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§ 1702.1. Criminal Records Exemption.

3 CA ADC § 1702.1Barclays Official California Code of Regulations

Barclays California Code of Regulations
Title 3. Food and Agriculture
Division 3. Economics (Refs & Annos)
Chapter 2.2. Market Enforcement
Subchapter 1. Licensing
Article 3. Investigations
3 CCR § 1702.1
§ 1702.1. Criminal Records Exemption.
Currentness
(a) The Act requires that an exemption be obtained for a licensee to associate individuals specified in The Act who have been convicted of a crime that includes as one of its elements the financial victimization of another. Such crimes are exemplified in California by the California Penal Code chapter/sections which follow, but include similar crimes from other jurisdictions (which are not listed):
(1) Title 8, Chapter 4, section 211 et seq. (Robbery);
(2) Title 9, Chapter 9 [319 et seq. (Lottery)], Chapter 10 [330 et seq. (Gaming)], Chapter 10.5 [337.1 et seq. (Horse Racing)], Chapter 11 [ 343 et seq. (Gold Purchasing)], and Chapter 12, section 350 (counterfeit of registered mark), section 351a (false use of sales dealer's name), section 356 (false mark in lumber sale);
(3) Title 10, section 395 (false statements to affect market price);
(4) Title 12, section 424 et seq. (Crimes Against the Revenue and Property of the State); and
(5) Title 13, Chapters 2 [section 458 et seq. (Burglary)], 4 [section 470 et seq. (Forgery and Counterfeiting)], 5 [section 484 et seq. (Theft)], 6 [section 503 et seq. (Embezzlement)]; 7 [section 518 et seq. (Extortion)]; 8 [section 528 et seq. (False Personation and Cheats)]; 10 [section 548 et seq. (Insurance fraud)]; 12.5 [section 560 et seq. (Bailments)]; 12.6 [section 565 et seq. (Crimes involving dairy equipment)]; 14 [section 557 et seq. (Fraudulent documentation of title to merchandise)].
(b) The Department shall obtain a criminal record from the California Department of Justice (DOJ) when it has reasonable basis to believe a person has been convicted of a crime as set out herein, or when investigating the licensee for alleged violations of the Act. The Department shall not otherwise obtain such records on all applicants or persons specified in The Act.
(c) If the criminal record discloses a relevant conviction, the Department shall give notice to the licensee of the need to obtain an exemption. If granted, the exemption permits the licensee to employ the designated person or, in the case where the convicted person is the licensee, to maintain the license.
(1) The notice shall not communicate the specifics of the conviction. The notice shall only include the fact that a relevant conviction appeared during the criminal record review. The notice shall be accompanied by an exemption packet which shall provide the applicable documentations.
(2) The Department may set and adjust the time frame for response, considering the circumstances of the licensee, a reasonable time allowance for obtaining documentation, and the egregiousness, frequency, and recency of the underlying crime(s).
(d) If the Department does not grant an exemption, the Department shall notify the licensee using a Statement of Issues (if an application is in progress) or an Accusation (if the license has already been issued), even if the Department is not expecting to actually discipline the licensee. The licensee may either submit a Plan of Correction that eliminates the association of the non-exempt person or submit a Notice of Defense to appeal the decision.
(1) Where the exemption denial is for an employee, the matter may be appealed by the licensee/applicant, the employee, or both.
(e) The appeal shall be heard under the standards set out in The Act for appeals from exemption decisions and the procedures set out in these regulations for denial or revocation under Article 7. The burdens of proof and producing evidence standards shall apply to an exemption appeal depending upon whether it is in conjunction with an initial application or a revocation as described in Article 7 of these regulations.
(f) A licensee or applicant should review Food and Agricultural Code section 55435.5 or 56133.5 as applicable to his or her license.

Credits

Note: Authority cited: Sections 407, Food and Agricultural Code. Reference: Sections 263, 404, 55435.5, 55485.75, 55488, 55525.75, 55528, 56133.5, 56134.75, 56186.75 and 56190, Food and Agricultural Code; and Chapter 4.5 (commencing with section 11400), Chapter 5 (commencing with section 11500), Government Code; and Part 2 (commencing with section 307), Code of Civil Procedure.
History
1. New section filed 12-15-2000; operative 1-14-2001 (Register 2000, No. 50).
This database is current through 5/10/24 Register 2024, No. 19.
Cal. Admin. Code tit. 3, § 1702.1, 3 CA ADC § 1702.1
End of Document