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(a) No person or governmental unit acting individually or jointly with
any other person or governmental unit may establish, conduct,
maintain, manage, or operate a brokerage without being certified by
the Division under this rule.
(b) No person or governmental unit acting individually or jointly with
any other person or governmental unit may establish, conduct,
maintain, or operate a provider organization without either
certification under this rule or current Division license or certification
as described in OAR 411-340-0170(1).
(c) Certificates are not transferable or assignable and are issued only
for the brokerage, or for the provider organization requiring
certification under OAR 411-340-0170(2), and persons or
governmental units named in the application.
(d) Certificates issued on or after November 15, 2008 shall be in
effect for a maximum of five years.
(e) The Division shall conduct a review of the brokerage, or the
provider organization requiring certification under OAR 411-340-
0170(2), prior to the issuance of a certificate.
(2) CERTIFICATION. A brokerage, or a provider organization requiring
certification under OAR 411-340-0170(2), must apply for an initial certificate
and for a certificate renewal.
(a) The application must be on a form provided by the Division and
must include all information requested by the Division.
(b) The applicant requesting certification as a brokerage must identify
the maximum number of individuals to be served.
(c) To renew certification, the brokerage or provider organization
must make application at least 30 days but not more than 120 days
prior to the expiration date of the existing certificate. On renewal of
brokerage certification, no increase in the maximum number of
individuals to be served by the brokerage may be certified unless
specifically approved by the Division.
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