Florida Office of Insurance Regulation Accepting Written Comments on Insurer Application Procedures Proposed Rules

Jun 29, 2017

Written comments are now being accepted by the Florida Office of Insurance Regulation (“OIR”) until July 20, 2017 on a number of proposed Rules relating to applications procedures for insurers seeking to do business in Florida.

The Rule Chapter, 69O-136, F.A.C., is being re-organized to eliminate redundant or obsolete forms, and adopt forms currently in use. The revisions are intended to streamline insurers’ application process, update forms to reflect current practice, and to reflect that applications are made by the electronic filing process on the OIR Web site.

A Rule Hearing has been tentatively scheduled for July 26, 2017 at 10 a.m. (ET) if requested by a member of the public.

To view the complete Notice of Proposed Rule, click here.

The proposed Rules are:

69O-136.004	Surplus Lines
69O-136.005	Captive Insurers
69O-136.011	Domestic Insurers Filing for a Certificate of Authority
69O-136.012	Forms Adopted
69O-136.015	Procedure to Amend an Existing Certificate of Authority to Add a New Line of Business
69O-136.018	Determination of Eligibility to Operate as an Alien Insurer in Florida pursuant to Subsection
69O-136.031	Registration as a Purchasing Group
69O-136.032	Registration as a Risk Retention Group
69O-136.034	Uniform Certificate of Authority Expansion Application

The markup of the proposed Rules is reprinted below:

69O-136.004 Surplus Lines.

All insurers seeking eligibility as a Surplus Lines Insurer Applications submitted as an Insurer under Florida’s Surplus Lines Law, pursuant to Section 626.913, Florida Statutes, shall submit contain all of the following forms and requirements therein:

(1) Form OIR-C1-915, “Application as an Insurer Under Florida’s Surplus Lines Law,” rev. 12/97;

(1)(2) Form OIR-C1-916, “Applications for Eligibility as a Surplus lines Insurer”, rev.5/17 “Instructions, Sections I-IV,” rev. 5/99;

(3) Form OIR-C1-917, “Required Filings Check List, Sections I-IV,” rev. 5/98;

(2)(4) Form OIR-C1-1524 OIR-C1-144, “Uniform Consent to Service of Process Consent & Agreement,” rev. 1/97, as adopted in Rule 69O-143.056, F.A.C.;

(5) Form OIR-C1-903, “Invoice, Request for Payment of Fingerprint Charges,” rev. 4/97;

(3)(6) Form OIR-C1-1416 OIR-C1-877, “Uniform Certificate of Authority Application (UCAA) “Property and Casualty Insurers, Lines of Insurance Business by Company Code,” as adopted in Rule 69O-143.056, F.A.C. rev. 11/05/99;

(4)(7) Form OIR-C1-1423 OIR-C1-422, “Biographical Statement and Affidavit” as adopted in Rule 69O-143.056, F.A.C., rev. 10/26/98;

(8) Form OIR-C1-450, “Authority for Release of Information,” rev. 5/00;

(5)(9) An investigative report in accordance with the instructions on Form OIR-C1-905, “Instructions for Furnishing Background Investigative Reports,” ased in Rule 69O-143.056, F.A.C. rev. 2/01;

(6)(10) Form OIR-C1-938, “Fingerprint Payment and Submission Procedure Card Instructions,” as adopted in Rule 69O-143.056 F.A.C. rev. 7/99; and,

(7)(11) Form OIR-C1-1298, “Uniform Certificate of Authority Application (UCAA)-Management Information Form,” as adopted in Rule 69O-143.056 F.A.C. rev. 4/97.

Rulemaking Authority 624.308 FS. Law Implemented 624.307(1), 624.34, 624.422, 624.501, 626.913, 626.918 FS. History-New 2-26-92, Amended 9-19-00, 11-18-02, Formerly 4-136.004,Amended______________.

69O-136.005 Captive Insurers.

All domestic captive insurers filing an a application for licensure, pursuant to Part V of Chapter 628, F.S., shall submit the following forms and requirments therein:

(1) Form OIR-C1-2114, “Captive Insurer Application Form and Instructions”, rev. 6/13;

(2) Form OIR-C1-1416, “Uniform Certificate of Authority (UCAA) Lines of Insurance”, as adopted in Rule 69O-143.056, F.A.C.;

(3) Form OIR-C1-1423, “Biographical Affidavit”, as adopted in Rule 69O-143.056, F.A.C.;

(4) Form OIR-DO-896, “UCAA Proforma Financial Statements, Property and Casualty Insurance Company”, as adopted in Rule 69O-143.056, F.A.C.;

(5) Form OIR-C1-1524, “Uniform Consent to Service of Process”, as adopted in Rule 69O-143.056, F.A.C.;

(6) An investigative report in accordance with the instructions on Form OIR-C1-905, “Instructions for Furnishing Background Investigative Reports,” as adopted in Rule 69O-143.056, F.A.C.; and,

(7) Form OIR-C1-938, “Fingerprint Card Instructions,” as adopted in Rule 69O-143.056, F.A.C.

Rulemaking Authority 624.308 FS. Law Implemented 624.307(1), 628.905, 628.906, FS. History-New _______

69O-136.011 Domestic Insurers Filing for a Permit or Preliminary Certificate of Authority, as applicable, and Certificate of Authority.

(1) All domestic Property and Casualty, Title, and Life and Health insurers applying for a permit, pursuant to Chapter 628, Part I, F.S., and certificate of authority pursuant to Chapter 624, F.S. and Chapter 628, Parts I and II, F.S., shall comply with the instructions for a Primary Application as contained in the UCAA Instructions and any other requirements specifically listed or referenced including submitting the following forms and requirements therein. Such filings shall not exempt a domestic insurer from any requirements under F.S.

(a) Form OIR-C1-2196, ” UCAA Instructions”, rev. 12/16;

(b) Form OIR-C1-2197, “Uniform Certificate of Authority Application (UCAA) – Primary Application Checklist”, which includes Form OIR-C1-1298, “Uniform Certificate of Authority Application (UCAA) – Management Information Form,” as adopted in Rule 69O-143.056, F.A.C. ;

(d) Form OIR-C1-1416, “Uniform Certificate of Authority (UCAA) Lines of Insurance”, as adopted in Rule 69O-143.056, F.A.C.;

(e) Form OIR-C1-1422, “Uniform Certificate of Authority Application Questionnaire”, as adopted in Rule 69O-136.034, F.A.C.;

(f) Form OIR-DO-896, “UCAA Proforma Financial Statements, Property and Casualty Insurance Company”, as adopted in Rule 69O-143.056, F.A.C.;

(g) Form OIR-DO-904, “UCAA Proforma Financial Statements, Life & Health Insurer”, as adopted in Rule 69O-143.056, F.A.C.;

(h) Form OIR-DO-2119, “UCAA Proforma Financial Statements, Title Insurance Company”, as adopted in Rule 69O-143.056, F.A.C.;

(i) Form OIR-DO-2165, “UCAA Proforma Financial Statements, Health”, as adopted in Rule 69O-143.056, F.A.C.;

(j) Form OIR-C1-1423, “Biographical Affidavit”, as adopted in Rule 69O-143.056, F.A.C.;

(k) An investigative report in accordance with the instructions on Form OIR-C1-905, “Instructions for Furnishing Background Investigative Reports,” as adopted in Rule 69O-143.056, F.A.C.;

(l) Form OIR-D0-516, “Insurance Company System Registration Statement,” as adopted in Rule 69O-143.056, F.A.C.;

(m) Form OIR-C1-1524, “Uniform Consent to Service of Process”, as adopted in Rule 69O-143.056, F.A.C.;

(n) Form OIR-C1-1389, NAIC Company Code Appliation,” rev.2/16 5/00 and

(o) Form OIR-C1-1522, “Primary Application, Florida Specific Information”, rev 5/17, which includes Form OIR-C1-938, “Fingerprint Payment and Submission Procedure”, as adopted in Rule 69O-143.056, F.A.C.

All domestic entities seeking a certificate of authority, pursuant to Sections 624.466, 628.6011, or 628.051, or to Chapters 628, Part I, 629, F.S., shall submit the following forms:

(a) Form OIR-C1-903, “Invoice, Request for Payment of Fingerprint Charges,” rev. 4/97;

(b) Form OIR-C1-883, “Certificate of Designation, Registered Agent/Registered Office,” rev. 4/00;

(d) Form OIR-C1-516, “Insurance Holding Company System Registration Statement,” rev. 4/97;

(e) Form OIR-C1-422, “Biographical Statement and Affidavit,” rev. 10/26/98;

(f) Form OIR-C1-450, “Authority For Release of Information,” rev. 5/00;

(g) An investigative report in accordance with the instructions on Form OIR-C1-905, “Instructions for Furnishing Background Investiagtive Reports,” rev. 2/01;

(h) Form OIR-C1-938, “Fingerprint Card Instructions,” rev. 7/99;

(i) Form OIR-C1-844, “Management Information Form,” rev. 4/97;

(j) Form OIR-C1-878, “Application For Certificate of Authority Domestic Insurer,” rev. 2/00;

(k) Form OIR-C1-1299, “Invoice Domestic Insurer Application for Certificate of Authority,” rev. 4/97;

(l) Form OIR-C1-882, “Application For Domestic Certificate of Authority to Conduct Business in the State of Florida,” rev. 4/97;

(m) Form OIR-C1-901, “Life, Accident and Health Insurers Lines of Business by Company Code,” rev. 2/01;

(n) Form OIR-C1-877, “Property and Casualty Insurers Lines of Business by Company Code,” rev. 11/05/99;

(o) Form OIR-C1-896, “Life, Accident, and Health Insurance Company Pro Formas (Pages 1-4),” rev. 11/98;

(p) Form OIR-C1-896, “Property & Casualty Insurance Company Pro Formas (Pages 5-22),” rev. 11/98;

(q) Form OIR-C1-1301, “Subscription Agreement Form,” rev. 5/99; and,

(r) Form OIR-C1-1389, “NAIC Company Code Application Form ,” rev. 2/01.

(2) A Applications submitted for Certificate of Authority as a Commercial Self-Insurance Fund applying for a certificate of authority shall contain all of the following forms pursuant to Section 624.466 624.462, F.S. shall submit the following forms and requirements therein:

(a) Form OIR-C1-845, “Application for Certificate of Authority, Commercial Self-Insurance Fund,” rev. 5/17 4/95;

(b) Form OIR-C1-1524, “Uniform Consent to Service of Process”, as adopted in Rule 69O-143.056, F.A.C;

(c) Form OIR-C1-1298, “Uniform Certificate of Authority Application (UCAA) – Management Information Form,” as adopted in Rule 69O-143.056, F.A.C.;

(d) Form OIR-C1-1416, “Uniform Certificate of Authority (UCAA) Lines of Insurance”, as adopted in Rule 69O-143.056, F.A.C.;

(e) Form OIR-DO-896, “UCAA Proforma Financial Statements, Property and Casualty Insurance Company”, as adopted in Rule 69O-143.056, F.A.C.;

(f) Form OIR-C1-1423, “Biographical Affidavit”, as adopted in Rule 69O-143.056, F.A.C.;

(g) An investigative report in accordance with the instructions on Form OIR-C1-905, “Instructions for Furnishing Background Investigative Reports,” as adopted in Rule 69O-143.056, F.A.C.; and

(h) Form OIR-C1-938, “Fingerprint Payment and Submission Procedure,” as adopted in Rule 69O-143.056, F.A.C.

(b) Form OIR-C1-848, “Invoice, Commercial Self-Insurance Fund,” rev. 7/92;

(d) Form OIR-C1-869, “Consent and Agreement in Re Service of Process for Commercial Self-Insurance Fund,” rev. 5/91;

(e) Form OIR-C1-870, “Resolution Form for Commercial Self-Insurance Fund,” rev. 5/91;

(f) Form OIR-C1-871, “Bond Form,” rev. 5/91;

(g) Form OIR-C1-936, “Management Information, Complete Listing of Administrators, Trustees of Funds and Trustees of Sponsors,” rev. 5/91;

(h) Form OIR-C1-903, “Invoice, Request for Payment of Fingerprint Charges,” rev. 4/97;

(i) Form OIR-C1-877, “Property and Casualty Insurers, Lines of Business by Company Code,” rev. 11/05/99;

(j) Form OIR-C1-896, “Property & Casualty Insurance Company Pro Formas (Pages 5-22),” rev. 11/98;

(k) Form OIR-C1-422, “Biographical Statement and Affidavit,” rev. 10/26/98;

(l) Form OIR-C1-450, “Authority for Release of Information,” rev. 5/00;

(m) An investigative report in accordance with the instructions on Form OIR-C1-905, “Instructions for Furnishing Background Investigative Reports,” rev. 2/01; and,

(n) Form OIR-C1-938, “Fingerprint Card Instructions,” rev. 7/99;

(3) A Applications submitted for a Certificate of Authority of Domestic Reciprocal Insurers, applying for a certificate of authority pursuant to Chapter 629, F.S., shall submit the following forms and requiremens therein:

(a) Form OIR-C1-908, “Application for Certificate of Authority Domestic Reciprocal Insurer,” rev. 5/17;

(b) Form OIR-C1-1524, “Uniform Consent to Service of Process”, as adopted in Rule 69O-143.056, F.A.C.

(c) Form OIR-C1-1298, “Uniform Certificate of Authority Application (UCAA) – Management Information Form,” as adopted in Rule 69O-143.056, F.A.C., which lists all Attorney In Fact Officers, Directors and Shareholders;

(d) Form OIR-C1-1416, “Uniform Certificate of Authority (UCAA) Lines of Insurance”, as adopted in Rule 69O-143.056, F.A.C.;

(e) Form OIR-DO-896, “UCAA Proforma Financial Statements, Property and Casualty Insurance Company”, as adopted in Rule 69O-143.056, F.A.C.;

(f) Form OIR-C1-1423, “Biographical Affidavit”, as adopted in Rule 69O-143.056, F.A.C.;

(g) Form OIR-C1-938, “Fingerprint Payment and Submission Procedure”, as adopted in Rule 69O-143.056, F.A.C.

(h) An investigative report in accordance with the instructions on Form OIR-C1-905, “Instructions for Furnishing Background Investigative Reports,” as adopted in Rule 69O-143.056, F.A.C.

(i) (h) Form OIR-C1-914, “Management Information Complete Listing of All Advisory Committee Members and Subscribers,” rev. 5/91; and

(j)(h) OIR-C1-1389, NAIC Company Code Application,”rev 2/16;5/00 and

(a) Form OIR-C1-907, “Application for Certificate of Authority Domestic Reciprocal Insurer,” rev. 4/95;

(b) Form OIR-C1-908, “Instructions, Sections I-IV,” rev. 4/95;

(d) Form OIR-C1-910, “Invoice, Domestic Reciprocal Insurer,” rev. 7/92;

(e) Form OIR-C1-911, “Application for License to Conduct Business in the State of Florida,” rev. 5/91;

(f) Form OIR-C1-912, “Consent and Agreement in re Service of Process, Reciprocal Insurers,” rev. 5/91;

(g) Form OIR-C1-843, “Florida Comprehensive Health Association Subscription Agreement,” rev. 5/91;

(k)(i) Form OIR-C1-937, “Complete Listing of All Attorney-In-Fact Officers, Directors and Shareholders,” rev. 5/175/91.

(j) Form OIR-C1-903, “Invoice, Request for Payment of Fingerprint Charges,” rev. 4/97;

(k) Form OIR-C1-877, ” Property And Casualty Insurers Lines of Business by Company Code,” rev. 11/05/99;

(l) Form OIR-C1-913, “Resolution Form, Reciprocal Insurer,” rev. 5/91;

(m) Form OIR-C1-896, Pages 5 – 22 for “Property & Casualty Insurers,” rev. 11/98;

(o) Form OIR-C1-422, “Biographical Statement and Affidavit,” rev. 10/26/98;

(p) Form OIR-C1-450, “Authority for Release of Information,” rev. 5/00;

(q) Form OIR-C1-938, “Fingerprint Card Instructions,” rev. 7/99; and,

(r) Form OIR-C1-905, “Instructions for Furnishing Background Investigative Reports,” rev. 0201.

(4) A Domestic Fraternal Benefit Society applying for a preliminary certificate of authority and subsequent certificate of authority pursuant to Chapter 632, F.S. shall comply with the instructions for a Primary Application as contained in the UCAA Instructions and any other requirements specifically listed or referenced including submitting the following forms and requirements therein:

(a) Form OIR-C1-2196, ” UCAA Instructions” rev.12/16;

(b) Form OIR-C1-2197, “Uniform Certificate of Authority Application (UCAA) – Primary Application Checklist”rev 3/15, which includes Form OIR-C1-1298, “Uniform Certificate of Authority Application (UCAA) – Management Information Form,” as adopted in Rule 69O-143.056, F.A.C.;

(d) Form OIR-C1-1416, “Uniform Certificate of Authority (UCAA) Lines of Insurance”, as adopted in Rule 69O-143.056, F.A.C.;

(e) Form OIR-C1-1422, “Uniform Certificate of Authority Application Questionnaire”, as adopted in Rule 69O-136.034, F.A.C.;

(f) Form OIR-DO-904, “UCAA Proforma Financial Statements, Life & Health Insurer”, as adopted in Rule 69O-143.056, F.A.C.;

(g) Form OIR-C1-1423, “Biographical Affidavit”, as adopted in Rule 69O-143.056, F.A.C.;

(h) An investigative report in accordance with the instructions on Form OIR-C1-905, “Instructions for Furnishing Background Investigative Reports,” as adopted in Rule 69O-143.056, F.A.C.;

(i) Form OIR-C1-1524, “Uniform Consent to Service of Process”, as adopted in Rule 69O-143.056, F.A.C.;

(j) Form OIR-C1-1389, “NAIC Company Code Application Form,” rev. 2/16; and

(k) Form OIR-C1-1522, “Primary Application, Florida Specific Information”rev. 5/17, which includes Form OIR-C1-938, “Fingerprint Payment and Submission Procedures”, as adopted in Rule 69O-143.056, F.A.C.

Rulemaking Authority 624.308 FS. Law Implemented 624.307(1), 624.34, 624.401, 624.404, 624.407, 624.411, 624.413, 624.414(1), 624.422, 624.466, 624.501, 625.306, 628.041, 628.6011, 628.051, 628.061, 628.071, 628.081, 628.091, 628.121, 628.151, 628.161, 628.171, 628.221, 628.231, 628.251, 628.261, 628.451, 628.461, 628.4615, 628.471, 629.071, 629.081, 629.091, 629.101, 629.121, 629.131, 629.181 FS. History-New 2-26-92, Amended 9-19-00, 11-18-02, Formerly 4-136.011 Amended_______.

69O-136.012 Forms Adopted.

(1) All the forms listed in Rules 69O-136.002 through 69O-136.011 136.034, F.A.C., are hereby adopted and incorporated by reference. Forms are available at http://www.floir.com/iportal. All the forms may be obtained from and shall be submitted to the Office of Insurance Regulation, Division of Insurer Services, Applications Coordination Section, Larson Building, 200 East Gaines Street, Tallahassee, Florida 32399-0327.

(2) All filings pursuant to Chapter 69O-136, F.A.C. shall be submitted electronically to http://www.floir.com/iportal.An original and one copy shall be filed for all applications referenced in Rules 69O-136.002 through 69O-136.011, F.A.C.

Rulemaking Authority 624.308 FS. Law Implemented 624.307(1), 624.34, 624.401, 624.404, 624.413, 624.422, 624.462, 624.466, 624.501, 626.913, 628.6011, 628.051, 628.061 FS. History-New 2-26-92 Amended 9-19-00, Formerly 4-136.012 Amended________.

69O-136.015 Procedure to Amend an Existing Certificate of Authority to Add a New Line of Business.

(1) The purpose of this rule is to establish a procedure for insurers to amend their certificates of authority by adding a new line of business. Since the addition of any new line of business to a company’s certificate of authority may impact the company’s surplus and/or writing ratios, any such request to amend an existing certificate will be carefully evaluated by applying current standards required of an insurer seeking a certificate of authority from this state.

(2) This rule applies to all authorized insurers, as defined in Section 624.09, F.S.

(3) Any insurer seeking to add a new line of insurance to an existing certificate of authority shall comply with the instructions for Corporate Amendments contained in the UCAA Instructions , in particular Sections I, II and XIII and any other requirements specifically listed or referenced including submitting the following forms and requirements therein submit all of the following applicable forms:

(a) Form OIR-C1-2196, “UCAA Instructions”, rev 12/16;

(a) Form OIR-C1-1339, “Application For Adding A New Line of Business,” rev. 9/99;

b) Form OIR-C1-2194, “Uniform Certificate of Authority Application (UCAA) – Corporate Amendments Application Checklist” rev.11/14;

(b) Form OIR-C1-1340, “Application For Adding A New Line of Business,” rev. 9-96;

(c) Form OIR-C1-2195, “Uniform Certificate of Authority Application (UCAA) – Corporate Amendments Application” rev. 2/17;

(d) Form OIR-C1-1416, “Uniform Certificate of Authority (UCAA) Lines of Insurance”, as adopted in Rule 69O-143.056, F.A.C.;

(d) Form OIR-C1-877, “Property and Casualty Insurers Lines of Business by Company Code,” rev. 11/05/99;

(e) Form OIR-C1-1419, “Uniform Certificate of Authority Application (UCAA) – Certificate of Compliance”;

(e) Form OIR-C1-901, “Life, Accident and Health Insurers Classifications and Code Numbers,” rev. 5/91;

(f) Form OIR-C1-2193, “Uniform Certificate of Authority Application – Certificate of Deposit” rev.8/15;

(f) Form OIR-C1-843, “Florida Comprehensive Health Association (FCHA) Subscription Agreement,” rev. 5/91;

(g) Form OIR-C1-2199, “Uniform Certificate of Authority Application Questionnaire for Adding or Deleting Lines of Business to an Existing Certificate of Authority” rev.8/14;

(g) Form OIR-C1-1093, “State of Florida Form for Small Employer Carrier’s Application to Become a Risk Assuming Carrier or a Reinsuring Carrier,” rev. 05/02.

(h) Form OIR-DO-896, “UCAA Proforma Financial Statements, Property and Casualty Insurance Company”, as adopted in Rule 69O-143.056, F.A.C.;

(i) Form OIR-DO-904, “UCAA Proforma Financial Statements, Life & Health Insurer”, as adopted in Rule 69O-143.056, F.A.C.;

(j) Form OIR-DO-2165, “UCAA Proforma Financial Statements, Health”, as adopted in Rule 69O-143.056, F.A.C.: and

(k) Form OIR-C1-2201, “Corporate Amendments Application, Florida Specific Information” rev.5/17.

(4) The Office shall not authorize the addition of any lines of insurance to an insurer’s existing certificate of authority unless evidence is presented satisfactory to the Office that authorization of the additional lines of insurance would be in the best interests of the financial solvency of the insurer and in the best interests of the policyholders.

(5) The forms in subsection (3) above are hereby adopted and incorporated by reference. All forms may be obtained from and shall be submitted to the Applications Coordination Section, Division of Insurer Services, Office of Insurance Regulation, 200 East Gaines Street, Tallahassee, FL 32399-0326.

Rulemaking Authority 624.308(1) FS. Law Implemented 624.09, 624.307(1), 624.404, 624.408, 624.413, 624.414, 624.416(4), 624.501(20), 624.610(11), 627.6488(1) FS. History-New 3-30-92, Amended 9-2-96, Amended 9-19-00, 11-18-02, Formerly 4-136.015 Amended____________.

69O-136.018 Determination of Eligibility to Operate as an Alien Insurer in Florida Pursuant to Sections Section 624.402(8) and (9), F.S.

All insurers domiciled outside the United States and registering pursuant to Section 624.402(8), F.S. or seeking elegibility pursuant to Section 624.402(9), F.S. shall submit the following applicable form and requirements therein:

(1) The form adopted in subsection (2) below, is to be used in Determination of Eligibility to Operate as an Alien Insurer Pursuant to Section 624.402(8), F.S. All forms may be obtained from the Office’s website: www.floir.com. All forms may be reproduced at will.

(1)(2) Form OIR-C1-A2-1654, rev/517(REV 02/2006), “Determination of Eligibility to Operate as an Alien Insurer in Florida Pursuant to Section 624.402(8), F.S.”, is hereby incorporated by reference and is to be used in determination of eligibility to operate as an alien insurer pursuant to Section 624.402(8), F.S. ; or

(2) Form OIR-C1-2176, “Letter of Notification/ Registration to Operate As a Non-US Based (Alien) Insurer (also Referred to as “Offshore Insurer”) in Florida Pursuant to section 624.402(8), Florida Statutes”, rev. 5/17.

Rulemaking Authority 624.308 FS. Law Implemented 624.402(8),(9) FS. History-New 5-25-06, Amended___________.

69O-136.031 Registration as a Purchasing Group.

(1) All entities seeking registration as a purchasing group shall comply with the requirements of Section 627.948, F.S., and shall submit:

(a) Form OIR-C1-515, “Application for Registration as a Risk Purchasing Group – Notice and Registration,” rev. 5/17 10/07/99;

(b) Form OIR-C1-144, “Service of Process Consent & Agreement,” rev. 6/04 1/97; and,

(c) All purchasing groups shall comply with the information contained in Form OIR-C1-515, “Application for Registration as a Risk Purchasing Group – Notice and Registration,” rev. 5/1710/07/99 and submit the following forms where applicable:

1. Form OIR-C1-903, “Invoice, Request for Payment of Fingerprint Charges,” rev. 4/97;

1.2. Form OIR-C1-1423, “Biographical Affidavit”, as adopted in Rule 69O-143.056, F.A.C.Form OIR-C1-422, “Biographical Statement and Affidavit,” rev. 10/26/98;

3. Form OIR-C1-450, “Authority for Release of Information,” rev. 5/00;

2.4. Form OIR-C1-905, “Instructions for Furnishing Background Investigative Reports,”as adopted in Rule 69O-143.056, F.A.C. rev. 2/01; and,

3.5. OIR-C1-938, “Fingerprint Payment and Submission Procedure,” as adopted in Rule 69O-143.056, F.A.C. rev. 7/99.

(2) In addition to the information required on the forms in subsection (1) above, the entity shall:

(a) Identify all other states in which the group is currently registered;

(b) Specify the method by which, and the person or persons, if any, through whom insurance will be offered to its members whose risks are resident or located in this state; and,

(c) Provide such other information as is necessary for the Office to determine whether the persons through whom insurance will be offered meet the standard set forth in Section 626.611(14), F.S.

(3) During the pendency of the application, if any of the information submitted in response to the requirements of this rule changes, the entity shall notify the Office Department of the change within ten days of the change.

(4) The forms in subsection (1) above are hereby adopted and incorporated by reference. All forms may be obtained from and shall be submitted to the Applications Coordination Section, Office of Insurance Regulation, 200 East Gaines Street, Tallahassee, FL 32399-0326.

Rulemaking Authority 624.308, 627.954 FS. Law Implemented 624.307(1), (3), 624.318, 624.321, 626.611(14), 627.948 FS. History-New 1-30-91, Formerly 4-107.002, Amended 9-19-94, Amended 9-19-00, 11-18-02, Formerly 4-136.031 Amended___________.

69O-136.032 Registration as a Risk Retention Group.

(1) All entities seeking licensure as a risk retention group shall comply with the requirements of Sections 627.943 or 627.944, F.S., as applicable, and shall submit all of the following:

(a) Form OIR-C1-513, “Application for Registration as a Risk Retention Group with Addendum,” rev.5/17 11-90;

(b) Form OIR-C1-144A, “Appointment of Attorney To Accept Service,” rev. 5/17 11-90; and,

(2) In addition to the information required on the forms in subsection (1) above, the entity shall utilize Form OIR-A1-1615, ” Transmittal of Premium Taxes for Risk Retention Groups (RRG’s)”, rev 5/17 All of the forms in subsection (1), above, are hereby adopted and incorporated by reference. All forms may be obtained from and shall be submitted to the Applications Coordination Section, Division of Insurer Services, Office of Insurance Regulation, Larson Building, 200 East Gaines Street, Tallahassee, FL 32399-0300.

Rulemaking Authority 624.308, 627.954 FS. Law Implemented 624.307(1), (3), 624.318, 624.321, 624.404(3)(a), 624.413, 627.943, 627.944, 628.051, 628.061 FS. History-New 1-30-91, Formerly 4-107.003, 4-136.032 Amended__________.

69O-136.034 Uniform Certificate of Authority Expansion Application (Foreign and Alien Insurers Filing for Certificate of Authority).

(1) All Effective December 1, 2000, any foreign and alien insurers seeking a certificate of authoritypursuant to sections 624.404 and 624.413, and related F.S., may file a Uniform Certificate of Authority Expansion Application which is substantially similar to that form as revised by the National Association of Insurance Commissioners as of August 1, 2000 in lieu of the filings required by Rule 69O-136.002, F.A.C. Each applicant shall comply with the instructions for an Expansion Application as contained in the UCAA Instructions Uniform Certificate of Authority Expansion Application and any other requirements specifically listed or referenced in the Uniform Certificate of Authority Expansion Application package, Form OIR-C1-1413., including submitting the following forms and requirements therein. Such filings shall not exempt a foreign or alien insurer from any requirements under Florida Statutes.

(a) Form OIR-C1-1296, “UCAA Instructions” rev.12/16

(2) The following forms are incorporated by reference:

(a) Form OIR-C1-1413, Uniform Certificate of Authority Expansion Application, as revised by the National Association of Insurance Commissioners on 8/1/00;

(b) Form OIR-C1-938, Fingerprint Card Instructions, rev. 7/99;

(3) Each applicant shall submit the following forms:

(b)(a) Form OIR-C1-1414,“Uniform Certificate of Authority Application (UCAA)- Expansion Application Checklist, rev. 3/15 8/00;

(c)(b) Form OIR-C1-1415, “Uniform Certificate of Authority Application (UCAA)- Expansion Application,rev.8/14 as revised 8/1/00;

(d)(c) Form OIR-C1-1416,“Uniform Certificate of Authority Application (UCAA) Lines of Insurance” as adopted in Rule 69O-143.056, F.A.C.Expansion Application Lines of Business, rev. 8/00;

(d) Form OIR-C1-1417, Expansion Application Authorization for Disclosure of Financial Records, rev. 8/00;

(e) Form OIR-C1-1418, Expansion Application Power of Attorney to Appoint and Certify Agents, rev. 8/00;

(e)(f) Form OIR-C1-1419, Expansion Application Uniform Certificate of Authority Application (UCAA) –Certificate of Compliance, rev.8/04 8/00;

(f) Form OIR-C1-2193, “Uniform Certificate of Authority Application-Certificate of Deposit”. Rev 8/15;

(g) Form OIR-C1-1420, Expansion Application Reinsurance Arrangements Checklist for Proportional Treaty Contract Clauses, rev. 8/00;

(h) Form OIR-C1-1421, Expansion Application Reinsurance Arrangements Checklist for Non-Proportional Treaty Contract Clauses, rev. 8/00;

(g) Form OIR-C1-1422, “Uniform Certificate of Authority Application Questionnaire”, rev. 11/14 8/00

(h) Form OIR-C1-1524, “Uniform Consent to Service of Process”, as adopted in Rule 69O-143.056, F.A.C.;

(i) Form OIR-C1-881, Invoice, Application for Certificate of Authority, rev. 10/97;

(j) Form OIR-C1-1301, Subscription Agreement Form, rev. 5/99;

(k) Form OIR-C1-144, Service of Process Consent & Agreement, rev. 1/97;

(i)(l) Form OIR-C1-1423, NAIC “Biographical Statement and Affidavit”, as adopted in Rule 69O-143.056, F.A.C. rev. 8/00

(j) An investigative report in accordance with the instructions on Form OIR-C1-905, ” instructions for Furnishing Backgreound Investigative Reports:, as adopted in Rule 69o-143.056, F.A.C.

(k) Form OIR-C1-1298, “Uniform Certificate of authority Application (UCAA)- Management Information Form,: as adopted in Rule 69O-143.056, F.A.C.;

(l) Form OIR-DO-896, “UCAA Proforma Financial Statements, Property and Casualty Insurance Company:, as adopted in Rule 69O-143.056, F.A.C.;

(m) Form OIR-DO-904, “UCAA Proforma Financial Statements, Life and Health Insurer”, as adopted in Rule 69O-143.056, F.A.C.;

(n) Form OIR-DO-2119, “UCAA Proforma Financial Statements, Title Insurance Company”, as adopted in Rule 69O-143.056, F.A.C.;

(n) Form OIR-C1-450, Authority For Release of Information, rev. 5/00;

(o) Form OIR-DO-2165, “UCAA Proforma Financial Statements, Health”, as adopted in Rule 69O-143.056, F.A.C.

(o) Form OIR-C1-903, Invoice, Request for Payment of Fingerprint Charges, rev. 4/97; and,

(p) Form OIR-C1-1424, Expansion Application, Florida Specific Information, rev.4/13 8/00., which includes Form OIR-C1-938, “Fingerprint Payment and Submission Procedure”, as adopted in Rule 69O-143.056, F.A.C.

(4) The Office shall accept a Uniform Certificate of Authority Expansion Application filing in an electronic format after July 1, 2001.

Rulemaking Authority 624.308 FS. Law Implemented 624.307(1), 624.316(2)(b), 624.321(1)(a), 624.34, 624.401, 624.404, 624.407, 624.413, 624.422, 624.501, 626.9891, 628.161, 628.907 FS. History-New 12-3-00, Formerly 4-136.034 Amended______.

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Florida Office of Insurance Regulation Accepting Written Comments on Insurer Application Procedures Proposed Rules

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