Cal. Code Regs. Tit. 3, § 10401 - Requirements for Accreditation

(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.

(b) The department may initiate suspension or revocation of an accreditation if the registered certifying agent fails to meet, conduct, or maintain accreditation requirements pursuant to this chapter.

(c) The accredited certifying agent may request amendment to its accredited certification types at any time. The application for amendment shall be sent to the department and shall contain information applicable to the requested change in accreditation, a complete and accurate update of the most recent information submitted pursuant to sections 10402 and 10407 of this chapter, and the applicable fee, payment, or fine pursuant to sections 10600, 10601, and 10701(e) of this chapter.

Notes

Cal. Code Regs. Tit. 3, § 10401

1. New section filed 7-14-2021; operative 7-14-2021 pursuant to Government Code section 11343.4(b)(3) (Register 2021, No. 29).

Note: Authority cited: Sections 26012 and 26013, Business and Professions Code. Reference: Sections 26013, 26062 and 26062.5, Business and Professions Code.

1. New section filed 7-14-2021; operative 7/14/2021 pursuant to Government Code section 11343.4(b)(3) (Register 2021, No. 29).