Sec. 999.16 - Certifying for Listing on Directory of Tobacco Product Manufacturers and Brand Families

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

(a) Certification Process

A Tobacco Product Manufacturer shall apply for listing on the Directory established by the Attorney General 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.

(1) Timing: No later than April 30, 2004, all Tobacco Product Manufacturers whose Cigarettes are sold in California shall submit a completed CERTIFICATION FOR LISTING ON CALIFORNIA DIRECTORY (JUS-TOB1 Rev. 06/2012, or "Certification"), with supporting documentation as specified.

After April 30, 2004, Tobacco Product Manufacturers which intend to sell Cigarettes in California shall complete and submit a Certification and be listed on the Directory prior to any sales in California.

Thereafter, all Tobacco Product Manufacturers listed on the Directory must execute and submit a Certification with supporting documentation on or before April 30th each year.

(2) 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.

(b) Required Documentation: Tobacco Product Manufacturers must complete and submit the following documents with their annual Certification:

(1) All Tobacco Product Manufacturers must submit samples of packaging and labeling for all Brand Families and styles, their signed waiver of sovereign immunity pursuant to Section 999.24 and their completed Cigarette Brand Styles Authentication form pursuant to Section 999.29.

(2) Non-Participating Manufacturers (NPMs) must also submit:

(A) CERTIFICATION OF COMPLIANCE AND AFFIDAVIT BY NON-PARTICIPATING TOBACCO PRODUCT MANUFACTURER REGARDING DEPOSIT OF RESERVE FUNDS INTO ESCROW (JUS-TOB3 Rev. 02/2011, or "Certification of Compliance"). This form is required to comply with California's Reserve Fund Statute (Health and Saf. Code, §§ 104555-104557). The CERTIFICATION FOR LISTING ON CALIFORNIA DIRECTORY (JUS-TOB1 Rev. 06/2012) required by Revenue and Taxation Code section 30165.1 does not replace this form (JUS-TOB3 Rev. 02/2011). Both forms must be filed on or before April 30th of each year, unless the NPM is required by regulation or directed by the Attorney General to submit this form (JUS-TOB3 Rev. 02/2011) more frequently.

(B) BRAND FAMILIES UNIT SALES SCHEDULE 1 (JUS-TOB4 Rev. 02/2011, or "Schedule 1"): This form is required to comply with California's Reserve Fund Statute.

(C) NOTICE OF APPOINTMENT OF REGISTERED AGENT AND REGISTERED AGENT'S STATEMENT FOR NON-PARTICIPATING MANUFACTURER (JUS-TOB2 Rev. 02/2011): If a non-resident or foreign NPM is not registered to do business in California, the NPM shall complete, sign and file with the Attorney General a NOTICE OF APPOINTMENT OF REGISTERED AGENT AND REGISTERED AGENT'S STATEMENT FOR NON-PARTICIPATING MANUFACTURER (JUS-TOB2 Rev. 02/2011). (See section 999.21 for requirements upon the termination of the appointed agent for service.)

(D) Copies of all current licenses, if any, issued by the Board pursuant to Division 8.6 (commencing with section 22970) of the Business and Professions Code.

(E) If the NPM is a corporation: (1) a current copy of its corporate charter or certificate of corporate existence or incorporation, and; (2) document(s) identifying officers and directors and each person who holds more than ten percent of the stock of such corporation.

(F) If the NPM is a partnership or association, a current copy of its articles of partnership or association, if any, or the certificate of partnership or association where required to be filed by any nation, state, county, or municipality.

(G) Documents filed under the federal Jenkins Act: Copies of all reports, if any, filed with the Board to comply with the Jenkins Act (15 U.S.C. section 375) for sales in the preceding 12 months.

(H) For each Brand Family, a copy of the Federal Trade Commission's written approval of the annual cigarette health warning rotation plan prior to distribution in the United States (15 U.S.C. section 1333).

(I) A copy of all certificates of compliance received by the NPM from the U.S. Department of Health and Human Services for the annual ingredient reporting required by the Federal Cigarette Labeling and Advertising Act (15 U.S.C. section 1335a).

(J) A copy of the NPM's current permit as a manufacturer or importer of tobacco products obtained from the United States Treasury, Tobacco Tax Bureau (TTB), formerly Bureau of Alcohol Tax and Firearms (BATF), pursuant to 26 U.S.C. Chapter 52, and regulations issued thereunder.

(K) For each Brand Family that is imported into the United States, copies of the following documents:

1.the sworn statement(s) of the original manufacturer that it will timely submit ingredients to the Secretary of Health and Human Services as required by 19 U.S.C. section 1681a.

2.the importer's certificate(s) under penalty of perjury as required by 19 U.S.C. section 1681a regarding the precise format of warnings and the rotation plan for health warnings.

3.the trademark holder's certificate(s) under penalty of perjury that it has not withdrawn consent to import into the United States as required by 19 U.S.C. section 1681a OR the importer's certificate(s) under penalty of perjury that the trademark owner has not withdrawn consent to import into the United States as required by 19 U.S.C. section 1681a.

(L) Copies of all the following forms completed by their importers as specified in section 999.25:

1.UNITED STATES IMPORTER DECLARATION ACCEPTING JOINT AND SEVERAL LIABILITY (JUS-TOB12 Rev. 02/2011)

2.NOTICE OF APPOINTMENT OF REGISTERED AGENT AND REGISTERED AGENT'S STATEMENT FOR IMPORTER (JUS-TOB13 Rev. 02/2011)

3.All current licenses issued by the Board pursuant to Division 8.6 (commencing with section 22970) of the Business and Professions Code to each United States importer who sell or will sell its cigarettes in California.

(M) All surety bonds posted as specified in section999.26.

(c) Changes in Ownership or Control Requiring New Certification

An NPM must submit a new CERTIFICATION FOR LISTING ON CALIFORNIA DIRECTORY (JUS-TOB1 Rev. 06/2012) 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 the stock of a corporation 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.

(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).)

Note: Authority cited: Section 30165.1(o), Revenue and Taxation Code. Reference: Section 30165.1(b), 30165.1(c), 30165.1(f) and 30165.1(g), Revenue and Taxation Code.

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