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Record Series Code
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Record Series Title
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Minimum Retention
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Disposition
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DESCRIPTION
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Agency Specific Schedules: Insurance Department, Connecticut: Administration, Business and Personnel Office
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CID-01-001
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3 Year(s)
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Destroy after receipt of signed Form RC-108. Disposition is 3 years or audited, whichever is later.
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Fee Assessments to insurers doing business in the state
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CID-01-002
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Permanent
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Destroy after receipt of signed Form RC-108
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Cease & Desist Correspondence (unlicensed insurance companies)
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CID-01-003
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15 Year(s)
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Destroy after receipt of signed Form RC-108
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Agency copy of lien placed by tax-exempt hospital on out-of-state insurers concerning expenses for treatment on insured patient in an accident not covered by Workers compensation.
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CID-01-004
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15 Year(s)
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Destroy after receipt of signed Form RC-108
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Process writs served on the Insurance Commissioner in his capacity as statutory agent for receipt of service legal process.
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Agency Specific Schedules: Insurance Department, Connecticut: Consumer Affairs Division
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CID-02-001
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Closed date + 3 Year(s)
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Disposition is 3 years from date complaint file closed. Destroy after receipt of signed Form RC-108
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This series documents citizen general insurance inquiries and complaints, including claims disputes. Including but not limited to: correspondence to and from the Consumer Affairs division; the complainant; and the complained of insurer.
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CID-02-002
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Calendar year end + 2 Year(s)
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Destroy after receipt of signed Form RC-108
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This series consists of reports documenting the number of consumer complaints received by the Consumer Affairs Division; the Connecticut premium volume of the line of insurance related to the complaints; and the number of complaints resolved by the Division on a quarterly basis pursuant to CGS Sec. 38a-9.
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CID-02-003
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Calendar year end + 2 Year(s)
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Destroy after receipt of signed Form RC-108
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This series documents the valuation of motor vehicle physical damage claims subject to arbitration pursuant to CGS Sec. 38a-9. Including but not limited to: notice of the claimant’s right to arbitrate; notice to insurers of arbitration demands and process; and correspondence with the dispute resolution organization using CID to conduct arbitration between the claimant and insurer.
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Agency Specific Schedules: Insurance Department, Connecticut: Financial Regulation
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CID-03-001
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Permanent
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Destroy after receipt of signed Form RC-108
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National Association of Insurance Commissioners (NAIC) accreditation files including interim and on-site reviews
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CID-03-002
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Approved date
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Retain until destruction approved by court. Destroy after receipt of signed Form RC-108
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Field work papers (insolvent domestic insurers)
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CID-03-003
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Permanent
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Destroy after receipt of signed Form RC-108
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Financial examination reports (domestic insurer)
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CID-03-004
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Superseded
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Retain until superseded by next exam. Destroy after receipt of signed Form RC-108
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Field work papers (domestic insurers) for financial examination reports
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CID-03-005
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Permanent
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Destroy after receipt of signed Form RC-108
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Corporate papers include but are not limited to charters, by-laws, powers of attorney, changes of control, merger documentation, redomestications executed, unaffiliated agreements and license amendments
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CID-03-006
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Superseded + 2 Year(s)
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Destroy after receipt of signed Form RC-108
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Application files for licensure (domestic and foreign insurers)
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CID-03-007
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Superseded
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Destroy after receipt of signed Form RC-108
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Financial Statements (Annual)
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CID-03-008
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Superseded
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Retain until superseded by the same quarter of next year. Destroy after receipt of signed Form RC-108
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Financial Statements (Quarterly)
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CID-03-009
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Permanent
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Destroy after receipt of signed Form RC-108
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Audit, correspondence and holding company files (domestic insurers)
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CID-03-010
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Superseded
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Destroy after receipt of signed Form RC-108
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Certified Public Accountant [CPA] and Risk-Based Capital [RBC] reports (domestic insurers)
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CID-03-011
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Superseded + 4 Year(s)
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Destroy after receipt of signed Form RC-108
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Audit and correspondence files (foreign insurers)
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CID-03-012
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Superseded
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Destroy after receipt of signed Form RC-108
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CPA and examination reports (foreign insurers)
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CID-03-013
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Superseded + 2 Year(s)
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Destroy after receipt of signed Form RC-108
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Deposit information (domestic and foreign insurer)
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CID-03-014
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Superseded + 4 Year(s)
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Destroy after receipt of signed Form RC-108
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Audit, correspondence and application files (unlicensed insurers) includes withdrawn or rejected
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CID-03-015
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Superseded + 4 Year(s)
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Destroy after receipt of signed Form RC-108
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Audit, correspondence and application files (surplus lines insurers) includes both active and inactive
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CID-03-016
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Superseded
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Destroy after receipt of signed Form RC-108
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CPA and examination reports (surplus lines insurer)
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CID-03-017
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Certification expiration date + 4 Year(s)
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Disposition is 4 years after no longer certified or application withdrawn. Destroy after receipt of signed Form RC-108
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Audit, correspondence and application files (accredited/approved reinsurers)
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CID-03-018
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Certification expiration date + 4 Year(s)
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Disposition is 4 years after no longer certified or application withdrawn. Destroy after receipt of signed Form RC-108
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Audit, correspondence and application files (risk retention companies) for active, inactive and withdrawn applications
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CID-03-019
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Superseded
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Destroy after receipt of signed Form RC-108
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CPA and examination reports (risk retention companies)
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CID-03-020
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Certification expiration date + 4 Year(s)
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Disposition is 4 years after no longer certified or application withdrawn. Destroy after receipt of signed Form RC-108.
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Application and correspondence files (risk purchasing groups) for active, inactive and withdrawn applications
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CID-03-021
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Superseded
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Destroy after receipt of signed Form RC-108.
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National Association of Insurance Commissioners (NAIC) publications and procedures manuals
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CID-03-022
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Active + 6 Year(s)
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Disposition is 6 years after no longer active or application withdrawn. Destroy after receipt of signed Form RC-108.
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Audit and Correspondence and Application Files (viatical settlement providers)
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CID-03-023
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Superseded
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Destroy after receipt of signed Form RC-108.
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CPA and examination reports (viatical settlement companies)
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CID-03-024
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Active + 4 Year(s)
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Disposition is 4 years after no longer active or application withdrawn before becoming active. Destroy after receipt of signed Form RC-108.
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Licensing materials and forms (preferred provider networks [PPNs])
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Agency Specific Schedules: Insurance Department, Connecticut: Fraud Unit
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CID-04-001
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Permanent
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Retain in agency or transfer to State Archives
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This series documents investigations of insurance producers and agencies (including bail bondsmen). Including but not limited to: final reports, Stipulated Settlement agreements, and referral reports to law enforcement personnel.
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CID-04-002
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Released date + 2 Year(s)
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Disposition is 2 years from date investigative report released to the public. Destroy after receipt of signed Form RC-108
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This series documents investigations of insurance producers and agencies (including bail bondsmen) and serve as supporting documentation for the final investigative report. Including but not limited to: planning documents and third party information for targeted examinations of insurance producers, insurance agencies and bail bondsmen; referral information concerning market behavior that led to the targeted investigation; results of analytical review of alleged violations of insurance statutes; and responses from management and/or targeted individuals.
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CID-04-003
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Superseded
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Destroy after receipt of signed Form RC-108
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This series documents the licensure and registration review process for entities other than insurers including, but not limited to, third party administrators (TPAs), medical discount plan organizations (MDPs) and pharmacy benefit manager (PBMs). Including but not limited to: applications and supporting documentation.
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CID-04-004
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Filing date + 1 Year(s)
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Destroy after receipt of signed Form RC-108
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This series documents annual reports submitted by insurance companies detailing all information received or investigations conducted by such company during the past year concerning insurance fraud in any claim under a motor vehicle insurance policy.
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Agency Specific Schedules: Insurance Department, Connecticut: Legal Division
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CID-05-001
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Permanent
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Retain in agency or transfer to State Archives
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Includes list of assigned docket numbers for hearings and related matters. Copy of the complaint, order, stipulations, hearing decisions and other related items. Arranged chronologically by year then by docket number.
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CID-05-002
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Decision date + 5 Year(s)
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Destroy after receipt of signed Form RC-108
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Including but not limited to: hearing notices, correspondence, hearing transcripts, research notes and hearing officer's draft decision.
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CID-05-003
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Permanent
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Destroy after receipt of signed Form RC-108
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Formal opinions involving statutory or regulatory interpretations under the Uniform Administrative Procedures Act (UAPA).
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CID-05-004
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Superseded + 5 Year(s)
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Destroy after receipt of signed Form RC-108
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Correspondence and documentation supporting a policy or a directive involving internal policy matters that may take the form of an agency bulletin, guideline or notice.
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CID-05-005
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Permanent
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Destroy after receipt of signed Form RC-108
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Copies of reports and related documents submitted to the court by the Insurance Department. Files are arranged alphabetically by company
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CID-05-006
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Closed date + 3 Year(s)
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Disposition is 3 years from date receivership case closed. Destroy after receipt of signed Form RC-108
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Including but not limited to: claims, ledgers, and related records. Files are arranged alphabetically by company.
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CID-05-007
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Permanent
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Destroy after receipt of signed Form RC-108
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Connecticut Guaranty Association Plan of Operation and Minutes
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CID-05-008
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Closed date + 2 Year(s)
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Disposition is 2 years from date court or judicial proceeding closed. Destroy after receipt of signed Form RC-108
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Connecticut Guaranty Association Plan - Correspondence
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CID-05-009
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Completion date + 4 Year(s)
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Disposition is 4 years from date matter or proceeding completed. Destroy after receipt of signed Form RC-108
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The three party agreements, correspondence and other related documentation for outside consultants hired to conduct statutory examinations, investigations, and Form A reviews and paid for by the insurance companies rather than the state.
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Agency Specific Schedules: Insurance Department, Connecticut: Licensing Division
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CID-06-001
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Filing date + 1 Year(s)
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Destroy after receipt of signed Form RC-108
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Affidavits pertaining to surplus lines insurance companies
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CID-06-002
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Superseded
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Destroy after receipt of signed Form RC-108
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Educational Training Programs (prelicensing) including Providers Training Manual produced by an outside vendor for insurance agents
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CID-06-003
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Image conversion date + 14 Day(s)
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Destroy after receipt of signed Form RC-108
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Letters of Certification (Hard copy) -- consists of incoming requests to verify a Connecticut issued license for another state
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CID-06-004
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Issue date + 1 Year(s)
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Destroy after receipt of signed Form RC-108
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Letters of Certification (Imaged or Electronic copy) -- consists of incoming requests to verify a Connecticut issued license for another state
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CID-06-005
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Image conversion date + 14 Day(s)
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Destroy after receipt of signed Form RC-108
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License and renewal applications (Hard copy)
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CID-06-006
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Previous renewal date + 2 Year(s)
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Disposition is 2 years from previous renewal. Destroy after receipt of signed Form RC-108
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License and renewal applications (Imaged copy or electronically filed applications)
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CID-06-007
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Image conversion date + 14 Day(s)
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Destroy after receipt of signed Form RC-108
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License renewal cards (brokers, consultants, adjusters, appraisers & surplus lines brokers -- Hard copy)
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CID-06-008
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Previous renewal date + 2 Year(s)
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Disposition is 2 years from previous renewal. Destroy after receipt of signed Form RC-108
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License renewal cards (brokers, consultants, adjusters, appraisers & surplus lines brokers -- Imaged or electronic copy)
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CID-06-009
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Image conversion date + 14 Day(s)
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Destroy after receipt of signed Form RC-108
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License renewal forms (producers -- Hard copy)
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CID-06-010
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Previous renewal date + 2 Year(s)
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Disposition is 2 years from previous renewal. Destroy after receipt of signed Form RC-108
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License renewal forms (producers -- Imaged or electronic copy
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CID-06-011
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Image conversion date + 14 Day(s)
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Destroy after receipt of signed Form RC-108
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Licensure records (active licensees -- Hard copies) includes but not limited to application, tests results, pre-licensing certificates, letters of certification (if applicable), administrative actions or criminal actions, and fee information
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CID-06-012
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Superseded
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Licensure records (active licensees -- Imaged or electronic copy) includes but not limited to application, tests results, pre-licensing certificates, letters of certification (if applicable), administrative actions or criminal actions, and fee information
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CID-06-013
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Image conversion date + 14 Day(s)
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Licensure records (cancelled/nonrenewed licensees -- Hard copies) for agents, brokers, public and casualty adjusters, MVPD appraisers, consultants and surplus lines brokers. Documentation includes but not limited to cancel requests, activity log notes regarding reason license cancelled or not renewed (i.e. non payment of renewal fee or failed to satisfy continuing education requirements)
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CID-06-014
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Cancellation date + 2 Year(s)
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Disposition is 2 years from date of cancellation / non-renewal. Destroy after receipt of signed Form RC-108.
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Licensure records (cancelled/nonrenewed licensees -- Imaged copies) for agents, brokers, public and casualty adjusters, MVPD appraisers, consultants and surplus lines brokers. Documentation includes but not limited to cancel requests, activity log notes regarding reason license cancelled or not renewed (i.e. non payment of renewal fee or failed to satisfy continuing education requirements)
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CID-06-015
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Expiration/revoked date + 55 Year(s)
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Disposition is 55 years from date of revocation. Destroy after receipt of signed Form RC-108.
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Licensure records (former licensees ineligible for present or future licensing) includes but not limited to original application with test results, pre-licensing certificates, fee information, all administrative actions, stipulations, consent agreements, correspondence and mail receipts
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CID-06-017
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Data entry date + 3 Month(s)
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Notices of Cancellation (company appointed agents)
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CID-06-018
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Image conversion date + 90 Day(s)
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Disposition is 90 days after imaged or until audited if not imaged. Destroy after receipt of signed Form RC-108.
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Tax returns (surplus lines brokers -- Hard copies)
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CID-06-019
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Audit completion date
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Disposition is until audited for the period in which the return is filed. Destroy after receipt of signed Form RC-108.
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Tax returns (surplus lines brokers -- Imaged copies)
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CID-06-020
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Active + 6 Year(s)
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Disposition is 6 years after no longer active or application withdrawn. Destroy after receipt of signed Form RC-108.
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Application files (premium finance companies) includes application, renewal applications, correspondence and premium finance agreements
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CID-06-021
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Superseded
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Destroy after receipt of signed Form RC-108.
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CPA reports (premium finance companies)
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Agency Specific Schedules: Insurance Department, Connecticut: Life and Health Division
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CID-07-001
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Permanent
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Policy form tracking system approvals including both the former index card tracking system and all actions taken by the Department on policy form submissions tracked on the Department's "Connecticut Regulatory Information System" [CRIS] computer system
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CID-07-002
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Approved or denied date + 2 Year(s)
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Destroy after receipt of signed Form RC-108.
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Policy Forms, may include copy of cover letter.
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CID-07-003
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Approved date + 5 Year(s)
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Destroy after receipt of signed Form RC-108.
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Health Maintenance Organizations [HMO] approved contracts including policy and rate forms.
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CID-07-004
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Filing date + 2 Year(s)
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Destroy after receipt of signed Form RC-108.
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Annual Filings of Life Insurance Illustrations of Policy Benefits
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CID-07-005
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Filing date + 2 Year(s)
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Destroy after receipt of signed Form RC-108.
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Annual Filings by Managed Care Organizations including but not limited to complaints related to providers and quality of care; decisions on patient requests for coverage and prior authorization statistics
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CID-07-006
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Filing date + 2 Year(s)
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Destroy after receipt of signed Form RC-108.
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Contacts and Application Forms (viatical settlement providers)
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CID-07-007
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Filing date + 2 Year(s)
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Destroy after receipt of signed Form RC-108.
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Annual Licensing materials and forms (utilization review entities) for new or revised procedures to determine medical necessity of proposed treatments for payment purposes
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Agency Specific Schedules: Insurance Department, Connecticut: Market Conduct Division
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CID-08-001
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Permanent
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Consists of final reports resulting from the comprehensive, target or survey examinations of insurance companies, healthcare centers, fraternal benefit societies and medical utilization review companies doing business in Connecticut that are scheduled on a periodic basis by the Market Conduct Division to ensure compliance with statutes and regulations. Includes Stipulated Settlement Agreement
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CID-08-002
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Issue date + 2 Year(s)
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Destroy after receipt of signed Form RC-108.
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Consists of planning documents and market conduct audit programs, including internal control questionnaires; information about insurance underwriting and rating of insurance policies, claim settlements and the cancellation/non-renewal of insurance policies; analysis and review of solicitation and marketing practices; results of analytical review of original insurance applications, advertising materials and agent recruiting, training and supervision procedures; audit reports and management responses. These documents serve as back-up support for the final examination report issued by the Market Conduct Division.
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CID-08-003
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Permanent
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Consists of the final reports resulting from the targeted examination of insurance companies, healthcare centers, fraternal benefit societies and medical utilization review companies. Includes Stipulated Settlement Agreements
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CID-08-004
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Released date + 2 Year(s)
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Disposition is 2 years from date investigative report released to the public. Destroy after receipt of signed Form RC-108.
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Consists of planning documents for targeted market conduct investigations, including results of analytical review of alleged violations of insurance statutes and responses from management and/or targeted individuals. These documents serve as back-up support for the final investigative report.
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Agency Specific Schedules: Insurance Department, Connecticut: Property and Casualty Division
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CID-09-001
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Filing date + 5 Year(s)
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Disposition is 5 years from effective date of filing, or current filing plus one previous filing, whichever is later. Destroy after receipt of signed Form RC-108.
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Consisting of Rate, Form, Loss Costs and Rule filings including automobile assigned risk plan filings and advisory organization filings (e.g. Insurance Services Organization, National Council on Compensation Insurance and the National Association of Independent Insurers).
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CID-09-002
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Filing date + 3 Year(s)
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Disposition is 3 years from effective date of filing, or current filing plus one previous filing, whichever is later. Destroy after receipt of signed Form RC-108.
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Consisting of Automobile and Homeowners policies.
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CID-09-003
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Filing date + 3 Year(s)
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Destroy after receipt of signed Form RC-108.
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Consisting of aggregate and/or required data from insurance companies or advisory organizations.
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CID-09-004
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Expiration date + 2 Year(s)
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Destroy after receipt of signed Form RC-108.
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Including amusement parks and firework productions.
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CID-09-005
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Filing date + 3 Year(s)
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Destroy after receipt of signed Form RC-108.
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Consisting of an extended warranty contract, a contractual reimbursement insurance policy and supporting information.
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CID-09-006
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Filing date + 3 Year(s)
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Disposition is 3 years from effective date of filing, or current filing plus one previous filing, whichever is later. Destroy after receipt of signed Form RC-108.
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Consisting of automobile and workers' compensation self-insurance programs. Including but not limited to explanatory memos, check lists, policy forms, rate information and supporting documentation for filings.
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