California Regulations 9832

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§ 9832 Maintenance of and Access to Records

Every advertiser shall maintain the following records, at its principal place of business in California, of its business of providing workers' compensation services:

 (a) Complete financial records using generally accepted accounting principles, as defined by the American Institute of Certified Public Accountants and the Financial Standards Board.

 (b) A copy of all of its workers' compensation advertisements (whether in print, video or audio media) published within the preceding two years. The records shall include a copy of the advertisement and the dates and places of each publication, including as applicable the name and city of publication of a periodical, or the station call letters and city location of any radio or television station.

 (c) Its registration statement required by Section 9831.

 (d) For workers' compensation referral services, a record of all objections to advertisements as required by Section 9830.

 (e) For workers' compensation referral services, a single record listing all referral panelists, including each panelist's: (1) name; (2) address(es) at which (s)he will consult with clients; (3) profession, professional license number and state of issuance; (4) if the panelist works for a business, the name of the business and his status with it (owner, employee or independent contractor); (5) date (s)he became a panelist; and (6) the date (s)he ended the status as a panelist if applicable. The service shall update the record to show any change in a panelist's status within 10 days of knowledge of the change. The record shall continue to list each panelist who ends his status as such, for two years after the person's status as a panelist ended.

 (f) The advertiser shall maintain all records required by this section for at least two years after: (1) for advertisements, the date of its last publication; (2) for financial records, the end of the calendar year to which the records refer in whole or in part; (3) for registration statements or statement changes, the end of the calendar year to which the statement or change relates; (4) for objections to advertisements, the later of the date of the objection or the date the advertisement was last published; (5) for the combined listing of referral panelists required by Subsection (e) (in its current updated form), the date the service publishes its last advertisement.

 (g) The advertiser shall make all records required by this section available for inspection and copying by any representative of the Department of Industrial Relations, the Department of Justice, or district or city attorney, during the advertiser's normal business hours but at least between 9:00 a.m. and 5:00 p.m. Monday through Friday (excepting holidays). In addition, if necessary in the judgment of the inspector to protect the integrity of an investigation, the advertiser shall allow, and an inspector may conduct or continue inspection and copying during other hours or days.