Ala. Admin. Code r. 482-1-146-.04

Current through Register Vol. 43, No. 1, October 31, 2024

Section 482-1-146-.04 - Criminal History Disclosure Requirements

(1) A completed criminal history disclosure form and all documentation requested in applicable portions of the form must be submitted by any individual:

(a) Who discloses a criminal history in an application for a license or in the context of renewing an existing license. An individual who is renewing an existing license may be relieved from completing and submitting the form or documentation if the criminal history was previously disclosed to the Department in writing in the context of an initial application or an earlier renewal or otherwise.

(b) Who is notified by the Department of the Department's discovery of the individual's undisclosed criminal history.

(c) Who, though currently the holder of a license issued by the Commissioner, has a disclosed or undisclosed criminal history including Section 1033 offenses and is subject to the consent requirements of 18 U.S.C. § 1033(e) but has not received a Section 1033 consent from the Commissioner or an appropriate insurance regulatory official.

(d) Who, with a criminal history, is working or proposes to work in an unlicensed capacity in the business of insurance and is subject to the consent requirements of 18 U.S.C. § 1033(e). Such individual will be excepted from this requirement only if such individual has previously disclosed the criminal history to the Department in writing and has received a Section 1033 consent from the Commissioner applicable to the individual's position and employer based on that history or has been advised in writing by the Department of the Department's position that the consent requirement of 18 U.S.C. § 1033(e) is not applicable.

(2) At any time, the Department may request that the individual submit:

(a) Additional information and documentation beyond that requested in the criminal history disclosure form to the extent the Department determines such additional information or documentation to be relevant as to whether a license should issue or be renewed and/or a Section 1033 consent granted.

(b) To an in-person interview and/or telephone interview by Department personnel concerning the circumstances disclosed in the criminal history disclosure form and supporting documentation.

(3) The Department may conduct additional background checks or investigations as part of the review process.

(4) The Department will withhold action on an initial license application, a license renewal application, and a request for a Section 1033 consent until receipt of a properly completed and documented criminal history disclosure form and, if requested, any additional or supplemental information, any personal or telephone interview, and further background investigation, if any, conducted by the Department.

(5) The following will be deemed withdrawal of any pending request for a license or license renewal or for a Section 1033 request and cause a denial of the application or request:

(a) Failure of an applicant for a license or for renewal of a license and/or a Section 1033 consent to return a properly completed and documented criminal history disclosure form within the time stipulated by the Department.

(b) Failure to furnish any supplemental information requested by the Department within the time stipulated by the Department.

(c) Failure to submit to a personal or telephone interview if requested by the Department.

(6) The failure of a license holder to return a properly completed and documented criminal history disclosure form within the time period stated in an official communication from the Department transmitting the form will subject the license holder to administrative action by the Department.

(7) A completed and documented criminal history disclosure form may serve as the basis for additional administrative action against an applicant for, or holder of, a license.

Ala. Admin. Code r. 482-1-146-.04

New Rule: June 11, 2009; effective July 1, 2009. Filed with LRS June 12, 2009. Rule is not subject to the Alabama Administrative Procedure Act.

Author: Commissioner of Insurance

Statutory Authority:Code of Ala. 1975, § 27-2-17.