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§ 2188. Provider Certification, Provider Renewal, and Provider Qualifications.

10 CA ADC § 2188BARCLAYS OFFICIAL CALIFORNIA CODE OF REGULATIONS

Barclays Official California Code of Regulations Currentness
Title 10. Investment
Chapter 5. Insurance Commissioner
Subchapter 1. Production of Insurance
Article 6.5. Prelicensing and Continuing Education
10 CCR § 2188
§ 2188. Provider Certification, Provider Renewal, and Provider Qualifications.
(a) Provider Certification
(1) Every person desiring to be certified as a provider shall submit to the Commissioner Form LIC 446-2 (Prelicensing/Continuing Education Program Provider Certification/Renewal Application), as set forth in Section 2188.50, or submit online when such services become available, along with the filing fee specified in Section 1751.1 of the California Insurance Code. Form LIC 446-2 shall request information, including but not limited to, the following:
(A) Provider name, business address, mailing address, and telephone numbers.
Every applicant that submits Form LIC 446-2 (Prelicensing/Continuing Education Program Provider Certification/Renewal Application) with a business address outside of California shall file with the Commissioner the agreement included on Form LIC 446-40 (Prelicensing/Continuing Education Program Out-of-State Provider Jurisdiction Agreement), as set forth in Section 2188.50. The agreement shall give the commissioner jurisdiction over applicant and shall be binding upon the applicant executing it. Service shall be made upon the Commissioner under the circumstances described in the agreement and in the manner provided in the California Insurance Code.
(B) The name, qualifications (experience, professional designations, degrees, licenses held), and email address of the provider director;
(C) Whether the provider director, or a controlling person of a provider organization, has been convicted of a crime; refused a professional, occupational or vocational license or has had such a license suspended, restricted or revoked by any licensing authority; or been fined or placed on probation by an administrative agency;
(D) Whether the provider organization has been refused a professional, occupational or vocational license or has had such a license suspended, restricted or revoked by any licensing authority; or been fined or placed on probation by an administrative agency. The provider organization's response shall include only those actions relating to their prelicensing and/or continuing education provider status;
(E) The location, including street address, city, telephone number and contact person, of records required to be maintained by the provider. If records are to be kept outside of California, Form LIC 446-32 (Prelicensing/Continuing Education Provider Stipulation to Maintain Records Outside of California) as described in Section 2188.4(e) and set forth in Section 2188.50 must be completed and signed by the provider director;
(F) The attendance record and verification forms proposed for use that meets the requirements of Section 2188.5(b);
(G) The certificate of completion proposed for use that meets the requirements of Section 2188.8(a);
(H) The provider's status with the Bureau for Private Postsecondary Education;
(I) Whether the provider is a sole proprietorship, partnership, association or corporation;
(J) Certification that no course shall be offered for credit unless the provider has been certified by the Commissioner;
(K) The original signature of the provider director certifying accuracy of the information provided unless electronic submission becomes available; and
(L) The full legal name, social security number, and date of birth of each controlling person.
(2) No provider shall be certified if the application referred to above is incomplete. The Commissioner shall inform all provider applicants in writing by way of a letter or an email within seven (7) days from the Commissioner's receipt of the provider application that it is accepted for filing.
(A) Incomplete provider applications shall remain active for one (1) year unless withdrawn by the applicant. After one (1) year, a new application is required, along with the filing fee specified in Section 1751.1 of the California Insurance Code.
(B) Notification that an application is accepted by the Commissioner does not necessarily mean the Commissioner considers all information contained therein to be sufficient, and submission of insufficient information may be a basis for denial of provider certification.
(C) The Commissioner shall decide whether to grant or renew provider certification within sixty (60) days from its receipt of a completed application; however, the sixty-day (60) time period shall be tolled during any such time that a provider applicant comes under formal investigation by the Commissioner.
(3) The Commissioner may refuse to certify a provider if the Commissioner finds that:
(A) The applicant or any controlling person is not properly qualified to perform the duties of a provider;
(B) The granting of the provider's certification would be against the public interest;
(C) The applicant or any controlling person is not of good business reputation;
(D) The applicant or any controlling person is lacking in integrity;
(E) The applicant or any controlling person has been refused a professional, occupational or vocational license; had such a license suspended, revoked, restricted; or been fined or placed on probation by any licensing authority for reasons other than the applicant's or controlling person's failure to meet the licensing authority's technical requirements for licensure;
(F) The applicant or any controlling person has knowingly, willfully, or recklessly made any misstatement in any application to the Commissioner or in a document filed in support of such application, or has made a false statement in testimony given under oath before the Commissioner or any other person acting in his stead;
(G) The applicant or any controlling person has previously engaged in a fraudulent practice or act or has conducted any business in a dishonest manner;
(H) The applicant or any controlling person has shown incompetency or untrustworthiness in the conduct of any business, or, has by commission of a wrongful act or practice in the course of any business, exposed the public or those dealing with him or her to the danger of loss;
(I) The applicant or any controlling person has been convicted of a felony; a misdemeanor denounced by any law regulating insurance; a public offense having as one of its necessary elements a fraudulent act or an act of dishonesty in the acceptance, custody, or payment of money or property; or a public offense which indicates any potential for future conduct detrimental to students or the insurance industry;
(J) The applicant or any controlling person has aided or abetted any person in an act or omission which would constitute grounds for denial of certification or disciplinary action under the California Insurance Code against the person aided or abetted; or
(K) The applicant or any controlling person has permitted any person in his or her employ to violate any provision of the California Insurance Code.
(4) Prior to refusing to certify a provider for the reasons specified in Section 2188(a)(3), except as provided in Section 1669 of the Insurance Code, the Commissioner must afford the provider applicant with an opportunity to be heard in support of his application.
(5) Upon the filing of an original application to be certified as a provider, the Commissioner may undertake an investigation and require the filing of supplementary documents, affidavits and statements as may be necessary to obtain a full disclosure of such information as will aid him or her in determining whether the prerequisites for the certification of said provider is met.
(b) Renewal of Provider Certification
(1) Every person desiring to renew certification as a provider shall submit to the Commissioner a provider renewal application on Form LIC 446-2 (Prelicensing/Continuing Education Program Provider Certification/Renewal Application), as set forth in Section 2188.50, or submit online when such services become available,
(2) No provider certification shall be renewed if the application referred to above is incomplete. The Commissioner shall inform all provider renewal applicants in writing by way of a letter or an email within seven (7) days from the Commissioner's receipt of the provider renewal application that it is accepted for filing.
(A) Incomplete provider renewal applications shall remain active for one (1) year unless withdrawn by the applicant. After one (1) year, a new provider application is required, along with the filing fee specified in Section 1751.1 of the California Insurance Code.
(B) Notification that a provider renewal application is accepted does not necessarily mean the Commissioner considers all information contained therein to be sufficient, and submission of insufficient information may be a basis for denial of provider certification.
(C) The Commissioner shall decide whether to renew provider certification within sixty (60) days from its receipt of a completed provider renewal application; however, the sixty-day (60) time period shall be tolled during any such time that a provider comes under formal investigation by the Commissioner.
(3) Provider renewal applications shall be received by the Commissioner not less than sixty (60) days prior to the expiration of the provider's status to maintain continuity of certification.
(4) A provider with an expired certification is not permitted to offer any of its approved courses until such time as its active status has been renewed.
(5) Upon the filing of a provider renewal application, the Commissioner may undertake an investigation and require the filing of supplementary documents, affidavits and statements as may be necessary to obtain a full disclosure of such information as will aid him or her in determining whether the prerequisites for the renewal certification of said provider have been met.
(c) Provider Qualifications
(1) A provider shall notify the Commissioner in writing by way of a letter or an email no later than ten (10) days following any change in any of the items listed in subdivision (a)(1) or (b)(1) of this section.
(2) A provider or applicant for provider certification shall obtain the Commissioner's written approval prior to using any fictitious name under which it acts in a capacity for which certification is required. A provider or applicant for provider certification shall file with the Commissioner any change in or discontinuance of a true or fictitious name. The Commissioner may in writing by way of a letter or an email disapprove the use of any fictitious or true name, other than the bona fide natural name of an individual, on any of the following grounds:
(A) The name is an interference with or is too similar to a name already filed and in use by another provider;
(B) The use of the name might mislead the public in any respect; or
(C) The provider or applicant for provider certification has already obtained approval for the use of a fictitious name and has not agreed to discontinue the use of that name. This subdivision shall not prevent a provider or applicant for provider certification who has lawfully purchased or succeeded to the business or businesses of other providers from using not more than two (2) additional names, true or fictitious, used by each of the predecessor businesses in their conduct as providers.
Note: Authority cited: Sections 1666, 1667, 1668, 1669 and 1749.7, Insurance Code. Reference: Sections 1749, 1749.1, 1749.3, 1749.31, 1749.32, 1749.33, 1749.4, 1749.5, 1749.8, 1749.85, 10113.2(b)(1)(A) and 10234.93(a)(4), Insurance Code.
HISTORY
1. New section filed 4-15-93; operative 5-17-93 (Register 93, No. 16).
2. Repealer and new section filed 8-23-96; operative 9-22-96 (Register 96, No. 34).
3. Amendment of section heading and section filed 2-23-2010; operative 3-25-2010 (Register 2010, No. 9).
4. Amendment of section heading, section and Note filed 10-22-2014; operative 2-19-2015 pursuant to Government Code section 11343.4(b)(2) (Register 2014, No. 43).
This database is current through 1/7/22 Register 2022, No. 1
10 CCR § 2188, 10 CA ADC § 2188
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