Mo. Code Regs. tit. 11 § 45-40.030
Current through Register Vol. 49, No.12, June 17, 2024
Section 11 CSR 45-40.030 - Commission Approval of ProceduresPURPOSE: This amendment removes duplicative language and gives additional clarification in regard to submitting procedures.
(1) For all procedures required by statute to be approved by the commission each applicant shall submit the written description of its procedures and all supporting documents designed to satisfy the requirements of Chapter 313, RSMo to the commission with the initial application, unless otherwise directed by the commission.(2) The commission shall review each submission required by Chapter 313, RSMo, and shall determine whether the procedures submitted satisfy the requirements. If the commission finds any insufficiencies, they shall be specified in writing to the licensee, who shall make appropriate alterations. No FSCO license shall be issued unless and until the procedures are approved by the commission.(3) Once approved, no licensed operator shall alter its procedures unless and until the change is approved by the commission.(4) Each licensed operator shall submit to the commission any change to the approved procedures no less than fifteen (15) days prior to the planned implementation date of the change. The proposed change to the procedures shall be approved or disapproved by the commission. Upon approval, the change may be implemented. If the change is disapproved, the licensed operator shall not implement the change.(5) If at any time the commission determines that a licensed operator's procedures are inadequate or do not comply with the requirements of this chapter or Chapter 313, RSMo, the commission shall notify the licensed operator in writing. Within fifteen (15) days after receiving the notification, the licensed operator shall amend its procedures accordingly and shall submit a copy of the procedures, as amended, and a description of any other remedial measures taken.(6) If a licensed operator plans to disseminate the List of Disassociated Persons (DAP List), the operator shall submit to the commission a plan for the dissemination of the information regarding persons placed on the DAP List, as well as persons who have been removed from the DAP List. The plan shall be designed to safeguard, as best as is reasonably possible, the confidentiality of the information but shall include dissemination to at least the personnel responsible for removing a person on the DAP List from all individually targeted advertising or marketing. Licensed operators may not disclose the name of, or any information about, a person who has been placed on or removed from the DAP List to anyone other than employees and agents of the licensed operator whose duties and functions require access to the information. The plan must be approved by the commission prior to disseminating the information. All information disclosed to any licensed operator regarding anyone placed on or removed from the DAP List shall be deemed a closed record; however, the information may be disclosed as authorized by the individual seeking placement on the DAP List, by law, and through the provisions contained in 11 CSR 45-17.Adopted by Missouri Register February 15, 2017/Volume 42, Number 04, effective 3/31/2017Amended by Missouri Register May 1, 2019/Volume 44, Number 9, effective 7/1/2019