SECTION 3.3. Transmittal Information

(a) All filings submitted pursuant to this subchapter must be accompanied by the department's transmittal checklist except for the documents listed in §3.1(11)(B) of this title (relating to Scope), which must be accompanied by the department's transmittal form as described in this section. Copies of the transmittal checklist and transmittal form are available from the Texas Department of Insurance, Life and Health Division, Filings Intake, MC-LH-LHL, P.O. Box 12030, Austin, Texas 78711-2030, or by accessing the department's website at www.tdi.texas.gov/forms.

(b) The transmittal checklist must:

(1) provide complete and accurate information about the filing;

(2) include, at a minimum, the following information:

(A) the name and address of the submitting company;

(B) the contact person information as required in §3.4(b) of this title (relating to General Submission Requirements);

(C) the unique identifying form number of each form submitted;

(D) an explanation of the purpose and use of each form as defined in §3.2 of this title (relating to Definitions);

(E) an indication of the product and type;

(F) an indication of whether the filing is prompted by a business change such as an assumption, a name change, or a demutualization/conversion;

(G) the applicable authority from the Insurance Code or the Administrative Code under which the form is being submitted as described in §3.5 of this title (relating to Filing Authorities and Categories);

(H) an indication of whether the filing is a matrix filing;

(I) rate filing information, if applicable;

(J) a statement that the submission will be used:

(i) on a general use basis, only with the policy being filed, or with previously approved or exempted forms; and

(ii) if the submission will be used with previously approved or exempted forms, a listing of the following:

(I) the form numbers of the previously approved or exempted forms;

(II) the approval or exemption dates of the previously approved or exempted forms; and

(III) a brief description of when or how each submitted form will be used with the previously approved or exempted forms;

(K) if the filing is a group filing, it must contain:

(i) A statement specifying the specific group type as set forth in §3.6(c)(1) of this title (relating to Certifications, Attachments, and Additional Information Requirements).

(ii) A separate policy and certificate for each type of group. A submission of a single policy and certificate for use with more than one type of group is prohibited.

(iii) The following as applicable:

(I) a statement specifying the size of the group if issued under Chapter 26 of this title (relating to Small Employer Health Insurance Regulations);

(II) a copy of the trust agreement if issued to a trust;

(III) a copy of the constitution, bylaws, and articles of incorporation if issued to an association; or

(IV) certification and evidence that the master policy for the group was lawfully issued and delivered in a state in which the company was authorized to do insurance business;

(L) any certifications and attachments, including summary of differences, if applicable, or any additional information required by §3.6 of this title, or variable information in accordance with §3.4(e) of this title.

(3) be completed, signed, and certified by an attorney licensed to practice law in this state, an actuary familiar with the requirements of the Insurance and Administrative Codes, the chief executive officer of the filing company, or a person with authority to bind the company.

(c) The transmittal form must:

(1) provide complete and accurate information about the filing;

(2) include, at a minimum, the following information:

(A) the name and address of the submitting company;

(B) the contact person information as required by §3.4(b) of this title;

(C) an identification of the type of miscellaneous document or information being submitted as described in §3.1(11)(B) of this title; and

(D) for filings to be used with previously approved or exempted forms:

(i) the form numbers of the previously approved or exempted forms;

(ii) the approval or exemption dates of the previously approved or exempted forms;

(iii) a general statement of the types of previously approved or exempted forms (e.g., waiver of surrender charge rider); and

(iv) a brief description of when or how each submitted form will be used with the previously approved or exempted forms;

(d) Notwithstanding subsections (b)(2) and (c)(2) of this section, the commissioner may prescribe a transmittal document prescribed by the NAIC for purposes of standardization.

(e) Filings that are not accompanied by a completed transmittal checklist or transmittal form, or which do not include all required certifications or signatures will not be accepted by the department and will be returned to the company as incomplete.

Source Note: The provisions of this §3.3 adopted to be effective June 1, 2003, 28 TexReg 3954; amended to be effective May 11, 2022, 47 TexReg 2758