Each certificate application must include:
  (1) a description or a copy of the applicant's basic organizational structure documents and other related documents, including organizational charts or lists that show:
    (A) the relationships and contracts between the applicant and any affiliates of the applicant; and
    (B) the internal organizational structure of the applicant's management and administrative staff;
  (2) a completed biographical affidavit, NAIC UCAA Form 11 (Rev. 12/8/2020), from each person who governs or manages the affairs of the applicant, including the members of the governing board of the applicant, the chief executive officer, president, secretary, treasurer, chief financial officer and controller, and any other individuals with substantially similar responsibilities, provided that a biographical affidavit is not required if a biographical affidavit from the person is already on file with the department;
  (3) a copy of the form of any contract between the applicant and any provider or group of providers as required under Insurance Code Chapter 1305, Subchapter D, concerning Contracting Provisions, and §10.41 and §10.42 of this title (relating to Network-Carrier Contracts and Network Contracts with Providers);
  (4) a copy of any agreement with any third party performing delegated functions on behalf of the applicant as required under Insurance Code §1305.154, concerning Network-Carrier Contracts, and §10.41 of this title (relating to Network-Carrier Contracts);
  (5) a copy of the form of each contract with an insurance carrier, as described by Insurance Code §1305.154 and §10.41 of this title;
  (6) each management contract as described in §10.40 of this title (relating to Management Contracts), if applicable;
  (7) a financial statement, current as of the date of the application that includes the most recent calendar quarter, prepared using generally accepted accounting principles, and including:
    (A) a balance sheet that reflects a solvent financial position;
    (B) an income statement;
    (C) a cash flow statement; and
    (D) the sources and uses of all funds;
  (8) a statement acknowledging that lawful process in a legal action or proceeding against the network on a cause of action arising in this state is valid if served in the manner provided by Insurance Code Chapter 804, concerning Service of Process, for a domestic company;
  (9) a description and a map of the applicant's proposed service area or areas, with key and scale, that identifies each county, ZIP code, partial ZIP code, or part of a county to be served;
  (10) a description of programs and procedures to be utilized, including:
    (A) a complaint system, as required under Insurance Code Chapter 1305, Subchapter I, concerning Complaint Resolution, and Chapter 10, Subchapter G, of this title (relating to Complaints);
    (B) a quality improvement program, including return-to-work and medical case management programs, as required under Insurance Code Chapter 1305, Subchapter G, concerning Provision of Services by Network; Quality Improvement Program, and §10.81 of this title (relating to Quality Improvement Program);
    (C) credentialing policies and procedures required under §10.82 of this title (relating to Credentialing);
    (D) the utilization review program described in Insurance Code Chapter 1305, Subchapter H, concerning Utilization Review, and Chapter 10, Subchapter F, of this title (relating to Utilization Review), if applicable; and
    (E) criteria and procedures for employees to select or change the employee's treating doctor, including procedures for employees to select as the employee's treating doctor a doctor who the employee selected, prior to injury, as the employee's HMO primary care physician or provider;
  (11) a description of the network configuration that demonstrates the adequacy of the network to provide comprehensive health care services sufficient to serve the population of injured employees within the service area and maps that demonstrate compliance with the access and availability standards under Insurance Code Chapter 1305, Subchapter G, and §10.80 of this title (relating to Accessibility and Availability Requirements). This description must include, at a minimum, the following:
    (A) a map for each specialty providing services to injured employees in accordance with §10.80 of this title, each of which must include:
      (i) each location of health care providers and facilities within the proposed service area, indicating each location by symbols of the network's own choosing; and
      (ii) the distance from any point in the network's designated service area to each location;
    (B) names; addresses, including ZIP codes; specialty or specialties; board certifications, if any; professional license numbers; and hospital affiliations of network providers, including treating doctors, in sufficient number and specialty to provide all required health care services in a timely, effective, and convenient manner;
    (C) names; addresses; federal employer identification number (FEIN); licenses; and types of health care facilities, including hospitals, rehabilitation facilities, diagnostic and testing facilities, ambulatory surgical centers, and interdisciplinary pain rehabilitation programs or interdisciplinary pain rehabilitation treatment facilities. The network must also demonstrate adequate access to emergency care;
    (D) information indicating whether each network provider is accepting new patients from the workers' compensation health care network;
    (E) information indicating which network doctors are trained and certified to perform maximum medical improvement determinations and impairment rating services;
    (F) information identifying which network providers provide telehealth service, telemedicine medical service, or teledentistry dental service, indicating which of these providers will provide telehealth service, telemedicine medical service, or teledentistry dental service only; and
    (G) for any service area in which the network does not meet accessibility and availability requirements described in §10.80 of this title, an access plan that complies with §10.80(a) and (f) of this title;
  (12) the physical location of the applicant's books and records, including:
    (A) financial and accounting records;
    (B) investment records;
    (C) organizational documents of the applicant; and
    (D) minutes of all meetings of the applicant's governing board and executive or management committees;
  (13) a business plan that describes the applicant's intended operations in this state, including both a narrative description and projections related to anticipated revenue and profitability for the first two years of operation after certification;
  (14) a completed financial authorization form sufficient to allow the department to confirm directly with appropriate financial institutions the reported assets of the applicant, unless the entity is already licensed by the department;
  (15) the applicant's plan for provision of care to injured employees who live temporarily outside the service area, if applicable;
  (16) the applicant's plan for provision of maximum medical improvement determinations and impairment rating services, including verification that the network doctors reported under paragraph (11)(E) of this section have completed the training and testing required under Labor Code §408.023, concerning List of Approved Doctors; Duties of Treating Doctors, and rules adopted by the Commissioner of Workers' Compensation;
  (17) the applicant's plan for obtaining certification by doctors and health care practitioners of filing the required financial disclosure with the Division of Workers' Compensation under Labor Code §408.023 and §413.041, concerning Disclosure;
  (18) the form of the notice of network requirements and employee information, and the acknowledgment form required under Insurance Code §1305.005, concerning Participation in Network; Notice of Network Requirements, and §10.60 of this title (relating to Notice of Network Requirements; Employee Information);
  (19) the applicant's plan for monitoring whether providers have been provided and are following treatment guidelines, return-to-work guidelines, and individual treatment protocols as required under Insurance Code §1305.304, concerning Guidelines and Protocols, and §10.83 of this title (relating to Guidelines and Protocols);
  (20) a description of treatment guidelines and return-to-work guidelines, and the network medical director's certification that the guidelines are evidence-based, scientifically valid, and outcome-focused, and be designed to reduce inappropriate or unnecessary health care while safeguarding necessary care, as required under Insurance Code §1305.304 and §10.83(a) of this title; and
  (21) a certification that:
    (A) the network's medical director is an occupational medicine specialist; or
    (B) the network employs or contracts with an occupational medicine specialist.

Source Note: The provisions of this §10.22 adopted to be effective December 5, 2005, 30 TexReg 8099; amended to be effective August 2, 2022, 47 TexReg 4534