PSLA Procedure and Electronic Filing User Manual

1 procedures and Electronic Filing user Manual Electronic Filing SystemDocument Library Databaseand ImagesLocal File ServerIntranetInternetSubmitViewImport XMLViewSubmitReportsAdminPSLA 1620 Reports GPT/RCT Reports Crystal Reports New Filings Endorsements Returned FilingsDepartmentInternetViewLicenseesAd minReports EFS Next Generation Release 2 November 1, 2017 180 Sheree Blvd, Suite 3100 Exton, PA 19341 PHONE : 610-594-1340 WEBSITE: Copyright 2013 Pennsylvania Surplus Lines Association. All rights reserved. Table of Contents 1 Manual Overview .. 1 Purpose of This Document .. 1 This Document and the Nonadmitted and Reinsurance Reform Act (NRRA).

2 1 Definition of Home State .. 1 Document History .. 2 2 Surplus Lines .. 6 Disclaimer .. 6 Surplus Lines History .. 7 PSLA History .. 7 Responsibilities of Surplus Lines Licensee (SLL) and Producer .. 8 Stamping 10 3 Electronic Filing System Overview .. 12 Overview .. 12 Target Audience and Using This Manual .. 13 System Requirements, Tips, and Help .. 13 4 Submit Original Filing .. 17 Affidavit Filing Overview .. 17 Filing Information .. 18 Filing Type and Declaration .. 19 Single Eligible Insurer .. 24 Multiple Eligible Insurers (Replaces Schedule 1609/1610 SH Attachment).

3 27 Form 1606-A for Ineligible 27 Revenue Recognition Date, Tax, and Stamping Fee .. 28 1609-PR Information .. 29 Validate and Submit .. 30 Filing Status .. 32 Filing Returned .. 33 5 Search for Affidavit and Policy History .. 36 Search Filing Display .. 36 Policy History .. 39 Create 1609-PR Form .. 41 Export Results .. 41 6 Revision, Endorsement, Cancellation, Adjustment, Inactivation, and Renewal .. 42 Revise Filing .. 42 Submit Endorsement .. 43 Cancel Policy .. 47 After Cancel Adjustment .. 49 Inactivate Policy .. 56 Reinstate Policy .. 57 Search for Transaction.

4 58 Renew Filing .. 61 7 1620 Monthly Report .. 63 Submit 1620 Monthly Report .. 64 Search for 1620 Monthly Report .. 65 1620 Report Returned .. 67 8 GPT/RCT-123 Annual Tax Report .. 68 Submit GPT/RCT-123 Annual Tax Report .. 69 Search for GPT/RCT-123 Annual Report .. 71 RCT-123 Report Returned .. 73 9 user Profile, Customer Edit, and Statement of Account .. 75 New Agency user Login .. 79 Login Security .. 79 Customer Contact Information .. 81 View Statement of Account .. 82 10 Appendix .. 84 Producer Declaration/Affidavit (1609-PR) .. 84 Additional Comments on Affidavits .. 86 Special Filing Circumstances.

5 87 Tax Exempt .. 88 Master Policies (other than Purchasing Groups) .. 88 Broker of Record Letter Transactions (BOR Letters) .. 89 List of Validation Errors .. 90 11/1/2017 PSLA procedures and Electronic Filing user Manual Page 1 1 Manual OVERVIEW Purpose of This Document The purpose of this Manual is to provide instructions on how to use the Pennsylvania Surplus Lines Association (PSLA) Electronic Filing System to submit information required by the Pennsylvania Insurance Department (PID). The target users of this Manual are Surplus Lines Licensees and their designees.

6 This Manual contains information they need to: Understand the business and operational procedures all Surplus Lines Licensees must follow for compliance with the Pennsylvania Surplus Lines Law. Understand and follow procedures for submitting required information via PSLA s Electronic Filing System. Please refer to the following sections for additional information. Surplus Lines History describes the history of surplus lines PSLA History describes the history of PSLA Responsibilities of Surplus Lines Licensees and Producers describes the responsibilities and requirements of Surplus Lines Licensees and Producers before a placement is made in the Surplus Lines Market The information in this Manual will assist Resident and Non-Resident Surplus Lines Licensees to make a placement which will be in compliance with Article XVI, Surplus Lines of the Insurance Company Law, Act of May 17, 1921, 682, No.

7 284 as amended (40 et seq.) ("Pennsylvania Surplus Lines Law") and Title 31 PA Code, Chapter 124 ( Pennsylvania Surplus Lines Regulation ). This Document and the Nonadmitted and Reinsurance Reform Act (NRRA) In preparation for the 7/21/2011 effective date of the Nonadmitted and Reinsurance Reform Act, Senate Bill # 1096, # 1291 (Act 28 of 2011) and Senate Bill # 1097, # 1279 (Act 29 of 2011) was signed by Governor Corbett on 6/30/2011, granting the Commonwealth the authority to tax 100% of the premium for a multi-state risk in which Pennsylvania is the Home State of the insured.

8 For policies with an effective date after 6/30/2011 and Pennsylvania is deemed the Home State , please follow the procedures contained within this Manual . For policies with an effective date prior to 7/1/2011 and there is at least one location of risk within the Commonwealth of Pennsylvania, please follow the procedures within this Manual . For policies with an effective date after 6/30/2011 and another state is deemed the Home State , please contact the Home State for Filing procedures . Definition of Home State The definition of Home State is below. (1) Except as provided under paragraph (2), with respect to an insured: (I) the state in which an insured maintains its principal place of business or, in the case of an individual, the individual's principal residence; or 11/1/2017 PSLA procedures and Electronic Filing user Manual Page 2 (II) if one hundred per centum (100%) of the insured risk is located out of the state referred to under SUBPARAGRAPH (I), the state to which the greatest percentage of the insured's taxable premium for that insurance contract is allocated.

9 (2) If more than one insured from an affiliated group are named insureds on a single nonadmitted insurance contract, the term means the home state, as determined under PARAGRAPH (1), of the member of the affiliated group that has the largest percentage of premium attributed to it under the insurance contract. Document History EFS Ver. Date Summary of New Functions Dec. 2007 Added support for the stamping fee bulletin published in October 2007. Jan. 2008 View Cancel: a link on the Policy History page allows users to view a submitted cancellation.

10 View Inactivate: a link on the Policy History page allows users to view a submitted inactivation. View Reinstate: a link on the Policy History page allows users to view a submitted reinstatement. Mar. 2008 Search for Transaction: identify transactions that match search criteria ( use search results as input for a 1620 Monthly Report or an RCT-123 Annual Tax Report) Aug. 2008 Electronic Distribution of Statement of Account: Statement of Account in PDF format and in Excel format Disabled Policy Effective Date and Policy Expiration Date on the Revise Filing page Dec. 2008 Payment History Data-only Statement of Account: replaced the formatted.