Current through Register 2024 Notice Reg. No. 38, September 20, 2024
(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.
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).
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.
