Ohio Form Ins3213 – Fill Out and Use This PDF

The Ohio Ins3213 form is a document required for business entities seeking to renew or continue their Third-Party Administrator (TPA) license in Ohio. It gathers comprehensive information including demographic data, designated/responsible licensed producers, background questions, and financial stability measures to ensure compliance with the state's insurance laws and regulations. This form plays a critical role in maintaining the integrity of insurance administration within Ohio, requiring detailed disclosures and certifications by applicants. Ready to ensure your business entity's compliance and continuation in the Ohio insurance market? Click the button below to fill out your Ohio Ins3213 form.

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Ohio Form Ins3213 PDF Details

The Ohio Ins3213 form serves as a critical document for businesses operating within the insurance sector in Ohio, detailing the requirements for those seeking to renew or continue their license as a Third Party Administrator (TPA). This comprehensive form, overseen by Judith L. French, the Director of the Ohio Department of Insurance, mandates applicants to specify whether they are applying for a resident or non-resident license and provide extensive demographic information such as the business entity’s name, Federal Employer Identification Number (FEIN), Ohio License Number, and National Producer Number (NPN). In addition, the form requires disclosure of affiliations with financial institutions or banks, detailed contact information, and identification of at least one responsible licensed producer to ensure compliance with state insurance regulations. It rigorously scrutinizes the background of the business entity and its key personnel for any criminal or administrative offenses that could affect their suitability to hold a license. The form further delves into operational aspects, asking about fidelity bond coverage, professional liability, and Errors & Omissions (E&O) insurance, alongside the maintenance of records and handling of funds, ensuring that TPAs understand and adhere to specific legal and ethical standards. Furthermore, entities are asked to report any significant changes such as alterations in ownership, management, or business address, indicating a comprehensive approach to maintaining up-to-date and compliant insurance operations in Ohio.

Question	Answer
Form Name	Ohio Form Ins3213
Form Length	3 pages
Fillable?	No
Fillable fields	0
Avg. time to fill out	45 sec
Other names	INS3213 ohio department of insurance tpa 2013 renewal form

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Judith L. French, Director

Check appropriate boxes for license requested:

(Please Print or Type)

Resident License

Non-Resident License

Identify Home State:

Identify Home State License #:

Demographic Information

1Business Entity’s Name

2FEIN

3Ohio License Number

4National Producer Number (NPN)

5 Is the business entity affiliated with a financial institution/bank?

Yes

6Business Address

7City

8State

9Zip or Foreign Country

10Phone Number (include extension)

11Fax Number

12Business E-Mail Address

13Business Web Site Address

14Mailing Address

15P.O. Box

16City

17State

18Zip or Foreign County

Designated/Responsible Licensed Producer

19Identify at least one Designated/Responsible Licensed Producer responsible for the business entity’s compliance with the insurance laws, rules, and regulations of this state:

Name	SSN	NPN
Name	SSN	NPN
Name	SSN	NPN
Name	SSN	NPN

Background Questions

20
1a. Has the business entity or any owner, partner, officer or director of the business entity, or member or manager of a limited liability company		Yes	No
been convicted of, or is currently charged with, committing a MISDEMEANOR or had a judgment withheld or deferred for a
MISDEMEANOR which has not been previously reported to this insurance department?
You may exclude the following misdemeanor convictions or pending misdemeanor charges: traffic citations, driving under the influence
(DUI), driving while intoxicated (DWI), driving without a license, reckless driving, or driving with a suspended or revoked license.
You may also exclude juvenile adjudications (offenses where you were adjudicated delinquent in a juvenile court).
1b. Has the business entity or any owner, partner, officer or director of the business entity, or member or manager of a limited liability company		Yes	No
been convicted of, or is currently charged with, committing a FELONY or had a judgment withheld or deferred for a FELONY which has
not been previously reported to this insurance department?
You may also exclude juvenile adjudications (offenses where you were adjudicated delinquent in a juvenile court).
If you have a felony conviction involving dishonesty or breach of trust, have you applied for written consent to engage in the business of	N/A	Yes	No
insurance in your home state as required by 18 USC 1033?
If so, was consent granted? (Attach copy of 1033 consent approved by home state.)	N/A	Yes	No
1c. Has the business entity or any owner, partner, officer or director of the business entity, or member or manager of a limited liability company		Yes	No
been convicted of, or is currently charged with a MILITARY OFFENSE which has not been previously reported to this insurance
department?

NOTE: For Questions 1a, 1b, and 1c, “Convicted” includes, but is not limited to, having been found guilty by verdict of a judge or jury, having entered a plea of guilty or nolo contendere or no contest, or having been given probation, a suspended sentence, or a fine.

If you answered “Yes” to any of the above questions (1a, 1b, or 1c), you must attach to this application:

a)a written statement explaining the circumstances of each incident,

b)a copy of the charging document, and

c)a copy of the official document, which demonstrates the resolution of the charges or any final judgment.

INS3213 (Rev. 02/2021)

Page 1 of 3

Ohio Department of InsuranceBUSINESS ENTITY TPA LICENSE RENEWAL/CONTINUATION

Background Questions (continued)

2. Has the business entity or any owner, partner, officer or director, or manager or member of a limited liability company, been named or

Yes

involved as a party in an administrative proceeding regarding any professional or occupational license or registration, which has not been previously reported to this state?

“Involved” means having a license censured, suspended, revoked, canceled, terminated; or, being assessed a fine, placed on probation or surrendering a license to resolve an administrative action. “Involved” also means being named as a party to an administrative or arbitration proceeding, which is related to a professional or occupational license. “Involved” also means having a license application denied or the act of withdrawing an application to avoid a denial. You may exclude terminations due solely to noncompliance with continuing education requirements or failure to pay a renewal fee.

If “Yes”, you must attach to this application:

a)a written statement identifying the type of license; identifying all parties involved (including their percentage of ownership, if any) and explaining the circumstances of each incident,

b)a copy of the Notice of Hearing or other document that states the charges and allegations, and

c)a copy of the official document which demonstrates the resolution of the charges or any final judgment.

3.	Does the TPA hold a fidelity bond or other comparable insurance policy coverage for all employees as required by R.C. 3959.11 and	Yes	No
	OAC 3901-8-05 (D) (5)?
	If “Yes”, provide a copy of bond or insurance policy coverage. Make sure documentation includes the name of the carrier, policy number
	and effective dates.
4.	Does the TPA carry any type of professional liability and/or E&O insurance for TPA activities as required by ERISA?	Yes	No
	If “Yes”, provide proof of coverage or bond. Make sure documentation includes the name of the carrier, policy number and effective dates.
5.	Do you understand that any required bond, insurance policy, professional liability and E&O insurance policy must be maintained for	Yes	No
	the duration of the licensure period?

6.Will the TPA’s records continue to be maintained in accordance with the requirements of OAC 3901-8-05 (L) and (M)? If the

	answer to any of the questions below is “No”, then attach a letter stating how those records are maintained.
	a)	Records reflect all administered transactions?		Yes	No
	b)	Detailed preparation or journalizing and posting of books and records are maintained?		Yes	No
	c)	Records are maintained throughout the term of the administration agreement?		Yes	No
	d)	All disbursement records contain the information required by R.C. 3959.15 (E)-(H)?		Yes	No
	e)	Annual reports are required to be filed with insurers and plan sponsors within 90 days of the end of each fiscal year of the plan?		Yes	No
	f)	Return premiums or contributions are paid to insurer or plan sponsors within 30 days of receipt?		Yes	No
7.	Since the last application or renewal have any Excess Insurers (Stop-Loss Carriers) or Managing General Underwriters approved the TPA to			Yes	No
	administer claims for plans using their stop-loss products?
	If “Yes”, provide the names and contact information for each one on a separate document.
8.	Since the last application or renewal has the TPA been licensed as a Managing General Agent?			Yes	No
	If “Yes”, provide a name of the States and license status on a separate document.
9.	What type(s) of claims will the TPA administer or plan to administer within the next year in this state?
	(Must check at least one option – Select all appropriate options that apply)
		Traditional self-insured employee benefit plans	Government self-insured employee benefit plans
		Preferred Provider Org. (PPO)	Fully insured employee benefit plans
		Prescription drug claims	Provider billing processing
		Life insurance claims	Medical/Managed care
		Disability insurance claims	Other, attach description on a separate document.
		Dental claims
10. How does the TPA handle plan sponsor and insurer funds?
	(Must check at least one option – Select all appropriate options that apply)
		Accounts are owned by the insurance company
		Plan sponsor owns accounts/TPA has check writing ability
		TPA has a separate fiduciary account(s) for plan sponsor & insurer funds
		OTHER: Attach a letter of explanation.
11. Does the applicant understand that the TPA and its officers shall be responsible for the supervision of the actions of any and all personnel				Yes	No
	and subcontractors who adjust or settle claims on behalf of the applicant according to OAC 3901-8-05 (E)(3)?

Applicant’s Signature:

Ohio Department of InsuranceBUSINESS ENTITY TPA LICENSE RENEWAL/CONTINUATION

Background Questions (continued)

12.	Does the applicant understand that the TPA may not commingle among its personal assets, or draw against for its own purposes, any	Yes	No
	monies or contributions of a plan sponsor or plan participant according to OAC 3901-8-05 (H)(1)?
13.	Have there been any changes of officers, directors, partners, members or trustees, or any change of shareholders or other owners or	Yes	No
	members holding 5% or more ownership in the TPA or change of business address that has not been previously reported to the Department
	as required by OAC 3901-8-05(D)(5)?
	If “Yes”, include the Department’s document for business entity changes.
14.	Is the TPA operating as a Pharmacy Benefit Manager (PBM)?	Yes	No
14.	Is the TPA operating as a Pharmacy Benefit Manager (PBM)?

Applicant’s Certification and Attestation

On behalf of the business entity or limited liability company, the undersigned owner, partner, officer or director of the business entity, or member or manager of a limited liability company, hereby certifies, under penalty of perjury, that:

1.All of the information submitted in this application and attachments is true and complete and I am aware that submitting false information or omitting pertinent or material information in connection with this application is grounds for license or registration revocation and may subject me and the business entity or limited liability company to civil or criminal penalties.

2.Unless provided otherwise by law or regulation of the jurisdiction, the business entity or limited liability company hereby designate the Commissioner, Director or Superintendent of Insurance, or other appropriate party in each jurisdiction for which this application is made to be its agent for service of process regarding all insurance matters in the respective jurisdiction and agree that service upon the Commissioner, Director or Superintendent of Insurance, or other appropriate party of that jurisdiction is of the same legal force and validity as personal service upon the business entity.

3.The business entity or limited liability company grants permission to the Commissioner, Director or Superintendent of Insurance, or other appropriate party in each jurisdiction for which this application is made to verify information with any federal, state or local government agency, current or former employer, or insurance company.

4.Every owner, partner, officer or director of the business entity, or member or manager of a limited liability company, either (a) does not have a current child-support obligation, or (b) has a child-support obligation and is currently in compliance with that obligation.

5.I authorize the jurisdictions to give any information concerning me, as permitted by law, to any federal, state or municipal agency, or any other organization and I release the jurisdictions and any person acting on their behalf from any and all liability of whatever nature by reason of furnishing such information.

6.I acknowledge that I understand and will comply with the insurance laws and regulations of the jurisdictions to which I am applying for licensure/registration.

7.For Non-Resident License Applications, I certify that I am licensed and in good standing in my home state/resident state for the lines of authority requested from the non-resident state.

8.I hereby certify that upon request, I will furnish the jurisdiction(s) to which I am applying, certified copies of any documents attached to this application or requested by the jurisdiction(s).

Must be signed by an officer, director, or partner of the business entity, or member or manager if a limited liability company who has authority to act on behalf of the business entity:

Signature

Type or Print Name

Title

Address

Date

Social Security Number

City

State

Zip

Application Attachments

22The following attachments must accompany the application; otherwise the application may be returned unprocessed or considered deficient.

1.Non-refundable fee (check or money order) made payable to the “State of Ohio Treasurer” in the amount of $300.00;

2.Provide proof of fidelity bond or other comparable insurance policy coverage for all employees as required by R.C. 3959.11 and OAC 3901-8-05 (D)(5). (Documentation must include the name of the carrier, policy number and effective dates.)

3.Provide proof of professional liability insurance coverage and/or E&O insurance as required by ERISA. (Documentation must include the name of the carrier, policy number and effective dates.); and

4.If necessary, any required supporting details or documents.

Requirements for Licensure

1.All business entity TPA applicants must be registered with the Ohio Secretary of State.

2.Non-Resident TPA applicants must be registered with the home state Secretary of State.

INS3213 (Rev. 02/2021)

Page 3 of 3

How to Edit Ohio Form Ins3213 Online for Free

Filling out the Ohio Form Ins3213 document is not hard with our PDF editor. Keep up with these actions to obtain the document right away.

Step 1: At first, choose the orange "Get form now" button.

Step 2: Now you are on the document editing page. You may edit, add text, highlight particular words or phrases, place crosses or checks, and include images.

Fill out the Ohio Form Ins3213 PDF by providing the data meant for every single section.

You need to enter the crucial details in the Name, Name, Name, SSN, SSN, SSN, NPN, NPN, NPN, Background Questions, a Has the business entity or any, Yes, You may exclude the following, You may also exclude juvenile, and b Has the business entity or any field.

Jot down all data you may need inside the area Has the business entity or any, Yes, Background Questions continued, Involved means having a license, If Yes you must attach to this, b c, a written statement identifying, Does the TPA hold a fidelity bond, Yes, If Yes provide a copy of bond or, Does the TPA carry any type of, Yes, If Yes provide proof of coverage, Do you understand that any, and Yes.

Ohio Form Ins3213 Has the business entity or any, Yes, Background Questions continued, Involved means having a license, If Yes you must attach to this, b c, a written statement identifying, Does the TPA hold a fidelity bond, Yes, If Yes provide a copy of bond or, Does the TPA carry any type of, Yes, If Yes provide proof of coverage, Do you understand that any, and Yes fields to fill out

The Will the TPAs records continue to, answer to any of the questions, Records reflect all administered, a b Detailed preparation or, Annual reports are required to be, Since the last application or, If Yes provide the names and, Yes Yes Yes Yes Yes Yes, No No No No No No, Yes, Since the last application or, Yes, If Yes provide a name of the, What types of claims will the TPA, and Must check at least one option section is the place where either side can put their rights and responsibilities.

Will the TPAs records continue to, answer to any of the questions, Records reflect all administered, a b Detailed preparation or, Annual reports are required to be, Since the last application or, If Yes provide the names and, Yes Yes Yes Yes Yes Yes, No No No No No No, Yes, Since the last application or, Yes, If Yes provide a name of the, What types of claims will the TPA, and Must check at least one option in Ohio Form Ins3213

Finish by checking the following fields and typing in the pertinent details: Accounts are owned by the, Does the applicant understand, Yes, and subcontractors who adjust or, and Applicants Signature.

part 5 to entering details in Ohio Form Ins3213

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Step 4: You will need to create as many copies of your file as you can to prevent potential problems.

Ohio Form Ins3213 – Fill Out and Use This PDF

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