11 NCAC 06A .0811          SANCTIONS FOR NONCOMPLIANCE

(a)  If the license of any person lapses under G.S. 58-33-130(c), the license shall be reinstated when the person has completed the continuing education requirements and paid an administrative fee of seventy-five dollars ($75.00) within four months after the end of the person's previous compliance year.  If the person does not satisfy the requirements for licensure reinstatement within four months after the end of the person's previous compliance year, the person shall complete the appropriate prelicensing education requirement and pass the appropriate licensing examination, at which time the Commissioner shall reinstate the person's license.

(b)  The Commissioner may suspend, revoke, or refuse to renew a license for any of the following causes:

(1)           Failing to respond to Department inquiries, including continuing education audit requests, within seven calendar days after the receipt of the inquiry or request.

(2)           Requesting an extension or waiver under false pretenses.

(3)           Refusing to cooperate with Department employees in an investigation or inquiry.

(c)  The Commissioner may suspend, revoke, or refuse to renew a course provider's, presenters, or instructor's authority to offer courses for any of the following causes:

(1)           Advertising that a course is approved before the Commissioner has granted such approval in writing.

(2)           Submitting a course outline with material inaccuracies, either in length, presentation time, or topic content.

(3)           Presenting or using unapproved material in providing an approved course.

(4)           Failing to conduct a course for the full time specified in the approval request submitted to the Commissioner.

(5)           Preparing and distributing certificates of attendance or completion before the course has been approved.

(6)           Issuing certificates of attendance or completion before the completion of the course.

(7)           Failing to issue certificates of attendance or completion to any licensee who satisfactorily completes a course.

(8)           Failing to notify the Commissioner in writing of suspected or known violations of the North Carolina General Statutes or Administrative Code within 30 days after suspecting or knowing about the violations.

(9)           Violating the North Carolina General Statutes or Administrative Code.

(10)         Failing to monitor attendance and attention of attendees.

(11)         Preparing and distributing fraudulent certificates of attendance or completion.

(12)         Failing to ensure that the licensee completes the course hours approved by the Commissioner.

(d)  Course providers and presenters are responsible for the activities of persons conducting, supervising, instructing, proctoring, monitoring, moderating, facilitating, or in any way responsible for the conduct of any of the activities associated with the course.

(e)  The Commissioner may require any one of the following upon a finding of a violation of this Section:

(1)           Refunding all course tuition and fees to licensees.

(2)           Providing licensees with a course to replace the course that was found in violation.

(3)           Withdrawal of approval of courses offered by the provider, presenter, or instructor.

(f)  Each year, the Commissioner shall verify each nonresident licensee's record through the NAIC Producer Data Base to ensure that the licensee has complied with the continuing education requirements in the licensee's home state.  If the license lapses under G.S. 58-33-32, the Commissioner shall cancel the license.

 

History Note:        Authority G.S. 58-2-40; 58-33-125(a); 58-33-130; 58-33-132; 58-33-133;

Temporary Adoption Eff. June 22, 1990, for a period of 180 days to expire on December 19, 1990;

ARRC Objection Lodged July 19, 1990;

Eff. December 1, 1990;

Amended Eff. October 1, 2010; February 1, 2008; January 1, 2007; June 1, 1992.