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§ 999.16. Certifying for Listing on Directory of Tobacco Product Manufacturers and Brand Famili...

11 CA ADC § 999.16Barclays Official California Code of RegulationsEffective: July 1, 2022

Barclays California Code of Regulations
Title 11. Law
Division 1. Attorney General
Chapter 16. Attorney General Regulations Under Master Settlement Agreement with Tobacco Product Manufacturers and Non-Participating Tobacco Product Manufacturer Law (Health & Safety Code Sections 104555-104557)
Effective: July 1, 2022
11 CCR § 999.16
§ 999.16. Certifying for Listing on Directory of Tobacco Product Manufacturers and Brand Families.
Currentness
(a) Tobacco Product Manufacturer Certifications
Tobacco Product Manufacturers shall apply for listing on the California Tobacco Directory by submitting a complete, timely and accurate certification with supporting documentation in the manner specified and on forms required by the Attorney General. A Tobacco Product Manufacturer and its Brand Families will not be listed on the Directory, or will be removed from the Directory, if the Tobacco Product Manufacturer or any of its Brand Families are not in full compliance with the terms and requirements of the Reserve Fund Statute, Revenue and Taxation Code section 30165.1 and any regulations adopted pursuant thereto.
(b) Participating Manufacturers shall complete and submit a PM Certification. The Attorney General's forms in support of a PM's Certification include:
(1) Brand List, JUS-TOB8;
(2) Surety bonds posted, as specified in section 999.26, using a JUS-TOB14;
(3) Waivers of sovereign immunity, as specified in section 999.24, using a JUS-TOB9, JUS-TOB10, or JUS-TOB11.
(c) Non-Participating Manufacturers shall complete and submit a NPM Certification, including all additional forms, supporting documentation, and exhibits required by the NPM Certification. The Attorney General forms in support of a NPM's Certification include:
(1) Appointment of Registered Agent for Service, as specified in section 999.21, using JUS-TOB2;
(2) California's Approved Tobacco Escrow Agreement, JUS-TOB6;
(3) CIG-MAP JUS-TOB7, which shall be updated by the NPM for two (2) additional years to update all sales totals, additional deposits of escrow or equity fee, or withdrawals of escrow by April 30 of each year;
(4) Brand List, JUS-TOB8;
(5) Waivers of sovereign immunity, as specified in section 999.24, using a JUS-TOB9, JUS-TOB10, or JUS-TOB11;
(6) Importer forms accepting joint and several liability, as specified in section 999.25, using JUS-TOB12;
(7) Importer forms appointing a registered agent, as specified in section 999.25, using JUS-TOB13;
(8) Surety bonds posted, as specified in section 999.26, using JUS-TOB14.
(d) Timing: Tobacco Product Manufacturers shall complete and submit a certification and be listed on the Directory prior to any sales in California. To remain on the California Tobacco Directory, Tobacco Product Manufacturers shall apply to reestablish their eligibility for listing by submitting a certification to the Office of the Attorney General no later than April 30 of each year.
(e) Only Authorized Individuals Can Sign
All forms required by these regulations shall be signed by an officer or other authorized individual of the Tobacco Product Manufacturer who certifies that the responses and disclosures in the forms are true and accurate and that the individual completing the forms is authorized to bind the Tobacco Product Manufacturer.
(f) Changes in Ownership or Control Requiring New Certification
An NPM must submit a new JUS-TOB5 whenever there are changes in ownership or control, including but not limited to:
(1) Transfer of Ownership
Where there is a transfer of ownership of the business (including a change of any member of a partnership or association) of a Tobacco Product Manufacturer, the successor shall submit a new certification within thirty (30) days after the transfer of ownership occurs.
(2) Change in Control of Corporation
Where the issuance, sale, or transfer of corporation stock results in a change in the identity of the principal stockholders exercising actual or legal control of the operations of the corporation, the corporation shall submit a new certification within thirty (30) days after the change occurs.
(3) Fiduciary Successor
When an administrator, executor, receiver, trustee, assignee, or other fiduciary takes over the business of a Tobacco Product Manufacturer as a continuing operation, such fiduciary shall submit a new certification within thirty (30) days thereafter.

Credits

Note: Authority cited: Section 30165.1(o), Revenue and Taxation Code. Reference: Section 30165.1, Revenue and Taxation Code.
History
1. New section filed 4-26-2004 as an emergency; operative 4-26-2004 (Register 2004, No. 18). A Certificate of Compliance must be transmitted to OAL by 10-25-2004 pursuant to Revenue and Taxation Code section 30165.1 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of History 1 (Register 2004, No. 49).
3. Certificate of Compliance as to 4-26-2004 order transmitted to OAL 10-22-2004 and filed 12-6-2004 (Register 2004, No. 49).
4. Amendment of subsections (a)(1), (b)-(b)(2)(C) and (b)(2)(E), new subsections (b)(2)(L)-(N) and amendment of subsection (c) filed 4-11-2011 as an emergency; operative 4-11-2011 (Register 2011, No. 15). A Certificate of Compliance must be transmitted to OAL by 10-10-2011 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsections (a)(1), (b)-(b)(2)(C) and (b)(2)(E), new subsections (b)(2)(L)-(N) and amendment of subsection (c) refiled 10-7-2011 as an emergency; operative 10-7-2011 (Register 2011, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-5-2012 or emergency language will be repealed by operation of law on the following day.
6. Amendment of subsections (a)(1), (b)-(b)(2)(C) and (b)(2)(E), new subsections (b)(2)(L)-(N) and amendment of subsection (c), including further amendment of section, refiled 1-3-2012 as an emergency pursuant to Government Code section 11343.4(b); operative 1-5-2012 (Register 2012, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-5-2012 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 1-3-2012 order, including amendment of subsection (b)(1) and repealer of subsection (b)(2)(N), transmitted to OAL 3-26-2012 and filed 5-7-2012 (Register 2012, No. 19).
8. Editorial correction of subsection (b)(2)(A) (Register 2012, No. 28).
9. Change without regulatory effect amending subsections (a)(1), (b)(2)(A) and (c) filed 7-31-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 31).
10. Amendment of section and Note filed 5-19-2022; operative 7-1-2022 pursuant to Government Code section 11343.4(a) (Register 2022, No. 20). Transmission deadline specified in Government Code section 11346.4(b) extended 60 calendar days pursuant to Executive Order N-40-20 and an additional 60 calendar days pursuant to Executive Order N-71-20. Filing deadline specified in Government Code section 11349.3(a) extended 60 calendar days pursuant to Executive Order N-40-20.
This database is current through 4/26/24 Register 2024, No. 17.
Cal. Admin. Code tit. 11, § 999.16, 11 CA ADC § 999.16
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