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Chapter 8. Office of the Director
Subchapter 2. Administration of Self-Insurance Plans
Article 9. Recordkeeping and Audits

New Query

§15402.2. Report of Transfer of Records.

(a) After July 1, 1992, at the time of a change of administration of a self insurance plan, as set forth in Section 15402.1(a) of these regulations, the former administrative agency or previously self administering self insurer shall submit to the Manager and to the new administrative agency a written report containing the following:

(1) A list of all open and closed claims for the self insurer in the possession of the former administrative agency as of the date of the transfer; and

(2) A written description of the physical location of all claim files, the required claim logs, and any computer data files of the self insurer's plan. Physical location shall include claim files sent to storage and where stored; files sent to the self insurer; and files sent to the new administrator.

(b) Except where specified in a contractual agreement between the self insurer and the former administrative agency, all claim files, claim logs and computerized data files shall be the property of the self insurer and shall be returned to the self insurer or delivered to the new administrator or administrative agency designated by the self insurer.

(c) Failure of an administrative agency or self insurer to provide a Report of Transfer of Records as set forth in this section may be good cause for revocation of a certificate to administer.

NOTE: Authority cited: Sections 54, 55, 59 and 3702.10, Labor Code. Reference: Sections 59, 129, 3700, 3700(b), 3701, 3702, 3702.1, 3702.2, 3702.5, 3702.6, 3702.7, 3702.10, 3703, 3704 and 3705, Labor Code.


1. New section filed 11-19-75; effective thirtieth day thereafter (Register 75, No. 47).

2. Repealer and new section filed 2-19-92; operative 3-20-92 (Register 92, No. 13).

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