California Code of Regulations › Title 10 - Investment › Chapter 5 - Insurance Commissioner › Subchapter 1 - Production of Insurance › Article 6.5 - Prelicensing and Continuing Education › Section 2188.4 - Maintenance of Records

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a) All
				  providers shall maintain completed instructor/subject matter expert
				  qualification information on Form LIC 446-4 (Prelicensing/Continuing Education
				  Program Instructor/Subject Matter Expert Qualification), as set forth in
				  Section 2188.50 and shall maintain
				  documentation as set forth in Section
				  2188.1(b).
(b) All providers shall maintain records of
				  enrollments, provider rosters, examination answer sheets, grades of students
				  and review question responses. Prelicensing providers shall also maintain
				  student residence addresses, telephone numbers, and the student's birth date
				  shown in mm/dd/yyyy and the last four digits of the student's social security
				  numbers. Online prelicensing student affidavits shall be maintained by
				  providers as required by Section
				  2188.5.5. Electronic records of
				  online prelicensing student affidavits may be accepted. All records shall be
				  maintained in a manner that protects the identity and non-public personal
				  information of the student.
(c) All
				  providers shall maintain attendance records on forms approved by the
				  Commissioner pursuant to Section
				  2188.5(b).
(d) Records of attendance in accordance with
				  this Section shall be maintained by the provider (including the local chapter
				  of educational entity) for classroom programs referred to in Section
				  1749.4 of
				  the California Insurance Code.
(e)
				  Provider records are to be maintained for a period of five (5) years and must
				  be made available to the Commissioner for inspection and copying immediately
				  upon request. All records of providers with an office in this State, or which
				  are otherwise doing business in this State, shall be maintained at a location
				  within the State unless Form LIC 446-32 (Prelicensing/Continuing Education
				  Provider Stipulation to Maintain Records Outside of California), as set forth
				  in Section
				  2188.50, is submitted by the
				  provider director. Failure to comply with this subsection shall be grounds for
				  rescission of a provider's certification.
(f) Providers shall maintain records such as
				  bank statements, ledgers, journals, receipt books, invoices, and checks, which
				  establish an audit trail of all fees collected from and refunded to students
				  for prelicensing and continuing education courses.
(g) Providers shall maintain copies of all
				  advertisements, mailers and solicitations used in connection with the
				  advertising or offering of prelicensing and continuing education courses to the
				  public. Providers are required to retain such items for a period of at least
				  two (2) years, unless notified by a representative of the Commissioner that a
				  longer retention period is required.
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 subsections (a)-(b) and (d)-(e) and NOTE filed
					 2-23-2010; operative 3-25-2010 (Register 2010, No. 9).
4. 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.