. § 32-3678, failure to comply with this Section is grounds for disciplinary action.

History

• Adopted by Final rulemaking at 21 A.A.R. 1675, effective 10/6/2015. Amended by final rulemaking at 25 A.A.R. 1139, effective 6/10/2019. Amended by final rulemaking at 28 A.A.R. 893, effective 6/11/2022.

Ariz. Admin. Code § R4-46-406 Appeal for Waiver

A. Under A.R.S. §§ 32-3668 and 32-3669, an AMC for which registration is sought under R4-46-401 may not have an owner, controlling person, officer, or other individual with a financial interest in the AMC who has ever had a financial, real estate, or mortgage lending industry license or certificate refused, denied, canceled, voluntarily surrendered in lieu of revocation, or revoked in any state.

B. The requirement in subsection (A) may be waived, at the discretion of the Director, when When an appeal is made by the individual who has had a financial, real estate, or mortgage lending industry license or certificate refused, denied, canceled, voluntarily surrendered in lieu of revocation, or revoked in any state for a non-substantive cause and reinstated by the state that revoked the license or certificate, the Director has discretion to grant the appeal.

C. To make an appeal for waiver under subsection (B), the individual who has had a financial, real estate, or mortgage lending industry license or certificate refused, denied, canceled, revoked, or voluntarily surrendered shall submit an appeal for waiver form, which is available from the Department and on its website.

D. In deciding whether to waive the requirement under subsection (B), the Director shall consider the following factors:

1. Whether the refusal, denial, cancellation, voluntary surrender in lieu of revocation, or revocation of a license or certificate was based on a finding of fraud, dishonesty, misrepresentation, or deceit on the part of the appellant;

2. The amount of time that has elapsed since the refusal, denial, cancellation, voluntary surrender in lieu of revocation, or revocation of the license or certificate;

3. Whether the act leading to the refusal, denial, cancellation, voluntary surrender in lieu of revocation, or revocation of the license or certificate was an isolated occurrence or part of a pattern of conduct;

4. Whether the act leading to the refusal, denial, cancellation, voluntary surrender in lieu of revocation, or revocation of the license or certificate appears to have been done for a self-serving purpose;

5. The harm caused to victims, if any;

6. Efforts at rehabilitation, if any, undertaken by the appellant and evidence regarding whether the rehabilitation efforts were successful;

7. Restitution made by the appellant to victims, if any; and

8. Other factors in mitigation or aggravation that the Director determines are relevant.

History

• Adopted by Final rulemaking at 21 A.A.R. 1675, effective 10/6/2015. Amended by final rulemaking at 25 A.A.R. 1139, effective 6/10/2019. Amended by final rulemaking at 28 A.A.R. 893, effective 6/11/2022. Amended by final rulemaking at 30 A.A.R. 3515, effective 1/5/2025.

Ariz. Admin. Code § R4-46-407 Training Required

A. The controlling person of a registered AMC shall ensure that all employees and other individuals who work on behalf of the AMC and are responsible for selecting independent appraisers to perform real property appraisal services receive sufficient training to be qualified to comply with federal and state law regarding appraisal management services.

B. The controlling person of a registered AMC shall ensure that the training required under subsection (A) includes at least the following:

1. Overview of USPAP,

2. Federal and state law applicable to real property appraisal services,

Appraiser classifications and the scope of work for each classification,

4. Factors that influence the complexity of an appraisal assignment, and

5. Maintaining the independence of an appraiser.

C. The controlling person of a registered AMC shall maintain a record of all training provided to an individual described under subsection (A) for one year beyond the termination of that individual's employment by or work on behalf of the AMC.

D. The controlling person of a registered AMC shall make available to the Department, upon request, a copy of all materials used to provide the training required under this Section and the records maintained under subsection (C).

History

• Adopted by Final rulemaking at 21 A.A.R. 1675, effective 10/6/2015. Amended by final rulemaking at 25 A.A.R. 1139, effective 6/10/2019.

Ariz. Admin. Code § R4-46-408 Voluntarily Relinquishing Registration

A. The controlling person of a registered AMC may voluntarily relinquish the AMC's registration if:

1. No complaint is currently pending against the AMC,

2. All amounts owed under subsection R4-46-402(C) have been paid, and

3. The AMC is in good standing with the Department.

B. To voluntarily relinquish an AMC's registration, the controlling person of the AMC shall enter into an agreement with the Director that provides the AMC shall:

1. Cease engaging in business as an AMC and cease providing appraisal management services immediately, and

2. Maintain the surety bond required under A.R.S. § 32-3667 for one year after the agreement is entered.

History

• Adopted by Final rulemaking at 21 A.A.R. 1675, effective 10/6/2015. Amended by final rulemaking at 25 A.A.R. 1139, effective 6/10/2019. Amended by final rulemaking at 28 A.A.R. 893, effective 6/11/2022.

Article 5 COURSE APPROVAL

Ariz. Admin. Code § R4-46-501 Course Approval Required; Definitions

A. Under A.R.S. §§ 32-3601(10) and 32-3625, a course must be approved by the Director, including a course presented by distance education, before the course is offered in Arizona. A course shall be approved as either qualifying or continuing education.

B. Prior to the approval of a course as either qualifying or continuing education, the Department shall determine whether the course satisfies the qualification criteria under subsection R4-46-201(B).

C. A course owner shall ensure that the course is not offered as either qualifying or continuing education until the course owner receives notice that the course has been approved unless the course owner includes notice in the offering materials that course approval is pending and no credit may be claimed for participating in the course until approval is received.

D. The Department shall include in the notice of course approval referenced in subsection (C):

1. An index number for the approved course,

2. The maximum number of hours of instruction (including examination time if applicable) that may be claimed for participating in the approved course, and

3. Whether the course is approved as qualifying or continuing education.

E. A course owner shall ensure that the course is not advertised or represented as approved until after receipt of the notice referenced in subsection (D). After receiving notice of course approval, the course owner may represent in any materials that the course is approved.

F. As used in this Article:

"Continuing education" means the basic education requirement for renewal of a license or certification within the meaning of A.R.S. § 32-3625.

"Qualifying education" means the basic education requirement to apply as a state-licensed appraiser under A.R.S. § 32-3613(B) or state-certified real estate appraiser under A.R.S. § 32-3614(C).

History

• Adopted effective December 29, 1995 (Supp. 95-4). Amended effective October 1, 1998; filed in the Office of the Secretary of State September 10, 1998 (Supp. 98-3). Amended by final rulemaking at 13 A.A.R. 1503, effective June 2, 2007 (Supp. 07-2). Amended by Final rulemaking at 21 A.A.R. 1675, effective 10/6/2015. Amended by final rulemaking at 25 A.A.R. 1139, effective 6/10/2019. Amended by final rulemaking at 28 A.A.R. 893, effective 6/11/2022.

Ariz. Admin. Code § R4-46-502 Approval of Distance-education Delivery Mechanism

If a course is to be delivered by distance education, the course owner shall obtain approval of the course-delivery mechanism from one of the following sources if required:

An organization approved by the AQB that provides approval of course design and delivery;

2. An accredited institution of higher education that approves the content of the course and offers and awards academic credit for the distance-education course; or

3. An accredited institution of higher education that approves the content of the course and a distance-education approval organization that approves the course design and delivery, which includes interactivity.

History

• Adopted effective December 29, 1995 (Supp. 95-4). Amended effective October 1, 1998; filed in the Office of the Secretary of State September 10, 1998 (Supp. 98-3). Section expired under A.R.S. § 41-1056(E) at 10 A.A.R. 1893, effective January 31, 2004 (Supp. 04-2). Adopted by Final rulemaking at 21 A.A.R. 1675, effective 10/6/2015. Amended by final rulemaking at 28 A.A.R. 893, effective 6/11/2022.

Ariz. Admin. Code § R4-46-503 Course Owners

A. Approval of a course granted to the course owner extends to a secondary provider. However, for a course delivered by distance education:

1. A course owner's approval of the course-delivery mechanism, as required under Section R4-46-502, does not extend to a secondary provider; and

2. Both the course owner and secondary provider shall apply for and obtain approval of the course-delivery mechanism from a source listed in Section R4-46-502.

B. If a course owner allows an approved course to be offered by a secondary provider, the course owner shall ensure that the secondary provider:

1. Uses the course owner's materials, including the same textbook and examination, if any;

2. Allows only the number of hours specified by the Department under subsection R4-46-501(D);

3. Uses an instructor who is qualified under the standards specified in subsection R4-46-506(7); and

4. Adheres to the course owner's policies regarding student attendance, course scheduling, and prerequisites, if any.

C. Before allowing an approved course to be offered by a secondary provider using distance education, the course owner shall comply with subsection (B) and:

1. Ensure that the secondary provider has obtained approval of the course-delivery mechanism from a source listed in Section R4-46-502, and

2. Provide evidence that the secondary provider has obtained approval of the course-delivery mechanism for the approved course.

D. A course owner shall be held responsible if a secondary provider, authorized by the course owner under subsection (B) or (C), violates any provision of this Article.

History

• Adopted effective December 29, 1995 (Supp. 95-4). Amended effective October 1, 1998; filed in the Office of the Secretary of State September 10, 1998 (Supp. 98-3). Amended by final rulemaking at 13 A.A.R. 1503, effective June 2, 2007 (Supp. 07-2). Adopted by Final rulemaking at 21 A.A.R. 1675, effective 10/6/2015. Amended by final rulemaking at 25 A.A.R. 1139, effective 6/10/2019. Amended by final rulemaking at 28 A.A.R. 893, effective 6/11/2022.

Ariz. Admin. Code § R4-46-504 Application for Course Approval

Only a course owner may apply for course approval. To apply for course approval, a course owner shall submit to the Department:

1. An application for course approval, which is available from the Department and on its website;

2. Materials and other documents that demonstrate the course meets the minimum standards specified in Section R4-46-506;

3. If the course will be offered using distance education, evidence of approval of the course-delivery mechanism from a source listed in Section R4-46-502; and

4. The application fee specified under Section R4-46-106.

History

• Adopted by Final rulemaking at 21 A.A.R. 1675, effective 10/6/2015. Amended by final rulemaking at 25 A.A.R. 1139, effective 6/10/2019. Amended by final rulemaking at 28 A.A.R. 893, effective 6/11/2022.

Ariz. Admin. Code § R4-46-505 Course Approval without Application

The Director approves without application the following:

1. A course approved through the AQB's voluntary Course Approval Program;

2. The 15-Hour National USPAP Course or its equivalent, approved by the AQB, if the course is taught by at least one instructor who is certified by the AQB as an USPAP instructor; and

3. The 7-Hour National USPAP Update Course or its equivalent, approved by the AQB, if the course is taught by at least one instructor who is certified by the AQB as an USPAP instructor.

History

• Adopted by Final rulemaking at 21 A.A.R. 1675, effective 10/6/2015. Amended by final rulemaking at 25 A.A.R. 1139, effective 6/10/2019. Amended by final rulemaking at 28 A.A.R. 893, effective 6/11/2022.

Ariz. Admin. Code § R4-46-506 Minimum Standards for Course Approval

The Director shall approve a course only if the course owner submits the following materials and documents with the application for approval required under Section R4-46-504 and demonstrates the course, including a course presented by distance education, meets the following minimum standards:

1. Course description. Clearly describe the subject matter content of the course.

2. Summary outline. Identify major topics and the number of classroom hours devoted to each.

3. Prerequisites. Specify necessary prerequisites for any course other than a course on:

a. Introductory real estate appraisal principles and practices, and

b. Appraisal standards and ethics.

4. Learning objectives. Specific learning objectives shall:

a. State clearly the specific knowledge and skills students are expected to acquire by completing the course;

b. Be consistent with the course description required under subsection (1);

c. Be consistent with the instructional materials described in subsection (5);

d. Be achievable in the number of hours allotted for the course;

e. If for qualifying education, specify the required core curriculum, module subtopic, and number of course hours; and

f. If for continuing education, specify the appraisal topic and number of course hours.

5. Instructional materials. Instructional materials used by students shall:

a. Cover the subject matter in sufficient depth to achieve the learning objectives specified in subsection (4);

b. Reflect current knowledge and practice in the field of appraisal;

c. Contain no significant errors;

d. Use correct grammar and spelling;

e. Be written in a clear, concise, and understandable manner;

f. Be in a format that facilitates learning; and

g. Be bound or packaged and produced in a quality manner.

6. Examinations for qualifying education courses. Qualifying education courses shall include a series of examinations or a comprehensive final examination, or both. A course examination shall:

a. Contain enough questions to assess adequately whether a student acquired knowledge of the subject matter covered by the course;

b. Contain questions directed towards assessing whether students achieved the learning objectives specified in subsection (4);

c. Be allotted sufficient time for students to complete;

d. Contain questions on information adequately addressed in the instructional material required under subsection (5);

e. Contain questions that are written in a clear, accurate, and unambiguous manner;

f. Contain questions for which the intended answer is clearly the best answer choice;

g. Be proctored and closed-book; and

h. Have a criterion for passing that is announced before the examination is given.

7. Instructor qualifications policy. The course owner has a written policy that requires use of instructors who meet at least one of the following:

a. Has a baccalaureate degree in any field and at least three years of experience directly related to the subject matter to be taught,

b. Has a master's degree in any field and one year of experience directly related to the subject matter to be taught,

c. Has a master's or higher degree in a field directly related to the subject matter to be taught,

d. Has at least five years of real estate appraisal teaching experience directly related to the subject matter to be taught, or

e. Has at least seven years of real estate appraisal experience directly related to the subject matter to be taught.

8. Required policies. The course owner shall have the following written policies:

a. Attendance policy that ensures student attendance is verified.

i. Stipulate that to receive credit, a student must be present for the entire course;

ii. Include the instructor's name on the attendance record; and

iii. Maintain attendance records for five years;

b. Scheduling policy.

i. Provide that a student may participate in a maximum of eight hours of instruction in a day, and

ii. Provide that appropriate breaks are included during each class session, and

c. Completion certificate policy.

i. Require that a signed and dated completion certificate be issued promptly to all students who complete a course, and

ii. Require that a completion certificate contain all information required on the form of certification provided by the Department.

History

• Adopted by Final rulemaking at 21 A.A.R. 1675, effective 10/6/2015. Amended by final rulemaking at 25 A.A.R. 1139, effective 6/10/2019. Amended by final rulemaking at 28 A.A.R. 893, effective 6/11/2022.

Ariz. Admin. Code § R4-46-507 Secondary Providers

The Director shall hold a course owner responsible for the activities of a secondary provider who conducts the course owner's approved course in Arizona. To protect the integrity of the approval, a course owner shall have a written agreement with a secondary provider that requires the secondary provider to:

1. Use the materials required under subsection R4-46-506(5) and the examination required under subsection R4-46-506(6) without change;

2. Conduct the course in accordance with the policies required under subsections R4-46-506(7) and (8);

3. Clearly state in advertising materials that the course has been lawfully acquired from the course owner and that approval was provided to the course owner and not to the secondary provider;

4. Cease using the materials and examination when the course approval expires under Section R4-46-510; and

5. If the course is to be delivered by distance learning, obtain approval of the course-delivery mechanism from a source listed in Section R4-46-502.

History

• Adopted by Final rulemaking at 21 A.A.R. 1675, effective 10/6/2015. Amended by final rulemaking at 28 A.A.R. 893, effective 6/11/2022.

Ariz. Admin. Code § R4-46-508 Compliance Audit of Approved Courses

A. To improve the quality of education available to appraisers in this state, the Department may regularly audit approved courses for compliance with this Chapter.

B. The Director shall identify approved courses for audit using the following to establish the priority of audits:

1. Approved courses about which a complaint has been received,

2. Approved courses of a course owner that is new to this state, and

3. Approved courses that have not been audited in the last five years.

C. On request from the Director, the course owner of an approved course shall provide the dates, times, and locations at which the approved course will be taught and the name of the instructor who will teach each presentation of the approved course.

D. The audit of an approved course may be conducted by a volunteer auditor trained by the Department.

E. The course owner of an approved course shall allow an auditor described under subsection (D) to attend the approved course at no charge.

F. The auditor shall be identified to the instructor before the approved course starts.

G. On request from the auditor, the course owner shall allow the auditor to examine records, materials, and other documents relevant to the approved course audited.

H. After review by the Director, the Department shall provide a copy of the audit report to the course owner. If the audit identifies ways in which the approved course fails to comply with this Article, the Department shall:

1. Work with the course owner to establish a correction plan to bring the course into compliance,

2. Establish a time within which the course owner is required to complete the correction plan and bring the course into compliance, and

3. Inform the course owner of the manner in which to report the approved course is in compliance with this Article.

I. Failure of a course owner to comply with this Article may lead to revocation of course approval.

History

• Adopted by Final rulemaking at 21 A.A.R. 1675, effective 10/6/2015. Amended by final rulemaking at 25 A.A.R. 1139, effective 6/10/2019. Amended by final rulemaking at 28 A.A.R. 893, effective 6/11/2022.

Ariz. Admin. Code § R4-46-509 Changes to an Approved Course

The Director encourages revisions and updates that improve and keep an approved course current. However, if any of the information provided under subsections R4-46-506(1), (2), (4), or (5) changes so substantially as to alter the scope of the approved course as determined at the sole discretion of the Director, the course owner of the approved course shall submit a new application for approval under Section R4-46-504.

History

• Adopted by Final rulemaking at 21 A.A.R. 1675, effective 10/6/2015. Amended by final rulemaking at 25 A.A.R. 1139, effective 6/10/2019. Amended by final rulemaking at 28 A.A.R. 893, effective 6/11/2022.

Ariz. Admin. Code § R4-46-510 Renewal of Course Approval

A. Course approval expires a maximum of two years after approval is granted. Approval of a distance education course expires in two years or, if applicable, when the distance education delivery-mechanism approval required under Section R4-46-502 or approval under Section R4-46-505 expires, whichever is less.

B. The Director may renew the approval of a course only if the information provided under subsections R4-46-506(1), (2), (4), and (5) has not changed substantially.

C. If an approved course meets the standard in subsection (B), the course owner may apply for renewal of course approval within 90 days before the course approval expires.

D. To apply for renewal of course approval, a course owner shall submit a renewal application, which is available from the Department and on its website, and pay the renewal fee specified in subsection R4-46-106(A)(10).

History

• Adopted by Final rulemaking at 21 A.A.R. 1675, effective 10/6/2015. Amended by final rulemaking at 25 A.A.R. 1139, effective 6/10/2019. Amended by final rulemaking at 28 A.A.R. 893, effective 6/11/2022.

Ariz. Admin. Code § R4-46-511 Transfer of an Approved Course

A. A course owner that transfers the proprietary rights to an approved course shall provide written notice of the transfer to the Department. The course owner shall include in the notice the name of and contact information for the new course owner and the date of the transfer.

B. The new course owner to which the proprietary rights to an approved course are transferred shall attach to the notice required under subsection (A) a certification available from the Department and on its website, that the new course owner:

1. Will adhere to the requirements in this Article, and

2. Will be responsible for the actions of all secondary providers who have an agreement under Section R4-46-507.

C. If proprietary rights to an approved course are transferred under this Section, the expiration date of the course approval does not change.

History

• Adopted by Final rulemaking at 21 A.A.R. 1675, effective 10/6/2015. Amended by final rulemaking at 25 A.A.R. 1139, effective 6/10/2019. Amended by final rulemaking at 28 A.A.R. 893, effective 6/11/2022.

Article 6 PROPERTY TAX AGENTS

Ariz. Admin. Code § R4-46-601 Standards of Practice

The Director may revoke or suspend a property tax agent's registration or otherwise discipline a property tax agent to the extent permitted by A.R.S. § 32-3654 for any of the following acts or omissions:

1. Engaging in an activity that leads to a conviction for a crime involving the tax profession;

2. Operating beyond the boundaries of an agreed relationship with an employer or a client;

3. Inferring or implying representation of a person or firm that the agent does not represent, or filing a document on behalf of a taxpayer without specific authorization of the taxpayer;

4. Violating the confidential nature of the property tax agent-client relationship, except as required by law;

5. Inappropriately offering or accepting anything of value with the intent of inducing or in return for a specific action;

6. Assigning, accepting, or performing a tax assignment that is contingent upon producing a predetermined analysis or conclusion;

7. Issuing an appraisal analysis or opinion, in the performance of a tax assignment, that fails to disclose bias or the accommodation of a personal interest;

8. Willfully furnishing inaccurate, deceitful, or misleading information, or willfully concealing material information in the performance of a tax assignment;

9. Preparing or using, in any manner, a resume or statement of professional qualifications that is misleading or false;

10. Promoting a tax agent practice or soliciting assignments by using misleading or false advertising;

11. Soliciting a tax assignment by assuring a specific result or by stating a conclusion regarding that assignment without analysis of the facts; or

12. Performing an appraisal, as defined by A.R.S. § 32-3601, unless licensed or certified by the Director as an appraiser.

History

• Adopted effective December 29, 1995 (Supp. 95-4). Section repealed; new Section adopted effective October 1, 1998; filed in the Office of the Secretary of State September 10, 1998 (Supp. 98-3). Amended by final rulemaking at 13 A.A.R. 1388, effective June 2, 2007 (Supp. 07-2). Amended by Final rulemaking at 21 A.A.R. 1675, effective 10/6/2015. Amended by final rulemaking at 28 A.A.R. 893, effective 6/11/2022.

Ariz. Admin. Code § R4-46-602 [Repealed]

History

• Adopted effective October 1, 1998; filed in the Office of the Secretary of State September 10, 1998 (Supp. 98-3). Amended by final rulemaking at 13 A.A.R. 1388, effective June 2, 2007 (Supp. 07-2). Repealed by Final rulemaking at 21 A.A.R. 1675, effective 10/6/2015.

Article 7 REPEALED

Ariz. Admin. Code § R4-46-701 Repealed

History

• Repealed by exempt rulemaking at 19 A.A.R. 4023, effective November 21, 2013.

Ariz. Admin. Code § R4-46-702 Repealed

History

• Repealed by exempt rulemaking at 19 A.A.R. 4023, effective November 21, 2013.

Ariz. Admin. Code § R4-46-703 Repealed

History

• Repealed by exempt rulemaking at 19 A.A.R. 4023, effective November 21, 2013.

Ariz. Admin. Code § R4-46-704 Repealed

History

• Repealed by exempt rulemaking at 19 A.A.R. 4023, effective January 21, 2013.

Chapter 49 BOARD OF ATHLETIC TRAINING

Article 1 GENERAL PROVISIONS

Ariz. Admin. Code § R4-49-101 Definitions

In addition to the definitions at A.R.S. § 32-4101, in this Chapter:

1. "Actively pursuing athletic training certification" means:

a. Current enrollment in an educational program to fulfill academic requirements for athletic training certification; or

b. Current participation in fieldwork experience to fulfill the fieldwork experience requirements for athletic training certification.

2. "Applicant" means an individual requesting an original license, a temporary license, a renewal license, or a reinstated license from the Board.

"Approved provider" means an educational provider approved by the BOC.

4. "Athletic training certification" means current athletic trainer certification provided by the BOC.

5. "BOC" means the Board of Certification, Inc.

6. "CAATE" means the Commission on Accreditation of Athletic Training Education.

7. "Confidential record" means:

a. Minutes of executive sessions except as provided in A.R.S. § 38-431.03(B);

b. A record classified as confidential by another law, rule, or regulation applicable to the Board;

c. College or university grades, medical or mental health information, and professional references of an applicant except that the applicant who is the subject of the information may view or copy the record;

d. An applicant's driver license number, Social Security number, home address, home phone number, place of birth, and birth date;

e. A record for which the Board determines that public disclosure will have a significant adverse effect on the Board's ability to perform its duties or will otherwise be detrimental to the best interests of the state. When the Board determines that the reason justifying the confidentiality of the record no longer exists, the Board shall make the record available for public inspection and copying; and

f. Information regarding a complaint under investigation except as provided in A.R.S. § 41-1010.

8. "Contact hour" means an actual clock hour spent in direct participation in a structured education format as a learner.

9. "Continuing education" means a structured learning process required of a licensee to maintain licensure that includes study in the areas of athletic training practice through an institute, seminar, lecture, conference, workshop, mediated instruction, programmed learning course, or postgraduate study in athletic training.

10. "Continuing education unit" or "CEU" means one contact hour of participation in a continuing education course.

11. "Day" means a calendar day.

12. In addition to A.R.S. § 32-4101(7), "Direct supervision" means:

a. The athletic trainer can intervene on behalf of the patient, and

b. The athletic trainer reviews the performance of the athletic training student every grading period.

13. "Dry needling" means "a therapeutic modality that is performed by an athletic trainer and that uses a thin filiform needle to penetrate the skin and stimulate underlying neural, muscular and connective tissues to evaluate and manage neuromusculoskeletal conditions, pain and movement impairments".

13.14. "Facility of practice" means the principal location of an agency or organization where an athletic trainer provides athletic training services but excludes areas used predominantly for athletic sport or competition.

14.15. "Good moral character" means the applicant has not taken any action that is grounds for disciplinary action against a licensee under A.R.S. § 32-4153.

15.16. "Licensee" means a person licensed in Arizona as an athletic trainer.

16.17. "National examination" means the national athletic training certification examination provided by the BOC.

History

• New Section adopted by final rulemaking at 7 A.A.R. 1374, effective March 7, 2001 (Supp. 01-1). Section amended by final rulemaking at 19 A.A.R. 361, effective April 6, 2013 (Supp. 13-1). Amended by final rulemaking at 28 A.A.R. 611, effective 4/23/2022. Amended by exempt rulemaking at 28 A.A.R. 2435, effective 9/30/2022.

Ariz. Admin. Code § R4-49-102 Fees

A. An applicant shall pay the following:

1. Application for original license: $300;

2. Renewal of license: $175;

3. Reinstatement of a license: $200 $100. This is in addition to the renewal license fee;

4. Duplicate license: $25 $10.

B. Applicants who are military service members, military veterans, and military spouses:

1. The Board shall waive the application fees and expedite the issuance of a license for an active duty military service member and the member's spouse, or honorable discharged military veteran who has been discharged not more than two years before application; and

2. In order to request a waiver of application fees and expedited services, the military service member, military veteran, or military spouse must submit a copy of the uniformed services military ID card or other appropriate official documentation evidencing current or former military affiliation and notify the Board of his or her military affiliation.

B.C. The Board shall charge 25¢ per page for copies of records, documents, letters, minutes, applications, and files or appropriate charges prescribed in A.R.S. § 39-121.03(A).

C.D. All fees are nonrefundable except as provided in A.R.S. § 41-1077.

D.E. An applicant shall pay original license fees and returned or insufficient fund replacement checks in cash or by cashier's check, money order, or credit card.

E.F. An applicant shall pay renewal, reinstatement, and duplicate license fees in cash or by cashier's check, money order, personal check, or credit card.

History

• New Section adopted by final rulemaking at 7 A.A.R. 1374, effective March 7, 2001 (Supp. 01-1). Section amended by final rulemaking at 19 A.A.R. 361, effective April 6, 2013 (Supp. 13-1). Amended by final rulemaking at 28 A.A.R. 611, effective 4/23/2022.

Ariz. Admin. Code § R4-49-103 Board Operations

A. The Board shall meet annually in January. The Board shall hold additional meetings as required by A.R.S. § 32-4103(A)(8) and as necessary to conduct the Board's business. Meetings may be convened by the Chair, a majority vote of the Board members, or upon written request to the Chair from at least two Board members.

B. All Board records shall be open to public inspection and copying, except confidential records. Records may be inspected at the Board Office Monday through Friday, 8:00 a.m. to 5:00 p.m., except state holidays or other days in which the office is required to be closed.

History

• New Section adopted by final rulemaking at 7 A.A.R. 1374, effective March 7, 2001 (Supp. 01-1). Section amended by final rulemaking at 19 A.A.R. 361, effective April 6, 2013 (Supp. 13-1).

Ariz. Admin. Code § R4-49-104 Service by the Board

The Board shall serve any Board decision, order, or subpoena by personal service or by mailing a copy by certified mail, return receipt requested. Service by certified mail shall be made to the last address of record filed with the Board. Service upon an attorney who has appeared on behalf of a party constitutes service upon the party. If service is by certified mail, service is complete upon mailing.

History

• New Section adopted by final rulemaking at 7 A.A.R. 1374, effective March 7, 2001 (Supp. 01-1).

Article 2 LICENSURE

Ariz. Admin. Code § R4-49-201 Qualifications for Licensure

To qualify for an athletic trainer license a person shall:

1. Meet the requirements in A.R.S. § 32-4122,

2. Complete an athletic training education program, accredited by CAATE or its predecessors, and

3. Pass the national examination.

History

• New Section adopted by final rulemaking at 7 A.A.R. 1374, effective March 7, 2001 (Supp. 01-1). Section amended by final rulemaking at 19 A.A.R. 361, effective April 6, 2013 (Supp. 13-1).

Ariz. Admin. Code § R4-49-202 Original License Application

A. An applicant for an athletic trainer license shall submit an original application that includes the following information:

1. Applicant's full name;

2. Applicant's name as it will appear on the license;

Other names used;

4. Social Security number;

5. Residence address and telephone number;

Date of birth;

7. Applicant's national athletic training certificate number and date of certification;

8. Post-secondary educational institutions attended;

9. Professional experience, field work, or both within the last five years;

10. Employer's name, address, and telephone number;

11. Current or previous athletic training or other professional license or certification numbers from other states and foreign countries and the status of each license or certification;

12. Current and previous arrest, criminal conviction, and disciplinary actions from any licensing agency or court;

E-mail address, if available;

14. Alternate email address if the personal email address is to remain confidential;

14. 15. Statement of citizenship or alien status and submittal of documents showing the individual's presence in the United States is authorized under federal law;

15. 16. Signature and date with an attestation regarding the truthfulness of the information provided.

B. An applicant shall submit or cause to be submitted on the applicant's behalf the following:

1. Application fee,

2. Written verification from the BOC of athletic training certification or a passing score on the national examination as required by R4-49-201,

3. Official academic transcripts from institutions listed on the application,

4. Two letters attesting to the applicant's good moral character from health care providers licensed pursuant to A.R.S § 32-4101 et seq. and

5. 3. A readable fingerprint card and associated fee for submission to the Department of Public Safety or current fingerprint clearance card issued by the Department of Public Safety.

4. Verification of passing an exam on the athletic training statutes and this chapter as evidenced by an original notice of examination results.

C. An original license shall expire one year from the date of issuance.

History

• New Section adopted by final rulemaking at 7 A.A.R. 1374, effective March 7, 2001 (Supp. 01-1). Section amended by final rulemaking at 19 A.A.R. 361, effective April 6, 2013 (Supp. 13-1). Amended by final rulemaking at 28 A.A.R. 611, effective 4/23/2022.

Ariz. Admin. Code § R4-49-203 Renewal of License

A. To renew a license, a licensee shall submit a renewal application and a renewal fee.

B. A licensee shall sign the renewal application and include the following:

1. Applicant's full name;

2. Applicant's name as it will appear on the renewal license;

3. Residence address and telephone number;

Current Arizona Board of Athletic Training license number;

5. Arrest, criminal conviction, and disciplinary actions from any licensing agency or court since last license renewal;

6. Social Security number;

7. Employer's name, address, and telephone number;

Attestation of compliance with the continuing education requirements listed in R4-49-208;

9. Attestation that applicant agrees to practice under the direction of a licensed physician as required by R4-49-405, including maintaining physician-approved written protocols for common athletic training activities and post-injury guidelines that comply with A.R.S. § 32-4103(B);

9. 10. A readable fingerprint card and associated fee for submission to the Department of Public Safety or a current fingerprint clearance card issued by the Department of Public Safety if the previous submission is at least five years old or the Department of Public Safety clearance card will expire within the term of the renewed license;

10. 11. Statement of lawful presence in the United States or submittal of required documents showing lawful presence; and

11 .12. Signature and date with an attestation regarding the truthfulness of the information provided.

C. A licensee shall submit the renewal application and fees to the Board office at least 14 days prior to the expiration date of the current license.

History

• New Section adopted by final rulemaking at 7 A.A.R. 1374, effective March 7, 2001 (Supp. 01-1). Section amended by final rulemaking at 19 A.A.R. 361, effective April 6, 2013 (Supp. 13-1). Amended by final rulemaking at 28 A.A.R. 611, effective 4/23/2022.

Ariz. Admin. Code § R4-49-204 Expired License: Reinstatement

A. A license expires if it is not renewed on or before the renewal date.

B. An expired license may be reinstated within three years of expiration of the license if:

1. The former licensee has:

a. Current certification from the BOC as an athletic trainer, or

b. Proof of continuing education to meet the requirements for the time not licensed;

2. A renewal application is submitted under R4-49-203;

3. The license reinstatement fee and renewal fee are paid under R4-49-102; and

4. The former licensee attests, in writing, that the licensee has not practiced athletic training in Arizona during the time the license was expired.

History

• New Section adopted by final rulemaking at 7 A.A.R. 1374, effective March 7, 2001 (Supp. 01-1). Section amended by final rulemaking at 19 A.A.R. 361, effective April 6, 2013 (Supp. 13-1).

Ariz. Admin. Code § R4-49-205 License Application Review

A. For an original license, renewal license, or reinstated license as an athletic trainer the time-frames required by A.R.S. § 41-1072 et seq. are:

1. Overall time-frame: 120 days

2. Administrative completeness review time-frame: 60 days

Substantive review time-frame: 60 days

B. An administratively complete application for licensure consists of all the information and documents listed in:

R4-49-202 for an original athletic training license,

R4-49-203 for renewal of an athletic training license, and

R4-49-204 for reinstatement of an athletic training license.

C. The administrative completeness review time-frame, as described in A.R.S. § 41-1072(1) and listed in subsection (A)(2), begins on the date the Board receives an application.

1. If the application is not administratively complete when received, the Board shall send a notice of deficiency to the applicant. The deficiency notice shall state the documents and information needed to complete the application.

2. The applicant shall submit to the Board the missing documents and information within 120 days from the date of the deficiency notice. The time-frame for the Board to finish the administrative completeness review is suspended from the date of the deficiency notice until the date the Board receives the missing documents and information.

3. If the applicant fails to provide the missing documents and information within the 120 days provided, the Board shall close the applicant's file. An applicant whose file is closed and who wants to be licensed shall apply again under R4-49-202, R4-49-203, or R4-49-204.

4. When the application is administratively complete, the Board shall send a written notice of administrative completeness to the applicant.

D. The substantive review time-frame, as described in A.R.S. § 41-1072(3) and listed in subsection (A)(3), begins on the date of the notice of administrative completeness.

1. During the substantive review time-frame, the Board may make one comprehensive written request for additional information but the Board may make supplemental requests for additional information by written agreement with the applicant.

2. The applicant shall submit to the Board the additional information identified in the request for additional information within 60 days from the date of the request for additional information. The time-frame for the Board to finish the substantive review of the application is suspended from the date of the request for additional information until the Board receives the additional information.

3. Unless an applicant requests that the Board deny a license within the 60-day period in subsection (D)(2), the Board shall close the file of an applicant who fails to submit the additional information within the 60 days provided. An applicant whose file is closed and who wants to be licensed shall apply again under R4-49-202, R4-49-203, or R4-49-204.

4. When the substantive review is complete, the Board shall inform the applicant in writing of its decision to grant or deny a license to the applicant.

a. The Board shall deny a license if it determines that the applicant does not meet all substantive criteria for licensure required by statute and rule.

b. The Board shall grant a license if it determines that the applicant meets all substantive criteria for licensure required by statute and rule.

c. If the Board denies a license, the applicant may, within 30 days of service of the notice of denial, make a written request for a hearing to review the Board's decision. The hearing shall be conducted under A.R.S. Title 41, Chapter 6, Article 10.

d. In a hearing conducted on a denial of a license, the applicant has the burden of proof.

History

• New Section adopted by final rulemaking at 7 A.A.R. 1374, effective March 7, 2001 (Supp. 01-1). Section amended by final rulemaking at 19 A.A.R. 361, effective April 6, 2013 (Supp. 13-1).

Ariz. Admin. Code § R4-49-206 License Display

A licensee shall display the licensee's current license issued by the Board in a conspicuous place in each facility of practice. A licensee may use a photocopy of the license to satisfy this requirement.

History

• New Section adopted by final rulemaking at 7 A.A.R. 1374, effective March 7, 2001 (Supp. 01-1).

Ariz. Admin. Code § R4-49-207 Temporary Licenses

A. Subject to subsection (B), the executive director may issue a temporary license to an applicant for a license if the applicant meets the requirements of A.R.S. § 32-4127.

B. The executive director shall not issue a temporary license without prior Board approval if one or more of the following apply:

1. The applicant is the subject of a pending complaint before the Board or any other state health care regulatory entity.

2. The applicant has had a license or certificate to practice a health care profession suspended or revoked by another state health care regulatory entity.

3. The applicant has a criminal history or history of disciplinary action by a state health care regulatory entity.

4. The applicant has previously been denied an application for an athletic training license.

C. A temporary licensee is subject to disciplinary action by the Board pursuant to A.R.S. § 32-4153.

History

• New Section made by final rulemaking at 19 A.A.R. 361, effective April 6, 2013 (Supp. 13-1).

Ariz. Admin. Code § R4-49-208 Continuing Education

A. As a prerequisite to renewal, a licensee shall complete at least 15 CEUs in the area of athletic training since the issuance of the previous license.

B. A licensee shall:

1. Maintain continuing education records that:

a. Verify the continuing education activities the licensee completed during the preceding two years, and

b. Consists of each statement of credit or certificate issued by an approved provider at the conclusion of a continuing education activity;

At the time of licensure renewal, attest to the number of CEUs the licensee completed since the issuance of the previous license during the renewal on the renewal form; and

3. When requested by the Board office, submit proof of continuing education participation within 20 days of the request.

C. Licensees may provide proof of continued BOC certification to meet the CEU requirements of this Section.

D. All licensees shall complete a course approved by the Board on the athletic training statutes and this Chapter within one year of obtaining an original license or license renewal. This course need only be taken one time.

E.D. In addition to the CEU requirements above in subsection (A) of this Section, all licensees shall maintain current certification in cardiopulmonary resuscitation from a provider that is approved by the Board.

F.E. Upon written request to the Board 30 days prior to the license renewal date, the Board may waive a licensee's continuing education requirement in the case of extreme hardship including, but not limited to, mental or physical illness, disability, absence from the United States, service in the United States Armed Forces or other extraordinary circumstances as determined by the Board.

G.F. The Board may audit a licensee's continuing education records and suspend or revoke, according to A.R.S. §§ 32-4155 and 32-4156, the license of a licensee who fails to comply with continuing education completion, recording, or reporting requirements of this Section.

H.G.A licensee who is aggrieved by a decision of the Board concerning continuing education units may request an administrative hearing before the Board.

History

• New Section made by final rulemaking at 19 A.A.R. 361, effective April 6, 2013 (Supp. 13-1). Amended by final rulemaking at 28 A.A.R. 611, effective 4/23/2022.

Article 3 HEARINGS

Ariz. Admin. Code § R4-49-301 Hearing Procedures

The Board shall conduct all hearings held under A.R.S. § 32-4154 et seq. in accordance with A.R.S. Title 41, Chapter 6, Article 10 and rules issued by the Office of Administrative Hearings.

History

• New Section adopted by final rulemaking at 7 A.A.R. 1374, effective March 7, 2001 (Supp. 01-1).

Ariz. Admin. Code § R4-49-302 Rehearing or Review of Decision

A. Any party in a contested case or appealable agency action before the Board may file a motion for rehearing or review within 30 days after service of the final administrative decision. Service is complete upon personal service or five days after the date the decision is mailed by certified mail to the party's last known address of record. The party shall attach a supporting memorandum specifying the grounds for the motion.

B. A party is required to file a motion with the Board for rehearing or review of a decision of the Board to exhaust the party's administrative remedies.

C. A party may amend a motion for rehearing or review at any time before the Board rules on the motion.

D. The Board may grant a rehearing or review for any of the following reasons materially affecting a party's rights:

1. Irregularity in the proceedings of the Board, or any order or abuse of discretion, that deprived the moving party of a fair hearing;

2. Misconduct of the Board, its staff, an administrative law judge, or the prevailing party;

3. Accident or surprise that could not have been prevented by ordinary prudence;

4. Newly discovered material evidence that could not, with reasonable diligence, have been discovered and produced at the hearing;

5. Excessive penalty;

6. Error in the admission or rejection of evidence or other errors of law occurring at the hearing or during the proceedings;

7. Evidence that the Board's decision was a result of passion or prejudice; or

8. Findings of fact or decision that was not justified by the evidence or was contrary to law.

E. The Board may affirm or modify a decision or grant a rehearing to all or any of the parties on all or part of the issues for any of the reasons in subsection (D). An order modifying a decision or granting a rehearing shall specify with particularity the grounds for the order.

F. When a motion for rehearing or review is based upon affidavits, they shall be served with the motion. An opposing party may, within 15 days after service, serve opposing affidavits.

G. Not later than 10 days after the date of a decision the Board may grant a rehearing or review on its own initiative for any reason for which it might have granted relief on motion of a party. The Board may grant a motion for rehearing or review, timely served, for a reason not stated in the motion.

H. If a rehearing is granted, the Board shall hold the rehearing within 60 days after the issue date on the order granting the rehearing.

History

• New Section adopted by final rulemaking at 7 A.A.R. 1374, effective March 7, 2001 (Supp. 01-1). Section amended by final rulemaking at 19 A.A.R. 361, effective April 6, 2013 (Supp. 13-1).

Article 4 ATHLETIC TRAINING PRACTICE

Ariz. Admin. Code § R4-49-401 Scope of Practice

A licensee shall work within the scope of practice for athletic trainers stated in the definition of "athletic training" at A.R.S. § 32-4101(4) and the competencies contained in the 2020 Standards for Accreditation of Professional Athletic Trainings Programs, published by the (CAATE), 2001 K Street NW, 3rd Floor North, Washington, DC 20006, which is incorporated by reference and is on file with the Arizona Board of Athletic Training Office. The material incorporated contains no future amendments or editions.

History

• New Section adopted by final rulemaking at 7 A.A.R. 1374, effective March 7, 2001 (Supp. 01-1). Section amended by final rulemaking at 19 A.A.R. 361, effective April 6, 2013 (Supp. 13-1). Amended by final rulemaking at 28 A.A.R. 611, effective 4/23/2022. Amended by exempt rulemaking at 28 A.A.R. 2435, effective 9/30/2022.

Ariz. Admin. Code § R4-49-402 Direct Supervision of Athletic Training Students

A. A licensee may provide direct supervision to an athletic training student who is actively pursuing athletic training certification.

B. A licensee shall not provide direct supervision to more than eight athletic training students at one time.

C. A licensee is responsible for any treatment related to athletic training performed by an athletic training student who is under the licensee's direct supervision.

D. Only a licensed athletic trainer is allowed to prepare an initial treatment plan, initiate or re-evaluate a treatment plan, or authorize in writing a change to a treatment plan.

History

• New Section adopted by final rulemaking at 7 A.A.R. 1374, effective March 7, 2001 (Supp. 01-1).

Ariz. Admin. Code § R4-49-403 Standards of Practice

A licensee shall comply with the standards of professional practice contained in Board of Certification Standards of Professional Practice, dated January 1, 2006 and published November 2020 by the Board of Certification, Inc., 1415 Harney Street, Suite 200, Omaha, Nebraska 68102, which is incorporated by reference and is on file with the Arizona Board of Athletic Training Office. The material incorporated contains no future amendments or editions.

History

• New Section adopted by final rulemaking at 7 A.A.R. 1374, effective March 7, 2001 (Supp. 01-1). Section amended by final rulemaking at 19 A.A.R. 361, effective April 6, 2013 (Supp. 13-1). Amended by final rulemaking at 28 A.A.R. 611, effective 4/23/2022.

Ariz. Admin. Code § R4-49-404 Code of Ethics

A licensee shall work within the code of ethics for athletic trainers as stated in A.R.S. § 32-4153(10) and the NATA Code of Ethics, dated published September 28, 2005 and updated March 2018, and published by the National Athletic Trainers' Association, 2952 Stemmons Freeway #200, Dallas, TX 75247 1620 Valwood Parkway, Suite 115, Carrollton, TX 75006, which is incorporated by reference and is on file with the Arizona Board of Athletic Training Office. The material incorporated contains no future amendments or editions.

History

• New Section adopted by final rulemaking at 7 A.A.R. 1374, effective March 7, 2001 (Supp. 01-1). Section amended by final rulemaking at 19 A.A.R. 361, effective April 6, 2013 (Supp. 13-1). Amended by final rulemaking at 28 A.A.R. 611, effective 4/23/2022.

Ariz. Admin. Code § R4-49-405 Direction of a Licensed Physician

A licensee shall render service or treatment under the direction of a physician licensed under A.R.S. Title 32, Chapter 13 or 17, as follows:

1. The licensee shall have standard, written protocols for common athletic training activities approved by the physician.

2. The licensee shall have post-injury treatment guidelines that comply with A.R.S. § 32-4103(B) approved by the physician.

History

• New Section made by final rulemaking at 8 A.A.R. 4389, effective November 25, 2002 (Supp. 02-3).

Ariz. Admin. Code § R4-49-406 Professional Standards of Care and Training and Education Qualifications for Delivery of Dry Needling Therapeutic Modality

A. Effective September 30, 2022, before providing the therapeutic modality "dry needling" in accordance with A.R.S. § 32-4101(4)(D) and as defined in R4-49-101(13), an athletic trainer shall:

1. Meet the qualifications established in subsection (B) and

2. Provide the Board with documented proof of compliance with the qualifications listed in subsection (C) in a format as prescribed by the Board.

B. Course content that meets the training and education qualifications for "dry needling" shall contain all of the following:

1. The course content shall be approved by one or more of the following entities prior to the course or courses being completed by the athletic trainer:

a. Commission on Accreditation of Athletic Training Education,

b. National Athletic Trainers' Association,

c. Board of Certification, Inc.,

d. State or district associations of the National Athletic Trainers' Association, or

e. Specialty groups or societies of the National Athletic Trainers' Association.

2. The course content shall include all of the following components of education and training:

a. Clean needle techniques to include one of the following standards:

i. The U.S. Centers for Disease Control and Prevention, or

ii. The U.S. Occupational Safety and Health Administration.

b. Anatomical review,

c. Blood borne pathogens, and

d. Contraindications and indications for "dry needling".

3. The course content required in subsection (B) of this Section shall include passing both a written examination and practical examination before completion of the course content. Practice application course content must be completed in a synchronous environment and examinations shall be done in-person to meet the qualifications of subsection (B).

4. The course content required in subsection (B) of this section shall total a minimum of 24 contact hours of education.

C. The standard of care for "dry needling" includes:

1. Dry needling cannot be delegated to any assistive personnel.

2. Referral to one or more appropriate health care practitioners when required by A.R.S. § 32-4151(A).

3. Documentation of the "dry needling" as required by A.R.S. § 32-4153(18).

4. If the patient is a minor, parent or guardian consent for treatment is obtained and documented in the patient record.

5. Dry needling must be addressed in the written protocols approved by the physician providing direction.

History

• New Section made by exempt rulemaking at 28 A.A.R. 2435, effective 9/30/2022.