Current through Register 2024 Notice Reg. No. 38, September 20, 2024
(a) Each of the following shall be justification
for the Exchange to suspend or revoke the certification of any Certified Application
Entity and/or Certified Application Counselor:
(1)
Failure to comply with any and all applicable federal or state laws or regulations,
including, but not limited to, Section
6864 or Section
6866 of this Article; or
(2) A potentially disqualifying administrative
action or criminal record, which is substantially related to the qualifications,
functions, or duties of the specific position of the entity or individual as set
forth in this Article.
(b)
Withdrawal of Certification Procedure.
(1) The
Exchange shall withdraw a Certified Application Entity's certification in accordance
with the following procedure:
(A) The Exchange
shall provide written notice to the Certified Application Entity including the
justification for withdrawing the certification;
(B) The withdrawal of the Certified Application
Entity's certification shall become effective 20 calendar days following the date of
the issuance of the Exchange's written notice;
(C) The submission of an appeal as set forth in
subdivision (c) of this section shall toll the effectiveness of the decertification
pursuant to subdivision (b)(1)(B) of this section until a final determination is
made, however during this time the Certified Application Entity may not hold itself
out as such;
(D) A Certified Application
Entity for which the Exchange has withdrawn its certification must notify within one
business day all of its Certified Application Counselors that they may no longer
hold themselves out as Certified Application Counselors; and
(E) Withdrawal of a Certified Application Entity's
certification does not relieve the entity of its obligation to protect consumers'
personally identifiable information which it obtained or to which it had
access.
(2) The Exchange shall
withdraw a Certified Application Counselor's certification in accordance with the
following procedure:
(A) The Exchange shall provide
written notice to the Certified Application Counselor, which includes the
justification for withdrawing the certification;
(B) The withdrawal of the Certified Application
Counselor's certification shall become effective 20 calendar days following the date
of the issuance of the Exchange's written notice;
(C) The submission of an appeal as set forth in
subdivision (c) of this section shall toll the effectiveness of the decertification
pursuant to subdivision (b)(2)(B) of this section until a final determination is
made;
(D) Certified Application
Counselors may not hold themselves out as Certified Application Counselors after
receiving a written notice pursuant to (b)(2)(A) of this section unless and until
their certification is reinstated; and
(E) Withdrawal of a Certified Application
Counselor's certification does not relieve the Counselor of the obligation to
protect consumers' personally identifiable information which they obtained or to
which they had access.
(3) A
Certified Application Entity shall, within 30 days of certification, establish
procedures to withdraw certification from individual Certified Application
Counselors upon a Counselor's failure to comply with any and all applicable federal
or state laws or regulations, including, but not limited to, the regulations set
forth in this Article.
(c)
Appeals.
(1) Individuals or entities may appeal a
determination made pursuant to subdivision (a)(1) of this section through the
process described in Section
6862 of this Article.
(2) Individuals or entities may appeal a
determination made pursuant to subdivision (a)(2) of this section through the
process described in Section
6858, subdivision (c).
(3) Until a final determination or decision is
made by the Exchange regarding an individual or entity's appeal, the appellant shall
be disqualified from performing any functions under this
Article;
(d) Following the
receipt of a final determination pursuant to this section that disqualifies an
individual or entity from certification, the entity or individual is not eligible to
reapply for certification for two years.
1. New section
filed 7-6-2015 as an emergency pursuant to Government Code section
100504(a)(6),
as modified by Senate Bill 75 (Stats. 2015, c. 18); operative 7-6-2015 (Register
2015, No. 28). A Certificate of Compliance must be transmitted to OAL by 7-6-2018
pursuant to Government Code section
100504(a)(6)
or emergency language will be repealed by operation of law on the following
day.
2. Editorial correction of HISTORY 1 (Register 2018, No.
37).
3. New section filed 6-7-2019; operative 6-7-2019 pursuant to
Government Code section
11343.4(b)(3)
(Register 2019, No. 23).
4. Editorial correction of HISTORY 1 (Register
2019, No. 39).
Note: Authority cited: Section
100504,
Government Code. Reference: Section
100502,
Government Code; and 45 C.F.R.
Section
155.225.
