Rule 69O-193.003, F.A.C., is being amended to update forms OIR-C1-471 “Application for Provisional Certificate of Authority for a Continuing Care Provider,” OIR-C1-473 “Application for Certificate of Authority for a Continuing ....

 

DEPARTMENT OF FINANCIAL SERVICES

OIR – Insurance Regulation

RULE NO.:RULE TITLE:

69O-193.003Applications and Management Change

PURPOSE AND EFFECT: Rule 69O-193.003, F.A.C., is being amended to update forms OIR-C1-471 “Application for Provisional Certificate of Authority for a Continuing Care Provider,” OIR-C1-473 “Application for Certificate of Authority for a Continuing Care Provider,” OIR-C1-2218 “Application for Expansion of a Certificated Continuing Care Facility,” OIR C1-2219 “Application for the Simultaneous Acquisition of a Continuing Care Facility and Issuance of a Certificate of Authority to a Provider,” and OIR-C1-2220 “Consolidated Application for Provisional Certificate of Authority and Certificate of Authority for a Continuing Care Provider.” These changes remove the invoices from these forms which are no longer needed due to changes in payment processing, improve formatting, update instructions, correct typographical errors, and update addresses.

SUMMARY: Rule 69O-193.003, F.A.C., is being amended to update forms OIR-C1-471, OIR-C1-473, OIR-C1-2218, OIR C1-2219 and OIR-C1-2220. These changes remove the invoices from these forms which are no longer needed due to changes in payment processing, improve formatting, update instructions, correct typographical errors, and update addresses.

SUMMARY OF STATEMENT OF ESTIMATED REGULATORY COSTS AND LEGISLATIVE RATIFICATION:

The Agency has determined that this will not have an adverse impact on small business or likely increase directly or indirectly regulatory costs in excess of $200,000 in the aggregate within one year after the implementation of the rule. A SERC has not been prepared by the Agency.

Any person who wishes to provide information regarding a statement of estimated regulatory costs, or provide a proposal for a lower cost regulatory alternative must do so in writing within 21 days of this notice.

RULEMAKING AUTHORITY: 651.015(3), 651.021(2), 651.022(2), 651.0245(3), (5), (6), 651.0246(1), 651.043, F.S.

LAW IMPLEMENTED: 651.0215, 651.022, 651.023, 651.024, 651.0245, 651.0246, F.S.

IF REQUESTED WITHIN 21 DAYS OF THE DATE OF THIS NOTICE, A HEARING WILL BE SCHEDULED AND ANNOUNCED IN THE FAR.

THE PERSON TO BE CONTACTED REGARDING THE PROPOSED RULE IS: Kama Monroe, Assistant General Counsel, Office of Insurance Regulation, [e-mail], [phone].

 

THE FULL TEXT OF THE PROPOSED RULE IS:

 

69O-193.003 Applications and Management Change.

(1) Application for Certificate of Authority.

(a) An application for a person applying for a certificate of authority for a continuing care provider consists of the following:

1. Form OIR-C1-473, “Application for Certificate of Authority for a Continuing Care Provider,” effective 07/23 9/19, hereby incorporated by reference and available at http://www.flrules.org/Gateway/________; http://www.flrules.org/Gateway/reference.asp?No=Ref-11565;

2. Form OIR-C1-144, incorporated by reference in Rule 69O-136.100, F.A.C.; “Service of Process Consent & Agreement,” effective 6/04, hereby incorporated by reference and available at http://www.flrules.org/Gateway/reference.asp?No=Ref-11566;

3. Form OIR-C1-905, incorporated by reference in Rule 69O-136.100, F.A.C.; “Instructions for Furnishing Background Investigative Reports,” effective 6/20, hereby incorporated by reference and available at https://www.flrules.org/Gateway/reference.asp?No=Ref-14451;

4. Form OIR-C1-938, incorporated by reference in Rule 69O-136.100, F.A.C.; “Fingerprint Payment and Submission Procedure,” effective 6/20, hereby incorporated by reference and available at https://www.flrules.org/Gateway/reference.asp?No=Ref-14452;

5. Form OIR-C1-1423, incorporated by reference in Rule 69O-136.100, F.A.C.; “Uniform Certificate of Authority Application (UCAA) Biographical Affidavit,” effective 12/20, hereby incorporated by reference and available at https://www.flrules.org/Gateway/reference.asp?No=Ref-14453; and

6. Form OIR-C1-0500, incorporated by reference in Rule 69O-136.100, F.A.C.;

7. Form OIR-C1-0501, incorporated by reference in Rule 69O-136.100, F.A.C.;

8. Form OIR-C1-0502, incorporated by reference in Rule 69O-136.100, F.A.C.;

9. Form OIR-C1-0503, incorporated by reference in Rule 69O-136.100, F.A.C.;

10. Form OIR-C1-0504, incorporated by reference in Rule 69O-136.100, F.A.C.;

11. Form OIR-C1-0505, incorporated by reference in Rule 69O-136.100, F.A.C.;

12. Form OIR-C1-0506, incorporated by reference in Rule 69O-136.100, F.A.C.;

13. Form OIR-C1-0507, incorporated by reference in Rule 69O-136.100, F.A.C.;

14. Form OIR-C1-0509, incorporated by reference in Rule 69O-136.100, F.A.C.; and

15.6. Form OIR-C1-2221, incorporated by reference in Rule 69O-136.100, F.A.C.  “Management Information Form,” effective 6/20, hereby incorporated by reference and available at www.flrules.org/Gateway/reference.asp?No=Ref-14454.

(b) A person applying for a certificate of authority as a continuing care provider shall submit forms in paragraph (1)(a) as directed by the Office electronically at https://www.floir.com/iportal. The forms may be obtained from https://www.floir.com/iportal.

(2) Application for Provisional Certificate of Authority.

(a) An application for a person applying for a provisional certificate of authority for a continuing care provider consists of the following:

1. Form OIR-C1-471, “Application for Provisional Certificate of Authority for a Continuing Care Provider,” effective 07/23 9/19, hereby incorporated by reference and available at http://www.flrules.org/Gateway/________; http://www.flrules.org/Gateway/reference.asp?No=Ref-11571;

2. Form OIR-C1-144, incorporated by reference in paragraph (1)(a);

3. Form OIR-C1-905, incorporated by reference in paragraph (1)(a);

4. Form OIR-C1-938, incorporated by reference in paragraph (1)(a);

5. Form OIR-C1-1423, incorporated by reference in paragraph (1)(a); and

6. Form OIR-C1-2221, incorporated by reference in paragraph (1)(a).

(b) A person applying for a provisional certificate of authority as a continuing care provider shall submit forms in paragraph (2)(a) as directed by the Office electronically at https://www.floir.com/iportal. The forms may be obtained from https://www.floir.com/iportal.

(3) Consolidated Application for Provisional Certificate of Authority and Certificate of Authority.

(a) A consolidated application for a provisional certificate of authority and certificate of authority for a continuing care provider consists of the following:

1. Form OIR-C1-2220, “Consolidated Application for Provisional Certificate of Authority and Certificate of Authority for a Continuing Care Provider,” effective 07/23 9/19, hereby incorporated by reference and available at http://www.flrules.org/Gateway/________; http://www.flrules.org/Gateway/reference.asp?No=Ref-11572;

2. Form OIR-C1-144, incorporated by reference in paragraph (1)(a);

3. Form OIR-C1-905, incorporated by reference in paragraph (1)(a);

4. Form OIR-C1-938, incorporated by reference in paragraph (1)(a);

5. Form OIR-C1-1423, incorporated by reference in paragraph (1)(a); and

6. Form OIR-C1-2221, incorporated by reference in paragraph (1)(a).

(b) A person filing a consolidated application for provisional certificate of authority and certificate of authority for a continuing care provider shall submit forms in paragraph (3)(a) as directed by the Office electronically at https://www.floir.com/iportal. The forms may be obtained from https://www.floir.com/iportal.

(4) Application for the Simultaneous Acquisition of a Continuing Care Facility and Issuance of a Certificate of Authority to a Provider.

(a) An application for the simultaneous acquisition of a continuing care facility and issuance of a certificate of authority consists of the following:

1. Form OIR-C1-2219, “Application for the Simultaneous Acquisition of a Continuing Care Facility and Issuance of a Certificate of Authority to a Provider,” effective 07/23 9/19, hereby incorporated by reference and available at http://www.flrules.org/Gateway/________; http://www.flrules.org/Gateway/reference.asp?No=Ref-11573;

2. Form OIR-C1-144, incorporated by reference in paragraph (1)(a);

3. Form OIR-C1-905, incorporated by reference in paragraph (1)(a);

4. Form OIR-C1-938, incorporated by reference in paragraph (1)(a);

5. Form OIR-C1-2221, incorporated by reference in paragraph (1)(a); and

6. Form OIR-C1-1423, incorporated by reference in paragraph (1)(a).

(b) A person applying for simultaneous acquisition of a continuing care facility and issuance of a certificate of authority shall submit forms in paragraph (4)(a) as directed by the Office electronically at https://www.floir.com/iportal.

(c) Disclaimer of Control

1. A person may attempt to rebut a presumption of control pursuant to Section 651.0245, F.S., by electronically filing at https://www.floir.com/iportal one of the following forms, which may be obtained from https://www.floir.com/iportal, with the Office:

a. Form OIR-C1-1467, “Disclaimer of Control Affidavit – Individual”, effective 7/21, hereby incorporated by reference and available at https://www.flrules.org/Gateway/reference.asp?No=Ref-14455;

b. Form OIR-C1-1468, “Disclaimer of Control Affidavit – Entity”, effective 7/21, hereby incorporated by reference and available at https://www.flrules.org/Gateway/reference.asp?No=Ref-14456;

c. Form OIR-C1-2211, “Disclaimer of Control Affidavit – Investment Companies,” effective 7/21, hereby incorporated by reference and available at https://www.flrules.org/Gateway/reference.asp?No=Ref-14457.

2. A person may attempt to rebut a presumption of control pursuant to section 651.0245, F.S., by filing a copy of a Schedule 13G filed with the Securities and Exchange Commission pursuant to Rule 13d-1(b) or (c), 17 C.F.R. s. 240.13d-1, under the Securities Exchange Act of 1934, as amended, to the Office electronically at https://www.floir.com/iportal.

3. Pursuant to Section 651.0245(6), F.S., the Office is authorized to disallow a disclaimer of control filed pursuant to subparagraphs (4)(c)1. and (4)(c)2.

(5) Application for Expansion.

(a) An application for a person applying for expansion of a certificated continuing care facility consists of the following:

1. Form OIR-C1-2218, “Application for Expansion of a Certificated Continuing Care Facility,” effective 07/23 9/19, hereby incorporated by reference and available at http://www.flrules.org/Gateway/________;  http://www.flrules.org/Gateway/reference.asp?No=Ref-11577;

2. Form OIR-C1-905, incorporated by reference in paragraph (1)(a);

3. Form OIR-C1-938, incorporated by reference in paragraph (1)(a);

4. Form OIR-C1-1423, incorporated by reference in paragraph (1)(a); and

5. Form OIR-C1-2221, incorporated by reference in paragraph (1)(a).

(b) A person applying for expansion of a certificated continuing care facility shall submit forms in paragraph (5)(a) as directed by the Office electronically at https://www.floir.com/iportal. The forms may be obtained from https://www.floir.com/iportal.

(6) Manager or Management Company.

(a) To comply with the filing requirements of Section 651.043(2), F.S., for each new management company or manager not employed by a management company within 10 business days of a change in management, the provider shall submit the following:

1. Form OIR-C1-905, incorporated by reference in paragraph (1)(a);

2. Form OIR-C1-938, incorporated by reference in paragraph (1)(a); and

3. Form OIR-C1-1423, incorporated by reference in paragraph (1)(a).

4. A copy of the written management contract, if applicable.

(b) The documents in paragraph (6)(a) shall be submitted to the Office electronically at https://www.floir.com/iportal. The forms may be obtained from https://floir.com/iportal.

Rulemaking Authority 651.015(3), 651.021(2), 651.022(2), 651.0245(3), (5), (6), 651.0246(1), 651.043 FS. Law Implemented 651.0215, 651.022, 651.023, 651.024, 651.0245, 651.0246 FS. History–New 7-16-92, Formerly 4-193.003, Amended 3-12-20, 7-21-22, ________.

 

NAME OF PERSON ORIGINATING PROPOSED RULE: Kama Monroe, Assistant General Counsel

NAME OF AGENCY HEAD WHO APPROVED THE PROPOSED RULE: Financial Services Commission

DATE PROPOSED RULE APPROVED BY AGENCY HEAD: September 18, 2023

DATE NOTICE OF PROPOSED RULE DEVELOPMENT PUBLISHED IN FAR: July 27, 2023