Current through Register 2024 Notice Reg. No. 12, March 22, 2024
(a) Individuals
Required to Submit Fingerprinting.
(1) Issuer
Application Assisters seeking certification as PBEs shall submit fingerprint
images and associated criminal history information pursuant to Gov. Code 1043
and Section
6456(a)-(e) of
Article 4 of this chapter.
(2)
Captive Agents seeking certification as PBEs are required to be licensed in
good standing with the California Department of Insurance and shall not be
subject to the fingerprinting process described in subdivision
(a)(1).
(b) Interim
Fitness Determination.
(1) Before any final
determination or certification decision is made based on the criminal record,
the Exchange shall comply with the requirements of Section
6456(d)-(e) of
Article 4 of this chapter.
(2) If
the Exchange finds that an individual seeking certification as a PBE has a
potentially disqualifying criminal record under Section
6456(d)-(e) of
Article 4 of this chapter, the Exchange shall promptly provide the individual
with a copy of his or her criminal record pursuant to Penal Code Section
11105(t),
notify the individual of the specific disqualifying offense(s) for the interim
determination, and provide the individual information on how to request a
written appeal, including examples of the types of additional evidence the
individual may provide, to dispute the accuracy and relevancy of the criminal
record.
(c) Appeal and
Final Determination.
(1) Inaccurate or
Incomplete Federal and Out of State Disqualifying Offenses.
(A) If the individual believes that the
potentially disqualifying offense in the Federal Bureau of Investigation
national criminal response identified in the notice sent pursuant to
subdivision (b)(2) of this Section is inaccurate or incomplete, within 60
calendar days from the date of the notice, the individual may seek to correct
or complete the response by providing information to the Exchange, including
official court and law enforcement records, identifying and correcting the
incomplete or inaccurate criminal history information. Within 60 days of
receipt of such information, the Exchange shall reevaluate the interim fitness
determination and respond to the individual with a final
determination.
(2)
Inaccurate or Incomplete California Disqualifying Offenses.
(A) If the individual believes that the
potentially disqualifying offense in the California Department of Justice state
criminal response identified in the notice sent pursuant to subdivision (b)(2)
is inaccurate or incomplete, within 60 calendar days from the date of the
notice, the individual shall notify the Exchange and follow the procedures set
forth in Penal Code Sections
11120-
11127 to
correct or complete the criminal response with the DOJ. The fitness
determination shall not be final until the DOJ has acted to correct the state
criminal response. Within 60 days of receipt of the corrected response, the
Exchange shall reevaluate the interim fitness determination and respond to the
individual with a final determination.
(3) If the individual determines that his or
her criminal record is accurate, within 60 days from the date of the notice in
subdivision (b)(2) of this Section, the individual may dispute the interim
determination by producing additional written evidence of rehabilitation and
mitigating circumstances related to any potentially disqualifying offense.
Within 60 days of receipt of such written evidence, the Exchange shall
reevaluate the interim fitness determination and respond to the individual with
a final determination.
(A) For purposes of
reevaluating the interim determination pursuant to subdivision (c)(3) of this
Section, the Exchange shall take into account any of the following:
(i) Any additional evidence of rehabilitation
and mitigating circumstances provided by the individual in subdivision (c)(3)
of this Section;
(ii) Information
received as a result of the criminal record check;
(iii) Information received through the
individual's application process for a position requiring fingerprinting in
subdivision (a) of this Section.
(iv) Information received as a result of the
individual's employment history or qualifications for a position requiring
fingerprinting in subdivision (a) of this
Section.
(4)
Absent good cause for late filing as determined by the Exchange on a case by
case basis, the interim fitness determination shall become final.
(5) Following the receipt of a final
determination pursuant to this section that an individual is disqualified from
certification, the individual shall not reapply for certification for two
years.
(d) Costs.
(1) Background check costs for individual
PBEs shall be paid by the PBEE.
1. New section
filed 9-30-2013 as an emergency; operative 9-30-2013 (Register 2013, No. 40). A
Certificate of Compliance must be transmitted to OAL by 4-1-2014 or emergency
language will be repealed by operation of law on the following
day.
2. New section refiled 4-1-2014 as an emergency; operative
4-1-2014 (Register 2014, No. 14). A Certificate of Compliance must be
transmitted to OAL by 6-30-2014 or emergency language will be repealed by
operation of law on the following day.
3. New section refiled
6-26-2014 as an emergency pursuant to Government Code section
100504(a)(6),
as modified by Senate Bill 857 (Stats. 2014, c. 31); operative 7-1-2014
(Register 2014, No. 26). A Certificate of Compliance must be transmitted to OAL
by 9-30-2015 pursuant to Government Code section
100504 or
emergency language will be repealed by operation of law on the following
day.
4. New section refiled with amendments 10-2-2014 as an
emergency pursuant to Government Code section
100504(a)(6),
as modified by Senate Bill 857 (Stats. 2014, c. 31); operative 10-2-2014
(Register 2014, No. 40). A Certificate of Compliance must be transmitted to OAL
by 9-30-2015 pursuant to Government Code section
100504 or
emergency language will be repealed by operation of law on the following
day.
5. Editorial correction of HISTORY 3 (Register 2014, No.
51).
6. Senate Bill 75 (Stats. 2015, Ch. 18) modified Government
Code section
100504(a)(6)
to change the date upon which a Certificate of Compliance must be transmitted
to OAL. Pursuant to Government Code section
100504(a)(6),
as modified by Senate Bill 75 (Stats. 2015, Ch. 18), a Certificate of
Compliance must be transmitted to OAL by 9-30-2016 or the language in the
emergency order of 10-2-2014 will be repealed by operation of law on the
following day (Register 2015, No. 38).
7. Certificate of Compliance
as to 10-2-2014 order, including further amendment of subsection (a),
transmitted to OAL 4-12-2016 and filed 5-23-2016; amendments effective
5-23-2016 pursuant to Government Code section
11343.4(b)(3)
(Register 2016, No. 22).
8. New subsection (c)(5) filed 1-29-2018;
operative 1-29-2018 pursuant to Government Code section
11343.4(b)(3)
(Register 2018, No. 5).
Note: Authority cited: Sections
1043,
100503 and
100504,
Government Code. Reference: Section
11105, Penal
Code; Section
100503,
Government Code; and 45 Code of Federal Regulations, Sections
155.415,
155.260 and
156.1230.
