California Code of Regulations › Title 3 - Food and Agriculture › Division 8 - Cannabis Cultivation › Chapter 3 - Ocal Program › Article 5 - Accreditation and Registration of Certifying Agents › Section 10401 - Requirements for Accreditation

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a) A
				  private entity or local jurisdiction accredited as a certifying agent under
				  this section shall comply with each of the items listed below.
(1) Have expertise in organic production
				  techniques to fully comply with and implement the terms and conditions of the
				  certification program established under the regulations in this
				  chapter.
(2) Demonstrate the
				  ability to fully comply with the requirements for accreditation set forth in
				  this chapter.
(3) Carry out all
				  applicable provisions of the regulations in this chapter, including the
				  provisions of sections
				  10500 through
				  10506 and
				  10710 of this chapter.
(4) Have enough trained and knowledgeable
				  personnel, including inspectors and certification review personnel, to
				  competently and efficiently comply with and implement the regulations of this
				  chapter.
(5) Ensure that its
				  responsibly connected persons, employees, and contractors with inspection,
				  analysis, and decision-making responsibilities have ample expertise in organic
				  production techniques to successfully perform the duties assigned.
(6) Conduct an annual performance evaluation
				  of all persons who review applications for certification, perform on-site
				  inspections, review certification documents, evaluate qualifications for
				  certification, make recommendations concerning certification, or make
				  certification decisions and implement measures to correct any deficiencies in
				  certification services.
(7) Conduct
				  an annual internal program review of the certification activities executed by
				  certifying agent staff. The internal program review shall be performed by the
				  certifying agent's staff, an outside auditor, or a consultant who has the
				  expertise to conduct such reviews and implement measures to correct any
				  non-compliances with the regulations in this chapter.
(8) Provide enough information to persons
				  seeking certification to enable them to comply with the regulations in this
				  chapter.
(9) Maintain records
				  according to the following schedule:
(A)
				  Records obtained from applicants for certification and certified operations
				  shall be maintained for not less than five years beyond their
				  receipt;
(B) Records created by the
				  certifying agent regarding applicants for certification and certified
				  operations shall be maintained for not less than 10 years beyond their
				  creation; and
(C) Records created
				  or received by a certifying agent pursuant to the accreditation requirements of
				  this chapter, excluding any records covered by section
				  10401(a)(9)(B),
				  shall be maintained for not less than five years beyond their creation or
				  receipt.
(10) Make all
				  records in paragraph (9), above, available for inspection and copying during
				  standard business hours or mail to the physical or email address listed on the
				  OCal Program website within 10 business days of a request by the department.
				  For the purposes of this section, standard business hours are 8:00am - 5:00pm
				  (Pacific Time), Monday through Friday, excluding holidays.
(11) Maintain strict confidentiality with
				  respect to its clients under the OCal Program and not disclose to third
				  parties, except for the department, business-related information concerning any
				  client obtained while implementing the regulations of this chapter, except as
				  provided for in section
				  10402(c)(5) of
				  this chapter.
(12) Prevent
				  conflicts of interest by:
(A) Not certifying
				  an operation if a certifying agent or a responsibly connected party of such
				  certifying agent has or previously held a commercial interest in the operation,
				  including an immediate family interest or the delivery of consulting services,
				  within the 12-month period prior to the application for
				  certification;
(B) Excluding any
				  person, including contractors, with conflicts of interest from work,
				  discussions, and decisions in all stages of the certification process and the
				  monitoring of certified operations for all entities in which such person has or
				  previously held a commercial interest, including an immediate family interest
				  or the delivery of consulting services, within the 12-month period prior to the
				  application for certification;
(C)
				  Not permitting any employee, inspector, contractor, or other personnel to
				  accept payment, gifts, or favors of any kind, other than prescribed fees, from
				  any business inspected, except that a certifying agent that is a not-for-profit
				  organization with an Internal Revenue Code tax exemption, may accept voluntary
				  labor from certified operations;
(D) Not giving advice or providing
				  consultancy services, to certification applicants or certified operations, for
				  overcoming identified barriers to certification;
(E) Requiring all persons who review
				  applications for certification, perform on-site inspections, review
				  certification documents, evaluate qualifications for certification, make
				  recommendations concerning certification, or make certification decisions, and
				  all parties responsibly connected to the certifying agent, to complete an
				  annual conflict-of-interest disclosure report;
(F) Ensuring that the decision to certify an
				  operation is made by a person different from those who conducted the review of
				  documents and on-site inspection;
(G) Reconsidering a certified operation's
				  application for certification and, if necessary, perform a new on-site
				  inspection when it is determined, within 12 months of certifying the operation,
				  that any person participating in the certification process and covered under
				  section 10401(a)(12)(B) of
				  this chapter has or had a conflict of interest involving the applicant. All
				  costs associated with a reconsideration of application, including onsite
				  inspection costs, shall be borne by the certifying agent; and
(H) Referring a certified operation to a
				  different registered certifying agent for recertification and reimburse the
				  operation for the cost of the recertification when it is determined that any
				  person covered under section
				  10401(a)(12)(A) of
				  this chapter at the time of certification of the applicant had a conflict of
				  interest involving the applicant.
(13) Accept the certification decisions made
				  by another certifying agent registered by the department to certify under the
				  OCal Program pursuant to section
				  10409 of this chapter.
(14) Refrain from making false or misleading
				  claims about its accreditation or registration status, the department's
				  accreditation or registration program for certifying agents, or the nature or
				  qualities of nonmanufactured OCal cannabis products.
(15) Charge applicants for certification and
				  certified operations only those certification fees and charges that are on file
				  with the department pursuant to section
				  10402(a)(8) of
				  this chapter.
(16) Pay and submit
				  accreditation fee, payment, or fine to the department pursuant to sections
				  10600,
				  10603, and
				  10701(e) of this
				  chapter.
(17) Provide the
				  inspector, prior to each annual on-site certification or re-certification
				  inspection, with previous on-site inspection reports and notify the inspector
				  of its decision regarding certification of an operation site inspected by the
				  inspector and of any requirements for the correction of minor
				  non-compliances.
(18) Accept all
				  applications within its accredited certification type(s) and certify all
				  qualified applicants, to the extent of its administrative capacity to do so,
				  without regard to size or membership in any association or group.
(19) Comply with, implement, and carry out
				  all terms and conditions pursuant to this chapter.