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§ 2188.8. Certificates of Completion.

10 CA ADC § 2188.8BARCLAYS 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 § 2188.8
§ 2188.8. Certificates of Completion.
(a) Certificates of completion shall be provided by the provider to any student successfully completing a prelicensing, continuing education, or training course. Duplicate certificates of completion shall be issued by providers upon request in the case of lost or destroyed certificates. Certificates of Completion may be issued electronically to the student. Certificates of Completion shall contain the following information:
(1) Original or electronic signature of the student and the instructor/subject matter expert, or the provider director. In the case of supervised audio/video courses, the original signature of the provider director designee who supervised the course and verified attendance;
(2) The title and the Commissioner's course approval number of the course completed;
(3) The provider name, address, telephone number and the Commissioner's approval number;
(4) For a non-contact course, the completion date of the course; for contact courses, the date(s) of the course taken, the date completed and the city, including street address and zip code, where taken;
(5) The number of hours approved for the course;
(6) a statement that submitting a false or fraudulent certificate of completion to the Commissioner may subject any application for an insurance license to denial, and any issued license to suspension or revocation; and
(7) Certificates of completion or the records of final examination grades of courses taken to satisfy the requirements of Sections 1749, 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) of the California Insurance Code shall state that the student shall retain the continuing education certificate for five (5) years. In addition, the prelicensing certificate of completion shall state that the student is to retain the prelicensing certificates for three (3) years from the date the course is completed. The prelicensing certificate shall also state the expiration date of the prelicensing certificate which is three (3) years after the completion of the course.
(b) The provider shall provide the Commissioner with a roster of students given certificates of completion as follows:
(1) The prelicensing roster is to be submitted within ten (10) business days following the completion of the course.
(2) The continuing education roster is to be submitted within thirty (30) calendar days following the completion of the course. Said roster shall include the name of the instructor/subject matter expert if the instructor/subject matter expert is requesting credit for the course.
(3) The roster shall be submitted through an electronic filing method which can include, but is not limited to, the Commissioner's website, electronic flat file, diskette, compact diskette (CD), or digital versatile disc (DVD). Specific requirements for submitting rosters using one (1) of the methods noted above will be provided by the education unit; and,
(4) Submission of typed hard copy Form LIC 446-13 (Provider Roster), as set forth in Section 2188.50, or typed on a form selected by the provider, as long as the form contains the following minimum requirements, will only be accepted under special circumstances previously approved by the Commissioner:
(A) The name, birth date shown in mm/dd/yyyy and the last four digits of the student's social security number and insurance license number (if any) of the student;
(B) The provider name and the Commissioner's approval number;
(C) The course title and the Commissioner's approval number;
(D) The date and location of course including street address and zip code;
(E) The number of hours approved for the course; and
(F) The signature of the provider director certifying accuracy of information provided.
(c) Submission of a late roster shall be accompanied by a letter of explanation signed by the provider director. Continued noncompliance, including any failure to supply a letter of explanation, shall be considered grounds for the rescission of a provider's certification.
Note: Authority cited: Section 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 and Note filed 5-25-2006; operative 6-24-2006 (Register 2006, No. 21).
4. Amendment of subsections (a), (a)(1), (a)(7), (b)(2) and (b)(4) and Note filed 2-23-2010; operative 3-25-2010 (Register 2010, No. 9).
5. Amendment of 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 § 2188.8, 10 CA ADC § 2188.8
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