Current through Register 2024 Notice Reg. No. 38, September 20, 2024
To apply for a Farm Labor Contractor license pursuant to
Labor Code section
1684, the
applicant shall complete, sign, and submit an online application along with
required items and documents at DLSE's website
(https://permits.dir.ca.gov/FLC_External/) for any initial or new license or
license renewal. Alternatively, an applicant may submit to DLSE a complete and
signed physical application for a new or initial license (DLSE 401-N), a
regular license renewal (DLSE 401-R), or a short-form license renewal (DLSE
401-S) and provide the items and documents pursuant to the respective
application requirements as specified in this article. The applicant shall
certify under penalty of perjury that the information provided on the
application form, any supplementary documents, and any other information
submitted by the applicant in support of the application is true and correct
and executed by signature. If the place of execution is outside California, the
certification must be sworn before a notary public or other officer authorized
to take oaths and affirmations.
(a)
The application for an initial or new license (online form or DLSE 401-N) shall
contain the following information to be provided by the applicant:
(1) If the applicant is an individual (sole
proprietor), that individual's name, date of birth, driver's license number,
and Social Security number. If applicant is a corporation, the date of
incorporation. If applicant is a partnership, the date the partnership was
created and the name, date of birth, driver's license number, and Social
Security number of each partner. If applicant is a limited liability company
(LLC) the date of filing the articles of organization.
(2) All names under which the applicant is
doing business as or has done business as within the previous three
years;
(3) Current physical
business address (number, street, city or town, county, state, zip code) and
preferred mailing address if different than physical business address,
preferred email address, and home physical address of the applicant (if a sole
proprietor), for each partner in a partnership, each member of an LLC, or each
corporate officer of a corporation. If the current address information
subsequently changes, the applicant must immediately, but no later than five
(5) days thereafter, advise the Labor Commissioner of the change;
(4) Main business telephone number and mobile
telephone number used in conducting business;
(5) A copy of the Migrant and Seasonal Worker
Protection Act (29 U.S.C.
section 1811) certificate of registration
that has been issued to applicant, if the applicant is required to register as
a farm labor contractor under federal law;
(6) Identity of the legal form or type of
ownership of the farm labor contractor business (individual/sole proprietor,
partnership, corporation, limited liability company, or other business entity).
(A) If individual or sole proprietor
ownership, the full name of the owner, physical home address, mailing address,
if different, business telephone and mobile telephone number of owner, and
designation of an agent for service of process, if applicable, including
physical address and business telephone number and mobile telephone number of
the designated agent for service of process;
(B) If partnership, the full name, physical
home address, mailing address, if different, and business telephone number and
mobile telephone number of each partner used in conducting business;
(C) If corporation or LLC, the full name,
titles, physical home address, mailing address, if different, business
telephone number and mobile telephone number of each corporate officer,
managing agent and LLC member, and indicate whether the corporation or LLC is
in good standing with the Secretary of State;
(D) If a foreign corporation incorporated or
organized outside of California, in addition to the information required under
(C), provide the date a Statement and Designation by Foreign Corporation (form
S&DC-STK/NP) was filed with the Secretary of State.
(7) For all persons, except bona fide
salaried employees, or entities with a financial interest in the applicant's
business, including but not limited to partnerships, corporations, LLCs or
other business entities, the name and address of the person or entity and a
statement of the person or entity's percentage of financial or profit-sharing
interest in the applicant's business.
(8) Indicate whether the applicant will
utilize the services of any other individual or entity to recruit, solicit,
hire, furnish, employ, or transport agricultural workers, which includes but is
not limited to, foremen and crew bosses.
(A)
If yes, state for each individual or entity who will perform any of these
activities (i) the person or other entity's name, current physical address and
telephone number, Social Security number, and farm labor contractor license
number, if applicable, (ii) whether each individual or entity identified has at
any time within the last 10 years held a farm labor contractor license, and
(iii) provide federal certificate of registration issued by the U.S. Department
of Labor if the individual or entity is required to register under federal
law.
(B) If no, state who will
perform these activities.
(9) The names and physical addresses, mailing
address, if different, and email address of all growers with whom the applicant
plans to contract in the near future and, if applicable, with whom the
applicant has contracted during the past three years;
(10) The name and title of the person who
will take the written examination for the applicant and whether the person
prefers to take the examination in English or Spanish;
(11) State whether the applicant intends to
maintain a labor camp, lodging house, or other housing for workers. If yes,
state the physical address of the location of the housing, the local agency
which issued a license or permit to house workers, and the effective dates of
such license or permit;
(12)
Indicate that applicant will not sell or propose to sell intoxicating liquors,
including wine or beer, on the premises where the applicant operates;
(13) Indicate whether the applicant has
submitted to the Internal Revenue Service a tax information authorization form
(IRS Form 8821);
(14) Indicate
whether the applicant intends to provide transportation to employees, and:
(A) For each vehicle to be used for this
purpose, identify the owner, make, model and year, body type and capacity,
license plate number, vehicle identification number (VIN), and name, address,
and telephone number of the automobile liability insurance carrier;
(B) Identify the name, address, and driver's
license number of each individual who will operate any vehicle to provide
transportation;
(C) For any
additional vehicle which is subsequently sought to be used for the
transportation of employees which is not identified on the application, the
additional vehicle must be registered with DLSE not later than 7 days prior to
use of the vehicle for transportation of workers. For vehicles which are
subsequently registered, applicant or licensee must provide a copy of the
liability insurance coverage, and DMV certification, if applicable, for
operators, as required under subdivision (b)(10) and (11).
(15) Indicate whether applicant's farm labor
contractor operation will be conducted in connection with any other business
and, if so, the type of business and name, address, and telephone number of the
other business;
(16)
(A) Indicate whether any person identified
under subdivisions (a)(6) and (a)(7) of this section, within the last 10 years:
(i) owes any delinquent unpaid
wages;
(ii) has any unpaid
judgments outstanding;
(iii) owes
payroll taxes, personal, partnership or corporate income taxes, Social Security
taxes, or disability insurance taxes;
(iv) has plead guilty or nolo contendere to
or been convicted of a crime substantially related to working conditions or
workers' health or safety, either misdemeanor or felony. The term convicted
includes instances in which there was a suspension of sentence and probation
granted, and where judicial dismissal proceedings under Penal Code section
1203.4 et seq.
were undertaken;
(v) has had any
license or permit issued pursuant to the Labor Code or Business and Professions
Code, or both, that was suspended, revoked, or denied, or has had any
disciplinary action of any nature whatsoever imposed upon him, her, or it in
connection with the holding of a license or permit;
(vi) has violated or willfully aided or
abetted any person in the violation of any law in the State of California
regulating employment in agriculture, the payment of wages to farm employees,
or the conditions, terms or places of employment affecting the health and
safety of farm employees which are applicable to business activities or
operations of the licensee in his or her capacity as a farm labor
contractor.
(B) If any
person or entity identified in subdivision (A) above falls within subdivisions
(i) through (vi), the applicant shall submit an explanation regarding the
incident and documentation supporting the explanation, including but not
limited to, description of the violation or charge, date of incident, court or
agency name (federal, state or local), and the disposition, if any, of the
matter.
(17) Applicant
shall submit a list including the name and addresses of any of the following
relatives who the applicant knows has previously applied for or held a farm
labor contractor license and whether the license was denied or revoked within
the last 10 years: spouse, domestic partner, brother, brother-in law, sister,
sister-in-law, cousin, cousin-in-law, father, father-in-law, mother, mother-in
law, son, son-in-law, daughter, or daughter-in-law, aunt, or uncle of the
applicant if the applicant is an individual, of a partner if applicant is a
partnership, and of an officer or shareholder if applicant is a corporation,
LLC, or other business entity.
(18)
Indicate the total number of employees the applicant will employ, and provide
his or her state and federal tax employer identification numbers.
(19) Total gross annual revenue for the
applicant.
(20) The name and
address of an agent or representative designated by the applicant to speak on
behalf of the applicant for purposes of communicating with DLSE
personnel.
(21) Attest to express
certification statements regarding obligations which are acknowledged and made
when submitting an application that the applicant:
(A) Agrees to comply with the provisions of
Labor Code section
3700 which
require every employer to be insured against liability for workers
compensation.
(B) Is aware of and
agrees to comply with the provisions of Labor Code section
1684(a)(3)
to deposit with the Labor Commissioner and maintain a current surety
bond.
(C) Agrees, in the event the
transportation is provided for employees, to carry public liability insurance
on each vehicle used, as required by subdivision (b)(10) and to ascertain that
all individuals providing transportation are legally licensed and competent to
transport employees.
(D) Agrees, as
a condition of being licensed as a farm labor contractor by the Labor
Commissioner, to keep the Commissioner informed of any change in the licensee's
address and other contact information.
(E) Consents, pursuant to Labor Code section
1684(a)(1)(C),
to the designation of the Labor Commissioner by an appropriate civil court as
the licensee's agent to accept service of summons in any action against a
licensee relating to their activities as a farm labor contractor in the event
that applicant has left the jurisdiction in which the action is commenced or
otherwise become unavailable to accept service.
(F) Is aware of the responsibilities as
licensee and agrees to operate as a farm labor contractor in compliance with
the provisions of the California Labor Code and applicable regulations,
including provision of adequate safeguards for health and safety of workers and
proper payment to workers; and specifically:
(i) is aware of all applicable worker safety
requirements related to agricultural working conditions, including heat illness
injury prevention and pesticide use and exposure, and will comply with all
applicable requirements; and
(ii)
will provide all protective measures, materials and equipment necessary to
comply with heat illness injury prevention requirements (see Title 8,
California Code of Regulations, section
3395) at each work site where work
is to be performed.
(G)
Certifies that applicant has provided all facts required by the Labor
Commissioner to make its determination to issue a license to operate as a farm
labor contractor as to the applicant's character, competency, responsibility,
and the manner in which the applicant proposes to conduct operations.
(H) Is aware of the provisions of the Labor
Code and applicable regulations regarding grounds for revocation, suspension,
refusal to renew, or issue a license to operate as a farm labor contractor, and
that a violation or failure to comply with all licensing requirements
applicable to farm labor contractors, including regulations in Title 8 of the
California Code of Regulations sections
13660 through
13667.4, inclusive, will subject a
licensee to denial of an application, revocation, suspension, or failure to
renew a license.
(I) Is aware that
any material misrepresentation made in connection with the information provided
on the application or other documents submitted relating to the application is
grounds for denial or subsequent revocation of a
license.
(b)
The applicant for a farm labor contractor license shall provide to the Labor
Commissioner the following items and documents along with the application for a
license:
(1) Fees:
(A) License fee of $500 and a filing fee of
$10, pursuant to Labor Code section
1684(a)(4);
(B) Examination fee pursuant to Labor Code
section
1684(b)(1).
The applicant shall pay a one hundred dollar ($100) fee for three attempts to
pass the examination in a calendar year. Failure to pass after three attempts
shall result in rejection of the application, forfeiture of the examination and
applications fees, and inability to re-apply and retake the test until the
beginning of the next calendar year after rejection.
All fees may be paid online by accessing
http://www.dir.ca.gov/dlse/Online Payment, or by submission of a certified
check, cashier's check, or money order to the Division of Labor Standards
Enforcement;
(2)
If applicant is a corporation, a copy of the Articles of Incorporation and the
most recent Statement of Information (form SI-200) filed with the Secretary of
State. If the applicant is an LLC, a copy of the Articles of Organization and
most recent Statement of Information (form LLC-12); and if a partnership, a
copy of the written partnership agreement, if any;
(3) Two (2) current passport photos for an
individual who is a sole proprietor, each partner, and a representative of a
corporation, LLC, or other business entity, as applicable for the type of
business entity. If the identity of a representative changes during the period
of the license, the corporation or business entity shall submit two passport
photographs of the new representative so that the division can issue a new
license. The name of the person in the photo must be written on the back of the
each photo.
(4) A copy (for online
applications) or an original (for submitting a physical application) of a Farm
Labor Contractor Bond (DLSE 402 or on a form issued by the surety) which
complies with the requirements of Labor Code Section
1684(a)(3).
(5) Certificate of Workers' Compensation
Insurance coverage or certificate of self-insurance issued to the applicant or
valid contract with a third party to provide workers' compensation insurance.
This certificate and documentation shall contain the name of the insured,
fictitious business name ("dba"), if any, and current physical business address
of the insured, effective and expiration date, amount of coverage and a policy
number, if applicable. If the applicant provides a contract with a third party
to provide workers' compensation insurance, the applicant shall also provide a
Certificate of Workers' Compensation Insurance or certificate of self-insurance
issued to that third party demonstrating workers' compensation coverage for
employees of the applicant.
(6)
Evidence of completion of eight hours of approved educational classes during
the previous year in accordance with section
13665.5.
(7) Pursuant to Labor Code section
273 subdivision
(b), a statement that applicant has satisfied all current requirements imposed
in a final court judgment, Labor Commissioner order, or an accord (e.g.
settlement agreement) involving an issue which relates to unpaid
wages.
(8) Live scan fingerprint
images for a sole proprietor, all partners of a partnership, all corporate
officers of a corporation, each member of a limited liability company, as
applicable.
(9) A copy of driver's
license for:
(A) A sole proprietor, each
partner of a partnership, each corporate officer of a corporation, each member
of a limited liability company, as applicable
(B) Each person who will operate a farm labor
vehicle for transportation of workers, including drivers of vehicles who
transport farm laborers who are not the applicant's employees.
(C) The person taking the examination
required under Labor Code section
1684(a)(5).
For purposes of this subdivision (b)(9)(C), other photo identification on a
legally authorized document is acceptable.
(10) Proof of applicant's vehicle liability
insurance coverage in the amount set below, for each vehicle identified under
section 13660(a)(14)(A)
which includes the name of the insured, the name and address of coverage
carrier, policy number, coverage limits, including medical coverage, the
policy's effective dates for each vehicle applicant intends to utilize.
(A) For vehicles carrying 15 or fewer
passengers: $15,000/$30,000 minimum coverage for personal injury, and $50,000
for property damage.
(B) For
vehicles carrying more than 15 passengers: $30,000/$60,000 minimum coverage for
personal injury, and $50,000 for property damage.
(C) For day haulers who only provide
transportation: $1,500,000 minimum coverage for personal injury for a vehicle
carrying 15 or fewer passengers; $5,000,000 minimum coverage for personal
injury for a vehicle carrying more than 15 passengers.
(11) Certificate from Department of Motor
Vehicles (DMV) permitting operation of farm labor vehicle if the vehicle is
subject to Vehicle Code sections
322 and
12519 and
where the applicant will transport farm workers who are his or her own
employees or are employed by another.
(12) Evidence of clean driving license record
from the Department of Motor Vehicles (DMV Form INF 1125) for any person
operating a vehicle which will transport the applicant's own employees or
workers who are not his or her employees.
(13) Personal record information (included in
online and physical application (DLSE 401-N) which provides the following
information for each sole proprietorship, each partner of a partnership, each
corporate officer of a corporation, each member and managing agent (if any) of
an LLC, and certified under penalty of perjury:
(A) the full name (first, middle, and last
name) of the individual, title in the business, social security number,
percentage of ownership interest (if any), date of birth, driver's license
number (include a copy of driver's license), spouse's name, spouse's capacity
in business (if any), physical home address (post office or other mail box
number not allowed), business telephone number, mobile telephone number, email
address, and mailing address if different from home address.
(B) the occupation history of the person for
the last two years including commencing and ending dates, name of employer (if
self-employed, indicate name and type of business), description of occupation,
and business location address.
1. New
section filed 2-21-89; operative 3-23-89 (Register 89, No. 9).
2.
Repealer of former subchapter 9 (sections 13660-13662) and new subchapter 9
(articles 1-4, sections 13660-13667.4), article 1 (sections 13660-13664) and
section filed 5-30-2014; operative 7-1-2014 (Register 2014, No.
22).
Note: Authority cited: Sections
273 and
1699, Labor
Code. Reference: Sections
273,
1682,
1683,
1684,
1685,
1687,
1688,
1690,
1695,
1695.9,
1696,
1696.3,
1696.4,
1698.5 and
3700, Labor
Code; Section
12519,
Vehicle Code.