3901-5-05 Violations.

(A) Purpose

The purpose of this rule is to establish what conduct may be a violation of Ohio statutes and rules that would subject the person to administrative actions.

(B) Authority

This rule is issued pursuant to the authority vested in the superintendent under sections 3901.041 and 3905.486 of the Revised Code.

The following are violations of the pre-licensing education and continuing education statutes and rules:

(1) Making any false, misleading or deceptive statement or representation about the status of a course approval, the number of hours for which a course is approved or any other statement about a course or provider. The penalty for a single violation is a forfeiture of five hundred dollars.

(2) The use of an unqualified instructor. The penalty for a single violation is a forfeiture of five hundred dollars.

(3) Failure to maintain all necessary records for the required time periods. The penalty for a single violation is a forfeiture of one hundred dollars.

(4) The use, submission or filing of any document for the purpose of complying with the agent education statutes and rules, or in responding to any inquiry from the department concerning agent education, when the provider knows or should know that the document, or any part of it, is false or deceptive. The penalty for a single violation is a forfeiture of one thousand dollars.

(5) Failure to use the approved course outline. The penalty for a single violation is a forfeiture of one hundred dollars.

(6) Failure to notify the department of allowable changes to any course, previously approved, within the fifteen day period for such changes. The penalty for a single violation is a forfeiture of fifty dollars.

(7) Failure to conduct the approved course for the full time, as specified in the course application. The penalty for a single violation is a forfeiture of one hundred dollars.

(8) Failure to monitor course attendance. The penalty for a single violation is a forfeiture of five hundred dollars.

(9) Failure to comply with applicable Americans with Disabilities Act and equal employment opportunity regulations. The penalty for a single violation is a forfeiture of one hundred dollars.

(10) Failure to provide timely refunds to participants when required. The penalty for a single violation is a forfeiture of one hundred dollars.

(11) Failure to file or the late filing of any form or other required information. The penalty for a single violation is a forfeiture of one hundred dollars.

(12) The failure to appropriately monitor an examination. The penalty for a single violation is a forfeiture of five hundred dollars.

(13) Obtaining the attendance or enrollment of licensees or students by actual or implied coercion. The penalty for a single violation is a forfeiture of five hundred dollars.

(14) The failure of a provider to timely provide a certificate of completion to an attendee or the failure of a provider to provide an attendee with an accurate certificate of completion. The penalty for a single violation is a forfeiture of two hundred dollars.

(15) Failure to accurately report the actual number of course hours attended for each individual. The penalty for a single violation is a forfeiture of five hundred dollars.

(16) The violation of any provision of rule 3901-5-01, 3901-5-02, 3901-5-03, 3901-5-04, 3901-5-06 or 3901-5-07 of the Administrative Code.

(D) Licensee

The following are violations of the pre-licensing education and continuing education statutes and rules:

(1) The use, submission or filing of any document or record for the purpose of complying with the agent education statutes and rules, or in responding to any inquiry from the department concerning agent education, when the person or licensee knows or should know that the document or record, or any part of the document or record, is false or deceptive shall be grounds for the superintendent to suspend, revoke, or refuse to issue any licenses as insurance agent.

(2) Obtaining, accepting or using any certificate of completion or certificate of attendance from a provider when the licensee has not attended the course or the number of hours identified on the certificate shall be grounds for the superintendent to suspend, revoke, or refuse to issue any licenses as insurance agent.

(3) Cheating or using unauthorized materials or receiving unauthorized assistance during an examination shall be grounds for the superintendent to suspend, revoke, or refuse to issue any licenses as insurance agent.

(E) Application of penalties

(1) The superintendent may suspend, revoke, non-renew or deny authority to any pre-licensing education or continuing education provider who has committed multiple violations of paragraph (C) of this rule. This penalty may be in addition to the forfeitures levied pursuant to paragraph (C) of this rule.

(2) The superintendent may, once a violation of paragraph (C) or (D) of this rule requiring a forfeiture has been found, suspend all or part of such forfeiture, upon a showing of mitigating circumstances.

(F) Severability

If any paragraph, term, or provision of this rule is adjudged invalid for any reason, the judgment shall not affect, impair or invalidate any other paragraph, term or provision of this rule, but the remaining paragraphs, terms and provisions, shall be and continue in full force and effect.

Effective: 09/22/2005

R.C. 119.032 review dates: 08/31/2009 and 08/30/2014

Promulgated Under: 119.03

Statutory Authority: 3901.041, 3905.486

Rule Amplifies: 3905.16, 3905.482, 3905.484

Prior Effective Dates: 12/31/93, 10/12/98