Applicant Company Name : ______________________________________________________________________________
NAIC No. _____________________________________________________ FEIN: ______________________________
Ó2020 National Association of Insurance Commissioners
1
Revised 12/09/19
FORM 11
Uniform Certificate of Authority Application (UCAA)
BIOGRAPHICAL AFFIDAVIT
To the extent permitted by law, this affidavit will be kept confidential by the state insurance regulatory authority. The affiant
may be required to provide additional information during the third-party verification process if they have attended a foreign
school or lived and worked internationally.
Specify Purpose for Completion:
Form A: ___________________________ UCAA Type:___________________________ Other: ___________________________
Full name, address and telephone number of the present or proposed entity under which this biographical statement is being
required (Do Not Use Group Names).
Applicant Company Name:______________________________________________________________________________
Address: ____________________________________________ City: ___________________________________________
State/Province: ____________________________ Postal Code: ___________________ Phone: ______________________
In connection with the above-named entity, I herewith make representations and supply
information about myself as hereinafter set forth. (Attach addendum or separate sheet if space hereon is
insufficient to answer any question fully.) IF ANSWER IS “NO” OR “NONE,” SO STATE. ALL FIELDS
MUST HAVE A RESPONSE. INCOMPLETE FORMS COULD DELAY THE APPLICATION PROCESS
or RESULT IN REJECTION OF THE APPLICATION.
1. Affiant’s Full Name (Initials Not Acceptable): First:___________Middle:____________Last:________________
2. a.
Are you a citizen of the United States?
Yes No
b. Are you a citizen of any other country?
Yes
No
If yes, what country? _____________________________________
3. Affiant’s occupation or prof
ession:
4. Affiant’s business address:
Business telephone: ________________ Business Email: _____________________________________
5.
Education and training:
College/University City/State Dates Attended (MM/YY) Degree Obtained
Graduate Studies College/University City/State Dates A
ttended (MM/YY)
Other Training: Name City/State Dates Attended (M
M/YY) Degree/Certification Obtained
Note: If affiant attended a foreign school, please provide
full address and telephone number of the college/university. If
applicable, provide the foreign student Identification Number and/or attach foreign diploma or certificate of
attendance to the Biographical Affidavit Personal Supplemental Information.
Degree Obtained
<Enter the Applicant Company Name for a single company>
<See UCAA FAQs for details>
<See UCAA FAQs for details>
<See UCAA FAQs for details>
<Enter the Applicant Company Name for a single company>
<Enter address>
<Enter state/province>
<Enter zip/postal code>
<Enter phone>
Applicant Company Name : _____________________________________________________________________________
NAIC No. ____________________________________________________ FEIN: ______________________________
Ó2020 National Association of Insurance Commissioners
2
Revised 12/09/19
FORM 11
6. List of memberships in professional societies and associations:
Name of
Society/Association
Contact Name
Address of
Society/Association
Telephone Number
of Society/Association
7. Present or proposed posit
ion with the Applicant Company: _____________________________________________
_____________________________________________________________________________________________
8. List complete employment record for the past twenty (20) years, whether compensated or otherwise (up to and
including present jobs, positions, partnerships, owner of an entity, administrator, manager, operator, directorates or
officerships). Please list the most recent first. Attach additional pages if the space provided is insufficient. It is only
necessary to provide telephone numbers and supervisory information for the past ten (10) years. Additional
information may be required during the third-party verification process for international employers.
Beginning/Ending
Dates (MM/YY): ________ - _________ Employer’s Name: __________________________________________________
Address: ____________________________ City:________________________ State/Province: ______________________
Country: _____________ Postal Code: __________ Phone: ___________ Offices/Positions Held: ___________________
Type of Business: Supervisor/Contact: _______________________________________
Beginning/Ending
Dates (MM/Y
Y): ________ - _________ Employer’s Name: __________________________________________________
Address: ____________________________ City: _______________________ State/Province: ______________________
Country: _____________ Postal Code: __________ Phone: ___________ Offices/Positions Held: ____________________
Type of Business: Supervisor/Contact: _______________________________________
Beginning/Ending
Dates (MM/Y
Y): ________ - _________ Employer’s Name: __________________________________________________
Address: ____________________________ City:________________________ State/Province: ______________________
Country: _____________ Postal Code: __________ Phone: ____________ Offices/Positions Held: ____________________
Type of Business: Supervisor/Contact: _______________________________________
Beginning/Ending
Dates (MM/Y
Y): ________ - _________ Employer’s Name: __________________________________________________
Address: ____________________________ City:________________________ State/Province: _______________________
Country: _____________ Postal Code: __________ Phone: ____________ Offices/Positions Held: ____________________
Type of Business: Supervisor/Contact: _______________________________________
<Enter the Applicant Company Name for a single company>
Applicant Company Name : ____________________________________________________________________________
NAIC No. _________________________________________________ FEIN: ________________________________
Ó2020 National Association of Insurance Commissioners
3
Revised 12/09/19
FORM 11
9. a. Have you ever been in a position which required a fidelity bond?
Yes
No
If any claims were made on
the bond, give details: _____________________________________________
_____________________________________________________________________________________
b. Have you ever been denied an individual or position schedule fidelity bond, or had a bond canceled or
revoked?
Yes
No
If yes, give details:
10. List any professional,
occupational and vocational licenses (including licenses to sell securities) issued by any public
or governmental licensing agency or regulatory authority or licensing authority that you presently hold or have held
in the past. For any non-insurance regulatory issuer, identify and provide the name, address and telephone number of
the licensing authority or regulatory body having jurisdiction over the license (s) issued. If your professional license
number is your Social Security Number (SSN) or embeds your SSN or any sequence of more than five numbers that
are reasonably identifiable as your SSN, then write SSN for that portion of the professional license number that is
represented by your SSN. (For example, “SSN”, “12-SSN-345” or “1234-SSN (last 6 digits)). Attach additional
pages if the space provided is insufficient.
_____________________________________________________________________________________________
_____________________________________________________________________________________________
Organization/Issuer of License: ________________________ Address: __________________________________________
City: ________________ State/Province: _______________ Country: _________________ Postal Code: ______________
License Type: ________________ License #: ___________________ Date Issued (MM/YY): _______________________
Date Expired (MM/YY): _______________ Reason for Termination: ___________________________________________
Non-Insurance Regulatory Phone Number (if known): ________________________________________________________
Organization/Issuer of License: ________________________ Address: __________________________________________
City: ________________ State/Province: _______________ Country: ________________ Postal Code: ______________
License Type: ________________ License #: ___________________ Date Issued (MM/YY): _______________________
Date Expired (MM/YY): _______________ Reason for Termination: ___________________________________________
Non-Insurance Regulatory Phone Number (if known): ________________________________________________________
11. In responding to the following, if the record has been sealed or expunged, and the affiant has personally verified that
the record was sealed or expunged, an affiant may respond “no” to the question. Have you ever:
a. Been refused an occupat
ional, professional, or vocational license or permit by any regulatory authority, or
any public administrative, or governmental licensing agency?
Yes
No
b. Had any occupational, professional, or vocational license or permit you hold or have held, been subject to
any judicial, administrative, regulatory, or disciplinary action?
<Enter the Applicant Company Name for a single company>
Applicant Company Name : _____________________________________________________________________________
NAIC No. ___________________________________________________ FEIN: _______________________________
Ó2020 National Association of Insurance Commissioners
4
Revised 12/09/19
FORM 11
Yes
No
c. Been placed on probation or had a fine levi
ed against you or your occupational, professional, or vocational
license or permit in any judicial, administrative, regulatory, or disciplinary action?
Yes
No
d. Been charged with, or indicted for, any criminal offense(s) other than civil traffic offenses?
Yes
No
e. Pled guilty, or nolo contendere, or been convi
cted of, any criminal offense(s) other than civil traffic
offenses?
Yes
No
f. Had adjudication of guilt withheld, had a
sentence imposed or suspended, had pronouncement of a sentence
suspended, or been pardoned, fined, or placed on probation, for any criminal offense(s) other than civil
traffic offenses?
Yes
No
g. Been subject to a cease and desist letter or order, or enjoined, either temporarily or permanently, in any judicial,
administrative, regulatory, or disciplinary action, from violating any federal, state law or law of another country
regulating the business of insurance, securities or banking, or from carrying out any particular practice or
practices in the course of the business of insurance, securities or banking?
Yes
No
h. Been, within the last ten (10) years,
a party to any civil action involving dishonesty, breach of trust, or a
financial dispute?
Yes
No
i. Had a finding made by the Comptroller of a
ny state or the Federal Government that you have violated any
provisions of small loan laws, banking or trust company laws, or credit union laws, or that you have violated
any rule or regulation lawfully made by the Comptroller of any state or the Federal Government?
Yes
No
j. Had a lien or foreclosure action filed agains
t you or any entity while you were associated with that entity?
Yes
No
If the response to any question above is yes, plea
se provide details including dates, locations, disposition, etc.
Attach a copy of the complaint and filed adjudication or settlement as appropriate.
________________________________________________________________________________________
________________________________________________________________________________________
12. List any entity subject to regulation by an insurance regulatory authority that you control directly or indirectly. The
term “control (including the terms “controlling,” “controlled by” and “under common control with”) means the
possession, direct or indirect, of the power to direct or cause the direction of the management and policies of a
person, whether through the ownership of voting securities, by contract other than a commercial contract for goods
or non-management services, or otherwise, unless the power is the result of an official position with or corporate
<Enter the Applicant Company Name for a single company>
Applicant Company Name : _____________________________________________________________________________
NAIC No. _________________________________________________ FEIN:
_________________________________
Ó2020 National Association of Insurance Commissioners
5
Revised 12/09/19
FORM 11
office held by the person. Control shall be presumed to exist if any person, directly or indirectly, owns, controls,
holds with the power to vote, or holds proxies representing, ten percent (10%) or more of the voting securities of any
other person.
If any of the stock is pledged or hypothecated in any way, give details.
13. Do [Will] you or members of your immediate family individually or cumulatively subscribe to or own, beneficially
or of record, 10% or more of the outstanding shares of stock of any entity subject to regulation by an insurance
regulatory authority, or its affiliates? An “affiliate” of, or person “affiliated” with, a specific person, is a person that
directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control
with, the person specified.
Yes
No
If yes, please identify the company or compa
nies in which the cumulative stock holdings represent 10% or more of
the outstanding voting securities.
If any of the shares of stock are pledged or hypothecated in any way, give details.
14. Have you ever been adjudged a bankrupt?
Yes No
If yes, provide details: _________________________________________________________________________
____________________________________________________________________________________________
15. To your knowledge has any company or entity (including entities controlled by the holding company) for
which you were an officer or director, trustee, investment committee member, key management employee or
controlling stockholder, had any of the following events occur while you served in such capacity? If employed at
the holding company level provide the group code. _________________
a. Been refused a permit, license, or certificate of authority by any regulatory authority, or governmental-
licensing agency?
Yes No
b. Had its permit, license, or certificate of authority suspended, revoked, canceled, non-renewed, or subjected
to any judicial, administrative, regulatory, or disciplinary action (including rehabilitation, liquidation,
receivership, conservatorship, federal bankruptcy proceeding, state insolvency, supervision or any other
similar proceeding)?
Yes No
c. Been placed on probation or had a fine levied against it or against its permit, license, or certificate of
authority in any civil, criminal, administrative, regulatory, or disciplinary action?
Yes No
<Enter the Applicant Company Name for a single company>
Applicant Company Name : _____________________________________________________________________________
NAIC No. ________________________________________________ FEIN:
__________________________________
Ó2020 National Association of Insurance Commissioners
6
Revised 12/09/19
FORM
11
If the answer to any of the above is yes, please indicate and give details. When responding to questions (b) and (c),
affiant should also include any events within twelve (12) months after his or her departure from the entity. ______
___________________________________________________________________________________________
___________________________________________________________________________________________
Note: If an affiant has any doubt about the accuracy of an answer, the question should be answered in the positive
and an explanation provided.
Dated and signed this ______ day of __________________ 20 _____ at _________________________ . I hereby certify
under penalty of perjury that I am acting on my own behalf and that the foregoing statements are true and correct to the best
of my knowledge and belief.
___ I hereby acknowledge that I may be contacted to provide additional information regarding international searches.
_____________________________________________
(Signature of Affiant)
State of:_____________________ County of: ____________________
The foregoing instrument was acknowledged before me this ____day of ___________, 20____ by _____________________,
and:
who is personally known to me, or
who produced the following identification: _________________________________ .
___________________________________
[SEAL] Notary Public
___________________________________
Printed Notary Name
___________________________________
My Commission Expires
<Enter the Applicant Company Name for a single company>
Ó2020 National Association of Insurance Commissioners
7
Revised 12/09/19
FORM 11
Applicant Company Name : ____________________________________________________________________________
NAIC No. ___________________________________________________ FEIN: _______________________________
BIOGRAPHICAL AFFIDAVIT
Supplemental Personal Information
To the extent permitted by law, this affidavit will be kept confidential by the state insurance regulatory authority. The affiant
may be required to provide additional information during the third-party verification process if they have attended a foreign
school or lived and worked internationally.
Specify Purpose for Completion:
Form A:_________________________UCAA Type:_________________________Other: __________________________
Full name,
address, and telephone number of the present or
proposed
entity
under
which
this
biographical statement is
being required (Do Not Use Group Names).
Applicant Company Name:______________________________________________________________________________
Address: ____________________________________________ City: ___________________________________________
State/Province: ____________________________ Postal Code: ___________________ Phone: ______________________
1. Affiant’s Full Name (Initials Not Acceptable): First:_________ Middle:______________ Last:_______________
IF ANSWER IS "NO" OR "NONE," SO STATE. ALL FIELDS MUST HAVE A RESPONSE. INCOMPLETE FORMS
COULD DELAY THE APPLICATION PROCESS or RESULT IN REJECTION OF THE APPLICATION.
2. Have you ever used any other name, including first, middle or last name, nickname, maiden name or aliases?
Yes No
If yes, give the reason if any, if none indicate such, and provide the full name(s) and date(s) used.
Beginning
/Ending Name(s) Reason (If none, indicate such)
Date(s) Used (MM/YY) Specify: First, Middle or Last Name
________________________
________________________
______________________
________________________
________________________
________________________
__________________________________________
__________________________________________
_________________________________________
Note: Dates provided in response to this question may be approximate. Parties using this form understand that there could
be an overlap of dates when transitioning from one name to another. If applicable, provide the foreign student
Identification Number and/or attach foreign diploma or certificate of attendance to the Biographical Affidavit
Personal Supplemental Information.
3. Affiant’s Social Security Number: ________________________________________________________________
4. Government Identification Number if not a U.S. Citizen:
Government ID Number:
______________________________________________
______________________________________________
______________________________________________
Country Of Issuance:
__________________________________________
__________________________________________
__________________________________________
5. Foreign Student ID# (if applicable) :_______________________________________________________________
<Enter the Applicant Company Name for a single company>
<See UCAA FAQs for details>
<See UCAA FAQs for details>
<See UCAA FAQs for details>
<Enter the Applicant Company Name for a single company>
<Enter address>
<Enter state/province>
<Enter zip/postal code>
<Enter phone>
Applicant Company Name : ____________________________________________________________________________
NAIC No. ___________________________________________________ FEIN:
_______________________________
Ó2020 National Association of Insurance Commissioners
8
Revised 12/09/19
FORM 11
6. Date of Birth: (MM/DD/YY) : ______________ Place of Birth, City: _____________________________________
State/Province: __________________________ Country: ______________________________________________
7. Name of Affiant’s Spouse (if applicable) : ___________________________________________________________
8. List your residences for the last ten (10) years starting with your current address, giving:
Beginning/Ending State/
Dates (MM/YY) Address City Province Country Postal Code
___________________________________________________________________________________________________
___________________________________________________________________________________________________
___________________________________________________________________________________________________
___________________________________________________________________________________________________
___________________________________________________________________________________________________
Note:
Dates provided in response to this question may be approximate, except for current address. Parties using this form
understand that there could be an overlap of dates when transitioning from one address to another.
Dated and signed this _____ day of ________________, 20_____ at _____________________________________. I hereby
certify under penalty of perjury that I am acting on my own behalf and that the foregoing statements are true and correct to
the best of my knowledge and belief.
___ I hereby acknowledge that I may be contacted to provide additional information regarding international searches.
_________________________________________________
(Signature of Affiant)
State of:_____________________ County of: ___________________
The foregoing instrument was acknowledged before me this _____ day of _______________, 20_____ by ______________,
and:
who is personally known to me, or
who produced the following identification: ________________________________
___________________________________
[SEAL] Notary Public
___________________________________
Printed Notary Name
___________________________________
My Commission Expires
<Enter the Applicant Company Name for a single company>
Ó2020 National Association of Insurance Commissioners
9
Revised 12/09/19
FORM 11
Applicant Company Name : _____________________________________________________________________________
NAIC No. ___________________________________________________ FEIN: _______________________________
DISCLOSURE AND AUTHORIZATION CONCERNING BACKGROUND REPORTS
(All states except California, Minnesota and Oklahoma)
This Disclosure and Authorization is provided to you in connection with pending or future application(s) of
____________________________________ [company name](“Company”) for licensure or a permit to organize
(“Application”) with a department of insurance in one or more states within the United States. Company desires to procure a
consumer or investigative consumer report (or both)(“Background Reports”) regarding your background for review by a
department of insurance in any state where Company pursues an Application during the term of your functioning as, or
seeking to function as, an officer, member of the board of directors or other management representative (Affiant”) of
Company or of any business entities affiliated with Company (“Term of Affiliation”) for which a Background Report is
required by a department of insurance reviewing any Application. Background Reports requested pursuant to your
authorization below may contain information bearing on your character, general reputation, personal characteristics, mode of
living and credit standing. The purpose of such Background Reports will be to evaluate the Application and your background
as it pertains thereto. To the extent required by law, the Background Reports procured under this Disclosure and
Authorization will be maintained as confidential.
You may obtain copies of any Background Reports about you from the consumer reporting agency (“CRA”) that produces
them. You may also request more information about the nature and scope of such reports by submitting a written request to
Company. To obtain contact information regarding CRA or to submit a written request for more information, contact
_____________________________________ [company’s designated person, position, or department, address and
phone].
Attached for your information is a “Summary of Your Rights Under the Fair Credit Reporting Act.”
AUTHORIZATION: I
am currently an Affiant of Company as defined above. I have read and understand the above
Disclosure and by my signature below, I consent to the release of Background Reports to a department of insurance in any
state where Company files or intends to file an Application, and to the Company, for purposes of investigating and reviewing
such Application and my status as an Affiant. I authorize all third parties who are asked to provide information concerning
me to cooperate fully by providing the requested information to CRA retained by Company for purposes of the foregoing
Background Reports, except records that have been erased or expunged in accordance with law.
I understand that I may revoke this Authorization at any time by delivering a written revocation to Company and that
Company will, in that event, forward such revocation promptly to any CRA that either prepared or is preparing Background
Reports under this Disclosure and Authorization. This Authorization shall remain in full force and effect until the earlier of
(i) the expiration of the Term of Affiliation, (ii) written revocation as described above, or (iii) six (6) months following the
date of my signature below.
A true copy of this Disclosure and Authorization shall be valid and have the same force and effect as the signed original.
___________________________________________________________________________________________________
(Printed Full Name and Residence Address)
__________________________________________ ____________________________
(Signature) (Date)
State of: _______________ County of: ________________
The foregoing instrument was acknowledged before me this _____ day of ______________, 20_____ by
____________________________________, and:
who is personally known to me, or
who produced the following identification: _________________________________
___________________________________
[SEAL] Notary Public
___________________________________
Printed Notary Name
___________________________________
My Commission Expires
<Enter the Applicant Company Name for a single company>
<Enter the Applicant Company Name for a single company>
Applicant Company Name : _____________________________________________________________________________
NAIC No. __________________________________________________ FEIN:
________________________________
Ó2020 National Association of Insurance Commissioners
10
Revised 12/09/19
FORM 11
DISCLOSURE AND AUTHORIZATION CONCERNING BACKGROUND REPORTS
(Minnesota and Oklahoma)
This Disclosure and Authorization is provided to you in connection with pending or future application(s) of
__________________________[company name](“Company”) for licensure or a permit to organize (“Application”) with a
department of insurance in one or more states within the United States. Company desires to procure a consumer or
investigative consumer report (or both)(“Background Reports”) regarding your background for review by a department of
insurance in any state where Company pursues an Application during the term of your functioning as, or seeking to function
as, an officer, member of the board of directors or other management representative (“Affiant”) of Company or of any
business entities affiliated with Company (“Term of Affiliation”) for which a Background Report is required by a department
of insurance reviewing any Application. Background Reports requested pursuant to your authorization below may contain
information bearing on your character, general reputation, personal characteristics, mode of living and credit standing. The
purpose of such Background Reports will be to evaluate the Application and your background as it pertains thereto. To the
extent required by law, the Background Reports procured under this Disclosure and Authorization will be maintained as
confidential.
You may request more information about the nature and scope of Background Reports produced by any consumer reporting
agency (“CRA”) by submitting a written request to Company. You should submit any such written request for more
information, to ______________________ [company’s designated person, position, or department, address and phone].
Attached for your information is a “Summary of Your Rights Under the Fair Credit Reporting Act.” You will be provided
with a copy of any Background Report procured by Company if you check the box below.
By checking this box, I request a copy of any Background Report from any CRA retained by Company, at no
extra charge.
AUTHORIZATION: I am currently an Affiant of Company as defined above. I have read and understand the above
Disclosure and by my signature below, I consent to the release of Background Reports to a department of insurance in any
state where Company files or intends to file an Application, and to the Company, for purposes of investigating and reviewing
such Application and my status as an Affiant. I authorize all third parties who are asked to provide information concerning
me to cooperate fully by providing the requested information to CRA retained by Company for purposes of the foregoing
Background Reports, except records that have been erased or expunged in accordance with law.
I understand that I may revoke this Authorization at any time by delivering a written revocation to Company and that
Company will, in that event, forward such revocation promptly to any CRA that either prepared or is preparing Background
Reports under this Disclosure and Authorization. This Authorization shall remain in full force and effect until the earlier of
(i) the expiration of the Term of Affiliation, (ii) written revocation as described above, or (iii) six (6) months following the
date of my signature below.
A true copy of this Disclosure and Authorization shall be valid and have the same force and effect as the signed original.
___________________________________________________________________________________________________
(Printed Full Name and Residence Address)
__________________________________________ ____________________________
(Signature) (Date)
State of:________________ County of: __________________
The foregoing instrument was acknowledged before me this _____day of______________, 20_____ by
_____________________, and:
who is personally known to me, or
who produced the following identification: _________________________________
___________________________________
[SEAL] Notary Public
___________________________________
Printed Notary Name
___________________________________
My Commission Expires
<Enter the Applicant Company Name for a single company>
<Enter the Applicant Company Name for a single company>
Applicant Company Name : _____________________________________________________________________________
NAIC No. ____________________________________________________ FEIN: ______________________________
Revised 12/09/19
Ó2020 National Association of Insurance Commissioners 11 FORM 11
DISCLOSURE AND AUTHORIZATION CONCERNING BACKGROUND REPORTS
(California)
This Disclosure and Authorization is provided to you in connection with a pending application of
______________________________________________ [company name](“Company”) for licensure or a permit to
organize (“Application”) with a department of insurance in one or more states within the United States. Company desires to
procure a consumer or investigative consumer report (or both)(“Background Reports”) regarding your background for review
by any department of insurance in such states where Company is currently pursuing an Application, because you are either
functioning as, or are seeking to function as, an officer, member of the board of directors or other management representative
(“Affiant”) of Company or of any business entities affiliated with Company (“Term of Affiliation”) for which a Background
Report is required by a department of insurance reviewing any Application. Background Reports will be obtained through
______________________________________________ [name of CRA, address](“CRA). Background Reports requested
pursuant to your authorization below may contain information bearing on your character, general reputation, personal
characteristics, mode of living and credit standing. The purpose of such Background Reports will be to evaluate the
Application and your background as it pertains thereto. To the extent required by law, the Background Reports procured
under this Disclosure and Authorization will be maintained as confidential.
You may request more information about the nature and scope of Background Reports produced by any consumer reporting
agency (“CRA”) by submitting a written request to Company. You should submit any such written request for more
information, to ____________________________________________________________ [company’s designated person,
position, or department, address and phone].
Attached for your information is a “Summary of Your Rights Under the Fair Credit Reporting Act.” You will be provided
with a copy of any Background Report procured by Company if you check the box below.
By checking this box, I request a copy of any Background Report from any CRA retained by Company, at no
extra charge.
Under section 1786.22 of the California Civil Code, you may view the file maintained on you by the CRA listed above. You
may also obtain a copy of this file, upon submitting proper identification and paying the costs of duplication services, by
appearing at the CRA in person or by mail; you may also receive a summary of the file by telephone. The CRA is required to
have personnel available to explain your file to you and the CRA must explain to you any coded information appearing in
your file. If you appear in person, you may be accompanied by one other person of your choosing, provided that person
furnishes proper identification.
AUTHORIZATION: I am currently an Affiant of Company as defined above. I have read and understand the above
Disclosure and by my signature below, I consent to the release of Background Reports to a department of insurance in any
state where Company files or intends to file an Application, and to the Company, for purposes of investigating and reviewing
such Application and my status as an Affiant. I authorize all third parties who are asked to provide information concerning
me to cooperate fully by providing the requested information to CRA retained by Company for purposes of the foregoing
Background Reports, except records that have been erased or expunged in accordance with law.
I understand that I may revoke this Authorization at any time by delivering a written revocation to Company and that
Company will, in that event, forward such revocation promptly to any CRA that either prepared or is preparing Background
Reports under this Disclosure and Authorization. In no event, however, will this authorization remain in effect beyond six (6)
months following the date of my signature below.
A true copy of this Disclosure and Authorization shall be valid and have the same force and effect as the signed original.
_____________________________________________________________________________________________________________
(Printed Full Name and Residence Address)
______________________________________________ ______________________________
(Signature) (Date)
State of:_______________ County of ________________
The foregoing instrument was acknowledged before me this ___ day of _____________, 20 by ___________________, and:
who is personally known to me, or
who produced the following identification:_________________________________________
______________________________________
[SEAL] Notary Public
______________________________________
Printed Notary Name
______________________________________
My Commission Expires
<Enter the Applicant Company Name for a single company>
<Enter the Applicant Company Name for a single company>
Ó2020 National Association of Insurance Commissioners
12
Revised 12/09/19
FORM 11
Applicant Company Name : ___________________________________________________________________________
NAIC No. ________________________________________________ FEIN: _______________________________
Addendum pages are used for additional responses carried over from the biographical affidavit questions. Responses must be labeled and signed by the
affiant. Attachments included as addendum's must also be signed by the affiant. Refer to the FAQ's on the UCAA webpage for additional questions.
<Enter the Applicant Company Name for a single company>
Applicant Company Name __
__________________________________________________________________________
NAIC No. __________________________________________ FEIN:
______________________________________
Ó2020 National Association of Insurance Commissioners
13
Revised 12/09/19
FORM 11
Addendum pages are used for additional responses carried over from the biographical affidavit questions. Responses must be labeled and signed by the
affiant. Attachments included as addendum's must also be signed by the affiant. Refer to the FAQ's on the UCAA webpage for additional questions.
<Enter the Applicant Company Name for a single company>
Applicant Company Name : ____________________________________________________________________________
NAIC No. ___________________________________________________ FEIN:
______________________________
Ó2020 National Association of Insurance Commissioners
14
Revised 12/09/19
FORM 11
Addendum pages are used for additional responses carried over from the biographical affidavit questions. Responses must be labeled and signed by the
affiant. Attachments included as addendum's must also be signed by the affiant. Refer to the FAQ's on the UCAA webpage for additional questions.
<Enter the Applicant Company Name for a single company>