Home

About this Course .........................................................

1. Number of Covered Lives Select Document Name Affected Form Numbers Rate Action Rate Action Information Attach Document Submitted E Separate with commas Delete Selected Add Icon Legend Draft Schedule Item 1A Open Objection Complete Rate Review Detail Incomplete Rate Review Detail Save Apply Cancel The Rate Rule Schedule contains the following fields e Company Rate Change The industry filer will identify the type of rate change see below This field is only applicable to PPACA related rate filings Company Rate Change Plaze Select Please Select Increase Decrease New Product e Product Type For each company on a PPACA related Rate filing a table of Product Types will display see below These fields will be used SERFF Industry Manual Page 103 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual by the states that applied for and received Premium Review Grant Funds to report to HHS Product Type Help Health Maintenance Organization Preterred Provider Organization Exclusive Provider Organization Point of Service Health Savings Account High Deductible Health Plan Fee for Service Edit Rate Review Detail For each company on a PPACA related rate filing the industry filer will complete fields that will be use
2. Actuarial Memorandum Description Any actuarial documents that will help to support the change Of those the required exhibits consist of a 5 year rate change history a histogram showing the percentage of insured s falling with a range of premium increase i e 0 10 10 20 increase etc and a worst case scenerio after all changes have been considered Also if it is an initial program a competitors comparison exhibit is always helpful Clicking the Satisfy button reveals the following options e Comment text box Comments may be added after attaching a file e No Attachment Required check box Use this check box to indicate that no attachment was required for this item This will allow the requirement to pass completeness validation when submitting the filing to state regulators e Attach Files button Use this button to attach supporting documentation to this requirement e Reset button Clears all information from the requirement and resets the Status flag to No Action Taken this is applicable to both satisfy and bypass View Additional Info F 2 o Name Actuarial Memorandum Description For rate filings in addition to standard actuarial support please provide a 5 year rate history the overall proposed impact of this particular filing and a histogram of the changes Comment Cl No Attachment Required SERFF Industry Manual Page 112 of 345 Copyright 2011 National Association of Insurance Commissioner
3. Auto Club Life 0 00 l Bypass EFT for this company Checks There is no check information entered on this filing Add Check Filing Fees Required 1 Click on Yes Radio button 2 Complete the appropriate fields Adding a Check to Filing Fees 1 Click the 2 Complete the appropriate fields Checks Check Number Check Amount Check Date ee i amp Adding EFT to Filing Fees 1 Enter the EFT amount owed for the filing either on a per company or per filing basis depending on the state setting SERFF Industry Manual Page 125 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual If the filing is eligible for EFT there will be a note in the EFT portion of the Filing Fees tab while in View mode General Form Rate Rule Supporting State Companies Filing Filing Information Schedule Schedule Documentation Specific and Contact Fees Correspondence Overall Fees Fee Required yes Fee Amount Retaliatory No Electronic Funds Transfer This filing is eligible for EFT Checks Check Number Check Amount Check Date General Forn i Supporting l i Companies Filing Filing Information Documentation and Contact Fees Correspondence Overall Fees eS E Retaliatory Overs No Fee Calculation Explanation Not Eligible for EFT Electronic Funds Transfer There is no check
4. Filing Description Company Tracking Number Effective Date Requested New a Oon Approval Effective Date Requested Renewal Oon Approval Add Rate Data Ovyes No Status of Filing in Domicile Please Select v Domicile Status Comments Reference Organization Reference Number Reference Title Advisory Org Circular Previous Next Cancel SERFF Industry Manual Page 329 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Step 9 Default Filing Data 1 Complete the Filing Data page 2 Click onthe button to advance to Step 10 Step 10 Final Filing Summary This is the final step in the Filing Paper Wizard and represents a summary of the filing s for review and confirmation by the Author By clicking the button the Author is able to navigate back to the step in the Filing Paper Wizard where companies are selected for states if changes need to be made Step 10 Final Filing Summary State TOI Sub TOI Filing Types Companies Alabama 19 0 Personal Auto 19 0000 Personal Auto Combinations Form Rate AAA Life Insurance Company Auto Club Life California 19 0 Personal Auto 19 0000 Personal Auto Combinations Form Rate AAA Lite Insurance Company Auto Club Life Previous Finish Cancel amp Step 10
5. Eg Comments To see where the changes are please scroll down 85xilin 4 lid 4 1 of 4 gt AMIO OI SERFF Industry Manual Page 277 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved 2 Adobe Acrobat Professional AcriC4 tmp p File Edit view Document Tools Advanced Window Help B Open ee A Save Print a Email fir Search K E setect Text ei Bookmarks Pages Layers gt 3 T Ea Comments manm Original and that as Free and Independent States they have full Power to levy War conclude Peace contract Alliances establish Commerce and to do all other Acts and Things which Independent States may of right do And for the support of this Declaration with a firm reliance on the protection of Divine ae a pag we a em pledge to each other our Lives our nes and our ed Honor The signers of the Declaration represented the new states as follows New Hampshire Josiah Bartlett William Whipple Matthew Thornton Massachusetts John Hancock Samual Adams John Adams Robert Treat Paine Elbridge Gerry Rhode Island Stephen Hopkins William Ellery Connecticut Roger Sherman Samuel Huntington William Williams Oliver Wolcott New York William Floyd Philip Livingston Francis Lewis Lewis Morris New Jersey Richard Stockton John Witherspoon Francis Hopkinson John Hart Abraham Clark Pennsylvania Robert Mo
6. Mark entire filing as confidential Mark parts of filing as confidential El Form Schedule Items F Form 9865 2010 Advertising O Filing Rate Information o Cl Supporting Documents F Actuarial Memorandum Satisfied F Authorization Form Satisfied Save Cancel 4 Click save A confirmation message will appear verifying this action Message from webpage h You are about to save changes to the Filing s confidentiality Are you sure Cancel SERFF Industry Manual Page 144 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual 5 The Confidentiality icon will display next to the items for which the user requested confidentiality Exhibit Name Rule or Page Rate Action Previous State Filing Number Attach Document Submitted amp Rates 123 New Retaliatory Fee Summary Pagefor SERFF Acrobat Form1i pdf SERFF Industry Manual Page 145 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Lesson 5 After an industry user submits a filing it is assigned to a Reviewer by the state s intake staff in order to be processed The Reviewer or Intake Clerk may send Objection Letters or Note to Filers before a Disposition is finally attained on a filing This lesson also looks at the different types of Correspondence used in SERFF This les
7. Product Types HMO PPO EPO POS HSA HDHP FFS Other Number of Policy Holders k it Number of Covered Lives Seve EEE button Note Rate Data can be added or updated on a Post Submission Update 3 Update the fields as needed and click the regardless of whether it was included on the original filing SERFF Industry Manual Page 161 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved Auto Club Life Pease Select MJ me Cm CO Loo l CGC kE H SERFF End User Training Manual 4 After saving the update the author will receive confirmation that the submission has been saved Message from webpage re you sure vou wish to submit this update Once submitted no other updates may be created until the state reviews and processes this change Cancel 6 Click the Lww j button to submit Note Once submitted the request cannot be changed and another request cannot be created until the state takes action on the current request Filings with pending Post Submission Updates will have an icon above Filing at a Glance The full request can be accessed from the Correspondence tab Filings Billing Settings Filing Rules Reports Templates Add Authors Update Change Schedule Items Set Confidentiality Create Reminder Move to Workfolder PDF Pipeline
8. may be used in all search fields e Users with access to more than one instance may choose which instance s to include in the search When leaving the search criteria in the default state a list of all contacts will return Contact Search Results The search results for Contacts displays information to assist in identifying the correct company to view or edit Click on the blue underlined link in the Name column to open a contact profile The user may also add a new contact from this page Add Contact Last Name First Name Email Address Instance Name Donner Stacie sd yahoo com SERFF Test Industry Editing Contact Profiles Once a contact profile has been retrieved via search authorized users may edit the contact information Changes made to the contact will update all filings on which that contact is listed including filings already submitted to the state In order to correct contact information without impacting filings the contact should be deactivated and a new one created SERFF Industry Manual Page 36 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual 1 Open the contact profile to be edited Edit Deactivate Contact Information LastName Kileras FirstName Bridget Job Title Product Support Email Address bkieras naic org Address 2301 McGee Kansas City Missouri 64108 Telephone Number 816 765 899
9. Filing Rules The Filing Rules tab allows the industry user to review the Submission Requirements and other information for each state participating in SERFF The Filing Rules tab will be covered in Lesson 3 Templates Templates provide industry users the convenience of entering Form Rate Rule and Supporting Documentation schedules once and using them across multiple filings Templates are covered in Lesson 4 Reports The Reports tab contains the reports used by those users who have a Data Hoster to monitor their SERFF filings From the Data Hoster site an authorized user can select one of several reports to run against the filings database User Preferences Each user has a set of User Preferences that contains their contact information and some configurable settings that affect some aspects of SERFF The User Preferences are navigated by clicking on the tabs running down the left side of the screen The preferences apply to all instances to which the user has access The first area under User Preferences is Contact Information This area contains the name e mail address phone number and address of the user Some fields are required and are denoted with a red asterisk The user can complete or update this information at any time and should click Save when finished Filings Billing Filing Rules Reports Templates User Preferences Instance Preferences Companies Contacts Contact a a Contact I
10. PCF Policy Coverage Form Delete Selected Add 6 Enter the Schedule Template Name 7 Click the button to complete the information for the Schedule Item For Forms a Form Number Enter Form Number of Form being submitted b Form Type There are many types of forms i e policy contract advertisement etc Click the Form Type selection box and choose appropriate type of form for this filing c Form Name Enter name of Form being submitted Action Click the Action selection box and select appropriate action for this filing Initial Action Revised Other e Action Specific Data Replaced Filing Number Enter the form number that is being replaced by a previously submitted form Previous Filing number Enter the previous filing number if a replacement form is being submitted Readability Score Enter the Readability if required by state SERFF Industry Manual Page 132 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Preview Template Previous Save Apply Cancel Template Owner Frances Stuart Industry Name saalifeinsurancecompany Business Type property amp Casualty Schedule Type Form Schedule Template Name Select Form Form Edition Form Action Action Specific Readability Attachments F Name Number Date Type ae Data Score O v Please Select Y Previous Filing Attach
11. SERFF Industry Manual Page 46 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual View General Instructions 1 Click the Filing Rules tab 2 Click on the A list of all General Instructions is displayed General Instructions for all state instances are displayed The user may choose to resort the General Instructions by clicking on the column headers When a user resorts a view by any of the columns that sort will be maintained until the user loads a different view or goes to the Search screen General Instructions New Search Refine Search General Instructions General Instructions 1 111 of 111 First Previous Next Last Date Last Modified Date Created Instance Name 4 Att Description Alabama AlabamaLife Alaska AlaskaLH Arizona ArizonaLH Arkansas ArkansasLH California CaliforniaLAH Colorado Connecticut ConnecticutLH DelawareLRF DelawarePC IMPORTANT All filings must clearly outline items All forms MUST be submitted in the PDF format You PLEASE READ THE SERFF INSTRUCTIONS CAREFULLY BEFOR IMPORTANT NOTE PLEASE SUBMIT NEW AND REVISED FORM Updated for SERFF vS IMPORTANT NOTE PLEASE C The matrix can be downloaded at http www naic o If you have questions or problems please contact Description General Instructions Document Accid INTRODUCING NEW MULTI COVERAGE RATE TEMPLATES FOR Life illustration cer
12. Samuel Chase William Paca Thomas Stone Charies gt bI1O O Page 278 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Creating a Stamp from a Converted Image File Adobe offers users the ability to add customized stamps to the Adobe stamp library In order to start this process it is necessary to have the image file converted into an Adobe file format PDF The following exercise will walk you through the process of taking a previously converted image file into a separate category of stamps Stamps 1 Select Tools Stamp Tool and the option of Create Custom Stamp from the menu bar Tools Advanced Window Help icenmentng E ii roo end tor Review O Secure Af Sign T Drawing Markups d T Text Edits H Z Show Sign Here TE EE Advanced Editing FTE Highlight Text Tool Standard Business Saam i p Measuring T Underline Text Tool Favorites j j H 5 Print Production a r Gross Oub Text Tool E Paste Clipboard Image as Stamp Toal niacin aes ees Grestecustom stamp Attach a File as a comment Manage Stamps p Record Audio Gomment Show Stamps Palette Show Commenting Toolbar 2 Click the button to navigate to the appropriate PDF file SERFF Industry Manual Page 279 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Select
13. a Ele z New Folder Citrix Step 2 3 Adobe will automatically convert the image into a PDF file format Note the file extension will have been changed to pdf but the name of the initial file name will carry over Page 238 of 345 SERFF Industry Manual Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual 2 Adobe Acrobat Professional SERFF pdf M SERFF Industry Manual Page 239 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual To convert multiple images select the images using the Ctrl Click option to select particular files or Shift Click options to select a range of files hold down your mouse and release the selected images over the Acrobat shortcut Each image will be opened into its own PDF file Editing Text in an Acrobat Document An Adobe Acrobat file is text converted to a compressed graphical format Therefore editing text within the document is very restrictive You may add new text only on a line that currently has text When you delete an entire line of text you are left with white space on the page The text does not move up the page as it does in a word processing program If you need to make major changes to a document that has been saved as an Adobe Acrobat file it is better to make the changes in the original word pr
14. K h Select o gt EHHE jius ED Commenting Note Tool TF Text Edits 2 Stamp Tool gt UE s Show Bookmarks ii a To Z a1 i AnyCompany Group Policy No XX AAA EFFECTIVE DATE This policy will take effect on October 1 1999 This policy replaces Group Policy Number YYYYY which was issued by ABC Company and took effect on October 1 19977 POLICY ANNIVERSARIES 5 50 x 11 00 in 4 i 1 of 14 gt bl 2 Right mouse click on the highlighted text A shortcut menu appears SERFF Industry Manual Page 260 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual ABC COMPANY ABC Company a stock company will pay the benefits specified in the Exhibits of this policy subject to the terms and provisions of this a tatus applies and its effective date i Mark with Checkmark Policyholder AnyCompany Open Pop up Mote Group Policy No XXXXX Reset Pop up Mote Location Delete EFFECTIVE DATE Earle This policy will take effect on October 1 E Number YYYYY which issued by ASC Company and took effet Make Current Properties Default POLICY ANNIVERSARIES aa x 3 Select Properties from the menu The Highlight Properties dialog box will open Highlight Properties x Appearance General Review History Opacity 100s E Color F Locked Close 4 Click _ in the C
15. Marked up Symbol Pages s PPA Actuarial Memorandum and Support lt lt lt lt les PPA Supporting Exhibits Required by AL Department of _ ss Pre Approval Property and Casualty Certificate of Compliance Mj Types Of Insurance 01 0 Property 02 1 Crop 02 3 Flood 03 0 Personal Farmowners 04 0 Homeowners 05 0 CMP Liability and Non Liability 05 1 CMP Non Liability Portion Only 05 2 CMP Liability Portion Only 06 0 Mortgage Guaranty 09 0 Inland Marine SERFF Industry Manual Page 59 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual 5 Highlight the TOI s that you are researching Submission Requirements for and click on the button 6 Click the button The Sub TOls associated to the TOls selected will populate the selector box Excluded Marked up Manual Pages Marked up Manual Pages Workers Compensation Marked up Symbol Pages PPA Actuarial Memorandum and Support PPA Supporting Exhibits Required by AL Department of Pre Approval Property and Casualty Certificate of Compliance Property and Casualty Rate Rule and Form Filings side by side comparison LJ Summary of Supporting Information Form Workers Comp M gt gt gt REE lt lt Included gt gt anian m lt lt Types Of Insurance 01 0 Property 02 1 Crop 02 3 Flood 03 0 Personal Farmowners 05 0 CM
16. My Workfolder Remove from Workfolder Filings 0 Filings or p State Gf Product Name Company Tracking Filing Date Created By SERFF Status No filings in folder a If an invalid User Name or Password is entered the user will be prompted to try again To have a forgotten password reset the user should email the SERFF Help Desk at serffhelo naic org Invalid User Name and or Password User Name brkindustry SERFF Passwords SERFF IDs and passwords are obtained by e mailing the SERFF Help Desk at serffhelp naic org The SERFF Help Desk administers user accounts for both state and industry users New users will be assigned a temporary password to log into SERFF and will be prompted to change the password at first login a SERFF passwords must be at least 7 characters and must contain both letters and a numbers e SERFF passwords expire after 90 days and are case sensitive SERFF Industry Manual Page 20 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual New Password Changing a Password Users will be required to change their password every 90 days but may change them more often as desired 1 To initiate a password change click the Change My Password link on the login page Home About SERFF Contact Us naic org User Name EEA passwort m aaa Losin _ 2 The Password Change page will be displayed T
17. SERFF End User Training Manual Renaming a Bookmark Title Bookmark titles are generally a section header or a few words in an important sentence Once the bookmark has been established to point to a certain part of the document you can change the bookmark title to something more descriptive and it will not affect the document text 1 Open the appropriate document in the Adobe Acrobat program window Be sure the bookmark pane is also open p File Edit View Document Comments Tools Advanced Window Help a Mi Ek K i a pi B create PDF ES Comment amp Markup 7 po Send for Review A A ESE O Ds A l i e Oo i wa Oe zje Options X En TE E E a E T POLICY NOTICES Ti a pa aH ee ee Ge ee Pn era oy A TABLE OF CONTENTS O aoe Paice Ay DS TABLE OF CONTENTS fama Palmela goora PS DEFINITIONS necro veer AR Th trator Phineas ee basilip die Done aid hea Cote d ee EHA PREMIUM RATE S caine EHIS PREMIUM RATECS Contir rmon h a iid ay bw es ee Tri r a mage by ers armeerealery Fei ir Prema a ice on ad Yabba L fe iiv dia hiir Pofre d dri fT a deca ar Da apc SEA poli ena Rares doles as Pa Prania Daa ine ad ABC COMPANY Bookmarks Pe aL at rhii id a dleii pa ic ace yi eh fc ce i V oeeeeeeeen eeeeee meeeeae LE koriin igi c ha iii i fe Se TH eE i AEG TO DE A GALA Le ARE ee CONTRACT CE PECIA TiD p OF TRL AEE E OP iia Ad A Thi RAET MT OT Cr AL HE bii A TED hih L T CAAD iiA ED
18. e Status of Filing in Domicile Field to indicate the status of companies authorization to file in a state This is not a required field SERFF Industry Manual Page 328 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual e Domicile Status Comments Free form text field for company to supplement Domicile Status For example if company license is pending in a state where filings will be accepted This is not a required field e Reference Organization if applicable The name of the advisory organization i e ISO NCCI AAIS etc or an Insurance Company name if me too filing is permitted Some states allow companies to reference another company s filing A me too filing is when one company adopts another company s filing Usually they are not part of the same group You should check with each state to determine their rules on these filings If permitted use this area to indicate either an advisory organization name or me too company name This is not a required field e Reference Organization Number amp Title if applicable This is the unique number that the reference organization gives to the Filing It is generally not the same number as the circular number This is not a required field e Advisory Org Circular This is a unique number that references the circular number This is not a required field Step 9 Default Filing Data
19. earch CLCLLLELLEL SERFF Tracking Number State Tracking Number Company Tracking Number SERFF Industry Manual Page 207 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual If only one match is found for the Tracking Number entered the user will be taken directly to the filing However it is possible that the search will bring back two or more filings In such a case the search results screen will display and the user must select a filing Advanced Search Advanced Search allows users to search their filings database on one or more pre defined criteria options To access this feature click on the Search link from the Workspace For some users the link may be called Search Export Filings Billing Settings Filing Rules Templates Repo My Workfolder My Open Filings My Draft Filings Messages Search Create Filing Create Paper Filing EFT Report eal The Advanced Search Screen From Advanced Search the user can enter search criteria execute the search and save and maintain frequently used searches As discussed later in this lesson authorized users can also export data from filings based on their search criteria Advanced Search utilizes several field types including text fields date ranges select lists source target lists and radio buttons All fields are optional but at least one field must be used to execute a search
20. 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual save Avsty cance Post Submission Update for AAAL 126885444 This state accepts post submission updates Status Draft General Information Product Name Health Product Launch Project Name HPL 2011 Project Number 9889 aoa PPACA M Not PPACA Related Non Grandfathered Immed Mkt Reforms Grandfathered Immed Mkt Reforms Owhat is PPACA Status of Filing in Domicile Please Select v Domicile Status Comments Requested Filing Mode Please Select v Group Market Size Small and Large be Group Market Type Association Blanket g Discretionary F Employer Non Employer Group O Other E Trust implementation Date Requested m On Approval Corresponding Filing Tracking Number Rate Information Rate Info Applies IG Yes No Filing Method Rate Change Type Please Select v Overall Pct of Last Revision Effective Date of Last Revision a Filing Method of Last Filing Company Name Company Rate Overall Overall Rate Written Premium of Policy Holders Written Premium Maximum Minimum Change ii Indicated Impact Change for this Affected for this for this Program Change where Change where Change Program Program required required
21. By MEGLE rd THE Se ee THE BYER ik A TO CAL PEW ALL PUY LATATA AL Le i Ge ee Pi Ae OS iH i p TT pai iI pad T at te o i E D fm ae 2 Right mouse click on the title of a bookmark in the bookmark pane A shortcut menu will appear SERFF Industry Manual Page 228 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual File Edit wiew Document Comments Tools Advanced Window Help Fh Ek K i py M Create FOF zA Comment amp Warkup ee Send for Review A A 2 E HZ EN ABC Company a Stock company Wi pay ie bensis spectied in the Erhibils of ihs policy subject o the Ee Options x ms amd provisions of the policy The Schedule of Exhlalls ists sch Exhibit lo this polky to whom E Dy POLICY NOTICE S anil anc hs sectie date DS TABLE OF CONTENTS E IDS TA 0 bo Bookmark py DE S DE will take effect on ockeber 1 19953 This polky replaces Group Policy Number YYYYY which was Cut trta Ho Company and took section October 1 1997 PR a 4 ABC COMPANY Group Polkoy Ha PREKE Bookmarks E DATE NHIVER S 4RIES Delete By PR Mersariss wlll be Poche 1 2000 and sach suteequent October 1 Set Destination a is kaud n reum for the pasment by the Follcyholder of required Premiums Premiums are fhe home office of ABS Gomauny or fo Gs authorized agent The first Fremium is due on
22. Bypass Tracking Number AFAL 126885441 AAFAL 126885443 AlabamaLife AFAL 126885444 AlabamaLife Satisfy Window State E amp I Filing Type AlabamaLife Form Rate Form Rate Form Rate Company Name s Auto Club Life AAA Life Insurance Company Auto Club Life AAA Life Insurance Company Cancel Action Comment C No Attachment Required m Tracking Number State E Filing Type Company Name s F AAAL 126885441 AlabamaLife Form Rate Auto Club Life go AAAL 126885443 AlabamaLife Form Rate d AAAL 126885444 AlabamaLife Form Rate Auto Club Life SERFF End User Training Manual Requirement Name Actuarial Memorandum Life amp Health Requirement Last Modified Jan 27 2004 Actuarial Memorandum Life amp Health Requirement Last Modified Jan 27 2004 Actuarial Memorandum Life amp Health Requirement Last Modified Jan 27 2004 Status Requirement Name Actuarial Memorandum Life amp Health Requirement Last Modified Jan 27 2004 amp Actuarial Memorandum Life amp Health Requirement Last Modified Jan 27 2004 aM Actuarial Memorandum Life amp Health Requirement Last Modified Jan 27 2004 b Select Reset This will reset the status of the requirement c Select all the requirements that need to be reset Satisfy Reset Apply Filter Clear Filter State Gh Filing Type Bypass Tracking Number AAAL 126885
23. Complete the information for the Contact Fields denoted with a red asterisk are required SERFF Industry Manual Page 34 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Contact Information Industry Instance aaalifeinsurancecompany ee some aaa Email Address Do OSOS Be name eee ii PT PT ee ES ia a e 123 555 4567 FaxNumber MmT e 223 555 4567 to finalize or _ Cancel to discard the changes made 5 Click Finding Contacts Once contacts have been set up the Contact Search feature will aid in opening the contact profile for viewing or updating 1 Click the Contacts link to search for a company Find a Contact Last Name First Name Any combination of fields Email Address oT may be used All fields vill match partial entries starting with whatever text Job Title you type 3 Search Tips Industry Instances aaalifeinsurancecompany To avoid misspellings SERFF Test Industry that may alter your results try entering only a few characters in each field Active Active Inactive Either search _ SERFF Industry Manual Page 35 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual 2 Enter one or more criteria and click Search e Any combination of fields may be used The wild card
24. Delete Close View Objection Letter Expand All Collapse All SERFF Tracking Number AAAL 126885444 State Alabama Filing Company Auto Club Life State Tracking Number Company Tracking Number TOI HO2G Group Health Accident Only Sub TOI HO2G 000 Health Accident Only Product Name Health Product Launch Dec 2010 Project Name HPL 2011 Status Draft Dear Frances Stuart Introduction Introduction Objection 1 2 A confirmation message appears confirming this action SERFF Industry Manual Page 181 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Message from webpage You are about to submit this Response Letter Are you sure i Cancel 3 Click the Li button The Response Submitted on Date is now populated with the date sent to the State General Form Rate Rule Supporting Companies Filing Information Schedule Schedule Documentation and Contact Filing Fees Correspondence Objection Letters Status Created By Created On Date Submitted Responded By Response Created On Response Submitted On g Under review Stuart Frances 12 14 2010 12 14 2010 02 50 PM a Stuart Frances 12 14 2010 12 14 2010 03 55 PM SERFF Industry Manual Page 182 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Amendm
25. Fee Calculation Explanation eetronic Funds Transfer Company Amount Auto Club Life 84522 v Auto Club Life 84522 AAA Life Insurance Company 71854 O Bypass EFT for this filing New or additional fees may be sent on a previously submitted filing if it is eligible for EFT While in view mode click on the Filing Fees tab and click Submit Additional EFT Fees A window will appear in which you can enter the fee amount and submit SERFF Industry Manual Page 127 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Rate Rule i i Jus I Filing Filing Information Schedule Schedule if and Contact Fees Correspondence Overall Fees Fee Required No Electronic Funds Transfer All companies on this filing have been bypassed aE E NETE EE Er eee tec ia il ani Resin a al i Checks eae ee There is no check information entered on this filing Submit Additional Fees using EFT Submit Cancel Additional EFT Information Company Amount AAA Life Insurance Company 71854 150 00 SERFF Industry Manual Page 128 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Filing Correspondence The Filing Correspondence tab is where communication will be stored between the industry and the state The Filing Correspondence tab
26. General Form i Rate Rule Supporting Companies i Filing Filing Information Schedule Schedule Documentation and Contact Fees Correspondence ng Actuarial Memorandum Life amp Health Legend i No Action Taken Satistied Bypassed amp User Added Lil Draft Schedule Item in Open Objection SERFF Industry Manual Page 116 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Users may review Supporting Documentation by clicking on the plus sign expand button Clicking the expand link reveals the information contained in the comment box and the attached files are listed below the comments Supporting Companies Information Schedule Schedule Documentation and Contact Correspondence actuarial Memorandum Life amp Health Description This is the document produced and signed by a Certified Actuary that attests to the validity of the filing information For life policies this includes a description of the policy and reserve and nonforteiture value methodology Additionally annuities must include a surrender charge description For all health policies include the rating methodology with all appropriate factors and the actual premium rates to be used All necessary exhibit files shall be attached to this component header as necessary to substantiate the actuary opinion P Actuarial Memorandum pdf Submitted Date Submitted 12 14
27. Instance Name 4 TOI Sub TOI Filing Type Alabama 04 0 Homeowners 04 0000 Homeowners Sub TOI Combinations 04 0001 Condominium Homeowners 04 0002 Mobile Homeowners Rule 04 0003 Owner Occupied Homeowners 04 0004 Tenant Homeowners 04 0005 Other Homeowners Alabama 04 0 Homeowners 04 0000 Homeowners Sub TOI Combinations 04 0001 Condominium Homeowners 04 0002 Mobile Homeowners 04 0003 Owner Occupieyhyomeowners 04 0004 Tenant Homeowners 04 0005 Other Homeowners Alabama 04 0 Homeowners 04 0000 Homeowners Sub TOI Combinations 04 0001 Condominium Homeowners 04 0002 Mobile Homeowners Consent to 2 Toclose the Submission Requirement screen click on any of the links on the SERFF Workspace To return to the Find Submission Requirements view click on the Return to Search button Return to Search State Instance Alabama TOE 04 0 Homeowners Sub TO 04 0001 Condominium Homeowners 04 0002 Mobile Homeowners 04 0003 Owner Occupied Homeowners 04 0004 Tenant Homeowners 04 0000 Homeowners Sub TOI Combinations 04 0005 Other Homeowners Filing Types Form Requirements Actuarial Memorandum Authorization Form Additional Information SERFF Industry Manual Page 61 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Lesson 4 Whether you are filing to one state or multiple states SERFF s Filing Wizard makes the process quick and easy Speed
28. Last os on State E Filing Date TOI Sub TOI Filing Type SERFF Status SERFF Tracking Company Status Company Tracking r onnecticu pr 27 ommercial Auto ub Form osed Rejecte F a cticut Apr 27 C Auto All Sub F CI d R ted SRFF C09393993 2009 types 126130237 O Florida Test 2 Sub TOI A Form Draft SRFF 125835605 O Florida P amp C Personal Lines PPA Rate Draft SRFF 125835604 O Florida P amp C Personal Lines PPA Rate Submitted SRFF 125797271 Fi Florida a P amp C Personal Lines PPA Rate Submitted SRFF 125797265 SERFF Industry Manual Page 212 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Ik The Refine Search button on the search results page takes the user back to the Refine Search search criteria screen without erasing the search criteria previously entered The search can be refined without having to re enter the existing criteria Filings Billing Settings Filing Rules Reports Templates My Workfolder My Open Filings My Draft Filings Messages Search Create Filing Create Paper Filing EFT Report Search Filings where SERFF Status is Assigned or Submitted to State Move to Workfolder New Search Filings 1 15 of 15 First Previous Next Last Filings oe State E Filing Date TOI Sub TOI Filing Type SERFF Status SERFF Tracking Company Status Company Tracking Alabama
29. National Association of Insurance Commissioners Already a User Login here Welcome to SERFF vi Announcements This page was last updated January 27 2011 SERFF 5 11 Released SERFF v5 11 was released January 27 2011 Click here to view the release notes for this wersion Known Issues Click here to see the documented issues in SERFF v5 11 Enhancements Do you have a suggestion for improving the SERFF system Submit your idea by taking this short survey SERFF Roles The ability to perform various functions within SERFF is based on the roles assigned to the user ID Role assignments are made by the SERFF Help Desk Role updates and inquiries must be made by a Filing Manager and should be emailed to serffhelp naic org The roles available for industry are detailed below Description Grants the ability to create and edit instance Configuration Manager preferences and Company and Contact data Grants the ability to create submit new filings as well as view or modify filings on which the user is listed as an Author Filing Manager Grants the ability to create submit new filings SERFF Industry Manual Page 16 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual pe as well as modify any filing in the instance Grants the ability to submit filings with EFT EFT User payments for state filing fees EFT Report Grants the ability to
30. Not Submitted Disposition Date Effective Date Requested New Effective Date Requested Renewal Authors Frances Stuart View Filing Log Users have the ability to view activity history on a filing with the View Filing Log feature The activities displayed are limited to Filing Events and do not include events that occur outside the filing flow The View Filing Log feature is particularly helpful if more than one person has worked on a filing or if there was a problem with the filing T How to Access the Filing Log 1 When in a filing will be shown under the state name Add Authors Update Create Reminder Move to Workfolder PDF Pipeline Return to Search ot Product Name Whole Life SERFF Tr Num AAAL 126737026 SERFF Status Closed Approved as revised TOL LO7I Individual Life Whole State Tr Num State Status Sub TOk LO7I 101 Fixed Indeterminate Premium Single Life Co Tr Num SL 10 Co Status Filing Type Form Date Submitted 07 25 2010 Disposition Date 08 06 2010 Implementation Date Requested On Approval Authors Victoria Windham Barbara Hassell 2 Click on Wiew tiling Led link 3 The View Filing Log will appear showing activity on the filing SERFF Industry Manual Page 90 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Filing Event Log Close SERFF Tracking Number AAAL 126737026 State Alabama Filing Company AAA Life Insura
31. SERFF Industry Manual Page 12 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual SERFF Billing SERFF offers both pre paid and pay as you go options for filing entities Industry users can monitor the balance of their prepaid filing blocks in the Billing tab Accessing Billing Information Industry users can click on the Billing tab to access their billing information Users will have one or more Billing Profiles which they may view To access a Billing Profile click on the blue underlined link Filings Billing Settings Filing Rules Reports Templates Billing Export Billing Profile Billing Profiles Billing Profiles 1 2 of 2 First Previous Next Last Instance Name E Customer SERFF Train 05 55555555 SERFF Train 06 66666666 Industry users will want to take note of the Units Remaining and Units Used columns in the Pre Paid Block table These totals are updated nightly based on that day s usage Blocks can be split among instances and each instance will have a separate Entity Billing Form and usage statistics Pre paid customers who allow their blocks to run out will be billed the Pay as you Go rate which is currently 15 00 per transaction Companies on the Pay as you Go plan will not have any blocks listed Billing Profile Instance Name PeopleSoft Customer ID Address ID Billing Contact ID Customer Type SERFF Number of
32. SERFF Industry Manual Page 208 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual The following screens show the criteria available in Advanced Search Js ost Recently Viewed Filings Search Filings Search Reset Tracking Number Type SERFF v T ki N be To execute a search enter one or more criteria options and hit the Search button Business racking Number Oooo OE Type and Filing Medium can only be used in conjunction vith other criteria You may use a wildcard in any text field Click the Help link for more information on Form Number caah Q Search Tips Product Name Saved Searches Project Name Searches State Company Name Save As SERFF Status NAIC Company Code Assigned Closed Draft Pending Industry Response O Electronic Paper Both Pending State Action Reopened Business Type Submitted to State OLAH P amp C Both Filing Medium Submission Date we p Company Status E E Peeing ActuariaiResponse Pending other Dept Response p en Response in progress State Disposition Date Submitted Pending DOI Review Start fs End fs Continued SERFF Industry Manual Page 209 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual State Disposition Date Submitted Pending DOI Review
33. SERFF Industry Manual Page 311 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual File Download l i x c Some files can harm your computer IF the file information below 3 looks suspicious or you do not fully trust the source do not open or save this file File name filing esport xls File type Microsoft Excel Worksheet From serlt nt naic org Would you like to open the file or save it to your computer Open Cancel More Info i Always ask before opening this type of file 4 Choose an action a Open launches Microsoft Excel and displays the quick export results b Save prompts the user to save the file to a local or network drive c Cancel returns the user to the Advanced Search screen d More Info provides more information for the user SERFF Industry Manual Page 312 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Fields The fields returned contained to one row per filing via Quick Export are as follows State Company Name Co Code Third Party Filer SERFF Tracking Number State Tracking Number Company Tracking Number SERFF Status SERFF Status Date Changed Company Status State Status State Status Date Changed TOI Sub TOl State TOI State Sub TOI Filing Type Primary Reviewer Other Reviewers Author Filing Contact Name Overall Fe
34. Weighting of the Premium requested 10 requested 20 30M 5M 5M 30M 1667 Weighted Average 16 67 Company Name Auto Club Life HHS Issuer ID fs Product Names G Trend Factors FORMS amp err Paes fom Pd REQUESTED RATE CHANGE INFORMATON Change Period Please Select Member Months Benefit Change Please Select Percent Rate Change Requested Min Mas Weighted aves B PRIOR RATE Total Earned Premium Total Incurred Claims Annual in Weighted Avg REQUESTED RATE Projected Earned Premium Projected Incurred Claims i Annual in Weighted Avg Cancel Apply SERFF Industry Manual Page 106 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual 7 On the Edit Rate Review Detail page there are help links for some of the fields Click on the button to display the related help see below r FORMS ty Rate Review Detail Forms Help x New Policy ms At least one of the three Form fields must be Affected Forms for Closed Blocks completed All form numbers must be listed Other Affected Fore individually and separated by commas Apply After completing all the fields the filer will click the button After the industry filer saves the filing the icon will change to complet
35. the formatting to always display the numbers as currency e Field Properties Right click on the field and choose properties after clicking on the text field tool Open the Field Properties box by clicking on the text field tool and then double clicking the form field CheckAmt then select the Format tab Numbers entered in the Check Amount field will represent United States currency We will change Date Check Mail Edit Align Center Distribute gjize Create Multiple Copies Duplicate Use Current Properties as Mew Defaults Properties Copyright 2011 National Association of Insurance Commissioners All rights reserved Page 293 of 345 SERFF End User Training Manual Text Field Properties General Appearance Options Actions Format validate Calculate Select format category The field value will be formatted as it is entered To Format Fields automatically select a Format From the Format Category list Locked 2 Since the default format is None click the Number choice in the Category window Text Field Properties General 4ppearance Options Actions Format validate Calculate Select Format category Nunniber Number Options Decimal Places 2 Separator Style 234 55 est Currency Symbol Dollar i Negative Number Style 7 Show parentheses Example of current Format 4 125 05 Use the Number Format cat
36. 171 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual 5 Click on the Remove link next to the document on the revision line white to remove the duplicated original document e Clicking on the link that is after the attachment will remove the previous version of the attachment and enable the user to submit an amended file The user should remove the attachment that is being revised and attach the updated version The original attachment is still seen below the attachment in the grayed out area and cannot be removed or changed 6 Attach the revised files by clicking on the button a Click to find the file SERFF File Attachment Upload Attachments larger than 3MB or Microsoft Word tm documents cannot be uploaded to SERFF Upload Cancel b After selecting the appropriate file click button to add the attachment to your file list SERFF Industry Manual Page 172 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Choose file ag h Filing Description pdf History leskto p My N lly ork F Files of type All Files Cancel ae File name Filing Description pdf a c Click on the button SERFF File Attachment Upload Attachments larger than 3MB or Microsoft Word tm documents cannot be uploaded to SERFF ee Po Bros P
37. 2000 and each subsequent October 1 PREMIUM PAYMENTS le al i gt S pS 6 Li a 3 Expand the main level in the list by clicking the to the left of the title 4 Click on the Subtitle name The view pane will display that portion of the document SERFF Industry Manual Page 226 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Adding Bookmarks Bookmarks allow you to move quickly to important parts of documents Below are the steps to add bookmarks to an acrobat file 1 Open the appropriate document in the Adobe Acrobat program window 2 If the bookmark window is not open click on the Bookmarks tab Tl File Edit View Document Comments Tools Advanced Window Help ee 3 G g aH DA E a li e Send for Review f lt i F H Z 55 D ABC COMPANY ABC Company 3 stock company wil pay Te bensiis spected h the Exhltlls of hls policy subject o ihe ms and provisions of the policy The Schedule of Exhlddls lists ach Exhibit lo this polky to whom it apples ond ts 2fecie dae Podloyholder An company T T TABLE OF CONTENTS D5 TABLE OF CONTENTS EHA DEFINITIONS EHDA PREMIUM RATELS DS PREMIUM RATE S Contir ETERS A A ee E E PREMIUM PAYMENTS Bookmarks ober 1 1955 This pollcy replaces Group Polky Humber YYYY which was Mecton October 1 1547 Signatures This policy is sued in retum fhe pamer by
38. 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual If updates need to be made to individual Schedule Items please refer to the section titled Revising Schedule Items for complete instructions 5 Click the button 6 The Response has now been changed The user may Submit Edit Delete Close or View Objection Letter Response Letter for AAAL 126885444 Submit Edit Delete Close View Objection Letter Expand All Collapse All SERFF Tracking Number AAAL 126885444 State Alabama Filing Company Auto Club Life State Tracking Number Company Tracking Number TOI HO2G Group Health Accident Only Sub TOI HO2G 000 Health Accident Only Product Name Health Product Launch Dec 2010 Project Name HPL 2011 Status Draft Dear Frances Stuart Introduction Introduction Objection 1 Applies To Entire filing Comment One or more of the required forms is missing from the filing The state of Alabama requires the following documents with this type of submission File 1 etc For more infomation on filing to Alabama please visit our website http w Response 1 Comments Please see attached Changed Items Form Schedule Item Changes Form Form Form Action Action Specific Readability Attachments Submitted Number Type Name Data Score FormA CER Certificate Initial Compliance Certification pdf iew Objection Letter 7 Click J
39. Adobe POF Forme EHD Collecting Data fram Submi IDS REVIEW AND MARKUP HHA Using Commenting Tools 1 a iq 4 lof7os SERFF Industry Manual Page 223 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Navigation Toolbar Buttons There are quick navigation buttons available on the toolbar within Adobe These buttons will help you navigate quickly through any large documents you may be reviewing as File Edit View Document Comments Tools Advanced Window Help Bookmarks ABC Company a stock company will pay the benefits sp terms and provisions of this policy The Schedule of Exh applies and its effective date Policyholder AnyCompany Group Policy No AAA EFFECTIVE DATE i mo i E T i mi pay Li co wu E This policy will take effect on October 1 1999 This policy replaces Group Policy Number YYYY Y which was issued by ASC Company and took effect on October 1 19977 POLICY ANNIVERSARIES Policy anniversanes will be October 1 2000 and each subsequent October 1 PREMIUM PAYMENTS i iq 4 mm oe i nn DT oO SERFF Industry Manual Page 224 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual 7 Using Adobe Acrobat Help The help file in Adobe Acrobat contains information on what the program can do how to
40. Check Number Company Filing Number Date on Check Submissions SERFF Tracking Number Retaliatory Filing Fee Calculation S Bookmarks i p i uy Companies State of Show Retaliatory Fee alr 6 50 x 11 00 in 4 E B id d lofi a 2 After you click the Text Field Tool Button Acrobat s cursor will turn into crosshairs Position the crosshairs at the point where you want the form field to begin then click and hold the left mouse button and drag to create a box SERFF Industry Manual Page 287 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual retaliatory Fee Summary Page Company Name on Check gt eck Mailed with this Form Attached Type of Filing Life and Health Property and Casualty Check Number Company Filing Number Date on Check Submissions SERFF Tracking Number 3 When you release the mouse button the form field will be automatically inserted and the Field Properties text box will appear Text Field Properties x General Appearance Options Actions Format validate Calculate Mame Tooltip Common Properties Form Field Visible Read Only Orientation fo degrees Required Locked Close 4 Inthe text field properties there are 7 tabs to choose to format a text field a General Enter a name tooltip text and other general properties Sele
41. Correspondence Submission Date and Respond by Date These date fields are inclusive meaning the date entered will be part of the search For instance a search for Submission Date that starts with 01 01 2010 will include filings submitted on 01 01 2010 SERFF Industry Manual Page 210 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Select Lists The select lists in Advanced Search are State Date Status Last Changed Type and Correspondence Submission Date Type The State list includes all states available for paper or electronic filing The Correspondence Submission Date type includes all types of Correspondence Only one value from each of these lists may be chosen for each search Source Target Lists The source target lists for Advanced Search are SERFF Status Company Status Product Type and Filing Authors The SERFF Status options are those status indicators used by the system The Users on a Filing list includes all active and inactive users on the current instance with the authority to create a filing The search results may be filtered according to the user that was the author the creator or the submitter of the filing s To use these lists move one or more of the options from the source box on the left to the target box on the right If more than one option is selected the system will search for filings that contain either selection Radio Buttons T
42. Correspondence Tab of the filing The user receives a message in the Message Center indicating that there is a Disposition SERFF Industry Manual Page 203 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual View a Disposition Messages Remove Message Messages Messages 1 16 of 16 First Previous Next Last T Unread Subject Filing From nn ga o fa Disposition Received for AAAL 126885443 from Alabama Attn Frances Stuart AAAL 126885443 Frances Stuart Dec 14 2010 oO Public Access Status Changed for Filing AAAK426885443 to Alabama Attn Frances Stuart AAAL 126885443 Frances Stuart Dec 14 2010 1 To open a message move the pointer to the message Click when the message to be read is highlighted in yellow 2 The message will display Message Remove Message Disposition Received for AAAL 126885443 from Alabama Attn Frances Stuart SERFF Tr Num AAAL 126885443 Product Name Health Product Launch Move to Workfolder Co Tr Num Type Of Insurance H02G Group Health Accident Only State Tr Num Sub Type Of Insurance H02G 000 Health Accident Only Filing Type Form Rate Company AAA Life Insurance Company From Frances Stuart Contact Victoria Windham Message Received 12 14 2010 04 23 PM State Alabama Event Detail Disposition 126653734 for Filing AAAL 126885443 was Submitted with a Status of Approved Public Access Stat
43. Currently they are printing on legal Close this Window You may also click anywhere outside this window This information can also be viewed within the Objection Letter on the Filing Correspondence tab 1 The Filing Author will receive notification in their message center that the state reviewer has created an objection letter to their filing Message Remove Message Move to Workfolder Objection Letter Received for Filing AAAL 126885444 from Alabama Attn Frances Stuart SERFF Tr Num AAAL 126885444 Product Name Health Product Launch Dec 2010 Co Tr Num Type Of Insurance H02G Group Health Accident Only State Tr Num Sub Type Of Insurance H02G 000 Health Accident Only Filing Type Form Rate Company Auto Club Life From Frances Stuart Contact Victoria Windham Message Received 12 14 2010 02 50 PM State Alabama Event Detail Objection Letter 125717264 for Filing AAAL 126885444 from Alabama was SUBMITTED Public Access Status has been Set by Default 2 Open the filing by clicking on the SERFF tracking number in the message and then go to the Filing Correspondence tab SERFF Industry Manual Page 168 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual General Rate Rule Supporting Companies Form iling Information Schedule Schedule Documentation and Contact Cog pendence Objection Letters Status Created By Creat
44. Dec 14 04 0 Homeowners 04 0001 Condominium Rate Submitted AAAL 126885435 2010 Homeowners oe 5 Alabama Dec 14 HO3G Group Health Accidental Death amp Form Rate Assigned AAAL 126884560 2010 Dismemberment H03G 000 Health Accidental Death amp Dismemberment Saving an Advanced Search Users can also save frequently run searches The Saved Searches are user specific and can be updated or deleted as needed 1 Set up an Advanced Search as previously described SERFF Industry Manual Page 213 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Search Filings Search Reset Tracking Number g 2 Search Tips Type SERFF v T ki N be To execute a search enter one or more criteria options and hit the Search button Business racking Number Type and Filing Medium can only be used in conjunction with other criteria You may use a wildcard in any text field Click the Help link for more information on Form Number zem j E g Product Name Saved Searches Project Name catia State please Select v Company Name Save As eS Group Code SERFF Status eee ora Draft Submitted to State Filing Medium Pending Industry Response Pending State Action Pn ectronic aper eopene O Elect Op Both R d 2 Enter a name to identify this search i
45. Desktop Esl Help POFMaker My Documents Reader R Resource Setup Files 1 F 7 a My Computer Ga a My Network P Files of type Adobe POF Files pdf Lancel Ee 2 Select the appropriate file and click Open The file will open in the Adobe Acrobat program window SERFF Industry Manual Page 219 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Adobe Acrobat Work Area The Acrobat work area includes a window with document pane control icons menu bars status bars and several toolbars The document pane is used to view PDF documents and an accompanying navigation pane shows bookmarks signatures layers pages and several other navigation elements pertaining to the document Below is an example of an open document in Acrobat Tl File Edit view DI Dal ents Tools Advanced Window Help BST Adobe Acrobat 7 0 Bookmarks Signatures w jag T mi D Al Faso rdiha hiiest vardon of ihs document on the Adobe Sol ut lors Habwark ma hipa partner adota comin ks acrobat SERFF Industry Manual Page 220 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual The following table explains each the most commonly used buttons Purpose Open a PDF file Create PDF from Web Page Save the file currently in the Adobe Acrobat program
46. Final Filing Summary 1 Click button to complete the Filing Paper Wizard process The completed filing s is available from the My Draft Filings link see below At this point you have selected your state s TOI Sub TOI Filing Types and added companies and contact Your Filing container has been created The next step is to add the filing documentation if desired SERFF Industry Manual Page 330 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Draft Filings for Product Auto Product State TOI Sub TOI Filing Types Companies AAA Life Insurance Company Auto Club Life AAA Life Insurance Company Auto Club Life Alabama 19 0 Personal Auto 19 0000 Personal Auto Combinations Form Rate California 19 0 Personal Auto 19 0000 Personal Auto Combinations Form Rate SERFF Industry Manual Page 331 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Draft Paper Filings After completing the Filing Paper Wizard process the Filing Paper Wizard automatically generates the number of draft filings to be prepared for the selected states Placing the cursor over a Filing in the Draft view highlights that Filing and the Filing can be opened by clicking anywhere on that line Kansas Paper Manual Sep 16 2006 Thea Cook Towa Homeowner s Filing Sep 18 2006 Thea Cook Kansas Homeowner
47. Industry Instance Profile Status Options Prefix SEFF Instance Name SERFF Test Industry EFT Options Edit EFT Options EFT Enabled ves ONo Company EFT Settings Company Name Payer UNID Disabled for EFT Test Group Name SERFF Test C Metropolitan Property and Casualty Insurance Company Economy Premier Assurance Company Former USFG4 Economy Premier 4ssurance Company Former Economy 99999 2 SERFF Test SERFF Test Hew Company 41414 EFTA Cd SPI Prod Test D BRE Houston Ins EFTA 24a Cd aaa a aa The rest of this section is for Company EFT Settings This information can be updated by the SERFF team or an Industry Configuration Manager This section is usually completed during EFT implementation but may be updated later The section contains a list of the companies set up for the instance To modify this list updates must be made to the company profile first Company maintenance is covered later in this lesson Each company has two attributes Payer UNID and Disabled for EFT A Payer UNID controls the bank account from which funds are drawn for the company If a new account is needed contact the SERFF Marketing Implementation Team serffmktg naic org or call them at 816 783 8787 If a particular company should not be eligible for EFT submissions check the Disabled for EFT box For these companies a Payer UNID is not necessary SERFF Industry Manual Page 28 of 345 Copyright 2011
48. Not PPACA Related what is PPACA Non Grandfathered Immed Mkt Reforms L Grandfathered Immed Mkt Reforms SERFF Industry Manual Page 93 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual The only other difference between a PPACA filing and a typical SERFF filing is the addition of a required Supporting Documentation item the PPACA Uniform Compliance Summary a Name PPACA Uniform Compliance Summary Comment v pdt Remove The PPACA Uniform Compliance Summary intends to assist the industry by ensuring filings comply with immediate market reforms effective 9 23 2010 Please complete the form in full and Satisfy this Submission Requirement in the Same manner you would other Submission Requirements Accurate and completeness of the form will help the states identify and review your PPACA related filing Complete the balance of your SERFF filing as usual attach the necessary forms and address any other Submission Requirements and then submit your filing SERFF Industry Manual Page 94 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual P amp C Filing General Information General Information Project Name HPL 2010 Project Number Status of Filing in Domicile Domicile Status Comments Filing Status Changed 12 14 2010 State Status Changed Co
49. SERFF Industry Manual Page 290 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Company Name on Check Type in the Company Name Check Number Date on Check 6 Next click the Appearance tab Text Field Properties General Sppearance Options Actions Format Validate Calculate Borders and Colors Border Color J Line Thickness Fill Color NI Line Style Font Size fanto Text Color a Font Helvetica F Locked From this window you can change the appearance of the text box and text by changing the respective options If you want a visible border around your text box or a color background simply check the boxes next to the option and select the style and colors 7 Click the Close button to close the Field Properties box and return to the form SERFF Industry Manual Page 291 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Company Name on Check Check Amount Check Amount Check Number Check Humber While still in the Form Tool view the text boxes will be displayed with the name of the field inside the box the box and field name will not be visible while the form is being used Note that we ve created fields for the other form items using the same methods described above The Field Properties box can be redisplayed by double
50. SERFF system T Non PDF attachments and attachments that are larger than 3 MB will not work with PDF Pipeline SERFF Industry Manual Copyright 2011 National Association of Insurance Commissioners All rights reserved Page 193 of 345 SERFF End User Training Manual A Non PDF attachment will be displayed with a symbol That symbol indicates the attached file is not a PDF document If the box is checked prior to selecting the J button it will display Non PDF attachment in the bookmarks and on the page Generate PDF for AAAL 126885435 Generate PDF Cancel Select All Select None Select the portions of the filing to include in the generated PDF PDF Pipeline Help d Filing Information D Form Schedule Summary Detail for All Items Date Submitted C FormA 9865 2010 Advertising 12 14 2010 C FormA 9865 2010 Advertising 12 14 2010 There is no Rate information to include Rate Rule Schedule Summary tor All Items Date Submitted 12 14 2010 im lt gt amp Attachment PremmumandLoss Expenence Exhibits is not a PDF document and cannot be Bookmarks reproduced here kal Attachment Premiumandloss Experience Exhibit pdf Non POF Attach ment PremiumandLoss Experience Exhibit xls SERFF Industry Manual Page 194 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved Filer Note SERFF En
51. Saves data entered thus far Cancels the Filing Wizard process Page 64 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Step 8 of the Filing Wizard elect All Companies Step 8 of the Filing Wizard elect All Companies Step 8 of the Filing Wizard Create a Single Multi State Filing Step 1 Create a Filing The first step in the Filing Wizard is to accurately complete the following fields e Business Type In accordance with the NAIC Speed to Market tools there are two Business Types Property amp Casualty and Life Accident Health Annuity Credit The Business Type can be predefined in the User Preferences area of SERFF Once set in User Preferences this field will default to the defined Business Type without the user selecting it on each filing The Author has the ability to change Business Types as some Authors cross business areas and types e Product Name The Author enters the name of the product that they are submitting This is a required field on the filing e Project Name The Author may enter a project name for this filing This is not a required field e Project Number The Author may enter a project number This is not a required field e Other Authors The Creator or Author of the filing may assign Other Authors to a filing s Once given permission as an Other Author full access to the filing is granted SERF
52. Schedule Template e Click the 10 Once the Template has been saved the Author may do any of the following button to save but stay in Edit mode e Click the ea button to update the Schedule Template Pr ia e Click the the selected template e Click the button to delete the Schedule Template e Click the button to close the Schedule Template button to create another Schedule Template based off SERFF Industry Manual Page 139 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Preview Template Template Owner Frances Stuart Industry Name saalifeinsurancecompany Business Type property amp Casualty Schedule Type Supporting Document Schedule Template Name P amp C Supporting Document A a State Requirement P Declaration pdf 7 How to Search for a Schedule Template Schedule Templates Create Schedule Template Filter Templates Template Name Business Type Schedule Type Template Owner all z All All LAH Form Life 4ccident Health Annuity Credit Form Frances Stuart Rate Rule Schedule Property amp Casualty Rate Rule Frances Stuart Form Template Property amp Casualty Form Frances Stuart Form Life Accident Health Annuity Credit Form Frances Stuart 1 Type in the first few characters of a Template Name in the Description field Ex lah 2 Choose a Business Type a All b Property amp Ca
53. Search Refine Search er Search results can be resorted by clicking on the column headers Submission Requirements Submission Requirements 1 4 of 4 First Previous Next Last Instance Name TOI Sub TOI E Filing Type Alabama 01 0 Property apes Waa Property Fire and Allied Lines Rate Alabama 01 0 Property 01 0001 Commercial Property Fire and Allied Lines Rate SERFF Industry Manual Page 58 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual S Find Submission Requirements for Specific State Instance For State Instances that have not implemented the Product Coding Matrices in SERFF the user must search on their Submission Requirements individually 1 Click on the Filing Rules tab 2 Click on the Laubmission Requirements J link 3 Highlight the State instance and click on 4 Click on the button 7 Once the State Instance has been selected all Requirements and TOls are displayed and added to the selector boxes Find Submission Requirements State Instances AlabamaLife Alaska AlaskaLH Arizona ArizonaLH Arkansas ArkansasLH California CaliforniaLAH Colorado Requirements Included Excluded Explanatory Memorandum a Home Actuarial Memorandum and Support J gt gt Loss Mitigation Discounts gt gt gt Marked up Manual Pages gt Marked up Manual Pages Workers Compensation
54. Speed to Market uniformity initiatives such as the NAIC Product Coding Matrices and the NAIC Uniform Transmittal Documents Additionally the Interstate Insurance Compact utilizes SERFF for its filings The ultimate benefits that any electronic application should offer are speed precision and most importantly efficiency SERFF offers all of that and more Industry users can rest assured that once a filing is submitted to the state it will be delivered immediately Furthermore insurance carriers can take advantage of real time state filing requirements resulting in an accurate filing submission process A Filing Wizard has been implemented to guide filers through creating and submitting filings single or multi state it doesn t matter with SERFF SERFF Industry Manual Page 3 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual For states the incorporation of the NAIC Uniform Transmittal Documents assists in gathering all of the critical data needed on rate and form filings Communicating objections has never been easier Enhanced navigation along with the ease of use features makes reviewing filings online a straightforward and uncomplicated process For both states and industry it is simply the economical solution The only software required is Internet Explorer and a PDF producer such as Adobe Acrobat Consider the time saved in filing prepara
55. Start End Date Status Last Changed Type SERFF Users on Filing Start s C Author FJ User Created O User Submitted Hassell Barbara End Plesuchenko Kathy Scharz Fran gt gt Stuart Frances Ea lt lt lt Correspondence Submission Date Sulfaro Susan Thompson Tamara Type Disposition Windham Victoria Start End O Include Inactive Respond By Date PPACA Start F NotPPACA Related End a Non Grandfathered Immed Mkt Reforms Grandfathered Immed Mkt Reforms Market Type LAH Only C individual C Small Group Large Group Pre PPACA Submission C Small and Large Group Product Type Tracking Number Users can search for filings based on three Tracking Numbers SERFF State and Company If users are not sure of the entire Tracking Number a wild card can be used before and or after the criteria string Text Fields The text search fields include Form Number Product Name Company Name Group Code NAIC Company Code and Project Name When using any of these fields to search remember that unless a wild card is used the search will be looking for an exact match An asterisk can be used as a wildcard before or after the criteria string Date Ranges The date ranges available in Advanced Search include Submission Date State Disposition Date Date Status Last Changed
56. You may select more than one template at a time 6 Click the button to close the window 7 Click the button The Schedule is now populated with the information from the Template Exhibit Name Rule or Page Rate Action Previous State Filing Number Attach Document Submitted Rates 123 New Attach Files Retaliatory Fee Summary Remove Pagefor SERFF Acrobat Form1 pdf Delete Selected Add Import Template Icon Legend Li Draft Schedule Item 1 Open Objection 8 Click the L J button to save the filing Importing Templates from the Draft view To increase efficiency when preparing a SERFF filing a user may import templates to one or multiple filings from the Draft view My Draft Filings Move to Workfolder Submit Selected Filings Import Templates Bypass Satisfy Delete Draft Filings Filings 1 9 of 9 First Previous Next Last on State Product Name Co Created Date Created By SERFF Status S Alabama Health Product Launch Dec 14 2010 Frances Stuart Draft 5 O Alabama Health Product Launch Dec 14 2010 Frances Stuart Draft SERFF Industry Manual Page 142 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual I tT lat The button will be available to users in the Draft view if Schedule Templates have been created See how to create Schedule Templates in the previous section 1 Sele
57. and Lise Current Ape ance as New Default ls poky s efecth dale Any aber Premiums are due mantiy in adeance on the first cay of p hanhi These dates are the Premium Due Dates Wrap Long Bookmarks mus is lssusd Tor deivery in and govemed by Te kws of Purisdichoni Properties Ctrl I J oy SSS A Does agent or resident agent as psquired by lew THIS POLICY 18 INTENDED TO BE A GUALIFIED LONG TERM CARE INSURANCE CONTRACT URGER SECTION TTDZEib OF THE INTERNAL REVENUE CODE OF TEB AS AMENDED THIE POLICY May HOT COVER ALL THE COSTS ASSOCIATED WITH LOWG TERM CARE INCURRED EY THE BUYER DURING THE FERIDO OF COVERAGE THE BUYER IE ADVISED TO CAREFULLY REVEEW ALL POLICY LIMITATEONS tH GROUP GU4LIRIED LONG TERM CARE INSURANCE POLICY HON DIVIDEND PAYING ma id 4 fo e BI Oo O Ll H i 3 Select Rename from the shortcut menu 4 Enter the appropriate text for the Bookmark title Click the Enter key on your keyboard to save the change SERFF Industry Manual Page 229 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved Deleting a Bookmark Title SERFF End User Training Manual Deleting bookmarks allows you to keep only the bookmarks you are currently using 1 Open the appropriate document in the Adobe Acrobat program window Be sure the bookmark pane is also open esi File Edit View Document Comments Tools Advanced Window Help ES Comment amp Markup a Send for
58. appropriate name for the document and click button amp Note When you have returned to your word processor program the file has been created and will be found in the folder you selected during the saving process Conversion can take a several minutes depending on the size of the document being converted SERFF Industry Manual Page 235 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Create an Acrobat File from a Word Processing Program Alternate Method In some word processing programs the previous method is not available If that is the case follow the steps below to use your print dialog box to create an Acrobat file Create an Acrobat File 1 Open the appropriate document in your word processor and select File Print from the main menu The Print dialog box appears Print CSL Printer Late Se Properties _ Status E Z iabe POF al Seen ere i f a HP Color LaserJet 6550 PCL SC 01_ mailer Where g HP LaserJet 9000 PCL 6_709 Comments g HP Mobile Printing Print to File Page range f All VOMber OF Copies fi Current page Selection M Collate f Pages Enter page numbers andlor page ranges separated by commas For example 1 5 5 12 f oom Print what Document Pages per sheet f page Print Jal pages in range Scale to paper size ho Scaling Options Cancel 2 Select Adobe PDF from
59. if you would like to see the Objection Letter again Delete T Ifthe Response Letter is incorrect click the button to delete the entire Response Letter 7 How to View the Response Letter SERFF Industry Manual Page 178 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual The draft of the Response Letter is located under the Filing Correspondence tab The user will be able to view the Response Letter two ways please see the following two examples General Rate Rule Supporting Companies Filing Information Schedule Documentation and Contact Correspondence Objection Letters Status Created By Created On Date Submitted Responded By Response Created On Response Submitted On 12 14 2010 6g Under review Stuart Frances 12 14 2010 12 14 2010 02 50 PM Stuart Frances Example 1 T When clicking on the Objection Letter link the user will be directed to the Objection Letter sent by the Reviewer General Rate Rule Supporting Companies Filing Information Schedule Documentation and Contact Correspondence Objection Letters Created By Created On Date Submitted Responded By Response Created On Response Submitted On Stuart Frances 12 14 2010 12 14 2010 02 50 PM Stuart Frances 12 14 2010 button the user is directed to the e By clicking the L Response Letter Objection Letter for AAAL 126885444 Close View Response Let
60. information entered on this filing If the filing is eligible for EFT the filer must enter an amount If no fees are to be submitted the filer must check the Bypass box in order to submit the filing If the state charges per company there will be a field next to each company in which the filer is submitting EFT Companies without a Payer UNID cannot be included on an EFT submission SERFF Industry Manual Page 126 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual General Form Rate Rule Supporting State Companies l Filing Filing Information Schedule Schedule Documentation Specific and Contact Fees Correspondence Overall Fees Fee Required O No Fee Amount Retaliatory Fee Calculation Explanation Company Amount AAA Life Insurance Company z 0 00 0 00 Bypass EFT for this company Auto Club Life Bypass EFT for this company Checks There is no check information entered on this filing Ifthe state charges per filing the filer must select one of the companies from the dropdown list to which the Filing Fees should be attributed General Form l Rate Rule Supporting Companies Information Schedule i Schedule Documentation and Contact l Filing Filing l Fees Correspondence Overall Fees Fee Required yves Ono Fee Amount Retaliatory Ovyes no
61. is free form text This is a required field e Company Tracking Number This field allows the user to enter a company tracking number This can be very useful for companies that are creating multi state filings that share a Company Tracking Number This is not a required field e Submission Type LAH only Select New or Resubmission If Resubmission provide the state tracking number for the prior Submission if it was provided by the state If no state tracking number is available and the prior filing was made in SERFF provide the prior filing s SERFF Tracking Number If neither is available leave this blank e Implementation Date Requested LAH only The date the industry would like to have the product available to sell e Lead Form Number LAH only Lead Form Number of the policy rider endorsement etc e Overall Rate Impact LAH only This is the statewide average percentage change to the Accepted rates for the coverage s included for each company e Market Type LAH only Identification of the targeted group or individuals If Group is selected see below fields for Group Market Size and Group Market SERFF Industry Manual Page 78 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Type are presented Group Market Size and Type are required for all PPACA related filings Group Market Type _ Employer L Association L Blanket L Discretion
62. left side of the page 3 Select the Business Type Contact gt n e Filing Activity Messages Filing Activity Messages Help i Message Settings Billing Low Block Warning Compact Filing Acknowledge Included State Filer Note Created Effective implementation Date Updated User Preferences Disposition Submitted Public Access Defaults Restored Filing Reopened Filing Submitted with Default Public Access Industry Reminder Notification Generated Note To Filer Submitted Objection Letter Submitted Filing Primary Reviewer Changed State Generated Messages State Generated Messages Help Business Type O Life Accident Health Annuity amp Credit O Property amp Casualty District Alabama Alaska Alberta gt AMERICAN SAMOA gt Arizona Arkansas lt Australia az lt lt British Columbia lt lt California Colorado Cancel 4 Select the state s for which you would like to receive messages by moving them from the list on the left to the list on the right Remove states for which you no longer wish to receive messages for by moving them back to the list on the left 5 Click the button 6 Click button SERFF Industry Manual Page 157 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Viewing State Generated Messages 1 Click on the Filings tab Click the Message link To open a Message move the pointer t
63. of Filing Life and Health Property and Casualty Check Number Company Filing Number Date on Check Submissions SERFF Tracking Number Retaliatory Filing Fee Calculation Companies State of Show Retaliatory Fee Fee Filing Domicile Calculation Total SERFF Industry Manual Page 283 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual While it is possible to create a similar layout in Acrobat using the Text Box and Line tools it is more efficient to use your word processing application Also form fields created in word processing applications will not translate into the PDF document so don t include them in the document Types of Form Fields A Form Field is the portion of the form that is interactive It is created with the Form Tool bar represented by the following x a Button Tool Check Box Tool mT Ee Combo Box Tool List Box Tool Radio Button Tool Text Field Tool Digital Signature Field Tool The Form Tool bar can be used to create several different types of interactive fields e Button Tool Buttons allow the user to activate commands or actions Buttons are most commonly associated with forms but you can add them to any document Buttons can open a file play a sound or movie clip submit data to a Web server and much more SAVE Please press the button to save the file SERFF Industry Manual Page 284 o
64. pour home page Temporary Internet files Pages you view on the Intemet are stored in a special folder for quick viewing later Delete Cookies Delete Files Settings The History folder contains links to pages you ve visited for quick access to recently viewed pages Days to keep pages in history 2o Clear History Colors Forts Languages Accessibilty SERFF Industry Manual Page 8 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual 3 Select the option Every visit to the page under Check for newer versions of stored pages settings PO SERFF Industry Manual Page 9 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual 4 Goto the Advanced Tab 5 Scroll to the Browsing options 6 Check the option for Disable script debugging Internet Options ax General Security Privacy Content Connections Programs Advanced Settings Accessibility Always expand ALT test for images J Move system caret with focusselection changes Browsing Always send URLs as UTF 8 requires restart Automatically check for Internet Explorer updates Close unused folders in History and Favorites requires restart Display a notification about every script error Enable folder view for FTP sites Enable Install O
65. removed by clicking in the box to the left of the Message Subject Click the box in the column header to select the entire page of messages Filings Billing Settings Filing Rules Reports Templates My Workfolder My Open Filings My Draft Filings Messages Search Create Filing Create Paper Filing EFT Report Messages Remove Message maena Messages 1 6 of 6 First Previous Next Last Une Subject Filing From On M Filer Note Created on West VirginiaLH filing 2011TERMAD Attn Victoria Windham AAAL 126813428 Frances Stuart Nov 17 2010 F d Public Access Set by Default for AAAL 126884560 Submitted to Alabama Attn Frances Stuart AAAL 126884560 Frances Stuart Dec 14 2010 SERFF Industry Manual Page 152 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual 2 Click the button Messages 1 message was removed from your message center T Whena Message is received it will have an icon indicating that it has not been read If two users receive the same message and only one reads it the other user will still see the icon as it is user specific Once a user opens the message the icon will be removed Open a Message 1 To open a Message move the pointer to the Message Click when the Message to be read is highlighted in yellow 2 The Message will display The Message contains details about the filing and a description of the eve
66. request is overridden the user will receive notice that the Public Access has changed on the filing The confidentiality request icon will change from red to grey S Requesting Confidentiality SERFF Industry Manual Copyright 2011 National Association of Insurance Commissioners All rights reserved Page 143 of 345 SERFF End User Training Manual 1 Open the draft filing My Draft Filings Most Recently Viewed Filings Move to Workfolder Submit Selected Filings Import Templates Bypass Satisfy Delete Draft Filings 1 13 of 13 First Previous Next Last Filings on r E Product Name Company Tracking Created Date Created By SERFF Status m Fi Alabama Homeowners Product Launch Dec 2 2009 Frances Stuart Draft 2 Select Add Authors Edit Set Confidentiality Submit Filing Create Reminder Move to Workfolder PDF Pipeline Alabama View General Instructions View Filing Log Product Name Homeowners Product Launch SERFF Tr Num XXXX 000535771 SERFF Status Draft TOI 04 0 Homeowners State Tr Num State Status Sub TOI 04 0001 Condominium Homeowners Co Tr Num Co Status Filing Type Form Date Submitted Not Submitted Disposition Date Authors Frances Stuart Effective Date Requested New Effective Date Requested Renewal 3 Select the parts of the filing to be kept confidential Update Confidentiality for AAAL 126885436 Alabama accepts Confidentiality requests
67. retrieved via company search authorized users may edit the company information Changes made to the company will update draft filings and future filings for this company but will not change any filings already submitted SERFF Industry Manual Page 32 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual 1 Open the company profile to be edited Edit Deactivate Back to Search Results Company Information Instance SERFF Test Industry CoCode 11111 Company Name SERFF Test Address 2301 McGee Kansas City Missouri 64108 Telephone Number 816 785 8990 Fax Number Company Type Group Code Group Name FEIN Number 11 1111111 State of Domicile Kansas Active Active Licensed States State State ID Number Alabama Al 173 2 Click the Edit button to open the fields for changes e If the company is no longer needed click the button The company will not be available for selection on new filings 3 Make the necessary changes e CoCode is not an editable field If the CoCode has been entered incorrectly the company should be deactivated and a new company added with the correct CoCode Click Save to finalize or Cancel to discard the changes made If one or more draft filings include the edited company the user will be presented with a list of affected filings This list will not display if this company is not listed on any current draft
68. run SERFF EFT reports indust Read Oni Grants the ability to view any filing in the ndus ead On 7 instance but does not provide edit capabilities Grants the ability to create and submit filings to Compact Filer the Interstate Insurance Compact Grants the ability to extract data from SERFF Export using the Export Tool Works at data host site only Users may have one role such as Filer or may combine roles such as Filer with Read Only Online Help Online Help is intended to assist users with their questions about SERFF Users should first access Online Help and then if their question has still not been answered contact the SERFF Help Desk at serffhelp naic org or 816 783 8990 Online Help can be accessed by clicking on the Help link in the upper right hand corner of the screen opposite the SERFF logo and under the user s name and instance Home About SERFF Contact Us naic org Welcome Frances Stuart aaalifeinsurancecompany Help Logoff Tracking Number ary SERFF Industry Manual Page 17 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Lesson 2 SERFF is a secure web based application Each user has an ID and password that allows access to the system and controls the functions they may perform as well as the data available for them to view This lesson will focus on accessing the system and maintainin
69. selected on Market Type then the filing author will select Individual or Non Employer Group Individual under Individual Market type for PPACA related filings only Market Type Individual Market Type C Individual C Non Employer Group Individual e Group Market Size If Group is selected under Market Type fields for Group Market Size fields are presented This is a required field for PPACA related filings only but encouraged to be completed for all LAH filings Market Type Groun vi Group Market Size Please Select vi Group Market Type _ Employer C Association C Blanket C Discretionary C Trust oO Non Employer Group Cl other Explanation For Other Group Market Type e Filing Description if applicable This area should be used in lieu of a Cover Letter or Filing Memorandum and is free form text e Patient Protection and Affordable Care Act PPACA LAH Only This field is used to identify filings that are being submitted to comply with the requirements of the Patient Protection and Affordable Care Act PPACA Select Not PPACA Related when NONE of the filing content is related to PPACA If Not PPACA Related is chosen no other values may be selected While the field allows for multiple PPACA related selections please check the state General Instructions to determine if the state to which you are filing allows multiple selections This is a required field PPACA C
70. tab includes the lines of insurance that a given state is accepting through SERFF and any Sub Types of Insurance Sub TOls that are associated with those TOls The following information is stored about Types of Insurance e TOI Name The Type of Insurance name e Sub TOI name The Sub TOI name e Business Type The line of business e State Instance The State Instance amp Find Types of Insurance 1 Click on the Filing Rules tab Types of Insurance f 2 Click on the link SERFF Industry Manual Page 50 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Find Types of Insurance onam S E O Starts With O Contains O Equals starts with contains Equals Business Type State Instances Alabama AlabamaLite Alaska AlaskaLH Arizona ArizonaLH Arkansas ArkansasLH California California LAH a Tip Search for TOI and Sub TOI has wildcard options that can be helpful in locating the appropriate TOI and Sub TOIl e Starts With The text entered is at the beginning of the TOI or Sub TOI Name and might be followed by other text e Contains The text entered is somewhere within the TOI or Sub TOl Name and could be preceded by or followed by other text e Equals The text entered should match exactly to the TOI or Sub TOI Name Tonan CS starts with contains Equals wtona o E O Starts Wit
71. the Folcyhoker of required Fremiums Fremiuces ore Payable si fhe home office of ARS Gomauny or fo Es authorized agent The first Fremium is due on and must be ipald by fils poley s eiecti cake Any aler Premiums are due mantiy in adeance on the first cay of each Policy Mort These dates are the Premium Due Dates POLICY BTUs This policy ls lesued for deihvery in and gowemed by fee kaws of Partition w pa T cL rr E T Signed by aes A licensi agen or resident agent as esquired by lew i THIS POLSCY 18 INTENDED TO BE A GUMALIFIED LONG TERM CARE INSURANCE CONTRACT UNDER SECTION TT02B b OF THE IHTERHAL REVENUE CODE OF TEBS AS AMENDED THI POLICY May NOT COVER ALL THE COLT ASSOCIATED WITH LOWS TERM CARE INCURRED EY THE BUYER DURING THE PERIOD OF DOVERAGE THE BUYER E ADVISED TO CAREFULLY REVIEW ALL POLICY LIMITATIONS GROUP GUALIFED LONG TERM CARE INSURANCE POLICY HON DIMIDEND FAYIRG 3 Click the Text Selection Tool button on the left toolbar 4 Click and drag to highlight the text you would like for the bookmark title This is usually a portion of the first sentence of the area you want book marked 5 Right mouse click on the highlighted text and select Add Bookmark from the shortcut menu A bookmark with the highlighted text as the title will appear in the bookmark pane SERFF Industry Manual Page 227 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved
72. the Link Properties dialog box The Link Properties dialog box opens automatically when you create a custom link For other link types you must open the dialog box manually amp To define the visibility of a link you must use the Properties dialog box You cannot define the visibility of a link in the Properties toolbar Link Properties Appearance Actions Link Type MEn e Line Style Solid Highlight Style Invert Color E Line Thickness Thin T Locked Actions Tab To add an action you must generally define a trigger that causes the action to occur and then define the action itself You can add multiple actions to one trigger Triggers are not available when setting actions for bookmarks and links These actions are activated only by a mouse Click SERFF Industry Manual Page 272 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Link Properties Appearance Actions 4dd an Action Select Action ERIteleN ster AAN Ee ett Open a File File C Documents and Settings Fstuart Desktop adobe File E 4 Up Down Edit Delete T Locked Comparing Two PDF Documents There are two comparison options available with the Professional version of Acrobat The Acrobat Standard version does not include the compare feature The two comparisons available are page by page visual differences textual differences
73. the filer should select Other The choices are Annual Semi annual Quarterly or Other This is a required field Member Months The member months used for the purpose of the rate development This is not a required field on a New Product Benefit Change Data will be collected at the company level This is a dropdown with the options of No Change Increase Decrease e Percent Change Requested Min Max Weighted Average The percentage of change approved can be a positive or negative number or O Prior Rate e Total Earned Premium The total dollar amount collected for the purpose of premium payments e Total Incurred Claims The total dollar amount paid for services incurred e Annual Dollars Min Max Weighted Average The dollar amount of the Prior Annual Rate This will be identified in 3 fields that should show minimum maximum and a weighted average Requested Rate Projected Earned Premium The total dollar amount collected for the purpose of premium payments Projected Incurred Claims The total dollar amount paid for services incurred Annual Dollars Min Max Weighted Average The minimum dollar amount of the New Annual Rate SERFF Industry Manual Page 105 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual S The weighted average should be calculated by weighting the increases using volume of premiums Po Premium
74. to Market Tools such as the NAIC Product Coding Matrices and Uniform Transmittal Documents are built into the system Instance and user preferences and other ease of use features make creating and submitting a SERFF filing simple A single efficient system means less time creating and submitting your filing which translates into increased productivity This lesson covers the basics of preparing a SERFF filing This lesson covers the following topics Create a Filing Create a Single Multi State Filing P amp C Filing at a Glance LAH Filing ata Glance Attaching Files for Schedule ltems Bypass Satisfy Templates 7 4 4 4 4 4 4 Requesting Confidentiality SERFF Industry Manual Page 62 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Create a Filing SERFF allows insurers to submit new products in addition to revisions to their rates and forms to State Insurance Departments The Filing Wizard guides the user through the preparation and submission of their electronic filing making the filing process simple Filings Billing Settings Filing Rules Reports Templates My Workfolder My Open Filings My Draft Filings Messages ges Search Export Create Paper Filing EFT Report D My Workfolder Create Filing Click on the link under the Filings tab to begin using the Filing Wizard Definition of Filing Wizard Buttons Moves all compan
75. to find the file SERFF File Attachment Upload Attachments larger than 3MB or Microsoft Word tm documents cannot be uploaded to SERFF b After selecting the appropriate file click button to add the attachment to your file list SERFF Industry Manual Page 185 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Choose file My Documents My Computer EE Filing Description pdf gt My N atw ork P Files of type All Files kd c Click on the L button SERFF File Attachment Upload Attachments larger than 3MB or Microsoft Word tm documents cannot be uploaded to 7 Up to five files can be attached at a time before uploading 5 Continue in this manner until all the necessary Schedule Item changes have Apply been made Be sure to click to save your changes periodically SERFF Industry Manual Page 186 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual er Clicking on the after the attachment will remove the previous version of the attachment and enable the user to submit an amended file The user should remove the attachment that is being revised and attach the updated version The original attachment is still seen below the attachment in the grayed out area and cannot be removed or changed Form Rate Rule Supporting Fi
76. will contain Notes to Filer Notes to Reviewer Filer Notes Amendments Objections Letters Responses and Dispositions The links will not be available until the filing is submitted General Rate Rule Form Companies Filing Supporting State Filing Information Schedule Schedule and Contact Fees Documentation Specific Correspondence No filing notes available S Submit Filing This will submit the filing to the state selected 1 Click on the button to send the filing to the state 2 Ifthe Author doesn t complete all the required requirements a Submission Failed message appears with a list of all the missing requirements The error message will contain a link to the filing so the Author can complete the missing requirements Submission Failed Filing DELT 000300116 was not submitted for the following reasons ERROR 1004 4 filing mode is required on each filing ERROR 4001 Supporting Documentation item Actuarial memorandum is required ERROR 4001 Supporting Documentation item Applications LH is required ERROR 4001 Supporting Documentation item Forms Filed for Informational Purposes Other Supporting Documentation is required ERROR 4001 Supporting Documentation item Life and Health Cover Letter is required ERROR 4001 Supporting Documentation item MAIZ Uniform Transmittal Doc is required ERROR 4001 Supporting Documentation item Policy lt Certificates is required ERROR 4001 Supporting Docu
77. window Print the file currently open in the Adobe Acrobat program window Navigates to the first page of the document currently open in the Adobe Acrobat program window Navigates to the previous page of the document currently open in the Adobe Acrobat program window Navigates to the next page of the document currently open in the Adobe Acrobat program window Navigates to the last page of the document currently open in bi the Adobe Acrobat program window Navigates to the next view available in the Adobe Acrobat program window Displays the document in actual size in the Adobe Acrobat program window Shrinks the document to display the entire page in the Adobe m i4 d O Navigates to the previous view you had displayed in the Adobe Acrobat program window E Acrobat program window Displays the document width to fit the Adobe Acrobat program window but you must scroll to see the full length of the document SERFF Industry Manual Page 221 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Find a word or phrase in the current document open in the Adobe Acrobat program window Navigate through the document testing hyperlinks inserted items etc by clicking on them Zoom in on a portion of the current document open in the Adobe Acrobat program window Touch up text in the current document open in t
78. 0 Fax Number Active 2 Click the Edit button to open the fields for changes e If the contact is no longer needed click the button The contact will not be available for selection on new filings 3 Make the necessary changes New User Update Request Form Authorized users on the instance will be able to make requests to the SERFF help desk to add update users Filings Billing Settings Filing Rules Templates User Preferences Instance Preferences Companies Request New User Request User Update Re Request New User 1 Click the 2 Complete the Information for a new user Fields denoted with a red asterisk are required SERFF Industry Manual Pa Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual New User Request ale Requestor E mail 3 i g Q Disclaimer New User s First 0 ee Name Please be avere that this request will send an email New User s Last tothe Help Deak and Name they will process the request New User s Eta aE The Help Desk will contact you when the new request Instances has been processed aaalifeinsurancecompany SERFF Test Industry Appropriate Roles Primary Roles CI industry Filer Industry Filer Role C industry Manager Industry Manager Role C Read only User Read only User Role C industry Configuration Manager Industry Configuration Manager Role C User
79. 05 12 45 PM i a a eet 1 544 J 3 274 4 4 MBA PE File name _ My Network F Adobe POF Files pdf Cancel Settings Dai P 3 Navigate to and select the appropriate PDF file You cannot insert a file of any Files of type other type 4 Click The Insert dialog box will appear Select SERFF Industry Manual Copyright 2011 National Association of Insurance Commissioners All rights reserved Page 242 of 345 SERFF End User Training Manual Insert Pages xX Insert File EMUtxt pdf Location Fage i First Last ir Page concel_ 5 Select the appropriate position for the new file The pages from the selected file will be inserted into the current document at the location specified 6 Select File Save from the main menu or click to save the changes amp Moving Pages in an Acrobat Document Adobe Acrobat allows you to rearrange the pages of a document using a simple drag and drop method 1 Open the appropriate document in the Adobe Acrobat program window 2 Select the Pages tab to open the thumbnail pane on the left side of the document E This pane can be widened by moving the mouse pointer to the line dividing it and the display pane The mouse pointer will turn into a double headed arrow Click and drag to the right to make the pane wider SERFF Industry Manual Page 243 of 345 Copyright 2011 National Association of Insurance Commissione
80. 11 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual File Download x EJ Some files can harm your computer IF the file information below looks suspicious or you do not fully trust the source do not open or save this file File name filing esport xls File type Microsoft Excel Worksheet From serlt nt naic org Would you like to open the file or save it to your computer Open Cancel More Info i Always ask before opening this type of file 7 Choose an action a Open launches Microsoft Excel and displays the export results b Save prompts the user to save the export file to a local or network drive c Cancel returns the user to the Select Export Objects screen d More Info provides more information for the user Export Objects The objects available for export are Filing Company Supporting Document Schedule Item Form Schedule Item Rate Rule Schedule Item and Company Rate Data Some objects such as the Filing Object only occur once per filing while others like the Company Object may return several records per filing Understanding the Export Result File When a single object is exported the resulting file is relatively easy to manage The fields are listed in the columns and each row is a new occurrence of the object For instance if the Filing object is selected each row in the result is a filing that met the search criteria SERF
81. 2010 By Frances Stuart The Author can add one or more items of Supporting Documentation in addition to the list provided which is generated from the state s Submission Requirements for the selected TOl Sub TOI Filing Type combination For each item of Supporting Documentation added the Author must provide a Name and Comments or one or more attachments The Author may also supply both comments and attachments e Any of the information on this tab can be modified until the time the filing is submitted with the exception of removal of any requirement items created from the state Submission Requirements list Once the filing has been submitted new or revised items can be added but the original submission cannot be changed or removed The State can define a requirement as Non Bypassable When the Author views the requirement the only available button will be Satisfy View Additional Information The view additional information button under the Supporting Documentation tab will display information provided by the state to assist the filer in completing the supporting documentation requirements SERFF Industry Manual Page 117 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual General Form Rate Rule su pporting State Companies Filing j Filing Information Schedule Schedule Documentation Specific and Contact Fees Correspondence pand All j ON 1 se Al
82. 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual 3 Click the button SERFF Industry Manual Page 338 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual SERFF Glossary Company A Company view is used to store all the pertinent information about an individual company When creating a filing the information for the company specified comes from data entered in the company view via the Companies link Also when a Contact document is created a user can specify companies on whose behalf they can file Users must have the Industry Configuration Manager role assigned to their ID in order to have the Add Company option A SERFF filing must have at least one but can have many companies listed on it depending on the states requirements for multi company filings Contact A contact is the authorized person responsible for the filing Most Industry SERFF users will only be able to view contact information Users must have the Industry Configuration Manager role assigned to their ID in order to have the Add Contact option A SERFF filing can have only one Contact Disposition When a Disposition Report is created for a filing the SERFF status of that filing is changed to Closed The filing is then moved from the My Open Filings The user can find any closed filings by
83. 35780 Save Apply Cancel SERFF Tracking XXMM 000535780 State Alabama Number First Filing AAA Life Insurance State Tracking Company Company p Number Company Tracking Number TOI 03 0 Farmowners Sub TO r 03 0001 Commercial Farmowners Product Name Farmowners Project Name Commercial Subject Oo O Due Date Send To Creator All Generate Reminder on Closed Filing D Yes No Save Apply SERFF Industry Manual Page 202 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual 2 Type the Subject and Due Date required fields and comments Send To Creator E All 3 Ifthe creator radio button is selected upon creation then the message will appear in the creator message center if the all radio button is selected then everyone who has access to the filing will receive the message in their message center Click the button The reminder will be displayed under the filing correspondence tab Reminders Subject Created By Created On Date Due Processed Reminder Stuart Frances 13 22 2009 03 04 PM 12 23 2009 Dispositions When a Disposition Report is created for a filing the SERFF status of that filing is changed to Closed The filing is then removed from the My Open Filings view The user can find any closed filings by using the Advanced Search The Disposition can be found on the Filing
84. 441 AlabamaLife Form Rate AAAL 126885443 AlabamaLife Form Rate AAAL 126885444 AlabamaLife Form Rate Company Name s Auto Club Life AAA Life Insurance Company Auto Club Life Status Requirement Name w Actuarial Memorandum i Actuarial Memorandum Life amp Health Requirement Last Modified Jan 27 2004 Actuarial Memorandum Life amp Health Requirement Last Modified Jan 27 2004 Actuarial Memorandum Life amp Health Requirement Last Modified Jan 27 2004 1 Select 5 N SERFF Industry Manual Page 120 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual 2 Select to confirm the action Microsoft Internet Explorer y x G re you sure vou wish to reset this supporting document item 3 The statuses have now been updated Supporting Document items have been updated Bypass Satisfy Reset Apply Filter Clear Filter Tracking Number State E Filing Type Company Name s Status Requirement Name All Actuarial Memorandum 1 AAAL 126885441 AlabamaLife Form Rate Auto Club Life k Actuarial Memorandum Life amp Health Requirement Last Modified Jan 27 2004 AAAL 126885443 AlabamaLife Form Rate AAA Life Insurance Company Actuarial Memorandum Life amp Health Requirement Last Modified Jan 27 2004 AAAL 126
85. 5 or 7 0 may notice differences in their actual screen display S For instructions on configuring your settings for other browsers including IE7 and Firefox please visit our website www serff com Start Internet Explorer by choosing Programs gt Internet Explorer or by clicking the desktop Internet Explorer shortcut Use the following instructions to configure your browser for optimal SERFF operation T Browser Settings for SERFF 1 Select Internet Options from the Tools menu SERFF Industry Manual Page 7 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual National Association of Insurance Commissioners Microsoft Internet Explorer File Edit View Favorites Tools Help bak amp 2 Mal and News tbs gPMeda 3 B Sp O y Synchronize Address j http pi naic org a Send To Bluetooth Show Related Links Sun Java Console MWE ABUT ME Ni mmittees amp Activities Jh vernment Relations Office making progress fogether Securities Valuation Office Internet Options FACILITATE THE FAIR AND EQUITABLE TREATMENT OF INSURANCE CONSUMERS Plier VEGE FAD EM DI NYELET BALE 2 Under the General Tab click Settings button in the Temporary Internet Files section Internet Options EAE General Security Privacy Content Connections Programs Advanced Home page A You can change which page to use for
86. 885444 AlabamaLife Form Rate Auto Club Life amp Actuarial Memorandum Life amp Health Requirement Last Modified Jan 27 2004 Clear Filter 4 Select ear Filter l il If is selected the window will show all requirements found in the filings Bypass Satisfy Reset Apply Filter Clear Filter Tracking Number State o amp Filing Type Company Name s Status Requirement Name Al i AAAL 126885441 AlabamaLife Form Rate Auto Club Life Actuarial Memorandum Life amp Health Requirement Last Modified Jan 27 2004 AAAL 126885441 AlabamaLife Form Rate Auto Club Life amp Third Party Authorization Requirement Last Modified Nov 18 2010 AAAL 126885443 AlabamaLife Form Rate AAA Life Insurance Company i Actuarial Memorandum Life amp Health Requirement Last Modified Jan 27 2004 AAAL 126885443 AlabamaLife Form Rate AAA Life Insurance Company A Third Party Authorization Requirement Last Modified Nov 18 2010 AAAL 126885444 AlabamaLife Form Rate Auto Club Life Actuarial Memorandum Life amp Health Requirement Last Modified Jan 27 2004 AAAL 126885444 AlabamaLife Form Rate Auto Club Life iy Third Party Authorization Requirement Last Modified Nov 18 2010 SERFF Industry Manual Page 121 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Supporting Documentation Using
87. AMOA Arizona Arkansas Australia British Columbia California Colorado Clicking on the Eiling Activity Messages Help link will open the following help page information Filing Activity MessagesHelp Filing Actwity Messages will be created when a state updates a filing or submits Correspondence These messages are also generated when a Filer Note is created on a Reminders due date or with Low Block warnings Select the action s for which you would like to receive messages by moving them from the list on the left to the list on the neht Remove items for which you no longer wish to recetve messages by moving them back to the list on the left Users will receive all action messages that are listed in the right list box In our example above this user will not receive any messages regarding low block warnings but will receive all other messages that they are listed as the Filing Author or have the Filing Manager Role in SERFF SERFF Industry Manual Page 155 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Remove actions that you no longer wish to receive a Message s 1 Click on the Settings tab Click on Message Settings the left side of the page Click on the type of Message s that want to move to the left list box In the example below Filer Note Created has been selected Infor Filing Activity Messages Fil
88. Acrobat files to be edited they must first be detached from the original filing annotations and or corrections must be made to the document the document must be saved as the edited version with a different file name and finally the edited version must be attached to the filing in either a Response Letter or Amendment The original Adobe file always stays with the original filing This lesson covers the following topics e Introduction to Acrobat Creating and Editing Acrobat Pages Marking Up an Acrobat Document Advanced Acrobat Features 4 4 J 4 Creating Forms SERFF Industry Manual Page 218 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Introduction to Acrobat Opening a File in Adobe Acrobat Adobe Acrobat allows you to open any PDF formatted file Below are the steps to open a file in Adobe Acrobat or you can also double click on an attached PDF file to open Adobe Click the Start Menu choose Programs then Adobe Acrobat Professional and click the name of the program you want to start You can also double click the Adobe Acrobat icon on your desktop to start the Acrobat program or double click a PDF file icon to start the program with that file open T Opening a File 1 Click or select File Open from the main menu The Open dialog box will appear i TempIccProfiles Acrobat Elements Update Activex Designer 7 0 Distillr
89. Admin Request User User who can make user admin requests on behalf of their instances EFT Roles C EFT User EFT User Role C EFT Report EFT Report Role Hoster Roles C industry Export Export Role for an Industry user Subscriptions SERFF Newsletter Tutorial Notification Additional Info indicates a required field 3 Click the button 4 Click button to verify the request SERFF Industry Manual Page 38 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Windows Internet Explorer Please verify that your email address is FStuarti naic org ae This is how the SERFF Help Desk will contact vou regarding this request IF this is not correct please press cancel to correct it mow i Cancel After the request has been submitted the submitting user will receive confirmation that their request was successfully processed The SERFF Help Desk will contact you when the new request has been processed Filings Billing Settings Filing Rules Templates User Preferences Instance Preferences Companies Contacts R Thank you Your user request has been submitted The SERFF Help Desk will notify you when your request has been successfully processed Would you like to make another user request Request New User Request User Update Request User Deactivate T Request User Update 1 Click the L Update Exist
90. All filings submitted that do not have HIPR enabled Sub Types of Insurance will not see the HIFR selections Ms 2 Click on the J button to advance to Step 10 SERFF Industry Manual Page 82 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Step 10 Final Filing Summary The final step in the Filing Wizard Step 10 represents a summary of the filing s for review and confirmation by the Author By clicking the J button the Author is able to navigate back to Step 7 of the Filing Wizard if changes are necessary Step 10 Final Filing Summary State TOI Sub TOI Filing Types Companies AAA Life Insurance Company Auto Club Life AAA Life Insurance Company Alabama 04 0 Homeowners 04 0001 Condominium Homeowners Rate Alabama 04 0 Homeowners 04 0001 Condominium Homeowners Form Auto Club Life Colorado 04 0 Homeowners 04 0001 Condominium Homeowners Rate Auto Club Life Florida P amp C Personal Lines PPA Rate AAA Life Insurance Company Auto Club Life Previous Finish Cancel amp Step 10 Final Filing Summary 1 Click the button to complete the Filing Wizard process The ope a a l i ili g completed filing s is available from the link see below At this point you have selected your state s TOI Sub TOI Filing Types and added the companies and contact s Your filing container has been created The next step i
91. Apply Cancel View Objection Letter Expand All Collapse All SERFF Tracking Number AAAL 126885444 State Alabama Filing Company Auto Club Life State Tracking Number Company Tracking Number TOI HO2G Group Health Accident Only Sub TOI HO2G 000 Health Accident Only Product Name Health Product Launch Dec 2010 Project Name HPL 2011 Status Draft Dear Frances Stuart Introduction Introduction Objection 1 3 If needed change the updated Schedule Items Select next to the item being updated Objection 2 Applies To SSO1WL Policy Contract Fraternal Certificate Whole Life Insurance Policy Form Comment Text The form that is attached is not the correct form for this request Response 1 Comments Please see the attached file for the requested changes Changed Items Form Schedule Item Changes Form Form Form Action Action Specific Readability Attachments Submitted Number Type Name Data Score _ Remove 5501WL POL Whole Life Initial 50 3 Health Rider pdf Insurance Policy Previous Version s A 5501WL POL Whole Life Initial i 3501WL Whole Life Date Submitted Insurance Insurance Policy Policy pdf 12 14 2010 By Frances Stuart No Rate Rule Schedule items changed No Supporting Documents changed ____ Add Schedule Item s 4 Click and select Schedule Item changes that belong with the Objection SERFF Industry Manual Page 177 of 345 Copyright
92. Changed to true Public Access Status of Agent Sold Application 140257190 was Changed to true Public Access Status of Third Party Authorization 140242036 was Changed to true Public Access Status of Readability Certification 140257191 was Changed to true Public Access Status of Statement of Variability 140257192 was Changed to true Public Access Status of Accelerated Death Benefit Supporting Documents 140257193 was Changed to true Public Access Status of Base Premiums 140257194 was Changed to true 8 5 10 Response Letter 125676295 for Filing AMAAL 126737026 was SUBMITTED Barbara 4 55 37 PM Hassell 4 When finished click 1 The user will be returned to the filing General Information The General Information tab contains the filing description and is Business Type specific It is designed to capture both the general information needed for a filing and the specific information requested in the NAIC Uniform Transmittal Document This information ts not editable once the filing has been submitted Alabama View General Instructions View Filing Log Product Name Homeowners Product Launch SERFF Tr Num AAAL 126885435 SERFF Status Draft TO 04 0 Homeowners State Tr Num State Status Sub TOl 04 0001 Condominium Homeowners Co Tr Num Co Status Filing Type Rate Date Submitted Not Submitted Disposition Date Effective Date Requested New Effective Date Requested Renewal Authors Frances Stuart General R
93. Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Form Schedule Using Templates SF The L_lmport Template button will be visible if the Author has created Schedule Templates See how to create Schedule Templates later in this lesson 1 Click the L Jmport Template button to import a Schedule Template General Form Rate Rule Supporting Companies Filing Information Schedule Schedule Documentation and Contact Correspondence Form Count 0 Select Form Form Edition Form Action Specific Readability Attachments Submitted O Name Number Date Type Data Score Delete Selected Add ImportTemplate Import p 2 Select the appropriate Template to import Click the button Select Template s to Import EA Template Name Template Owner Frances Stuart 3 The Form Schedule item has now been added to the filing General f Form Rate Rule Supporting State Companies Filing Filing Information Schedule Schedule Documentation Specific and Contact Fees Correspondence Form Count 1 Select Form Form Edition Form Action Action Specific Readability Attachments Sub g Name Number Date Type Data Score o FormA 9865 2010 ADV New v 0 F GodzillaExclusion pdf Remove SERFF Industry Manual Page 99 of 345 Copyright 2011 National Association of Insurance Commi
94. ERM CARE INSURANCE POLICY HOCH OMDEND FATIHG i Move the cursor to the appropriate spot using the arrow keys on the keyboard Use the delete key on the keyboard to Delete any text to the right of the cursor and the Backspace key to delete any text to the left of the cursor Enter any new text you would like to add in its place li Select File Save from the main menu or click to save the changes SERFF Industry Manual Page 241 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Adding Pages to an Acrobat Document While working on a document in Acrobat you can insert another file into the current document If you would like to insert only certain pages from a file simply save them as their own file Adding Pages 1 Open the document to which you would like to add pages in the Adobe Acrobat program window 2 Select Document Pages Insert from the main menu The Select File to Insert dialog box appears 2 x Select File To Insert 2005 February 3 8 2005 7 02 AM PO ABC COMPANY p access Level 1M PO airline Miltary Poli fe bsb_catalog pdf 2 PO ESBorder pdf s e2005 8 43 AM 112712005 9 39 AM s 212005 9 31 AM 1 24 2005 1 13 PM 1 20 2005 12 50 PM Gal CriticalbatesDocu 3 3 2005 1 50 PM POEMU pd 31212005 9 28 AM Gd etime 2 1 25 2005 10 47 AM TEA fd etime 3 8 2005 7 03 AM e AETS Manual 2004 2 24 20
95. F Document This lesson also includes editing an Acrobat file It covers changing text in a single sentence to deleting entire pages and adding new pages Adobe Acrobat is not a word processing program so editing features are not as simple as they are with Microsoft Word or WordPerfect Remember the reasons for using Acrobat are file size and the ease of transport through email not because it is a better word processing program Many times the document you would like to submit with your SERFF filing has already been created in a word processing program like WordPerfect or Microsoft Word Use the following steps to convert a Microsoft Word document to a PDF file There are similar steps for other word processing programs Create an Acrobat File from a Word Processing Program 1 Open the appropriate document in your word processor 2 Select Adobe PDF Convert to Adobe PDF from the main menu or click on the toolbar 3 You will be brought to the Save PDF file as dialog box SERFF Industry Manual Page 234 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Save Adobe PDF File As Save in E PYCS_ work t E cE EE be r ACCESS Acrobat History ETS ABC COMPANY policy pdf E P E F ktop PN My Documents May Computer ao File name My Network F Save as bpe PDF files Cancel we 4 Enter the
96. F Industry Manual Page 308 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual If additional objects are selected the columns showing the fields for the second object do not start until the end of the fields for the first object In the example below parts of the Filing Object Company Object and Supporting Document Object were all exported The first three fields SERFF Tracking TOI and Product Name are from the Filing Object The two tracking numbers represent the two filings returned The third column starts the Company Object fields Cocode and Company Name The first filing has one company the second filing has two Finally the last two columns are from the Supporting Document Schedule Item Object Note that the cell is empty for columns that do not apply for the row Thus the first three columns and the last two columns have no data for the rows that contain the Company Object SERFF Industry Manual Page 309 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Support ing Docum SERFF Company Supporting Document Name Tracking ent Status Transmittal Filing Fee Form Satisfied Readability Life Satisfied Forms Life amp Credit Satisfied Third Party Filing Bypasse Authorization Life d Cover Letter Life amp Credit Satisfied Life I
97. F Industry Manual Page 65 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual The Creator or Author can remove themselves as an author if needed This would prevent the Creator from getting unwanted messages about filings to which they are no longer responsible However the Creator or Author must select an additional author before they will be able to progress to Step 2 of the Filing Wizard Step 1 Create a Filing Asterisk image denotes required field Business Type Property amp Casualty Product Name Project Name Project Number Authors Hassell Barbara Stuart Frances Plesuchenko Kathy Scharz Fran Sulfaro Susan Thompson Tamara Windham Victoria Step 1 Create a Filing My 1 Click on the Business Type drop down box and select appropriate Business Type for filing If the setting has been pre determined in the users User Preferences this field will be automatically populated but can be changed if needed Enter Product Name for Filing Enter Project Name for Filing Enter Project Number for Filing gt e Assign Other Authors if needed Other Authors can also be added later in the process Highlight the name of the Other Author and click on the button 6 Click on the button to advance to Step 2 SERFF Industry Manual Page 66 of 345 Copyrig
98. Files Replaced Form For Rate Rules a Exhibit Name This is a list of Rate and Rules and various exhibit data being filed b Rate Rule or Page number This is the list of changes to the Rate Rule manual c Rate Action The type of rate action being submitted New Replacement Withdrawn Withdrawn d Previous State Filing number If rate data is being replaced or withdrawn the Previous State Filing Number field is displayed This field will not display if a Rate Action of new is selected Preview Template Previous Save Apply Cancel Template Owner Frances Stuart Industry Name aaalifeinsurancecompany Business Type property amp Casualty Schedule Type Rate Rule Schedule Template Name Select Exhibit Name Rule or Page Rate Action Previous State Filing Number Attach Document oO o Please Select Attach Files SERFF Industry Manual Page 133 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual 12 The Author attaches all forms Please see Attaching Files for Schedule Items for instructions 13 The Author may then click on one of the following three options Q Click the Previous button to go back a step b Click the button to cancel this action c Clic
99. Filing Type has been entered into the Name box under the general tab Open the Field Properties box and select Options Tab SERFF Industry Manual Page 299 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Radio Button Properties Button Style Export Value YEs Button is checked by default Buttons with the same name and value are selected in unison To create a set of mutually exclusive radio buttons fie where only one can be selected at atime give the Fields the same name but different export values F Locked 2 From the Radio Style drop down you have the choice of several different styles of radio buttons Circle Check Cross Diamond and Star For this example use the Circle style since it is the most common 3 In the Export Value box the default entry is Yes and will remain that way for this Field Property Click the Close button 4 With the Filing Type form field still highlighted copy and paste the field using the Edit menu keyboard shortcuts Ctrl C and Ctrl V or right mouse click the field and use the Edit menu in the pop up box When you Paste the new field will appear somewhere in the middle of the form Move the duplicated field under the first Type of Filing Life and Health Fitin Property and Casualty SERFF Industry Manual Page 300 of 345 Copyright 2011 National Associat
100. Free Filings 0 Note to Customer Thanks for using SERFF Close il Previous Next Block Name Date Created Block ID Product ID Unit Price USD Paid Ref ID TotalFilingUnits Units Used Units Remain Filing Block 2 8 2004 125000363 SER B 9 00 MA 400 T 400 i oO400 Users will receive a reminder message in their Message Center when their Units Remaining falls below 25 of the Total Filing Units and another block is not available This message serves as a reminder to order a new filing block Only one reminder per SERFF Industry Manual Page 13 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual block will be generated It is the company s responsibility to monitor their usage and remaining transactions to avoid being billed at a higher rate Billing Export Tool Pay as you Go customers may want to balance their monthly invoice against their transactions each month The Billing Export Tool will allow users to export their monthly transactions into a csv file which can be converted into an Excel file Filings Billing Settings Filing Rules Reports Templates 7 C DO Billing Profile Billing Profiles Billing Profiles 1 2 of 2 First Previous Next Last Instance Name L Customer SERFF Train 05 55555555 SERFF Train 06 66666666 1 Click on the Billing Export link 2 Choose the applicable Month and Year The report can only be genera
101. Image for Custom Stamp 3 Click on the button e My Computer My Network Places lite pages Backup of Desktop Missouri Logo pdr May Computer wj Missour Logo pdf fa My M IE ork F All Supported Formats SERFF Industry Manual Page 280 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Select Image for Custom Stamp File f CiDocuments and Settings Fstuart Des Sample Missouri Department of Insurance 1 out of 1 images OK Cancel 4 Click the Lo J button SERFF Industry Manual Page 281 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Create Custom Stamp Missouri Msoi Category Missouri h Department of Insurance Mame flogo o M Down sample stamp to reduce File size Select Image for Custom Stamp Help Cancel 5 Type a Category name and a Name for the image For this example we will title this category of Stamps Missouri and the name Logo 6 Click on button When you add a stamp annotation to a document you will now have an option of Missouri From the new option you will see the image named logo Tools Advanced Window Help a E eae ies Drawing Markups d T Text Edits ZOOM d Show Sign Here Adyanced Editing Missouri Department of Insurance Measuring Prin
102. J button to delete the Reviewer Note 3 A confirmation message appears confirming this action SERFF Industry Manual Page 199 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Message from webpage P You are about to delete this Note To Reviewer Are you sure Cancel 4 Click the M button Close 5 If you choose not to Delete click the button to save the Note to Reviewer as a draft The Submitted On field is blank When the Note to Reviewer has been submitted the Submitted On field will be populated with the date submitted and the draft icon will no longer be displayed Filing Notes Subject Note Type Created By Created On Submitted On Submitted By Notice Note To Reviewer Stuart Frances 12 14 2010 P J You are about bo submit this Note To Reviewer Are you sure 7 Aconfirmation message appears confirming the action SERFF Industry Manual Page 200 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Note To Reviewer for AAAL 126885443 Close SERFF Tracking Number AAAL 126885443 State Alabama Filing Company AAA Life Insurance Company State Tracking Number Company Tracking Number TOI HO2G Group Health Accident Only Sub TOI HO2G 000 Health Accident Only Product Name Health Product Launch Project Name HPL 2011 Created by Frances
103. Link Action i 0 to 4 page view Open a web page Custom link te al 3 Click on the button Look ir E Adobe Files d t ce be J Adobe Acrobat Internal Training Files va Certificate of Comp __ SERFF Files Tt certificates For Adi Suspected Trash Wh Certs For Albany vs 1Pages From ABT COMPANY policy pd Wh Certs For NY dor 5 Year Loan xls Certs For NY pdf T ABC COMPANY policy Document pdf Compare pdf vs ABC COMPANY policy pdf Cover Letter pdf vi ABC COMPANY policvbest pdf Declaration pdf My Documents vi acrobat complebe pdf P DeclarationModifiei vi Actuarial Memorandum pdf Draft pdf Cert For Albany doc P Form2004 pdf My each Cert For Albany 2 pd Wt Friendly Insurance Fie T Cert of Assumption Form 4pproval Procedures pdf Header Footer test My Network F Files of type All Files Cancel we 4 Select the file and location and click on button SERFF Industry Manual Page 268 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Linking a PDF Document to a World Wide Web Page This option does require that the user have connection to the Internet Internet Web Browser configurations can be altered by reviewing the information available in the Adobe Acrobat Help It is necessary to include the entire World Wide Web Link name 1 Complete steps one through five of the A
104. NY ABC Company a stock company will pay the benefits specified in the Exhibits of this policy subject to the terms and provisions of this policy The Schedule of Exhibits lists each Exhibit to this policy to whom it applies and its effective date ii a p amp a uy Policyholder AnyCompany Group Policy No XXXXX EFFECTIVE DATE This policy will take effect on October 1 1999 This policy replaces Group Policy Number YYYY Y which was issued by ABC Company and took effect on October 1 1997 POLICY ANNIVERSARIES 5 50 x 11 00 in 4 d Ka so NOOO IH E 3 Select the text you would like highlighted The text will be highlighted with a yellow color T You may need to click away from the text to see the highlight color 4 Select File Save from the main menu or click A to save the changes SERFF Industry Manual Page 259 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Changing the Highlight Color The default color for the Acrobat Highlighter is yellow However you can use multiple colors or change the color you highlight the text with Use the following steps to change the highlight color 1 Open the appropriate document in the Adobe Acrobat program window E File Edit View Document comments Tools Advanced Window Help fal g a py Frb Create POF B Comment amp neo G ee Send for Review A f z
105. National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Company Maintenance Company information for an instance can be accessed and edited by clicking the Companies link under the Settings tab When creating a filing the information for the company companies comes from data entered here Most SERFF users will only be able to view company information Users must have the Industry Configuration Manager role assigned to their ID in order to add or edit company information Filings Billing Settings Filing Rules Templates User Preferences Instance Preferences Companies Contacts One or more companies will need to be set up before filings can be made Companies can be added updated activated or deactivated Adding a Company 1 Click on the Settings tab 2 Click on the Companies link Click the button Enter the NAIC Company Code CoCode for the company to be added or check Allow Empty CoCode if the company to be added does not have an NAIC Company Code Please check Allow Empty CoCode checkbox or enter a CoCode CoCode Industry Instance aaalifeinsurancecompany W Search Tips Allow Empty CoCode O cn a eee edit a company If the CoCode you enter is Cancel already assigned to a company you will be allowed to view and if you choose modify or add the company 5 Click the Create button Ifthe CoCode entered already exists th
106. Number TOI HO2G Group Health Accident Only Sub TOI HO2G 000 Health Accident Only Product Name Health Product Launch Project Name HPL 2011 Submitted by N A Subject Status Comments What is the status of this filing Apply Cancel After clicking the button the user can then click on the Filing Note subject link The user can then Edit Delete or close the Filer Note Filer Note for AAAL 126885443 Edit Delete Close SERFF Tracking Number AAAL 126885443 State Alabama Filing Company AAA Life Insurance Company State Tracking Number Company Tracking Number TOI HO2G Group Health Accident Only Sub TOI HO2G 000 Health Accident Only Product Name Health Product Launch Project Name HPL 2011 Created by Frances Stuart on 12 14 2010 04 15 PM Submitted by w a Subject Status Comments What is the status of this filing Edit Delete Close All Filer Notes are located under the Filing Correspondence tab of the filing The Filing Notes section lists all notes whether it is a Filer Note or a Note to Reviewer as well as the respective Created On date SERFF Industry Manual Page 196 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Filing Correspondence Objection Letters No Objection Letters Amendments No Amendments There are no draft Schedule Items to submit in an Amen
107. Number If rate data is being replaced or withdrawn the Previous State Filing Number field is displayed This field will not display if a Rate Action of new is selected This is required field SERFF Industry Manual Page 102 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Rate Rule Schedule LAH The Author completes any Rate Rule Schedule items under the Rate Rule Schedule tab The information in this tab can be updated post submission All Rate Rule related attachments will be attached here General Rate Rule Supporting State Companies al nd Contact Correspondence o Information Schedule Schedule Documentation Specific Add Rate Data yes No Filing Method Rate Change Type Please Select Overall Percentage of Last Rate Revision Effective Date of Last Rate Revision Filing Method of Last Filing Company Rate Information Company Company Rate Overall Indicated Overall Rate Written Premium of Policy Holders Written Premium for Maximum Change Minimum Change Name Change Change Impact Change for this Affected for this this Program where required where required Program Program Auto Club Please Select 7 A 5 Life A Edit Rate Review Detail Product Types 8 Number of Policy Holders
108. Number AAAL 126885435 State Alabama First Filing Company AAA Life Insurance Company State Tracking Number Company Tracking Number TOI 04 0 Homeowners Sub TOI 04 0001 Condominium Homeowners Product Name Homeowners Product Launch Project Name HPL 2010 Date Submitted Comments Here is my amendment Changed Items Form Schedule Item Changes Form Form Edition Form Action Action Specific Readability Attachments Submitted Name Number Date Type Data Score FormA 9865 2010 ADV New 0 2 Revised GodzillaExclusion pdf Previous Version FormA 9865 2010 ADV GodzillaExclusion pdf Date Submitted 12 14 2010 By Frances Stuart No Rate Rule Schedule items changed No Supporting Documents changed Submit edit Delete Close The Date Submitted field is now populated with the date and time the Amendment was sent to the State General Form Rate Rule Supporting State Companies Filing Filing Information Schedule Schedule Documentation Specific and Contact Fees Correspondence Objection Letters No Objection Letters Amendments Comment Created By Created On Date Submitted Here is my amendment Stuart Frances 12 14 2010 12 14 2010 04 07 PM SERFF Industry Manual Page 190 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual PDF Pipeline PDF Pipeline provides users with the ability to create a single PDF fi
109. ONS ate 5 Once the text has been selected the Create Link dialog box will display Link Appearance Link Type SERS T Line Style Solid Highlight Style Invert Color E Line Thickness Thin Link Action G a0 fo a4 page view Open a file Open a web page Custom link cnal 6 There are four Link Action choices in the create link dialog box SERFF Industry Manual Page 265 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual The Link Action option on the Create Link Window allows users to define what action type the link will perform Go toa page view This action type will allow users to link to another place in the existing document Open File The Open File action type will allow users to create links to other documents that could PDF files or other file types Open a web page Establishing a World Wide Web Link will allow users to connect directly to a Web site by selecting the active link Custom Link This action allows you to create a link based off a variety of choices Linking within a PDF Document or to Another Document Adobe Acrobat does allow for links to be set that will connect users from a word or text phrase to another place within that PDF file or another document In addition links to other PDF files can also be established It is recommended that the connected file be in
110. P Liability and Non Liability 05 1 CMP Non Liability Portion Only 05 2 CMP Liability Portion Only 06 0 Mortgage Guaranty 09 0 Inland Marine 10 0 Financial Guaranty Sub Type of Insurance a 7 By _ lt meee v 04 0002 Mobile Homeowners 04 0003 Owner Occupied Homeowners 04 0004 Tenant Homeowners 04 0005 Other Homeowners 04 0000 Homeowners Sub TOI Combinations 04 0001 Condominium Homeowners gt gt A Find particular Requirement Highlight the Sub TOI s and click on the button Clicking on the button moves an entire list Click the button amp If you are looking for Submission Requirements that include or exclude a add that criteria by moving Requirements into the Included or Excluded selector boxes by using arrow buttons SERFF Industry Manual Page 60 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual View Submission Requirement 1 To open the Submission Requirement click anywhere on the Submission Requirement row T Users can return to their previous search results by clicking on the Refine Search button To return to the Find Submission Requirements page click on the New Search button and all search criteria will be refreshed Submission Requirements New Search Refine Search Submission Requirements Submission Requirements 1 10 of 10 First Previous Next Last
111. Review A f BARE JZ A JO beaa Q gt 3 ie Sf Bookmarks i 1 TT ol vy i D a o O E T Comments EW Options x A POLICY NOTICES S TABLE OF CONTENTS Db TABLE OF CONTENTS DEFINITIONS PREMIUM RATE S Ei PREMIUM RATECS Contir a Create PDF 105 Se ee ee pay D a i a Da E eee ee E a Li i th Tha SP eke Da a alk ii PP ee E tad agi w Te ii Pace Naik rg Poy Bis P Tahi polop mi aha aac oa Chuo 1 Te T i paie pe ee Takoy Handia TTT iei e k dog ADU Doe a h he a 1 da j Bir akiai Pie pf et Li ed ne Pert dee eee i T BRE Lis Sa jE i i hanaj la mia hy D Eiei pb ee ri ihi anne meer r ioy a mp ly ere Fe ka ates od or ainin dog tale Finin ie en eee kjeiar Dai ki hay cl PEY aT Timi pobos i riiim a dhiri y aal arribal Dy nee a L j a ee LE berimi igi Cnn jiii je a Ses Cee eee ee eee HGRA CONTRACT a EP TA EE OE OF iii Ad A TGC MT HOT Cor ALL THE Diri a A TE i bd TERM A i Br MEGLE Dr THE AERA eS THE BYER ik A TO CARL AGA ALL PUY LATAH GAP OAL Lin de kE hikab Pi AeA ee 2 Right mouse click on the title of a bookmark in the bookmark pane A shortcut menu will appear SERFF Industry Manual Copyright 2011 National Association of Insurance Commissioners All rights reserved Page 230 of 345 SERFF End User Training Manual h POLICY NOTICE S IPETABLE OF CONTENTS DS TAB Go to Bookmark i DS DEF Cut Chrl e Han e HA PRE S
112. Rules Reports Templates essages Search Create Filing Form Rate Rule l Supporting i Filing Schedule Schedule Documentation Correspondence Form Count 9 Lead Form Number Schedule Item Form Forn Form Action Action Specific Readability Attachments Status Number ype Name Data Score SSO1WL Whole Life Initial 50 3 5501WL Whole Life Insurance Policy pdf Insurance Policy T New items may also be added while in Revise mode by clicking on the Add Schedule Items button 4 Make necessary changes to the Schedule Item Form Rate Rule Supporting Filing Schedule Schedule Documentation Correspondence Form Count 9 Lead Form Number Schedule Item Form Form Form Action Action Specific Readability Attachments Status Number Type Name Data Score Undo Draft 5501WL POL Whole Life Insurance Polid initial v 50 3 Attach Fi 550i1WL Whole Insuran Policy p Previous Version s A 5501WL POL Whole Life Insurance Initial 50 3 SSO1WL Life Ins Policy Policy T When revising a Schedule Item a new line in white is automatically populated with the information from the original version in grey because many of the items may not change Please refer to the area pertaining to Forms Schedule Item Changes All fields and attachments can be changed in order to respond appropriately to the Objection Letter SERFF Industry Manual Page
113. SSOCIATED WITH LONG TERM CARE BY THE BUYER CURING THE PERRO OF GOVERAGE THE BUYER IS ADVISED TO CAREFULLY REVIEW ALL POLICY UMTATONS e o SS g 3 Click and drag the appropriate thumbnail page to its new location which identified by a blue line under the page number Acrobat will cut the entire page and paste it to the new location 4 Select File Save from the main menu or click to save the changes SERFF Industry Manual Page 244 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Deleting Pages in an Acrobat Document Adobe Acrobat allows you to delete unwanted pages from a document Below are the steps to delete pages in an Adobe Acrobat document 1 Open the appropriate document in the Adobe Acrobat program window 2 Locate the pages you wish to delete from the document You will need to know the page numbers 3 Select Document Pages Delete from the main menu The Delete Pages dialog box appears Delete Pages x Selected From ft To fi of 19 ms 4 Enter the appropriate page numbers and click OK l The pages will be removed from the document 5 Select File Save from the main menu or click to save the changes SERFF Industry Manual Page 245 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual S Extracting Pages from an Ac
114. Stuart on 12 14 2010 04 17 PM Last edited by Frances Stuart on 12 14 2010 04 19 PM Submitted by Frances Stuart on 12 14 2010 04 19 PM Subject Notice Comments Notice to reviewer A Note to Reviewer may be sent with the original submission of the filing as well as on a closed filing provided the states have not disabled this option Submitting a Note to Reviewer on a closed filing is beneficial if the user needs to change an effective or implementation date or to ask that the filing be re opened for another purpose t is important to note that attachments may not be added to a Note to Reviewer on a closed filing When States Restrict NTR on Closed Filings Some states will not accept a Note to Reviewer on a Closed Filing In this instance there will not be a Create Note to Reviewer button at the bottom of the page Some states my provide an explanation in place of the button if there is no explanation then that area will just be left blank SERFF Industry Manual Page 201 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Reminders Reminders are user defined messages that will be sent to the Message Center are there due date amp Create a reminder Add Authors Update ang edu Set Confidentiality Create Reminder Move to Workfolder PDF Pipeline 1 Open the filing click the button Reminder for XXxXxX 0005
115. Summarize Comments Choose a layout type A summary document will be prepared listing all annotations in the PDF file See an example summary document below SERFF Industry Manual Page 232 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Summary of Comments on Changes to the G 2130 S policy form Page 1 Sequence number 1 Author FStuart Subject Note Date 2 14 2006 4 44 50 PM iiaii Sequence number 2 Author FStuart Subject Highlight Date 8 14 2006 4 44 57 PM Page 3 Sequence number 1 Author FStuart Subject Approved Date 2 14 2006 4 45 16 PM as SERFF Industry Manual Page 233 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Creating and Editing Acrobat Pages Adobe Acrobat Professional allows users to convert existing files into a PDF File format There are a few ways this can be completed depending on the original file formats Microsoft applications such as Word Excel and PowerPoint are easily converted using the Create Adobe PDF toolbar icon Other applications other than Microsoft products can also be converted fairly easily Image files such as Bitmap s or JPEG s can be converted into an Acrobat file This lesson contains information about converting a Microsoft document a non Microsoft document and an image file into a PD
116. Table of Contents POOUUTINS COUS Guinne a E E O aaa es 5 Using this M nual ccccccccceccecceeeceeeeeeseeceeeeeeseeeeeeseeeeeeseesaeeaeeseeseeeseeseeeaeeges 5 Conventions Used In This Manuall ccccccseeceeceeeteeeeeeceeteeeeseceeeeeteeeeeeeaes 9 OSSO orr tac at aeat ator amaresandnninageen ean teteswauatduamiamnteanaatatecunudatacesadetcadnaaentads 6 Browser COMM GUIALION vacen seexsccvecuxee a EA NE T SERFF Tracking NUMDO sciis a E eunama 12 SERE FTE ING asear AAE 13 SERFF WEDS Esna E 14 PCCESSING SEIN ar sorrereorrt eer erR Reheeeeas 15 SERFF ROOS irriba ar monic dtoamaitaeriaadasviaeeimandanaain 16 ONNE HEID ariaa a IT TEETE TE 17 LOSCO Z oE E a a ved E sueauen 18 SEREF EOI e A A el dlcla deans aapheastatels 19 SERFF PISSWO S ainega A E N A a A 20 INES ERFF WOKS PACE eiere eat ietedad dette tel iniaded eel ue 23 User PICTCION GOS sdasesassesesdnssdacndaandsacdnaaddasdaand Saadoaad Sel nasdsasdnaaddascncedaesidnaaigeddonades 24 INSTANCE PICTCTONCES icncss cise tanaveseicaciiaatanavinetasciaaktaucuinktanc ean l 26 Company Maintenance ccccccecceecceeeceeeceeeceeceeeceeeceeeseeeseeeseeseueseeeseeeseeeaes 29 SONTAG Mantena NCE sancssnsaacdaceussavassnandcassoanednssatanadenaatantuana ncduassnendeasanenduase oars 34 New User Update Request FOr ccccccecceecseeceeeeeseeteeteeeeueceeeeseseeteeaaes 37 BOSSON Pera tecanerses alas tee cert se core pace runnin eae ee eee narnia ae eee ee 42 FIMAGIR
117. Templates SF TheL J button will be visible if the Author has created Supporting Documentation Templates See how to create Supporting Documentation Templates later in this lesson 1 Click the Template J button to import a Supporting Documentation 2 Select the appropriate template to import Click the ulin button Select Template s to Import Import close Template Template Owner 2010 Annual Illustration Certification Barbara Hassell d C 2010 MLTA Riders Supporting Documents Victoria Windham d Annual Illustration Certification Kathy Plesuchenko Import Close Import 3 Click the button to initiate a row where Supporting Documentation data will be entered 4 The Supporting Documentation Template has now been added to the filing SERFF Industry Manual Page 122 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual By El Name Annual illustration Certification Comment P aaa la cert 2010 doc pdf Remove State Specific Fields The State Specific Fields tab holds additional fields that are required by the state to which you are filing These are required fields and must be completed prior to submitting the filing to the state The state may define up to ten State Specific Fields If a state does not have State Specific Fields defined this tab will not appear on the filing General Form Rate Rul
118. UIES OVERVICW sconieincesiosecmmuieseuoaicsaeeaicsaseeaielaueuateiaeeaiciqusateiesonatesaven 43 ROGUrSmMEN See rseec tt taanteoacnateeuenctnaacaateatuneat paeeao eoueeon eee tae a eae 43 SS CV aN IS IC ONS aA AAE AOON 46 Search GENES ALAS MUST OVS sera ectiterodccciteaecinaitncosaatiten A 48 WOES OF INSURANCE cxtsc52 ccccscanetenscuseducscecsdunscsaedeesexcedvetasedees acediosacutecsexcedsenst 50 SUDMISSION REQUINGING AS sepii a A 54 LESSON Fora a aa aa a aa a poe eee cee 62 Create a FINNO xc2cscncsracecactcasaccsecaghcanzcaeazaaceeaivaadeaenaead aon eaadee sa naedae aeacdad aemaeeaaee 63 Create a Single Multi State Filing cece cccccececeeeeeeseseseeeseeeceeseeeseeeeeeees 65 Pe PING atta Glance arre a leds pouadetnoesetedeea ten 84 LARRINOA GaN CE ee ee 86 BB PEMAOS e cere en near eee tee re ne ee re 88 Bypass cee a E aatoaacdnetatelnanem re eaten 113 TEMOS LSS iarrar EEN EAE 130 Comidentallly psc n ROER 143 EESE AEE APEE A A ETE E E T E EE E 146 MY Open FING S siventvsutescswsdiovatooaiveuinsuievelnsniosedeondasudesiiceulestacuntestevonivetiueuloiutes 147 Most Recently Viewed FIllNGS ixcceciectseieiiesiteiieibeeisieieniieGetiien ee 147 Message C eMe Gemeente eee eae ene toe One oe atl EA 149 POSL SUDIMISSION WU POA le borau r SS 159 Responding to an Objection Letter ccccecceccceecceeeceeeeeeseeeseeeseeeseeeseeeaes 167 AIMOENIGIISING sipsipan EE ENSEN 183 POF FOC HINGE cuna EN EAEN ea Ee OR ANE 191 Filer N
119. User Deactivate SERFF Industry Manual Page 41 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Lesson 3 Filing Rules contains information regarding state General Instructions Types of Insurance Requirements and Submissions Requirements This lesson looks at where information can be found that pertains to how a user needs to prepare and submit filings in SERFF This lesson covers the following topics Filing Rules Overview Requirements General Instructions Types of Insurance 7 4 4 4 4 Submission Requirements SERFF Industry Manual Page 42 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Filing Rules Overview The Filing Rules tab contains the state specific information needed to submit a filing It is created and managed by authorized users from each state Filing Rules includes Requirements General Instructions Types of Insurance TOI Sub Types of Insurance Sub TOls and Submission Requirements Industry users can browse the information in Filing Rules when preparing filings Filings Billing Settings Filing Rules Reports Templates Requirements General Instructions Types of Insurance Submission Requirements e Requirements Items that need to be submitted on a filing These become Supporting Documents on SERFF filings e General Instructions I
120. View General Instructions View Filing Log Product Name Health Product Launch SERFF Tr Num AAAL 126885444 SERFF Status Submitted to State TOI HO2G Group Health Accident Only State Tr Num State Status Sub TOl HO2G 000 Health Accident Only Co Tr Num Co Status Filing Type Form Rate Date Submitted 12 14 2010 Disposition Date Implementation Date Requested Authors Frances Stuart SERFF Industry Manual Page 162 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual SERFF Industry Manual Page 163 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual On the filing correspondence tab the filing author can view the post submission that was submitted to the state Post Submission Updates Status Created By Created On Submitted By Date Submitted Processed By Date Processed 12 14 2010 12 14 2010 02 30 PM Eg Submitted Stuart Frances Stuart Frances Once the state has reviewed your Post Submission Update the filer will receive a message in your SERFF Message Center advising that your request has been allowed or disallowed Message Remove Message Move to Workfolder Post Submission Update ALLOWED for Filing AAAL 126885444 Attn Frances Stuart Sat z Dec 2010 Co Tr Num Type Of Insurance H02G Group Health Accident Only State Tr Num Sub Type Of Insur
121. a location that all users have access to amp To Establish a Link within the Same Document 1 Complete steps one through five of the Adding Links to Adobe Acrobat Document within this lesson 2 With the Create Link Window open under Link Action click on the Go to a Page view radio button SERFF Industry Manual Page 266 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Create Link Link Appearance Link Type te ole Rectan F Line Style Solid Highlight Style Invert Color Line Thickness Thin Link Action ie a0 fo 4 page view Open a file Open a web page Custom link cnal 3 Move to the linked destination Create Go to Yiew xX Use the scrollbars mouse and zoom tools to select the target view then press Set Link to create the link destination Cancel 4 Click the J button OR To Establish a Link to another Document 1 Complete steps one through five of the Adding Links to another document within this lesson 2 With the Create Link Window select open a file SERFF Industry Manual Page 267 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Create Link Link Appearance Link Type Visible Rectangle Line Style Solid Highlight Style Invert Color Line Thickness Thin
122. accessed by industry users to perform most SERFF related tasks State Specific Fields State Specific are unique fields to an Electronic and Paper Filings Any company submitting through SERFF to your state will have a State Specific tab on their filing that contains the fields you specify on the state instance view These fields are text only fields and are not fixed length fields There are up to 10 fields that can be used for Electronic Paper filings States may provide information regarding the expected entry for those fields in their General Instructions document Submission Requirements For each filing combination Type of Insurance Sub Type Filing Type there is a set of submission requirements that must be met for the state to receive the filing for review SERFF Industry Manual Page 344 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Type of Insurance A Type of Insurance is used to organize the lines of insurance which a state is accepting through SERFF and any sub types that fall under them User Preferences A User Preference is designed to allow the SERFF Application to be customized to the specific needs and work processes for a single user of SERFF The User Preferences inherits some of its values from the Instance Preference The User Preferences contains the following information e Contact Information update users cont
123. act information e Industry Preferences set Default Industry instance and Default Business Type SERFF Industry Manual Page 345 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved
124. age will appear SERFF Industry Manual Page 130 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Create Schedule Template Template Owner Frances Stuart Industry Name aaalifeinsurancecompany Business Type property amp Casualty ae pe 3 Select the Business Type Property amp Casualty 4 Select the Schedule Type Form hai Supporting Document er A m FateiRuyle l R 5 Click the button Create Schedule Template Mext Cancel Template Owner Stacie Donner Industry Name MAIC Business Type Property amp Casualty a Schedule Type Form e The following page will appear SERFF Industry Manual Page 131 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Preview Template Previous Save Apply Cancel Template Owner Frances Stuart Industry Name saalifeinsurancecompany Business Type property amp Casualty Schedule Type Form Schedule Template Name Select Form Form Edition Action Action Specific Readability Attachments F Name Number Date z Data Score Form Type Legend ABE Application Binder Enrollment ADV Advertising BND Bond CER Certificate CNR Canc NonRen Notice DEC Declarations Schedule DSC Disclosure Notice END Endorsement Amendment Conditions OTH Other
125. al Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Find Submission Requirements State Instances Alabama AlabamaLife Alaska AlaskaLH Arizona ArizonaLlh aan Arkansas ArkanzasLH TE California California LAH Requirement Name Included Text aaa O Starts With Contains O Equals Enter text that should be in the requirement name Excluded Text Equals Enter text that should not be in the requirement name starts with Contains PCM Types Of Insurance 01 0 Property 02 1 Crop 02 3 Flood 03 0 Personal Farmowners 04 0 Homeowners 05 0 CMF Liability and Non Liability 05 1 CMP Non Liability Portion Onhy 05 2 CMP Liability Portion Onhy 06 0 Mortgage Guaranty 03 0 Ocean Marine Find Submission Requirements for State Instances that have implemented the Product Coding Matrices PCM e PCM Types of Insurance A standardized naming convention for Types of Insurance defined and adopted annually by the Operational Efficiencies Working Group and implemented by states This standard naming convention demonstrates uniformity and consistency while also allowing the industry to easily identify the Type of Insurance to file in any SERFF Industry Manual Page 55 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual state There are two Product Coding Ma
126. al Page 2 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Introduction The System for Electronic Rate and Form Filing SERFF is a smart Internet application designed to provide an efficient process for rate and form filing The SERFF application provides for the submission of electronic rate and form filings and facilitates electronic storage management analysis and communication regarding filings and their disposition The system is designed to improve the accuracy of rate and form filings speed approval processes and reduce the time and cost associated with the regulatory filing process Using SERFF insurance companies submit rate and form filings to the State Departments of Insurance for approval of newly developed products as well as rate or other changes to existing products The NAIC Membership has established SERFF as the premier vehicle for rate and form filing SERFF is accepted in nearly all jurisdictions for almost every line of business more than any other electronic rate and form application SERFF promotes uniformity and has the added benefit of supporting the flexibility states need to accommodate their differing requirements and laws SERFF itself is a Speed to Market tool providing ease of use and offering a wide range of functionality SERFF demonstrates the NAIC Member s commitment to uniformity by incorporating NAIC Member endorsed
127. all search field criteria so that a new search may be started Takes user back to the search criteria display without clearing the previously entered search criteria SERFF Industry Manual Page 45 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual View Requirements 1 To open the Requirement click anywhere on the Requirement row Requirements New Search Refine Search Requirements Requirements 1 3 of 3 First Previous Next Last Instance Name amp Name New HampshireLH Actuarial Memorandum New shire New HampshirePc Actuarial Memorandum with Rates Actuarial Memorandum 2 The Requirement information and any related attachments are displayed 3 Click the button to go back to the previously displayed search results View the Actuarial Memorandum Life Variable Annuity Requirement Return to Search State Instance TennesseeLaH Name Actuarial Memorandum Life Variable Annuity Description Any filing that includes a form that develops cash value must include an actuarial memorandum Business Type Life Accident Health Annuity Credit View Category Life Variable Annuity Attachments Wo Attachments Author Stotzer Vicky General Instructions General Instructions contain overall filing information advising companies how they should submit SERFF filings to a particular state instance
128. ance H02G 000 Health Accident Only Filing Type Form Rate Company Auto Club Life From Frances Stuart Contact Victoria Windham Message Received 12 14 2010 02 33 PM State Alabama Event Detail Post Submission Update 125006338 for Filing AAAL 126885444 to Alabama was ALLOWED State Comment The request has been approved After allowing the update the icon and wording in Filing at a Glance changes as does the status of the request If the request is disallowed the icon above Filing at a Glance is removed and the request status is changed to Disallowed amp Post Submission Updates Status Created By Created On Submitted By Date Submitted Processed By Date Processed 6S Allowed Stuart Frances 12 14 2010 Stuart Frances 12 14 2010 02 30 PM Stuart Frances 12 14 2010 When a request is approved the applicable fields on the filing are updated Fields that has been changed post submission will have an icon next to them representing changed data This icon does not appear if the change was not approved SERFF Industry Manual Copyright 2011 National Association of Insurance Commissioners All rights reserved Page 164 of 345 SERFF End User Training Manual SERFF Industry Manual Page 165 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual View Approved Post Submission Updates 1 Click on the schedule tab to view the ap
129. ary L Trust LJ Non Employer Group LI Other If Individual is selected see below fields for Individual Market Type are presented Market Type Individual HIPR Field Help Individual Market Type _ Individual L Non Employer Group Individual e Effective Date Requested New or Renewal P amp C only This is the effective date the company is requesting their product be available to sell It is not necessarily the date the filing officially becomes effective The State Insurance Department will determine the definitive effective date This is also where the company can indicate the different effective dates for new or renewal business P amp C only e Add Rate Data Filers can indicate whether they will provide information relevant to rates with this submission This setting can be overridden on individual filings Wherever rates are involved the filer must select the Yes radio button to Add Data This process is encouraged in the filing wizard or can be completed on the Rate Rule Schedule The state will require rate data on PPACA related rate filings and in that instance the rate data will always be a required and can not be overridden by the industry filer e Status of Filing in Domicile This field is used to indicate the status of a product filing in a company s domiciliary state This is not a required field e Date Approved in Domicile LAH only Date contract or other filing or form filing was approved in
130. ate the field was changed 3 The user can click the link to be taken to the Post Submission Update for that change Note The post submission update will show the changes in bold SERFF Industry Manual Page 166 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Rate Information Rate Info Applies Yes Filing Method Filing amp Use Rate Change Type Increase Overall Pct of Last Revision Effective Date of Last Revision Filing Method of Last Filing Company Overall Overall Rate Written of Policy Written Maximum o Name Indicated Impact Premium Holders Premium for Change wheres Change Change for this Affected for this Program required Program this Program AAA Life 5 650 2 560 10 000 1 000 500 6 560 Insurance Company America s Best Company Responding to an Objection Letter If a filing does not meet all of a state s filing requirements an Objection Letter will be created by the state An Objection Letter requires the Author or another user to submit a Response Letter which may include one or more Schedule Item revisions or additions The Reviewer will create Objections while reviewing the filing which will be inserted into an Objection Letter and sent to the Author indicating what needs to be revised and or added The Author will receive a message in the Message Center stating that an Objection Letter has been rece
131. ate Rule Supporting Companies Filing Information Schedule Documentation and Contact Correspondence These fields may also be entered during the Filing Wizard e Project Name The Author may enter a project name for this filing e Project Number The Author may enter a project number e Status of Filing in Domicile Place to indicate the status of company s authorization to file in state This is not a required field e Filing Status Changed The Date the status of the Filing changed SERFF Industry Manual Page 91 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual e State Status Changed The Date the State status changed e Domicile Status Comments Additional comments may be added in the field e Corresponding Filing Tracking For those states that do not accept a rate and a form in the same filing the Author can use this field to reference the Form Rate SERFF Tracking Number e Reference Organization if applicable The name of the advisory organization i e ISO NCCI AAIS etc or an Insurance Company name if me too filing is permitted Some states allow companies to reference another company s filing A me too filing is when one company adopts another company s filing Usually they are not part of the same group You should check with each state to determine their rules on these filings If permitted use this area to indicate eit
132. ate Action Information is displayed This is a required field Rate Rule Schedule 1 Select radio button if Rate data applies or does NOT apply to filing If does NOT apply to filing is selected rate related fields will not display The Rate Rule Schedule defaults to does NOT apply 2 If Rate data applies to filing complete the appropriate fields 3 Click on the Button to add Rate and or Rule data and file attachments Exhibit Name Rule or Page Rate Action Previous State Filing Number Attach Document Submitted l Please Select Attach Files Import Template The P amp C Rate Rule schedule contains the following fields e Exhibit Name This is a list of Rate and Rules and various exhibit data being filed e Rate Rule or Page Number This is the list of changes to the Rate Rule manual e Rate Action The type of rate action being submitted New Replacement Withdrawn e Previous State Filing Number If rate data is being replaced or withdrawn the Previous State Filing Number field is displayed This field will not display if a Rate Action of new is selected SERFF Industry Manual Page 108 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual amp The LAH Rate Rule schedule contains the following fields e Document Name This is the name of the data being filed e Affected For
133. aunch Dec 2010 Project Name HPL 2011 Objection Letter Status Under review Objection Letter Date 12 14 2010 Respond By Date Submitted Date 12 14 2010 02 50 PM Dear Victoria Windham Introduction Objection 1 Comments One or more of the required forms is missing from the filing The state of Alabama requires the following documents with this type of submission File 1 etc For more infomation on filing to Alabama please visit our website http www Objection 2 SSOLWL Policy Contract Fraternal Certificate Whole Life Insurance Policy Form Comments Text The form that is attached is not the correct form for this request 5 Click on the J button after reviewing The first step in the Response Letter process is to make the requested changes to the Schedule Items NOTE Do not click on the Respond button This will be the last step in the process amp Revising Schedule Items Tk Settings Filing Rules Templates ilings My Draft Filings Messages Search Set Confidentiality Create Reminder Move to Workfolder PDF Pipeline Add Authors l Update Change Schedule Items 2 The filing will be put into Revise Mode SERFF Industry Manual Page 170 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Filings om Settings Bian
134. ave this file pe Name SerfF Industry Productivity Report pdf Type Adobe Acrobat Document From serff int naic org While files from the Internet can be useful some files can potentially harm your computer IF pou do not trust the source do not open or save this file What s the risk 9 Click the button to open the file 10 Click the button to save the file SERFF Industry Manual Page 315 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual 11 Click the button to cancel this action SERFF Industry Manual Page 316 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved Create a Paper Filing SERFF End User Training Manual Industry users have the flexibility to enter their paper filings into SERFF making SERFF their sole repository for all filings Using the Paper Tracking feature SERFF allows users to have all filings both electronic and those submitted to states via other filing mediums stored in one place Searching Reporting and the Export Tool can be used to gather metrics on paper filings as well as SERFF filings The look and feel is much the same as an electronic filing and the industry has the option to enter as much or as little data as they deem necessary Paper Filing Wizard Definitions Save and Continue SERFF Industry Manual Move all states to the right column Move the s
135. b Type of Insurance Selector The Author selects the Sub Type of Insurance from the Filing Wizard Sub Type of Insurance Selector drop down For those states that have implemented the Product Coding Matrix and accept the Sub Type of Insurance Sub TOl specified the information will auto populate for each state selected SERFF Industry Manual Page 71 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual For the states that haven t implemented the Product Coding Matrix the Author will have to click on the drop down arrow next to the Sub TOl field to select the Sub TOIl for that state Multi State Filing Step 4 Select Sub Types of Insurance Sub Type of Insurance 04 0001 Condominium Homeowners v Selector Selected States Sub Type Of Insurance Alabama TOI 04 0 Homeowners Colorado TOI 04 0 Homeowners Florida TOI P amp C Personal Lines 04 0001 Condominium Homeowners 04 0001 Condominium Homeowners Please select a value Previous Next Add or Remove States Save and Close Save Cancel Single State Filing The Wizard Sub Type of Insurance Selector does not display in a single state filing Step 4 Select Sub Types of Insurance Selected States Sub Type Of Insurance Or Please selectavalue M TOI 04 0 Homeowners PEE EETA he Add or Remove States Save and Close Step 4 S
136. be uploaded to SERFF Fler File 2 File 3 Word documents and files over 3mb will not be allowed to be uploaded into the system 3 Select the appropriate file and click on Leen Choose file Look ir Er dad E r Fe fHealthComparfidavit pdf ri HealthTransmitkal 003 07 24 pdf History vi hipaainst worksheet pdf Ls Deskto m phs bly Documents My Computer ele File name May Network F Files of type All Files Cancel 2 SERFF Industry Manual Page 97 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual 4 Click on d button when all files are uploaded SERFF File Attachment Upload Attachments larger than 3MB or Microsoft Word tm documents cannot be uploaded to SERFF oo Bros Bris ES a Form Schedule Form Count 1 Select Form Form Edition Form Action Action Specific Readability Attachments F Name Number Date Type Data Score oO FormA 234 2010 ADV New Attach Files GodzillaExclusion pdf Remove 1 Click the Add button to initiate a row where Form data will be entered Complete the required fields The Author attaches all forms related items on the Form Schedule tab button in order to add additional rows and 4 Continue to click on the attachments SERFF Industry Manual Page 98 of 345
137. c EMF Correspondence SUM Mary Amendments EHE Amendment Letter Form Schedule Item Changes Form Schedule EHE Attachment Revised GodzillaExclusion o Filing at a Glance Companies AAA Life lnurance Company Auto Club Life Product Name Homeowners Product Launch SERFF Tr Num AAAL 1260035 Siete Alsberms TO 040 Homecsamers Sub TO 04 0001 Condemimum Homeowners Co Tr Mum Filing Type Rate Effects Date Requested Mewt Effects Dale Requested Renewal General Information Project Mame HPL 2010 Project Humber Rieterence Organization Reference Tithe Filing Status Changed 1242010 Slate Status Changed Created By Frances Stuart Comesponding Filing Tracking Number Filing Desorption cower letter Company and Contact Filing Contact information 17800 A Laurel Park Drive Livonia All 20162 3966 AAA Lite Insurance Company 17800 A Laurel Park Drive Livonia Ml 6762 3986 SERFF Status Submited io State State Tr Num Date Submited 12 14 2010 Disposition Status Effects Daie New Efecte Daie Renewal Status of Filing in Domicle WWindhamilaaalife com BOQLE24 1682 Phone 2075 Exi 734 506 6287 FAX GoGode TM FEN Number 52 0891929 Generate POF After clicking on the J button the PDF file will open in a new window Click on the individual bookmarks to navigate to the different sections of the filing Click on the button to save the PDF file outside of the
138. clicking on the name of the text box you want to view 8 The size of the form field can be changed to increase or decrease the field area Single clicking on the field will cause the field box to turn red and squares called handles will appear in the corners of the box Place the cursor over one of the boxes and note what you see amp Notice the double headed arrow that has appeared indicating that you can change the box With the arrow showing left mouse click and drag the box to the desired size and shape then release ANT 9 Once the form field is created you can test it by clicking the Hand Tool Li button This will activate the form and allow you to enter information just as the user would SERFF Industry Manual Page 292 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved S Formatting Text Form Fields SERFF End User Training Manual To ensure the information being entered by the users is consistent the text fields can be formatted Some of the formatting options that are available are date and time number and currency zip code telephone numbers and social security numbers You can also create custom formats to use with organizationally specific entries such as the SERFF Tracking Number 1 Company Name on Check Company Name Check Amount Check Amount Check Number Check Number Date on Check 03 10 2005 Check Date SERFF Industry Manual
139. ct the Read Only option to prevent the field from being modified by the user b Appearance The appearance properties determine how the form field looks on the page Remember if you select a background color you won t be able to see through to any graphics behind the form field SERFF Industry Manual Page 288 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual c Options In the Text Field Properties dialog box click the Options tab and then do any of the following 1 Select the text field alignment from the Alignment menu This sets the alignment of text within the text box it does not align the text box itself 2 Type the default value text for the text field You can leave the text box empty 3 Select Multi line to allow for more than a single line entry in the text field 4 Select Scroll Long Text to compensate for text that extends beyond the boundaries of the text field 5 Select Allow Rich Text Formatting to allow users to apply styling information to the text such as bold italic etc This might be useful in certain text fields where such styling information is important to the meaning of the text such as an essay 6 Select Limit of Characters to set a limit to the number of characters that can be entered in the field 7 Check spelling d Actions The Actions tab and specify any actions that you want to ass
140. ct the filings in which a Template will be added My Draft Filings Move to Workfolder Submit Selected Filings Import Templates Bypass Satisfy Delete Draft Filings or State E Product Name S Alabama Health Product Launch Dec 14 2010 Health Product Launch Dec 14 2010 Import Templates Select l Select the Template that should be added to the filing Filings 1 9 of 9 First Previous Next Last Frances Stuart Frances Stuart Draft Draft m 0O d SS My Select Templates for Multiple Filings Import Cancel Filter Templates Schedule Template Name Business Type Life Accident Health Annuity Credit 2010 Annual Illustration Certification Life Accident Health Annuity Credit 2010 MLTA Riders Supporting Documents Life Accident Health Annuity Credit Select The template has now been added to the two filings Draft Filings 1 templates were applied to the 2 selected filings Confidentiality Schedule Type Au v Supporting Document Supporting Document Template Owner An v Barbara Hassell Victoria Windham The Confidentiality option allows a user the ability to make a request that certain parts of a filing be kept confidential and not be made available via Public Access The pieces of the filing will be labeled with an icon to indicate a request for confidentiality The state reserves the option to override the request If the
141. ctober 1 PREMIUM PAYMENTS Thim elias cin eee os eee fee Hh mest Ls Hen Delia halen 3f ened Dee estes MO 5 50 x 11 00 i 4 Moai o bw oS 5 Select File Save from the main menu or click to save the changes SERFF Industry Manual Page 256 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Deleting a Stamp in an Acrobat Document Acrobat allows you to delete stamps from documents Use the following steps to delete a stamp 1 Open the appropriate document in the Adobe Acrobat program window Elle Edt view Document Comments Tools amp dvanced Window BGeAbAaE JV AA 47 h setect eG it ed O ms Note Tool Text Edits Stamp Tool Yer 4 E A 2 G the Exhibits of this policy subject to the terms and provisions of this policy The Schedule of Exhibits lists each Exhibit to this policy to whom it applies and its effective date Bookmarks Policyholder A pon APPROVED EFFECTIVE DATE 0 1 t io Ea This policy will take effect on October 1 1999 This policy replaces Group Policy Number YYYYY which was issued by ABC Company and took effect on October 1 1997 POLICY ANNIVERSARIES Policy anniversaries will be October 1 2000 and each subsequent October 1 PREMIUM PAYMENTS Thee malian in eed es end for Hho ie on Ihe thn Mielina das lola 3f ened Tees Tee ns oe B 50x11 00in 4 Gal
142. d User Training Manual A Filer Note is internal communication Only those users who have access to the filing will be able to read the Filer Note Filer Notes can be added to an open or closed filing General Form Rate Rule Supporting Information Schedule Schedule Documentation Objection Letters No Objection Letters Amendments No Amendments There are no draft Schedule Items to submit in an Amendment Post Submission Updates No Post Submission Updates Create Post Submission Update Dispositions No Dispositions Filing Notes Correspondence Create Filer Note Create Note to Reviewer Reminders No Reminders Create Reminder Filer Notes gt SS I Click the 4000 characters and is a required field SERFF Industry Manual Copyright 2011 National Association of Insurance Commissioners All rights reserved Click the Filing Correspondence tab Type a subject in the Subject Field this is a Required Field Type a comment in the comments field the comments section can contain up to Click the Attach Files button to attach related files Click the button to save the Filer Note Click the button to cancel the Filer Note Page 195 of 345 SERFF End User Training Manual Filer Note for AAAL 126885443 Save Apply Cancel SERFF Tracking Number AAAL 126885443 State Alabama Filing Company AAA Life Insurance Company State Tracking Number Company Tracking
143. d by the state to report to HHS Fields marked with an asterisk are required fields which will vary depending on the Company Rate Change selection All data that is entered by the company is for the company that you are submitting this rate related filing e HHS Issuer id The unique identifier as assigned by the HHS HIOS system This will be required upon submission for a PPACA related rate filing e Product Names The street name of the insurance product as sold by the insurance company This will be one string but may have commas in the data for other systems benefit This will be required on submission on PPACA rate related filings e Trend Factors Text description of trend factors and rating factors used in developing the rate e New Policy Forms A policy is a New issue if it has never been issued before HHS wants the names of all new policies listed here e Affected forms for Closed Blocks Demonstrates if the rate for the policy is open closed An open policy is one that is available for sale to new enrollees SERFF Industry Manual Page 104 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual e Other Affected Forms The insurer will list other affected forms Requested Rate Change Information Change Period Demonstrates the time for which the premium change is effective If there are multiple different change periods on products within the filing
144. date the Filing SERFF End User Training Manual Save Cancel Apply Auto Product Product Name SERFF Tr Num AAAL 126885557 TOI 19 0 Personal Auto v State Tr Num Sub TOI 19 0000 Personal Auto Combinations v Co Tr Num Filing Type Form Rate Date Submitted Effective Date Requested New EJ On Approval Alabama View General Instructions View Filing Log Effective Date Requested Renewal EJ On Approval SERFF Status Draft v State Status Co Status Please Select v EJ Disposition Date EJ Authors Frances Stuart General Information Schedule Project Name Status of Filing in Domicile Domicile Status Comments Filing Status Changed Company Status Changed Reference Organization Reference Title Assigned To Created By Corresponding Filing Tracking Number General Information Tab Rate Rule Filing Fees Supporting Documentation Companies and Contact Filing c Please Select 12 15 2010 Frances Stuart ndence Project Number State Status Changed Reference Number Advisory Org Circular Submitted By Unlike electronic filings all the data on the General Informatio
145. dding Links to Adobe Acrobat Document within this lesson e Many Web links utilize the standard appearance of blue underlined text It is recommended to create the original document with text that is blue and underlined for the location that the link will be inserted prior to converting it into a PDF file format Create Link F Link Appearance Link Type Visible Rectangle Line Style Solid Highlight Style Invert Color sal Line Thickness Thin Link Action i Go to 4 page view Open a file nee Custom link _ cnal SERFF Industry Manual Page 269 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual 2 Complete the Appearance features that apply to the link If the text of the PDF document is already blue and underlined you may want to make the Type Invisible Rectangle and to select None for the Highlight option 3 With the Create Link Window select open a web page 4 Click on the button x Enter a URL For this link wW Tac org cancel 5 Type in the complete Website address ex www naic org 6 Click the button Editing a link in a PDF Document You can edit a link at any time You can change its appearance associated link action delete or resize the link rectangle or change the destination of the link Changing the properties of an existing link affects only the c
146. dment Post Submission Updates No Post Submission Updates Create Post Submission Update Dispositions No Dispositions Filing Notes Created By Created On Filer Note Stuart Frances 12 14 2010 Reminders No Reminders ___GreateReminder__ SERFF Industry Manual Page 197 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Note to Reviewer A Note to Reviewer is sent to the Reviewer from the user It becomes part of the filing Note to Reviewer 1 Click the Filing Correspondence tab 2 Click the lL button General Form Rate Rule Supporting Companies Filing Filing Information Schedule Schedule Documentation and Contact Fees Correspondence Objection Letters No Objection Letters Amendments No Amendments There are no draft Schedule Items to submit in an Amendment Post Submission Updates No Post Submission Updates No Dispositions Filing Notes Subject Note Type Created By Created On Submitted On Submitted By geccesesscccceeseg Status Filer Note Stuart Frances 12 14 2010 Create Filer Note if l Create Note to Reviewer Reminders No Reminders Create Reminder Type a subject in the Subject Field this is a required field Type a comment in the Comments Field the comments section can contain up to 4000 characters and is a required field 5 Click the Attach Files button to attac
147. dustry Manual Page 336 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual 4 Type acomment in the comments field the comments section can contain up to 4000 characters and is a required field 5 Click the button to attach related files 6 Click the button to save the Filer Note 7 Click the button to cancel the Filer Note After clicking the button a preview of the Filer Note is displayed The Author can then edit delete or close the Filer Note Filer Note for AAAL 126885557 Edit Delete Close SERFF Tracking Number AAAL 126885557 State Alabama First Filing Company AAA Life Insurance Company State Tracking Number Company Tracking Number TOI 19 0 Personal Auto Sub TOI 19 0000 Personal Auto Combinations Product Name Auto Product Project Name Created by Frances Stuart on 12 15 2010 09 20 AM Submitted by N A Subject author Status Comments This is my note Edit Delete Close aa Paper Information Tab This tab contains fields that are not on the electronic version of a SERFF filing Unlike the electronic version all fields on this tab and every other tab in SERFF can be modified at any time The Date Mailed to State field is used as the Filing Date when the filings are categorized in the views 1 Click on the Paper Information tab 2 Complete the Paper Information Page SERFF Industry Manual Page 337 of
148. e Supporting State Companies Filing Information Schedule Schedule Documentation Specific and Contact Correspondence Electronic Field 1 Electronic Field 2 Electronic Field 3 a Electronic Field 4 o Electronic Field 5 O Electronic Field 6 a Companies and Contacts This is the section of the filing where the Author views the company and contact information The State Insurance Department will also view company and contact SERFF Industry Manual Page 123 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual information here This information was specified on Step 7 of the Filing Wizard but can be modified prior to submission A company can be added to the filing by selecting the company name in the drop down and then clicking Add Companies can also be removed but there must be at least one company and one contact on the filing Multiple companies may be added to a filing but only one contact per filing is permitted General Rate Rule Supporting com panies Filing Information Schedule Schedule Documentation and Contact Fees Correspondence Filing Contact Information Victoria Windham Compliance Specialist WWindham aaalife com 17900 N Laurel Park Drive 800 624 1662 ext 2075 Phone Livonia MI 48152 3985 734 805 6282 FAX Filing Company Information Auto Club Life CoCode pleases ee hep ra a Company Group Code i a La
149. e Amount Submitted Date Disposition Status Disposition Date Effective Implementation Date Request new Effective Implementation Date Request Renew Effective Date New Effective Date Renewal Requested Filing Mode Requested Filing Mode Explanation Product Name Project Name Project Number Form Number Form Count Rule Number and Deemer Date Reports The Reports tab is where authorized users can run reports on their filings There are four reports available to industry users The Export Tool and Quick Export tools are a good way to create custom reports if none of the reports meet the user s needs Filings Billing Settings Filing Rules Templates Select a Report Disposition Filing Status Metrics By Filer Productivity Sample Report summary Text SERFF Industry Manual Page 313 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Disposition Report Provides a list of all the filing with a Disposition in the given date range Filing Status Provides a summary of all open filings Metrics by Filer Provides an aging report of open filings by filer Productivity Provides the number of filings submitted Objection Letters received and response sent by filer amp Generating a Report 1 Click the Reports tab Click the link for the report to run Set the report criteria Criteria may include a Date Ranges enter a star
150. e Filing Wizard now will discard what was entered in Step 1 7 Step 2 Select State 1 Select the states using the CTRL or SHIFT key for this filing 2 Click the button to continue to advance to Step 2 3 Click the button to change data entered on Step 1 4 Click the button to save changes and continue to work on your Filing later 5 Click the button to cancel Filing entirely Note The In Process Filing Constructors found by clicking the link is where all filings are stored if the Author has not completed all of the Filing Wizard Steps When the Author is ready to resume the draft filing simply click on the Filing and the Filing will open to last updated step in the Wizard SERFF Industry Manual Page 320 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Step 2 Select States Asterisk image denotes required field States Alabama Alaska Alberta es AMERICAN SAMOA gt e Oo e Arizona Arkansas Australia British Columbia California Colorado Save and Close Save Cancel Step 3 Select Types of Insurance As with electronic filings Step 3 demonstrates SERFF s use of the NAIC Uniform Product Coding Matrices a key Speed to Market and uniformity tool in the Wizard Type of Insurance Selector This is a nice enhancement for paper filings if the company has submitted the same forms to multiple
151. e Filing data page PC Filing Step 9 Default Filing Data Filing Description Company Tracking Number Effective Date Requested New Oon Approval Effective Date Requested Renewal Oon Approval Add Rate Data Ovyes No Status of Filing in Domicile Please Select Domicile Status Comments Reference Organization Reference Number Reference Title Advisory Org Circular SERFF Industry Manual Page 81 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual LAH Filing aproooct of RETIN Step 9 Default Filing Data Filing Description Company Tracking Number Submission Type Please Select Implementation Date Requested On Approval Lead Form Number Overall Rate Impact Market Type Please Select HIPR Field Hel Status of Filing in Domicile Please Select Date Approved in Domicile e Domicile Status Comments Previous Next The Health Insurance Premium Review HIPR field help link is available on step 9 for the filer when a PPACA Sub TOI is selected in the Filing Wizard process Industry Filing Activity Help All flings submitted with HIPR enabled Sub Types of Insurance wall have additional HIFR related selections available
152. e Template 2 Click on the I button Schedule Templates Create Schedule Template Filter Templates Template Name Business Type Crt All Rate Rule Schedule Property amp Casualty Form Template Property amp Casualty Form Life Accident Health Annuity Credit Schedule Type All Rate Rule Form Form Template Owner All Frances Stuart Frances Stuart Frances Stuart 3 Select the Business Type g Doi 5 Click the button SERFF Industry Manual Page 136 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Create Schedule Template me cee Template Owner Frances Stuart Industry Name aaalifeinsurancecompany Business Type property amp Casualty Schedule Type E The following page will appear Preview Template Previous Save Apply Cancel Template Owner Frances Stuart Industry Name saalifeinsurancecompany Business Type property amp Casualty Schedule Type Supporting Document Schedule Template Name pac Supporting Document 6 Enter the Schedule Template Name 7 Click the button to complete the information for the Schedule Item The following page will appear SERFF Industry Manual Page 137 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Preview Te
153. e if industry filer has completed all the required fields Icon Legend Draft Schedule Item f Open Objection Complete Rate Review Detail Incomplete Rate Review Detail ii A 4 e Number of Policy Holders For each company on a PPACA related Rate filing a table of Product Types will display and at least one column pair of values must be entered for the new fields Number of Covered Lives and Number of Policy Holders These fields will be used by the states that applied for and received Premium Review Grant Funds to report to HHS e Number of Covered Lives For each company on a PPACA related Rate filing a table of Product Types will display and at least one column pair of values must be entered for the new fields Number of Covered Lives and Number of Policy Holders These fields will be used by the states that applied for and received Premium Review Grant Funds to report to HHS e Document Name This is a list of Rate and Rule and various exhibit data being submitted e Affected Form Number This is the list of changes to the Rate Rule manual SERFF Industry Manual Page 107 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual e Rate Action The type of rate action being submitted o New Please Select o Revised Please Select o Other e Rate Action Information Select Revised or Other from the Rate Action The R
154. e user will be given the option to edit that company profile or to create a new one This feature allows two versions of the company to be maintained if needed One example of this SERFF Industry Manual Page 29 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual need would be when a company files under different names in different states 6 Complete the first section Company Information Fields denoted with a red asterisk are required Company Information Instance aaalifeinsurancecompany ka Instructions CoCode 12345 Bo an asterisk are ia Telephone Number ets er 128 555 4567 FaxNumbers er 128 555 4567 i EE ere fe CC a 7 Ifthe instance has implemented EFT two additional fields will display Uncheck EFT Enabled if this company will not be participating in EFT Otherwise enter a valid UNID for the company UNIDs are discussed earlier in this lesson For assistance contact the SERFF Help Desk EFT Enabled 8 The last section of the company profile is used to indicate the state s in which the company is licensed To indicate a company is licensed in a given state select that state from the drop down list Enter a State ID Number if applicable and click the Add State button to save the change SERFF Industry Manual Page 30 of 345 Copyright 2011 National Association of Insurance Commissione
155. ect the file with the updated information in it 8 Click Select button The Replace Pages dialog box will appear 9 Enter the appropriate page numbers from step 2 in the Original section of the dialog box 10 Enter the appropriate page numbers from step 4 in the Replacement section of the dialog box SERFF Industry Manual Page 248 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual 11 Click button The pages from the updated document will replace the appropriate pages in the original document Marking Up an Acrobat Document When a state reviewer receives Adobe Acrobat files attached to a filing it is their job to review the document and make any suggestions directly on the document They do this through the use of annotations There are many types of annotations in Adobe Acrobat You can create notes stamps highlight text etc In addition to being able to create all of these annotations both state and industry employees must know how to edit and delete the annotations Adding a Note to an Acrobat Document Notes are similar to the paper post it notes that we use every day to put reminders or changes on printed documents except they are electronic and placed on an electronic document 1 Open the appropriate document in the Adobe Acrobat program window SERFF Industry Manual Page 249 of 345 Copyright 2011 National Associatio
156. ed SERFF End User Training Manual We have chosen the format that separates the date by slashes and will require the user to type the four digit year If the user does not include the four digit year a warning message will appear Adobe Acrobat x Invalid date time please ensure that the date time exists Field Check Date should match Format mmidd 5 Click Close to exit the Field Properties box Now regardless of how the user enters the date it will always display the way you choose After activating your form type in Date on Check March 10 2005 Click off of the field or press the Enter key and you will see that the date has been changed to meet our criteria Date on Check 03 10 2005 SERFF Industry Manual Page 296 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Creating and Editing Combo and List Boxes Combo boxes or drop down menus are very useful when the user must be given several choices to select from but form space must be conserved In this example we will create a list of states the user can choose from List boxes are created in the same manner as combo boxes 1 Select the combo box Tool button from the Forms tool bar 2 Open the Field Properties and Choose the Options Tab The Options Tab allows you to create the list of choices from which the user can make their selection 3 Type the first item you wan
157. ed On Date Submitted Responded By Response Created On Response Submitted On ag Under review Stuart Frances 12 14 2010 12 14 2010 02 50 PM Respond 4 Click on the Status link under the Objection Letters header Once the user has clicked on the Status link the letter should be displayed The user will see the Objection s that the Reviewer has noted regarding the filing In the example below there are two Objections included in the Objection Letter Objection 1 refers to the entire filing which is why a Schedule Item is not given in parentheses Objection 2 refers to an item from the Form Schedule with the Form Name Animal Mortality Policy Form The Objection Letter Status is state specific and set by the Reviewer The Objection Letter Date is the date that the Reviewer sent the Objection Letter The Respond by Date is a date by which the state expects the Author to respond The Submitted Date is the date that the Objection Letter was actually submitted and viewable by the Author SERFF Industry Manual Page 169 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Objection Letter for AAAL 126885444 Close SERFF Tracking Number AAAL 126885444 State Alabama Filing Company Auto Club Life State Tracking Number Company Tracking Number TOI HO2G Group Health Accident Only Sub TO HO2G 000 Health Accident Only Product Name Health Product L
158. egory to display numbers including currency styles T Locked SERFF Industry Manual Page 294 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Making selections from the drop down menus will make changes to the format Select Dollar from the Currency Symbol drop down list and leave the other defaults unchanged 3 Clicking the Close button will save the format and close the box Click the Hand Tool and test the formatting by entering a number into the field After clicking off of the field the number should be formatted like this Check Amount 6 000 00 Formatting the date would also be a fairly common requirement If the data in the form were being captured to export to a database making sure the date was in the required format would be vital since there are numerous ways of writing a date 4 To format the date field open the Field Properties box and select the Format tab Text Field Properties General Appearance Options Actions Format Validate Calculate Select format category ete Date Options Example of current format O5 09 2005 date or both date and time values Use the Time Y Use the Date Format category to display only the Format category to display only the tine T Locked SERFF Industry Manual Page 295 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserv
159. elect Sub Type of Insurance 1 Select the Sub TOI by using the Wizard Sub Type of Insurance Selector or by individual state SERFF Industry Manual Page 72 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual 2 lf there is not an exact match for the Sub Type of Insurance when using the Wizard Sub Type of Insurance Selector click the drop down next to each applicable state and select the appropriate Sub TOl In the example below notice that Florida does not accept the Sub TOI specified The Author would then be required to select a Sub TOI from the offerings presented in the Sub TOI drop list specific to Florida Step 4 Select Sub Types of Insurance Sub Type of insurance 04 0001 Condominium Homeowners Selector Selected States Sub Type Of Insurance Alabama TOE 04 0 Homeowners 04 0001 Condominium Homeowners Colorado TOI 04 0 Homeowners fea Please select a value Y AZ Ect al TOI P amp C Personal Lines PERRETAN VE Please select a value Next Add or Remove States Save and Close Save Cancel 04 0001 Condominium Homeowners 3 Click on the button to advance to Step 5 Step 5 Select Filing Types Filing Type Selector The Filing Type Selector uses a standard naming convention for the most commonly used filing types in SERFF When Filing Types are selected using the Filing Type Selector Filing Types will auto po
160. elected states to the right column Remove the selected states from the right column Remove all states from the right column To go back a step in the Filing Wizard To advance to the next step in the Filing Wizard This button will save the Filing under the My Draft Filings link and close the view The Author may then access the Filing from the My Draft flings tab link under the Filings This button is available after Step 6 of the Filing Wizard This button will allow the Author to save the filing Once this button is clicked changes to the prior Filing Wizard values cannot be changed a ope L ili gJ This will save the paper filing under thell Mirat Hinas link Page 317 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Cancels the Filing Wizard Create a Paper Filing Paper filings are similar to electronic filings in many ways Each paper filing created will have a SERFF Tracking Number The primary difference between an electronic filing and a paper filing is that the paper filing does not contain Supporting Documentation and is not visible to the state The process to create a paper filing is similar to creating an electronic filing they both utilize the Filing Wizard Filings Billing Settings Filing Rules My Workfolder My Open Filings My Draft Filings Create Filin Create Filing es My Workfolder Simply click on Create Pape
161. eminder Move to Workfolder PDF Pipeline Return to Search on View General Instructions View Filing Lot Product Name CIC 2007 Std Med Supp Rate SERFF Tr Num XXXX 000517984 SERFF Status a a l TOI Accident and Health State Tr Num 196936 State Status Approved Sub TOI Individual Medicare Supplement Co Tr Num Co Status Filing Type Rate Date Submitted 03 26 2007 Disposition Date 03 26 2007 e TOI Type of Insurance e SUB TOI Sub Type of insurance e State Tracking Tr Num The state will enter their tracking number if applicable e State Status The state will select a State Status if applicable e Company Tracking Number Co Tr Num The company will enter their tracking number for this filing e Company Status CO Status The Company will select a Company Status if applicable e Filing Type Defined in the Filing Wizard during the preparation on the filing e Date Submitted The date the filing is submitted to the state e Disposition Date The date the Disposition Report was submitted to company and final action taken e Effective Date Requested New or Renewal This is the effective date the company is requesting their product be available to sell It is not necessarily the date the filing officially becomes effective The State Insurance Department will determine the definitive effective date This is also where the company can indicate the different effective dates for new or renewal business e Authors Author s
162. en to the last updated step in the Filing Wizard My Draft Filings Delete Constructor In Process Filing Constructors Product Name Business Type Date Created Created By Master Tracking Index CO Homeowners Product Launch Property amp Casualty Dec 13 2010 Frances Stuart Delete Constructor Move to Workfolder Submit Selected Filings Import Templates Bypass Satisfy Delete Draft Filings Filings 1 2 of 2 First Previous Next Last on State E Product Name Company Tracking Created Date Created By SERFF Status CO Alabama Health Test Nov 30 2010 Frances Stuart Draft 5 Alabama Health Test Nov 30 2010 Frances Stuart Draft Filings 1 2 of 2 First Previous Next Last Move to Workfolder Submit Selected Filings Import Templates Bypass Satisfy Delete Draft Step 3 Select Types of Insurance Step 3 of the Filing Wizard exhibits improvements made by states to promote uniformity as well as automation that results in speedy filing creation for industry users SERFF has incorporated the NAIC Uniform Product Coding Matrices a key Speed to Market and uniformity tool into the Wizard Type of Insurance Selector The Wizard Type of Insurance Selector will only display on multi state filings The Author can select from the Wizard Type of Insurance Selector or select from the TOI drop down next to each state Wizard Type of Insurance Selector The Author selects the Type of Insurance from the Wizard Ty
163. ent a task the user may perform The red pointer hand is used to represent a note of special interest SERFF Industry Manual Page 5 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Lesson 1 SERFF is a complete web based program and can be accessed through your browser The SERFF application supports use of Internet Explorer and Firefox Using a browser the same way it is used for other websites type in the URL to access the SERFF application Upon reaching the website you will be asked to login This lesson covers the following topics e Browser Configuration SERFF Tracking Number SERFF Billing Billing Export Tool SERFF Website Accessing SERFF SERFF Roles 7 4 4 4 4 4 4 Online Help SERFF Industry Manual Page 6 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Browser Configuration The NAIC recommends Internet Explorer IE to access SERFF The SERFF views are based on advanced technologies currently available in IE resulting in a better choice for efficiency This section highlights browser configuration settings that need to be applied prior to using the SERFF application Only IE browsers configured with the following settings will be supported Note The screen shots for illustration purposes use IE 8 0 Users with other versions such as IE 5
164. ents This is only used when the amendment is not in response to an Objection Letter i e The filer has decided to add a schedule item Revising Adding Schedule Items 1 Click from the filing view Billing ash Rules ina dante Add Authors Update Authors Change Schedule Items Schedule Items Set Confidentiality Create Reminder TT Move to Workfolder PoF e Form Schedule ira Soe Form Count 1 Schedule Item Form Form Edition Form Action Action Specific Readability Attachments Status Name Number Date Type Data Score i undo Draft aov i New j GodzillaExclusi Previous Version GodzillaExclusi w Pease seeet Ia Previous Filing Form SERFF Industry Manual Page 183 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual SERFF Industry Manual Page 184 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual T When revising a Schedule Item a new line in white is automatically populated with the information from the original version in grey because many of the items may not change Please refer to the area pertaining to Forms Schedule Item Changes All fields and attachments can be changed 4 Attach any appropriate files by clicking on the button a Click
165. er Multiple Company Filings L amp H OYes ONo Either Available Filing Modes Exempt File amp Use File with Certification Informational Other Prior Approval Use amp File Enter the desired search criteria 4 Click the button General Instructions SERFF End User Training Manual General Instructions Last Updated se fr m i Is There A Fee OYes ONo Either Is This State Retaliatory OYes ONo Either Confidentiality Requests Are O Allowed NotAllowed Either EFT is C Accepted C Not Accepted CI Required Payment is C Billed in Arrears C Due at Submission Filings Become Public At Effective Date At Submission Other Upon Authorization for Use Upon Disposition Upon Request Only where State Instance is Alabama or AlabamaLife and Is a Fee Required is Yes New Search Refine Search General Instructions Description General Instructions 1 2 of 2 First Previous Next Last Date Last Modified Date Created Alabama 1 MANUAL PAGE The Alabama Department of Insura 11 30 2010 06 29 2006 AlabamaLife New Search Refine Search SERFF Industry Manual 12 01 2010 09 18 2006 General Instructions 1 2 of 2 First Previous Next Last Page 49 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Types of Insurance The Types of Insurance TOI
166. er Training Manual The Message Center View Like the other views in SERFF the columns in the Message Center can be sorted Click once to sort the column in ascending order click again to sort in descending order The default sort for the Message Center is descending by date The column on which the view is currently sorted is highlighted in yellow Filings Billing Settings Filing Rules Reports Templates Messages Remove Message Messages Messages 1 6 of 6 First Previous Next Last Unread Subject Filing From On a F Filing AAAL 126884560 Updated by Alabama Attn Frances Stuart AAAL 126884560 Frances Stuart Dec 14 2010 Fj 2 Public Access Status Changed for Filing AAAL 126884560 to Alabama Attn Frances Stuart AAAL 126884560 Frances Stuart Dec 14 2010 Fj Note to Filer Received for AAAL 126884560 from Alabama Attn Frances Stuart AAAL 126884560 Frances Stuart Dec 14 2010 Bi Assignment Made on Filing AAAL 126884560 to Alabama Attn Frances Stuart AAAL 126884560 Frances Stuart Dec 14 2010 Fj P Public Access Set by Default for AAAL 126884560 Submitted to Alabama Attn Frances Stuart AAAL 126884560 Frances Stuart Dec 14 2010 The Message Center displays 50 messages at a time To view additional messages use the First Previous Next and Last links Remove a Message From the Message Center view messages can be removed individually or several at a time 1 Select the messages to be
167. er criteria in one or more fields and click Search SERFF Industry Manual Page 31 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Any combination of fields may be used With the exception of CoCode Group Code and FEIN the wild card may be used in the search fields e Users with access to more than one instance may choose which instance s to include in the search T When leaving the search criteria in the default state a list of all companies will return Company Search Results The search results page for Companies displays information to assist in identifying the correct company to view or edit Click on the blue underlined link in the Company Name column to open a company profile The user may also add a company if they are the Configuration Manager start a new company search or refine their existing search Add Company New Search Edit Search Company Name Company Type CoCode Group Name Group Code FEIN Number State of Domicile Instance Active Modified ABC NoCocode 24 87 Kansas Active ForceMega Force Casualty Underwriters 22 Missouri Active SERFF Test 11 1111111 Kansas Active BRK Houston Ins 12 8765432 Kansas Active SERFF PPACA 45 4545454 Mississippi Active Encompass Indemnity Property amp Allstate 59 2366357 Illinois Active 12 11 2010 Editing Company Profiles Once a company profile has been
168. erates the number of draft filings to be prepared for submission to the selected states Prior to submission the Author must complete the filing requirements Placing the cursor over a filing in the Draft view highlights that filing and the filing can be opened by clicking anywhere on that row Filings Billing Settings Filing Rules Templates My Workfolder My Open Filinas My Draft Filinas Messages Search Create Filing My Draft Filings Move to Workfolder Submit Selected Filings j Filings ose State Alabama Alabama Alabama Alabama Alabama Alabama Alabama Alabama Colorado Fe eoomaaayan Florida Move to Workfolder Submit Selected Filings E Product Name Health Product Launch Health Product Launch Health Product Launch Health Product Launch Homeowners Product Launch Homeowners Product ae Health Test Health Test Homeowners Product Launch Homeowners Product Launch Import Templates Import Templates Company Tracking Bypass Satisfy Delete Draft Created Date Dec 14 2010 Dec 14 2010 Dec 14 2010 Dec 14 2010 Dec 14 2010 Dec 14 2010 Nov 30 2010 Nov 30 2010 Dec 14 2010 Dec 14 2010 Bypass Satisfy Delete Draft Created By Frances Stuart Frances Stuart Frances Stuart Frances Stuart Frances Stuart Frances Stuart Frances Stuart Frances Stuart Frances Stuart Frances Stuart Filings 1 10 of 10 First Previous Next Last SERFF Status Draf
169. es and its effective date Signatures Policyholder AnyCompany Group Policy No XXX EFFECTIVE DATE This policy will take effect on October 1 1999 This policy replaces Group Policy Number YY YYY which was issued by ABC Company and took effect on October 1 1997 POLICY ANNIVERSARIES Policy anniversaries will be October 1 2000 and each subsequent October 1 comments PREMIUM PAYMENTS alh EEANN F id lt 4 1 of19 e bI Oo O OTH HH ou 2 Clickthe on the document The note will open 3 Change the information in the note as desired 4 Click to close the Note 5 Select File Save from the main menu or click to save the changes SERFF Industry Manual Page 252 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Deleting a Note in an Acrobat Document Acrobat allows you to add change or delete part of a note previously created Use the following steps to edit a note 1 Open the appropriate document in the Adobe Acrobat program window TE File Edit View Document Comments Tools Adwanced Window Help amp i fay 6 gig TE create PoF S Comment amp Markup yp Sena for Review Qe uc or e Commenting Note Tool F Text Edits GB stamp Tool YY g 2 show ABC COMPANY ABC Company a stock company wil pay the benefits specified in the Exhibits of this policy subject to the terms and prov
170. et Destinatio Rename Use Current Appearance as Mew Default Wrap Long Bookmarks Properties Ctrl I 3 Select Delete from the shortcut menu 4 Select File Save from the main menu or click to save the changes Reviewing Comments You may receive an Acrobat file that contains comments Use the following steps to review the comments attached to the document 1 Open the appropriate file in Adobe Acrobat 2 Select View Comments Show Comments List from the menu bar if the Bookmark pane is not already open If the Bookmark pane is open click on the Comments tab SERFF Industry Manual Page 231 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual E File Edit View Document comments Tools Advanced Window Help Es K a pay hrs Create PDF a Comment amp Markup e Send for Review A Ar ES ERE 101 ABC COMPANY ABC Company a stock company will pay the benefits specified in the Exhibits of this policy subject to the terms and provisions of this policy this policy to whom it applies and its effective date Policyholder AnyCompany Group Policy No XXXAX lh 6 50 x 11 00 in 4 Options Page 1 E G FStuart Incorrect E T FStuart Page 3 a atic PSS S 3 Click on a comment pane The view pane will display that portion of the document 4 For a summary list of all annotation notes select Document
171. eting requirements 4 Repeat steps 2 and 3 for each item needed for the paper filing View Additional Info Da name fo O Comment C No Attachment Required Filing Correspondence Tab Authors may use the Filing Correspondence Tab to record correspondence to and from states as the paper filing goes through the review process All correspondence is added SERFF Industry Manual Page 335 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual via the Create Filer Note link on the Filing Correspondence Tab Multiple Filer Notes can be created if desired General Form i Rate Rule arti i Companies Fili Filing Paper Information Schedule Schedule i and Contact Correspondence Information Dispositions Filing Notes No Filing Notes Reminders No Reminders Filer Notes 1 Click the Filing Correspondence tab 2 Click the Create Filer Note link Filer Note for AAAL 126885557 Save Apply Cancel SERFF Tracking Number AAAL 176885557 State Alabama First Filing Company AAA Life Insurance Company p State Tracking Number Company Tracking Number TOI 19 0 Personal Auto Sub TO l 19 0000 Personal Auto Combinations Product Name Auto Product Project Name Submitted by N A sweets p aaa Comments 3 Type a subject in the Subject Field this is a Required Field SERFF In
172. f 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual e Check Box Tool Check boxes allow the user to make one or more selections of items on the list Selection 1 Selection 2 amp The size of the check inside the check box is determined by the size of the font you specify on the Appearance tab e Combo Box Tool A Combo Box allows the user to view the choices for that item using a drop down menu E The highlighted item in the Item List box appears as the default selected item in the combo box field To change the default item highlight another item from the list Select a State Select a State Arizona Alabama Alaska Am Samoa Arkansas California e List Box Tool List boxes are similar to combo boxes in that they display a list of options from which the user can make a selection In the list box though the user can add items to the drop down menu SERFF Industry Manual Page 285 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Select a State N e Radio Button Tool Radio buttons provide the means to limit the user to one choice either or e Life and Health Property and Casualty e Text Field Tool Text fields can be set up to accept user input to display text strings and to allow multiple lines of text You can also limit the number of cha
173. filings SERFF Industry Manual Page 33 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual The draft filings below are associated with the company you have edited Click Save to continue with your company update and change the company information for these filings or click cancel to cancel your changes SERFF Tracking Index Product Name Reference Title Reference Number SRFF 126884988 Test SRFF 125320542 Test Ill SRFF 125129318 test SRFF 125171846 Test SRFF 126680418 test SRFF 125147343 Test 1 SRFF 125136870 TEst 1 6 Click _Save to finalize or _ Cancel to discard the changes made e Save will finalize the changes made and update the filings listed Cancel will discard any changes to the company profile and no draft filings will be updated Contact Maintenance Contact information for an instance can be accessed and edited by clicking the Contacts link under the Settings tab At least one contact must be set up before any filings can be created The contact is the person whom the state should contact if they must communicate outside of SERFF Contacts may also be users but they must still be set up as directed below Users must have the Industry Configuration Manager role assigned to their ID in order to add or edit contact information Adding Contacts 1 Click on Settings tab 2 Click on Contacts link 3 Click the button
174. g preferences and other settings This lesson covers the following topics SERFF Login SERFF Passwords The SERFF Workspace User Preferences Instance Preferences Company Maintenance Contact Maintenance 7 4 4 4 4 4 4 New User Update Request Form SERFF Industry Manual Page 18 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual SERFF Login Users must have an ID and password assigned by the SERFF Help Desk before they can log into SERFF Logging into SERFF Open a browser window and navigate to htips login serff com Click on the Login here link in the upper right hand corner of the page to access the application login page Home About SERFF Contact Us naic org National Association of Insurance Commissioners Already a User Login here At the login page type in the User Name and Password Both are case sensitive Home About SERFF Contact Us naic org username Passwords aaa Click the Losin button 4 5 Ifa valid User Name and Password were entered the SERFF Workspace will be displayed SERFF Industry Manual Page 19 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Home About SERFF Contact Us naic org Welcome Frances Stuart aaalifeinsurancecompany Help Logoff Tracking Number
175. ght 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual My Draft Filings Most Recently Viewed Filings Move to Workfolder Submit Selected Filings Import Templates Bypass Satisfy Delete Draft Filings Filings 1 10 of 10 First Previous Next Last on State E Product Name Company Tracking Created Date Created By SERFF Status Alabama Health Product Launch Dec 14 2010 Frances Stuart Draft Alabama Health Product Launch Dec 14 2010 Frances Stuart Draft Alabama Health Product Launch Dec 14 2010 Frances Stuart Draft Bypass Satist gt Select BrBass Satisty 3 Use the empty fields to filter the filings that you wish to bypass or satisfy amp Note The empty fields in the filter are case sensitive when narrowing the requirement list Bypass Satisfy Reset Apply Filter Clear Filter Tracking Number State Filing Type Company Name s Status All AAAL 126885441 AlabamaLife Form Rate Auto Club Life amp Actuarial Memorandum Life amp Health Requirement Last Modified Jan 27 2004 AAAL 126885441 AlabamaLife Form Rate Auto Club Life it Third Party Authorization Requirement Last Modified Nov 18 2010 AAAL 126885443 AlabamaLife Form Rate AAA Life Insurance Company i Actuarial Memorandum Life amp Health Requirement Last Modified Jan 27 2004 AAAL 126885443 AlabamaLife Form Rate AAA Life Insura
176. h O Contains O Equals 3 Enter criteria in one or more of the search fields SERFF Industry Manual Page 51 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual 5 Using the and the buttons move the State Instance s to search on to the box on the right Items can be moved out of this box by using the and the buttons Multiple State Instances can be selected by holding down the Ctrl key while clicking on State Instances 6 Click on the button In the example below the Business Type selected is Property and Casualty with the resulting TOls partial list displayed for the Alabama P amp C State Instance Types of Insurance New Search Refine Search Types Of Insurance Types of Insurance 1 50 of 279 First Previous Next Last Instance Name 4 TOI Sub TOI Alabama 01 0 Property 01 0001 Commercial Property Fire and Allied Lines Alabama 01 0 Property 01 0002 Personal Property Fire and Allied Lines Alabama 02 1 Crop 02 1000 Crop Hail Sub TOI Combinations Alabama 02 1 Crop 02 1001 Crop Hail Non Federally Reinsured Only View Types of Insurance 1 To view the TOI details click anywhere on the TOI row Types Of Insurance Types of Insurance 1 50 of 279 First Previous Next Last 01 0 Property 01 0001 Commercial Property Fire and Allied Lines 01 0 Property 01 0002 Personal Property Fire and Allied Lines SERFF Industr
177. h related files 6 Click the button to save the Note to Reviewer 7 Click the button to cancel the Note to Reviewer SERFF Industry Manual Page 198 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Note To Reviewer for AAAL 126885443 Save Apply Cancel SERFF Tracking Number AAAL 126885443 State Alabama Filing Company AAA Life Insurance Company State Tracking Number Company Tracking Number TOI HO2G Group Health Accident Only Sub TOI HO2G 000 Health Accident Only Product Name Health Product Launch Project Name HPL 2011 Submitted by N A Subject Comments Attach Files Save Apply Cancel After clicking on the button a preview of the note is displayed The user can Submit Edit Delete or Close the note Note To Reviewer for AAAL 126885443 Submit Edit Delete Close SERFF Tracking Number AAAL 126885443 State Alabama Filing Company AAA Life Insurance Company State Tracking Number Company Tracking Number TOI HO2G Group Health Accident Only Sub TOI HO2G 000 Health Accident Only Product Name Health Product Launch Project Name HPL 2011 Created by Frances Stuart on 12 14 2010 04 17 PM Submitted by N A Subject Notice Comments Notice to reviewer Submit Edit Delete Close 1 Click the ait button to edit the Reviewer Note Delete 2 Click the
178. he Adobe Acrobat program window Crop a portion of the current document open in the Adobe Acrobat program window Add a note to the current document open in the Adobe Acrobat program window Write directly on the current document open in the Adobe Acrobat program window Highlight a portion of the current document open in the Adobe Acrobat program window Insert a movie file on the current document open in the Adobe Acrobat program window Create a hyperlink on the current document open in the Adobe Acrobat program window Identify article properties for a portion of the current document open in the Adobe Acrobat program window Insert a digital signature on the current document open in the Adobe Acrobat program window Select the text on the current document open in the Adobe Acrobat program window SERFF Industry Manual Page 222 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Navigate an Acrobat Document Use the following areas of the Acrobat screen to help you navigate through multi page documents we File Edit wiew Document Comments Tools Advanced Window Help laj x Acrobat z EHX Finding Adobe POF Files U EHP ADOBE PDF CREATION HDS Creating Adobe PDF Files HHGS Creating Adobe PDF Files DS Adobe POF Settings HDS Saving and Converting Adot py FORMS EHD Creating Adobe PDF Forme El pe Filling in
179. he two radio button search options are Filing Medium and Business Type Both are set to a default of Both and can be changed by clicking a different option in the set Searching by either of these fields requires the use of at least one other criteria item Check Boxes The two check box search options are Market Type LAH only and PPACA The user can select one or all items available in these two fields Running an Advanced Search 1 Click the Search or Search Export link on the Workspace Filings Billing Settings Filing Rules Reports Templates My Workfolder My Open Filings My Draft Filings Messages Search Create Filing Create Paper Filing EFT Report SERFF Industry Manual Page 211 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual 2 The Advanced Search page displays 3 Enter the desired search criteria 4 Click the Search button at the top of the page The Search Filings screen displays the search criteria and all the filings that match the criteria Click on any row to open a filing Search Filings where SERFF Status is Assigned or Closed or Draft or Pending Industry Response or Pending State Action or Reopened or Submitted to State and Current Revision is No Move to Workfolder New Search Refine Search Filings Filings 1 50 of 66 First Previous Next
180. hedule and Contact Documentation Specific Filing Paper Correspondence Information No state specific information required Paper Filing Completion At this point SERFF offers several options depending on company workflow One option would be to complete the Filing requirements by adding a scanned copy of the submitted paper filing to the Supporting Documentation Tab For other companies it may be enough to add a Filer Note with a description or filing locator explaining where the hard copy filing resides A third option is to attach the individual forms and rates the same process followed when creating an electronic SERFF filing The Author now adds any supporting documentation to the paper filing prior to sending the paper company to the State SERFF Industry Manual Page 334 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Add Supporting Documentation 1 Click on the Supporting Documentation tab 2 Click on the Add Supporting Documentation link General Form Rate Rule Supporting Companies Filing Filing Paper Information Schedule Schedule Documentation and Contact Fees Correspondence Information Icon Legend 4 No Action Taken Satisfied Bypassed amp User Added 4 Draft Schedule Item I Open Objection 3 Add the Supporting Document Information See Lesson 4 for details on compl
181. her an advisory organization name or me too company name e Reference Organization Number amp Title if applicable This is the unique number that the reference organization gives to the filing It is generally not the same number as the circular number e Advisory Org Circular This is a unique number that reference the circular number e Company Status Changed if applicable The Date the Company status changed e Assigned to This is the State reviewer s assigned to the filing e Request Filing Mode if applicable The reason the filing is being submitted to the State e Submission Type if applicable If resubmission provide the state tracking number for the prior Submission if it was provided by the state If no state tracking number is available and the prior filing was made in SERFF provide the prior filings SERFF Tracking Number If neither is available leave this blank e Overall Rate Impact if applicable This is the statewide average percentage change to the Accepted rates for the coverage s included for each company e Market Type if applicable An identification of the targeted group or individuals This is a required field for PPACA related filings only but is encouraged to be completed on all LAH filings SERFF Industry Manual Page 92 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual e Individual Market Type If Individual is
182. his page will display automatically for 90 day password changes Home About SERFF Contact Us naic org username aaa Existing Password aMMy New passwort aaa New Password _ cancel 3 Enter the User Name and Existing Password SERFF Industry Manual Page 21 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual 4 Select a new password that meets the stated requirements and enter it in the first New Password box Remember that passwords are case sensitive 5 Retype the selected password again in the second New Password box to confirm the entry The system will not complete the password change if the two New Password entries do not match 6 Click on the button SERFF Industry Manual Page 22 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual The SERFF Workspace After a successful login the user will be taken to the SERFF Workspace For most users the My Workfolder view is the default page After a password change the User Preference Contact page is displayed prompting the user to review and update their contact information as needed See the User Preferences section of this lesson for more information The SERFF Workspace contains several tabs each of which has a defined purpose The tabs for industry users may vary depending on the roles assigned to the use
183. holders affected by the overall percentage rate impact for each company Written premium for this program This is the statewide written premium for each company SERFF Industry Manual Page 100 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Maximum Change amp Minimum Change This information should be completed if required by the state to which the filing is being submitted e Overall Percentage Rate Indicated for this Filing Overall Rate Indicated e Overall Percentage Rate Impact for this Filing Overall Rate Impact e Effect of Rate Filing Written Premium Change for this Program Written premium for this program e Effect of Rate Filing Number of Policyholders Affected Number Policyholders impacted If there are multiple companies on a filing the Overall Rate Information Premium and Policyholders will automatically calculate for the user General Form Rate Rule Supporting Companies Filing Filing Information Schedule Schedule Documentation and Contact Fees Correspondence Add Rate Data yes No Filing Method Rate Change Type Please Select Overall Percentage of Last Rate Revision Effective Date of Last Rate Revision Filing Method of Last Filing Company Rate Information Company Overall Indicated Overall Rate Written Premium of Policy Ho
184. hor adds all Form Schedule data under the Form Schedule tab Form Name Enter name of Form being submitted Form Number Enter Form Number of Form being submitted Edition Date P amp C only Enter the month and year the form was developed Form Type There are many types of forms i e policy contract advertisement etc Click the Form Type selection box and choose appropriate type of form for the filing Action Click the Action selection box and select appropriate action for the filing o New P amp C o Replacement P amp C o Withdrawn P amp C o Initial LAH o Other LAH o Revised LAH Action Specific Data o Replaced Filing Number Enter the form number that is being replaced by a previously submitted form o Previous Filing Number Enter the previous filing number if a replacement form is being submitted Readability Score Indicates reader comprehension Enter if required by the State Attaching Files for Schedule Items The Author may attach and upload up to 5 files per line item at one time Action Action Specific Readability Data Score Please Select W iF Click on the button on the line item SERFF Industry Manual Page 96 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual 2 Click on the button SERFF File Attachment Upload Attachments larger than 3ME or Microsoft Word tm documents cannot
185. ht 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual amp If the Author clicks on the button all information completed at Step 1 will be lost Step 2 Select States The Select States step allows the Author to choose a single state or multiple states for which the contact is authorized to file Hold down the Ctrl or Shift key to select multiple states from the list Step 2 Select States Asterisk image denotes required field States Alabama California Colorado Connecticut Delaware District of Columbia Florida Previous Next Save and Close Save Cancel T Step 2 Select States 1 Select the state s for the filing 2 Click the button to continue to advance to Step 3 3 Click the button to change data entered on Step 1 4 Click the button to save changes and continue to work on your filing later This places the filing In Process Filing Constructors 5 Click the button to cancel the filing entirely The In Process Filing Constructors found by clicking the link is where all filings are stored if the Author has not completed all of the Filing SERFF Industry Manual Page 67 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Wizard Steps When the Author is ready to resume the draft filing simply click on the filing and the filing will op
186. ies to the right column Step 7 of the Filing Wizard Moves all authors or states to the right column Step 1 and 2 of the Filing Wizard gt gt Moves selected authors states or companies q to the right column Step 1 2 or 7 of the Filing Wizard Removes selected authors states or companies from the right column Step 1 2 or 7 of the Filing Wizard a5 H Remove all authors or states from the right SERFF Industry Manual Page 63 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved Save and Close Save and Continue SERFF Industry Manual SERFF End User Training Manual column Step 1 and 2 of the Filing Wizard Removes all companies from the right column Step 7 of the Filing Wizard This button allows you to return to Step 2 from Steps 3 4 or 5 of the Filing Wizard It allows the user to change the state s that he she wants to file to Go back a step in the Filing Wizard Advance to the next step in the Filing Wizard This button will save the filing under the My Draft Filings link and close the view The user may then access the filing from the My Draft Filings link under the Filings tab This button is available at Step 6 of the Filing Wizard This button will allow the author to save the filing Once this button is clicked changes to the prior Filing Wizard values cannot be changed
187. iling Information Schedule Documentation Specifi and Contact Fees Correspondence Add Rate Data Yes No Select Exhibit Name Rule or Page Rate Action Previous State Filing Number Attach Document Submitted dl __DeleteSelected Add ImportTemplate Icon Legend 4 Draft Schedule Item i Open Objection Import 2 Select the appropriate template to import Click the button Select Template s to Import irs Template Name Template Owner L Rate PAC Frances Stuart et coe 3 The Rate Rule Schedule item has now been added to the filing General Rate Rule Supporting Companies Filing Information Schedule Documentation and Contact Correspondence Add Rate Data Yes No Exhibit Name Rule or Page Rate Action Previous State Filing Number Attach Document Submitted Rate New SERFF Industry Manual Page 110 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Supporting Documentation General Form Rate Rule Supporting Companies Filing Information Schedule Schedule Documentation and Contact Correspondence The Supporting Documentation tab provides functionality for attaching information to a filing that might be required when submitting a SERFF filing Clicking the tab displays a list of state defined requi
188. iling and an Advanced Search that allows queries of the filings database based on several criteria This lesson covers the following topics oe Tracking Number Search er Advanced Search SERFF Industry Manual Page 206 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Tracking Number Search The Tracking Number Search box displays in the upper right portion of the SERFF Workspace This search will use the value entered to search the SERFF Tracking Number State Tracking Number or Company Tracking Number fields Home About SERFF Contact Us naic org Welcome Frances Stuart aaalifeinsurancecompany Tracking Number Filings Billing Settings Filing Rules Reports Templates My Workfolder My Open Filings My Draft Filings Messages Search Create Filing Create Paper Filing EFT Renon My Workfolder Remove from Workfolder Filings 0 Filings ES State 6 Product Name Company Tracking Filing Date Created By SERFF Status No filings in folder 0 Filings Remove from Workfolder Running a Tracking Number Search 1 Click in the field 2 Enter the SERFF Tracking Number State Tracking Number or Company Tracking Number of the filing being sought Tracking Number LINSE 000014037 3 Click the Search button and then select the type of Tracking Number Tracking Number UNSE 000014037
189. including fonts 1 Close all open Adobe files 2 Open the two documents that will be compared SERFF Industry Manual Page 273 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual 2 Adobe Acrobat Professional DeclarationModified pdf Tt File Edit View Document Tools Advanced Window Help open Po Pages l M Create POF Review amp Comment fO Secure sign i Advanced Editing T z Add Headers amp Footers n Add Watermark amp Background ea Add a Comment Summarize Comments Import Comments Export Comments Pages Bookmarks dependence of the Thirteen Export Comments to Word File Attachments 4 1776 laration of the thirteen United States Layers A Security 4 Digital Signatures Paper Capture bf human events it becomes ople to dissolve the political bands which have connected them with another and to assume among the powers of the earth the separate and equal Station to which the Laws of Nature and of Nature s God entitle them a decent respect to the opinions of mankind requires that they should declare the causes which impel them to the separation We hold these truths to be self evident that all men are created equal that they are endowed by their Creator with certain unalienable Rights that among these are Life Liberty and the pursuit of Happiness That
190. ing Activity Messages Help Ii Message Settings Billing Low Block Warning Compact Filing Acknowledge Included State Effective Implementation Date Updated User Preferences Disposition Submitted Public Access Defaults Restored Filing Reopened Filing Submitted with Default Public Access Filer Note Created 4 Industry Reminder Notification Generated Note To Filer Submitted Objection Letter Submitted State Generated Messages State Generated Messages Help Business Type Fi Life Accident Health Annuity amp Credit Fj Property amp Casualty District Alabama Alaska Alberta AMERICAN SAMOA Arizona Arkansas Australia British Columbia California Colorado Templates User preferences saved successfully Contact eat Contact Information Information Last Name Message Settings Stuart User Preferences First Name Frances Se Al Message Settings options are specific to each individual user Users can update their Message Settings at any time by following the same steps as above SERFF Industry Manual Page 156 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual State Generated Messages State Generated Messages may generated when a state would like to send a general message to SERFF industry users Setting up to Receive State Generated Messages 1 Click on the Settings tab 2 Click on 555398 55 on the
191. ing Types General Instructions Each state state instance has a General Instructions document The General Instructions document provides basic information from the state on how to submit SERFF filing in that state Users are encouraged to read through the General Instructions before filing in a state for the first time and periodically after that in case the state makes changes Instance Preference Instance Preferences are settings that apply to all users of that instance Settings for things like EFT Company Status Options and Data Hoster are found on the Instance Preference Only users with the Configuration Manager Role have access to modify the Instances Preferences some settings can only be modified by the SERFF Help Desk The Instance Preferences can be found on the Settings Tab SERFF Industry Manual Page 340 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Message A Message is used to notify a filer about the activity of a filing Messages can be viewed and deleted in the Message Center view on the SERFF Workspace page Messages are shared notifications If two filers or reviewers receive messages on the same filing and one person deletes the message it will still be available for the other filer A status indicator in the left column of the Messages view lets the filer know if he she has read that message There is n
192. ing User Request Submit Reset Requestor E mail fstua rt naic org User _ Please Select Please Select Instances Anthony Joris ajoris Barbara Hassell bhaszell aaalifeinsurancecompany EDS EDSSupport edssupport SERFF Test Industry Eric Hartwell ehspi Fran Scharz fechwarz Frances Stuart fsimgr 2 Select the user from the drop down list 3 Select the roles that you want to change or add 4 Click the button SERFF Industry Manual Page 39 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual 5 Click button to verify the request Windows Internet Explorer P Please verify that your email address is FStuart naic org er This is how the SERFF Help Desk will contact you regarding this request IF this is not correct please press cancel to correct it now I Cancel After the request has been submitted the submitting user will receive confirmation that their request was successfully processed The SERFF Help Desk will contact you when the new request has been processed Filings Billing Settings Filing Rules Templates User Preferences Instance Preferences Companies Contacts Re Thank you Your user request has been submitted The SERFF Help Desk will notify you when your request has been successfully processed Would you like to make another user request Request New User Reques
193. ion Attached files may be removed from the requirement by clicking on the Remove link amp Actuarial Memorandum Description Any actuarial documents that will help to support the change Of those the required exhibits consist of a 5 year rate change history a histogram showing the percentage of insured s falling with a range of premium increase i e 0 10 10 20 increase etc and a worst case scenerio after all changes have been considered Also if it is an initial program a competitors comparison exhibit is always helpful Comment Type your comments in this text box The text box has a grey background when editing is not available The text box becomes active after a file has been attached a Actuarial Memorandum pdf Remove ___Attach Files _ Reset The document links will be active meaning they can be clicked and a new window will open with the web address referenced see below amp Actuarial Memorandum podf Remove SERFF Industry Manual Page 115 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual yy wE Ey A OA 102 a Collaborate A sine fet fe ring x THE STATE OF ALABAMA DEPARTMENT OF INSURANCE The Status Flag Legend is located at the bottom of the page Each symbol is described for easy reference When a requirement is satisfied the flag becomes a green dot with a white check mark inside
194. ion of Insurance Commissioners All rights reserved SERFF End User Training Manual 5 Double click the second Filing Type form field to open it Radio Button Properties General Appearance Options Actions Button Style Export Value Iho Button is checked by default T Buttons with the same name and value are selected in unison To create a set of mutually exclusive radio buttons ie where only one can be selected at atime give the Fields the same name but different export values T Locked 6 Change the Export value in this field to No IMPORTANT In order to make the FilingType radio buttons mutually exclusive the Export Values must be different but the form fields must have the same name 7 Activate the form using the hand tool to view the Type of Filing radio buttons Type of Filing Life and Health E Property and Casualty Company Filing Number Select one of the filing types T You will only be able to select one of the buttons at a time amp Creating Calculated Fields SERFF Industry Manual Page 301 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual In our example there are additional rows to add subsidiary companies to the form Retaliatory Filing Fee Calculation Companies Show Retaliatory Fee p Calculation For each row there is a calculation that results in a value that is p
195. ional Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Markup color To change the result color Textual differences to show which text has been inserted deleted or moved Select Include Font Information to compare any formatting differences To compare text based documents you may want to select Textual Differences to appear in Side by Side Report format For technical drawings you may want to select Page by Page Visual Differences to appear in Consolidated Report format Once a compare option has been selected a new compare document is created that has two sections The initial section displays two pages and the changes between the two documents The next section displays the differences between the original and revised document 5 Click button SERFF Industry Manual Page 276 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual 2 Adobe Acrobat Professional AcriC4 tmp E Fie Edit View Document Tools Advanced Window Help B Open ee A Save Print a Email fir Search 7 Create PDF gt Review amp Comment A Secure v A Sign oh Advanced Editing a amp 3 Die LLLLLTIITIS eee mmn LLL mnnm Page by Page Comparison Documents Compared Declaration pdf DeclarationModified pdf _Layers Y Pages Y Bookmarks Summary 1 page s differ a pi gt 3 T
196. ire instance Each instance has its own set of preferences that includes status options and EFT settings Instance Preferences are located under the Settings tab Some of these settings can be modified by an Industry Configuration Manager others are maintained by the SERFF Help Desk When accessing Instance Preferences the default view is of the Settings area Like User Preferences Instance Preferences are navigated by clicking on the tabs running down the left side of the screen An Edit button will appear for users authorized to make changes The fields under Settings include the Instance Name and Prefix as well as indicators for Advisory Rating Organizations Third Party Filers License Agreement status and Data Hoster These flags are maintained by the SERFF Help Desk and cannot be changed by industry users Industry Instance Profile Prefix STO6 Instance Name SERFF Train 06 Preference Settings for SERFF Train 06 Is Advisory Rating Organization Is Third Party Filer Is SERFF License Agreement Required Data Hoster amp Adding Status Options Status Options are used to populate the Company Status field on a filing Utilizing Company Status is an excellent tool to manage filings After putting the Instance Preferences in Edit follow these steps to add change or remove Status Options 1 Click the Status options ap SERFF Industry Manual Page 26 of 345 Copyright 2011 National Association of Insurance Com
197. isions of this policy The Schedule of Exhibits fists each Exhibit to this policy to whom it applies and its effective date i Bookmarks wy 1 To a ne Policyholder AnyCompany l Group Policy Mo WRAN EFFECTIVE DATE This policy will take effect on October 1 1999 This policy replaces Group Policy Number YY which was issued by ABC Company and tock effect on October 1 19987 l Attachi Pages POLICY ANNIVERSARIES Policy anniversaries will be October 1 2000 and each subsequent October 1 2 Right mouse click the on the document A shortcut menu will appear next to the note icon SERFF Industry Manual Page 253 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual File Edit wiew Document Comments Tools Advanced Window Help ey rn E EG T a py T Create POF l arene ee Send for Review A A ESE lt Dase ag A 2 4 o E E Mote Tool Ey Text Edits s Stamp Tool g s T a Show ABC COMPANY ABC Company a stock company will pay the benefits specified in the Exhibits of this policy subject to the terms and provisions of this policy The Schedule of Exhibits lists each Exhibit to this policy to whom it applies and its effective date i Bookmarks Signatures Policyholder AnyCompany Group Policy Mo AEX Set Status Mark with Checkmark T mji Ba EFFECTIVE DATE Close P
198. iss PS Epo Ss ei 2 Right Mouse Click on the stamp graphic A shortcut menu will appear SERFF Industry Manual Page 257 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Exhibits of this policy subje 1 E Py dh Exhibit to this policy to w Set Status Mark with Checkmark Open Pop up Moke Reset Pop up Note Location Repl ber 1 1999 This pol effect on October 1 Show Comments List Make Current Properties Default Properties 3 Select Delete from the menu The stamp is deleted from the document 4 Select File Save from the main menu or click rn to save the changes S Highlighting Text in an Acrobat Document Acrobat has the ability to highlight text just as many of the current word processing programs can Highlighted text draws attention to the words This can be very helpful if this document is often read online The highlighting will only print if you have a color printer 1 Open the appropriate document in the Adobe Acrobat program window 2 Click the Highlight Text Tool button SERFF Industry Manual Page 258 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual i E g pY Creste PDF comment amp Markup Send for Review A A JO Tpsacc fa l 3 Note Tool 4B Test Edits stamp Tool Bookmarks ABC COMPA
199. ith Contains Equals chouk eas bs in the requirement name SERFF Industry Manual Page 57 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual 5 Select PCM Type s of Insurance 6 Click on the Once the Type of Insurance has been selected the PCM Sub Type s of Insurance will be displayed based on the TOI selected PCM Types Of Insurance 02 1 Crop 02 3 Flood 03 0 Personal Farmowners 04 0 Homeowners 05 0 CMP Liability and Non Liability 05 1 CMP Non Liability Portion Only 05 2 CMP Liability Portion Only 06 0 Mortgage Guaranty 08 0 Ocean Marine 09 0 Inland Marine PCM Sub Types of Insurance 01 0001 Commercial Property Fire and Allied Lines 01 0002 Personal Property Fire and Allied Lines button 8 Click on the button Submission Requirements New Search Refine Search Submission Requirements Submission Requirements 1 4 of 4 First Previous Next Last Instance Name 4 TOI Sub TOI Filing Type Alabama 01 0 Property 01 0002 Personal Property Fire and Allied Lines Rate Alabama 01 0 Property 01 0001 Commercial Property Fire and Allied Lines Rate Alabama 01 0 Property 01 0001 Commercial Property Fire and Allied Lines Rate Rule Alabama 01 0 Property 01 0002 Personal Property Fire and Allied Lines Rate Rule Submission Requirements 1 4 of 4 First Previous Next Last New
200. ive the SERFF application a mechanism to control activities that can take place on a filing and 3 allow for the reporting of metrics information o Draft Filing has been assigned a tracking number but has not been completed and submitted to the state o Submitted to State Author has submitted the filing to the state and the filing has passed all applicable validations State can now access the filing o Assigned State has assigned the filing to one or more reviewers but no additional action has been taken o Pending Industry Response There are one or more open Objection Letters on the filing that need a response from industry o Pending State Action One or more Objection Letters have been responded to by industry Filing is still open o Closed The state has created a Disposition Report indicating the final action of the filing The asterisk indicates that the state Disposition Status i e Approved Acknowledged and Disapproved will be appended to the SERFF status SERFF Industry Manual Page 86 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual o Reopened The state has reopened the filing e TOI Type of Insurance e Sub TOI Sub Type of insurance e State Tracking Tr Num The state will enter their tracking number if applicable e State Status The state will enter a State Status if applicable e Company Tracking Number Co Tr Num The c
201. ived amp Review the State s Objections An Open Objection icon will appear next to any Schedule Item that has an open Objection In cases where an Objection Letter has no Objections or has Objections not related to a specific Schedule Item the icon will display in the Filing at a Glance section e Form i Rate Rule y Add Authors Update Chan Information Schedule Schedule i Form Count 1 Schedule Item Form Status Name TA Training Form Product Name Training Filing TOT 04 0 Homeowners Sub TOI 04 0001 Condominium Hor Form Type Legend Filing Type Form Rate SERFF Industry Manual Page 167 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual e Clicking on the icon provides the user with the details of the related Objections Objections for Supporting Document Item Exhibit A B amp C 20 CSR 500 4 200 Objection Objection Also Associated With Filing Memorandum Supporting Document Actuarial Justification Supporting Document Training Form T4829 01 01 2009 Declarations Schedule Formi Training Exhibit 95 Rate Training Co Authorization Form Supporting Document Comments All documents need page numbers centered on bottom Objection Objection Also Associated With e Actuarial Justification Supporting Document Comments These documents must be printable on 8 and 1 2 by 11 paper
202. k the Apply button to save but stay in Edit mode d Click the button to save the Schedule Template T Templates can be edited or deleted by the user who created them or by a Filing Manager Templates can be viewed created or added to a filing by any user on the instance Preview Template Edit Copy Delete Close Template Owner Frances Stuart Industry Name aaalifeinsurancecompany Business Type property amp Casualty Schedule Type Rate Rule Schedule Template Name pac Rate Template Exhibit Name Rule or Page Rate Action Previous State Filing Number Attach Document Rate New Edit Copy Delete Close 14 Once the Template has been saved the Author may do any of the following e Click the button to update the Schedule Template e Click the button to create another Schedule Template based off the selected template e Click thel button to delete the Schedule Template SERFF Industry Manual Page 134 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Close e Click the button to close the Schedule Template SERFF Industry Manual Page 135 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Creating a Template for Supporting Documentation 1 Click on the Templates tab Filings Billing Settings Filing Rules Reports ne Create Schedul
203. k the button on the Advanced Search screen Users that do not have the Export role will not have this button and cannot run exports 3 Select the objects to be included in the export Each object has a defined set of fields See the next section for a list of the fields Select Export Objects Objects l Filing E Company E Supporting Document Schedule Item l Form Schedule Item E Rate Rule Schedule Item E Company Rate Data Export Cancel 4 For each object selected a sub level of options becomes available The User may choose which fields should be in the result file and what order those fields SERFF Industry Manual Page 306 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual should be in See example below The user should utilize the arrow buttons to determine which fields will be included and the up and down buttons to determine the order in which the fields should appear Objects l Filing l Company I Supporting Document Schedule Item Supporting Document Name Field Ordering Supporting Document Status Supporting Document Bypass E Supporting Document Commen gt gt Supporting Document Review Ea mcm Down E Form Schedule Item E Rate Rule Schedule Item C Company Rate Data Cancel 5 Click the button 6 The File Download dialog opens SERFF Industry Manual Page 307 of 345 Copyright 20
204. l 18 LF y H ass MUN ci Us f ei aw Additional Info Additional Information for AANA A OO00S35778 Close Please submit the Property and Casualty Certificate of Compliance Form when submitting filings in comphance with Regulation 125 http www aldo gov PDE 123r22001 pdt Bypass Satisfy Multiple Supporting Documents from the Draft View 4 TIMES SNEK F To increase efficiency in preparing a SERFF filing a user may bypass and or satisfy multiple Supporting Document Schedule Items from the Draft view My Draft Filings Move to Workfolder Submit Selected Filings Import Templates Bypass Satisfy Delete Draft Filings Filings 1 10 of 10 First Previous Next Last on State E Product Name Company Tracking Created Date Created By SERFF Status Alabama Health Product Launch Dec 14 2010 Frances Stuart Draft Alabama Health Product Launch Dec 14 2010 Frances Stuart Draft 7 U U UP Alabama Health Product Launch Dec 14 2010 Frances Stuart Draft Alabama Homeowners Product Launch Dec 14 2010 Frances Stuart Draft m d O O Alabama Health Product Launch Dec 14 2010 Frances Stuart Draft F d d Up Ur Alabama Homeowners Product Launch Dec 14 2010 Frances Stuart Draft B Satis S amp S The will be available to users in the Draft view 1 Select the filings in which multiple Supporting Document Schedule Items are going to be bypassed or satisfied SERFF Industry Manual Page 118 of 345 Copyri
205. l Page 262 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Set Status Mark with Checkmark Policyholder Open Pop up Mote Reset Pop up Mote Location Group Policy No EFFECTIVE DATE Reply This policy will take ef Show Comments List issued b y ABC Comp Make Current Properties Default POLICY ANNIVERS Properties 3 Select Delete from the menu The highlighting will be removed from this area of the document 4 Select File Save from the main menu or click to save the changes SERFF Industry Manual Page 263 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Advanced Adobe Features There are some advanced features that can be done in Adobe that allow users to more efficiently use the Acrobat product Individuals can add links within an Adobe document to other locations in the same document to other electronic documents or to Web sites The second advanced feature that is referenced in this section will save users time when a revised document has been submitted The comparison feature is ideal for using with documents that are nearly identical In Adobe Acrobat you can open an original document and then open a revised copy of that very same document and pinpoint the exact changes that have been made Within Adobe Acrobat there are two options that allow for com
206. laced in the Fee Total column Adobe Acrobat has the ability to calculate the sum of the values in the Fee Total column for the user 1 First set up a Text Form Field in each of the cells in the Fee Totals column using the techniques used earlier in the chapter Give each of the cells a different name to make them unique Companies State of Show Retaliatory Fee Fee Filing Domicile Calculation Total iling Co 1 6 Cal se Total Filing Co ee Cal 1 ee Total 1 a ia fl Total of Retaliatory Fees for this Filing Submission 2 Copy and paste one of the FeeTotal fields and place it into the cell beneath FeeTotal 4 Open the Field Properties box by double clicking the new field and change the Name to an appropriate title 3 Make sure the field is formatted for Numbers and Currency If it s not the Calculate tab will not allow access to the calculating functions 4 Next select the Calculate tab The default selection is Value is not calculated so select the Value is the calculation of the following fields button Once that button is selected you will have access to the calculation options SERFF Industry Manual Page 302 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Select sum from the drop down xl General Appearance Options Actions Format validate Calculate
207. lders Written Premium for Maximum Change Minimum Change Name Change Impact Change for this Affected for this this Program Program Program AAA Life P where required where required Insurance Company America s Best Company Overall Rate Information for Multiple Company Filings Overall Percentage Rate Indicated For This Filing Overall Percentage Rate Impact For This Filing Effect of Rate Filing Written Premium Change For This Program Effect of Rate Filing Number of Policyholders Affected Select Exhibit Name Rule or Page Rate Action Previous State Filing Number d Delete Selected Add Import Template Icon Legend l Draft Schedule Item 1 Open Objection The Rate Rule schedule contains the following fields Attach Document Submitted e Exhibit Name This is a list of Rate and Rules and various exhibit data being filed e Rule Page This is the list of changes to the Rate Rule manual SERFF Industry Manual Page 101 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual e Rate Action The type of rate action being submitted O New i Rate Action Replacement Withdrawn Please Select Please Select New Replacement Withdrawn e Previous State Filing
208. le of their entire filing or selected parts of their filing The PDF Pipeline is generated on demand The results will be displayed instantly and the user can save the PDF locally to their network or review online All Schedule Items and Correspondence including Reviewer Notes and Filer Notes will be available to PDF Pipeline PDF Pipeline 1 Open the SERFF filing 2 Click the button Add Authors Update Change Schedule Items Set Confidentiality Create Reminder Move to Workfolder Alabama View General Instructions View Filing Lo Product Name Homeowners Product Launch SERFF Tr Num AAAL 126885435 SERFF Status Submitted to State TO 04 0 Homeowners State Tr Num State Status Sub TOk 04 0001 Condominium Homeowners Co Tr Num Co Status Filing Type Rate Date Submitted 12 14 2010 Disposition Date Effective Date Requested New Effective Date Requested Renewal Authors Frances Stuart When selecting the Form Rate and Supporting Documentation Schedules at least one item must be selected for the Schedule to print If just an item from the Schedule is chosen and not the Schedule itself only the attachment and or details for that item will generate Nothing will print if just the Schedule is selected and no items A dialog box will appear that lists all of the pieces of the filing that can be included in the PDF SERFF Industry Manual Page 191 of 345 Copyright 2011 National Association of Insurance Co
209. les tab to initiate a search 2 Enter the desired search criteria 3 Click the button The Name field uses a starts with search mechanism just type in the first few characters of the Requirement name Wild cards are not supported in this search SERFF Industry Manual Page 44 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Requirements New Search Refine Search Requirements Requirements 1 50 of 115 First Previous Next Last Instance Name a Att Category Name Alabama Actuarial Support Exhibits Alabama Actuarial Memorandum AlabamaLife Actuarial Memorandum Life amp Health Alaska P amp C Actuarial Support Alaska Actuarial Memorandum AlaskaLH Actuarial Support The Requirements view displays up to 50 requirements per page First Displays the first page of Requirements in the search results Previous Displays the previous page of Requirements in the search results Next Displays the next page of Requirements in search results Last Displays the last page of Requirements in the search results The user may choose to resort the Requirements by clicking on the column headers When a user resorts a view by any of the columns that sort will be maintained until the user loads a different view or goes to the Search screen The following buttons are available on the Search Results screen Clears
210. ling Schedule Schedule Documentation Correspondence Form Count 1 Schedule Item Form Form Edition Form Action Action Specific Readability Attachments Status Name Number Date Type Data Score Undo Draft FormA 9865 2010 ADV M New v 0 Attach Files E o Revised GodzillaExclusi Previous Version FormA 9865 2010 ADV New 0 GodzillaExclusi 6 Click to save changes and exit Revise mode Build the Amendment 1 Click on the Filing Correspondence tab 2 Click the create Amendment button General Rate Rule Supporting Companies Filing Filing Information Schedule Documentation and Contact Fees Correspondence Objection Letters No Objection Letters Amendments No Amendments Post Submission Updates This filing does not support post submission updates Dispositions No Dispositions Filing Notes No Filing Notes Reminders No Reminders 3 Enter Comments in the Comment field SERFF Industry Manual Page 187 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Amendment of AAAL 126885435 Save Apply Cancel j SERFF Tracking Number AAAL 126885435 State Alabama First Filing Company AAA Life Insurance Company State Tracking Number Company Tracking Number TOI 04 0 Homeowners Sub TOI 04 0001 Condominium Homeowners Product Name Homeowners Prod
211. m Numbers This is the list of changes to the Rate Rule manual e Rate Action The type of rate action being submitted New Other Revised e Rate Action Information If rate data is being replaced or withdrawn the Previous State Filing Number field is displayed This field will not display if a Rate Action of new is selected Remove a Rate Rule Schedule or Attachment 1 Click on the check box next to the line item and then click the button to remove information from the Rate Rule Schedule All information entered will be deleted Exhibit Name Note Clicking on the Remove link next to the added attachment deletes the attached file see below This does not delete the new rate information displayed on the rate rule schedule Clicking on the button next to the exhibit name deletes the added rate information and any attached files see above Attach Files O1 EVENT NOTES doc Remove SERFF Industry Manual Page 109 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Rate Schedule Using Templates SF The L _lmport Template button will be visible if the Author has created Schedule Templates See how to create a Schedule Templates later in this lesson 1 Click the Import Template L button to import a Schedule Template General Rate Rule Supporting Companies Filing F
212. m Rate Form Rate Rule Form Rule Rate TOI 19 0 Personal Auto Sub TOI 19 0000 Personal Auto Combinations Cl Rate Rule J Rule California A Cl Advertising C Form C Form Rate Form Rate Rule C Form Rule C Rate TOI 19 0 Personal Auto Sub TOI 19 0000 Personal Auto Combinations CJ rate Rule CL Rule Previous Next Add or Remove States Save and Close Save Cancel Step 5 Select Filing Types 1 Using the Filing Type Selector place a checkmark next to the Filing Type s applicable to the filing Wherever there is an exact match the Filing Type for the state will auto populate If there are no Filing Type matches simply select the appropriate Filing Type for each state SERFF Industry Manual Page 325 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual 2 Click on the button to advance to Step 6 Step 6 Confirm Selections Step 6 displays a summary of the Filing for review and confirmation of all the data entered in previous steps Click on the button to make changes to the Filing prior to saving Once the button is clicked changes to the prior Filing Paper Wizard values cannot be changed Step 6 Confirm Selections State TOI Sub TOI Filing Types Alabama 19 0 Personal Auto 19 0000 Personal Auto Combinations Form Rate California 19 0 Personal Auto 19 0000 Personal Auto Combinations Form Rate Previous Save and Con
213. mage multiple images will be opened into multiple PDF documents The file name will remain the same but the file extension will be changed to pdf If you drag the image file onto an already opened Adobe Acrobat file it will place the image at the end of the document This might be a useful tool if a state seal needs to be added to a document SERFF Industry Manual Page 237 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Only image files such as gif jog omp or png can be converted this way Text documents must be converted using the previous two types of file conversions Drag and Drop 1 Ensure that all applications on the desktop have been minimized 2 Find the image file that you want to convert to a PDF file format select the file by single clicking on it and hold your mouse down while you drag it over the Adobe Acrobat desktop icon and release Make sure that you are dragging the file onto the Adobe Acrobat icon and not the Adobe Acrobat Reader icon aN Po be d Ed My Documents Macromedia Ulead Drop Captivate Spot e p A z My Computer e time TeamMate Suite My Network laces f A Recycle Bin litepages Microsoft ae Adobe X Acrobat Sprint Remot Access ACL f 48 ACL Version amp SERFF jpg VZAccess Manager oe j a i FullShot 7 Office Outlook in d Internet Explorer
214. may begin submitting PPACA utilizing the new uniform methods State Insurance all Departments A new field is being implemented to identify PPACA filings Industry will be required to complete information SBS on the General Information Tab of a SERFF filing if a filing NIPR has been marked PPACA eligible The functionality is expected to be released in SERFF Wednesday evening AICP June 3 Documentation is currently being developed for LHCA both states and industry and will be available in SERFF s Online Help Release Notes will be available on SERFF s splash page at https login serffl com SEIAS i IMPORTANT NOTE the three field values being added to SERFF are Not PPACA Related Non Grandfathered Immed Mkt Reforms Accessing SERFF Industry users log in to SERFF at https login serff com with a registered user name and password SERFF IDs and passwords are obtained by e mailing the SERFF Help Desk at serffhelp naic org The SERFF application home page is regularly updated with details about new releases upcoming events and other useful information Users should bookmark this page for accessing SERFF Clicking on the Login here link in the upper right hand corner will take the user to the log in page SERFF Industry Manual Page 15 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Home About SERFF Contact Us naic org NAIC
215. ment is originally created in a word processing program and has a table of contents when it is converted to an Acrobat document bookmarks are automatically created from the table of contents In addition you can add your own bookmarks to an Acrobat document similar to paper bookmarks and mark parts of documents that you often return to Bookmarks can also be used as an outline for a lengthy document Many of the documents you will work with in Adobe Acrobat will contain bookmarks in them Use the following steps to navigate the bookmarks of an Acrobat file Bookmarks 1 Open the appropriate file in Adobe Acrobat 2 Select View Navigation Tabs Bookmarks from the menu bar if the Bookmark pane is not already open TT File Edit View Document Comments Tools Advanced Window Help fa g P SE create POF lt Comment amp Markup yp Send for Review fy E5 Bookmarks ABC COMPANY npany will pay the benefits specified in the Exhibits of this policy subject to the p policy The Schedule of Exhibits lists each Exhibit to this policy to whom it E la Signatures E Policyholder AnyCompany Group Policy No AXA EFFECTIVE DATE w g D i Tiji OG ji D This policy will take effect on October 1 1999 This policy replaces Group Policy Number YYY YY which was issued by ABC Company and took effect on October 1 19977 POLICY ANNIVERSARIES Policy anniversanes will be October 1
216. mentation item Riders Endorsements Insert pages is required ab i J 4 B 6 fa Bs 3 If all requirements have been satisfied the filing will be submitted to the state The Author will receive the following confirmation if the filing was successful SERFF Industry Manual Page 129 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Filings Billing Settings Filing Rules Reports Templates Create Paper Filin My Draft Filings Your filing was submitted to Alabama Templates The use of Templates allows Authors to create reusable Schedules A Template can be attached to any new or draft filing Once attached to a filing a Schedule created from a Template is identical to any other Schedule It can be edited prior to submission and will appear in the same manner as other Schedules at both the state and industry Creating A Template for Rate Rules and Forms 1 Click on the Templates tab Filings Billing Settings Filing Rules Reports Tena Create Schedule Template 2 Click on the t button Schedule Templates Create Schedule Template Filter Templates Template Name Business Type Schedule Type Template Owner All All All Rate Rule Schedule Property amp Casualty Rate Rule Frances Stuart Form Template Property amp Casualty Form Frances Stuart Form Life Accident Health Annuity Credit Form Frances Stuart e The following p
217. missioners All rights reserved SERFF End User Training Manual 2 Click inside the Status Options text box 3 Add update or delete Status Options as needed Hit the Enter key between each option Filings Settings Filing Rules Reports Templates User Preferences Instance Preferences Companies Contacts Industry Instance Profile Prefix AAAL Instance Name aaalifeinsurancecompany EFT Options Edit Status Options Status Options Pending Actuarial Response Pending other Dept Response Response in progress Submitted Pending DOI Review 4 Click _Save_ to finalize or _ Cancel to discard the changes made EFT Options The final section under Instance Preferences is for Electronic Funds Transfer EFT is a quick and easy way to send state fees to states that accept SERFF EFT When a state receives an EFT filing they consider the fees received and can begin review immediately Implementation is minimal and is coordinated by the SERFF team For questions about getting started please review the SERFF EFT Implementation Guide at www serff com The first field in this section is EFT Enabled If the EFT Enabled flag is set to yes the instance is able to submit payment via EFT to states that are accepting such payments The SERFF team sets this flag SERFF Industry Manual Page 27 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Settings
218. mmissioners All rights reserved SERFF End User Training Manual Generate PDF for AAAL 126885435 Generate PDF Cancel Select All Select None Select the portions of the filing to include in the generated PDF PDF Pipeline Help d Filing Information L Form Schedule summary Detail for All Items Date Submitted C FormA 9865 2010 Advertising 12 14 2010 rT FormA 9865 2010 Advertising 12 14 2010 There is no Rate information to include GL Rate Rule Schedule Summary Detail for All Items Date Submitted C 36 Rate No rule page number 12 14 2010 a L Supporting Document Schedule Summary Detail for All Items Date Submitted oO Actuarial Memorandum Satisfied 12 14 2010 F Authorization Form Bypassed 12 14 2010 eC Filing Correspondence Summary Detail for All Items Date Submitted C Amendment Letter 12 14 2010 3 Select the individual items or click the button 4 Click the be button to deselect all the items 5 Click the button to cancel the action 6 Click the button to create the PDF SERFF Industry Manual Page 192 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual 4as i Bookmarks CO Lice bene reari Leech EHE Filing Info Filing at a Glance E General Information E Filing Description E co mpany and contact E Filing Fees E State Specifi
219. mpany Status Changed Reference Organization Reference Number Reference Tite d Advisory Org circular Assigned To Created By Frances Stuart Submitted By Corresponding Filing Tracking Number FT Filing Description LAH Filing General Information General Form Rate Rule Supporting Companies Filing Filing Information Schedule Schedule Documentation and Contact Fees Correspondence PPACA Not PPACA Related what is PPACA C Non Grandfathered Immed Mkt Reforms C Grandfathered Immed Mkt Reforms Project Name HPL 2011 Project Number Status of Filing in Domicile Piease Select Date Approved in Domicile Domicile Status Comments Filing Status Changed 12 14 2010 State Status Changed Company Status Changed Requested Filing Mode Please Select v Submission Type Please Select w Overall Rate Impact Market Type Group b Group Market Size Please Select Group Market Type C Employer C Association C Blanket E Discretionary O Trust CI Non Employer Group El other Explanation For Other Group Market Type si Assigned To Created By Frances Stuart Submitted By Corresponding Filing Tracking Number Filing Description SERFF Industry Manual Page 95 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Form Schedule The Aut
220. mplate Previous Save Apply Cancel Template Owner Frances Stuart Industry Name saalifeinsurancecompany Business Type Property amp Casualty Schedule Type Supporting Document Schedule Template Name p3c Supporting Document O amp e nams Comment No Attachment Required 8 For each item of Supporting Documentation added the Author must provide a Name and either Comments or one or more attachments The Author may also supply both Comments and attachments The Author will be able to choose the following options e Comment text box Enter comments related to the status of the requirement e No Attachment Required check box Use this check box to indicate that no attachment was required for this item This will allow the Supporting Documentation to pass completeness validation when submitting the filing to the state e Attach Files button Use this button to add attachments to the Supporting Documentation e Remove button Use this button to remove the Supporting Document item SERFF Industry Manual Page 138 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual F Aw Name State Requirement Comment E cd Declaration pdf Remove 9 The Author may then chose one of the three following options e Click the button to go back a step m m T e Click the button to cancel this action e Click the button to save the
221. n Bankers It will be deleted permanently Cancel 9 A confirmation message appears confirming this action Click button to delete SERFF Industry Manual Page 216 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Search Results The results screen for Advanced Search is similar to the others views used in the system such as My Open Filings From the search results page the user can start a new search refine the current search open a filing or move one or more filings to the Workfolder The search results screen also displays the criteria used for the search and shows the number of filings found All of the columns in the search results page can be sorted Filings Billing Settings Filing Rules Reports Templates Search Filings Where SERFF Status is Assigned or Submitted to State and Business Type is LAH Move to Workfolder New Search Refine Search Filings Filings 1 8 of First Previous Next Last State Filing Date TOL Sub TOl Filing Type SERFF Status SERFF Tracking Company Status Company Tracking Georgia Sep 16 2006 Life Term Life Forms amp Rates Assigned KIER 000500620 Submitted 99999not 4 tol Georgia Sep 14 2006 Credit Life gt 120 Months Advertising Submitted KIER 000500669 Georgia Sep 16 2006 Credit Life lt 120 Months Form Submitted KIER 000500777 Georgia Sep 16 2006 Credit Life lt 120 Months F
222. n Demand Internet Explorer Enable Install On Demand Other Enable offline items to be synchronized on a schedule Enable page transitions Enable Personalized Favorites Menu Enable third party browser extensions requires restart m F Restore Defaults IND EERE coed ss SERFF Industry Manual Page 10 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual 7 Scroll to the Java Sun options If you do not have these options skip to the next step Internet Options ax General Security Privacy Content Connections Programs Advanced Settings Use inline AutoComplete C Use Passive FTP for firewall and DSL modem compatibility Use smooth scrolling HTTP 1 1 settings Use HTTP 1 1 C Use HTTP 1 1 through proxy connections Java Sur j Microsoft VM b Java console enabled requires restart Java logging enabled JIT compiler for virtual machine enabled requires restart Multimedia J Don t display online media content in the media bar Enable Automatic Image Resizing Enable Image Toolbar requires restart m F Restore Defaults 21 4 2 13 for lt applet gt requires restart 8 Scroll to the Microsoft VM options 9 Check the option for the Java or JIT compiler This will enable the Java applets Internet Options ax General Security Privacy Content Connections Programs Advanced Setting
223. n Tab of a Paper Filing can be modified at any time in the filing process On a Paper Filing the SERFF Status field is Author generated and not system generated This allows the Author to change the status to match feedback they may be receiving from the state outside of the SERFF system amp Note The TOI Sub TOI and Filing Type fields may be changed on a paper filing after it has been created However if TOI is changed a new Sub TOI and Filing Type fields must be selected before saving the filing SERFF Industry Manual Page 333 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Other Paper Filing Tabs The Rate Rule Schedule Form Schedule Companies and Contacts and Filing Fees Tabs all work the same in Paper Filings as they do in Electronic Filings State Specific Tab There is no information required on the Paper State Specific Tab Add Authors Edit Move to Workfolder Generate PDF Rhode Island Product Name Paper Filing for Manual 2 SERFF Tr Num JEM1 000501015 SERFF Status Draft TOI 401 Annuities Assumption Agreement State Tr Num State Status Sub TOI 401 000 Annuities Assumption Agreement Co Tr Num Co Status Filing Type Form Date Submitted Not Submitted Disposition Date Implementation Date Requested Authors Joy User Filer User General Rate Rule Form Companies Supporting State Information Schedule Sc
224. n measure as to where the filing is in the process 2 give the SERFF application a mechanism to control activities that can take place on a filing and 3 allow for the reporting of metrics information Draft Filing has been assigned a tracking number but has not been completed and submitted to the state Submitted to State Author has submitted the filing to the state and the filing has passed all applicable validations State can now access the filing Assigned State has assigned the filing to one or more reviewers but no additional action has been taken Pending Industry Response There are one or more open Objection Letters on the filing that need a response from industry Pending State Action One or more Objection Letters have been responded to by industry Filing is still open Closed The state has created a Disposition Report indicating the final action of the filing The asterisk indicates that the state Disposition Status i e Approved Acknowledged and Disapproved will be appended to the SERFF status Reopened The state has reopened the filing SERFF Industry Manual Page 84 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual amp Directly behind the SERFF Status there is a dash and then the Disposition Status will be listed This status will only be shown on a closed filing See example below Add Authors Update Create R
225. n of Insurance Commissioners All rights reserved SERFF End User Training Manual ABS Company A stock company mill pay ihe beets specified nthe Exhibils o ihis policy subsi the ferns 2nd provisions of this policy The Schedule of Exhibils ibs each Exhibit to this policy bo whom apies and Rs eiad date Group Polley Ha POS EFFECTIVE DATE Ths policy will take ehec on Ochote 1 1956 This policy replaces Geowp Policy Humber SY YS which was lesued by ABC Congas and took effection Oictober 1 157 POLICY ANNMNERSSARIES Policy anciversanes will be Ocloberd 2000 and each subsequent October 1 PREMIUM PAY MEST Thi paky is sued In reium for the payment by the Policvholder of required Premiums Premiums are i gaa Company of fois sahod agent The first Premium i cue on amd aa by ihis pokys effective date Any iaie Premiuma are cue morthi n siame on ihe det cay ot each Policy Monit These dates are ihe Premium Due Cies POLICY SITES This poly ls sued for deise in and Qosemed by ine laws of lerlsdiction Signed by ee A kemad agent or resident agent as required by kaa MHE POLICY E INTENDED TO BE A GUALIRIED LONG TERM CARE INSURANCE COAT RAST UNGER SECTION 7725h OF THE INTERNAL REVENUE CODE OF 168 AT AMENDED THIS POLICY MAY WOT COVER ALL THE COSTE ASO CMATED WITH LOHG TEAM CARE INCURRED BY THE BUYER DURING THE PERRO OF COVERAGE THE BUYER IE ADVISED TO CAREFULLY REVIEW ALL POLICY LIMITATIONS E HH 2 Click
226. n the Search Name text box Save Search Search Name i 3 Click the L Loading a Saved Search 1 From the Advanced Search click on the drop down arrow in the Saved Searches field and select a search to load Saved Searches Searches Please Select American Bankers 2 Click the button 3 The screen will be updated to show the criteria for this search The criteria may be modified without affecting the saved search SERFF Industry Manual Page 214 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual 4 Click the Search button as with any search S To modify an existing saved search update the criteria and re enter the same name in the Search Name box then click Save The system will prompt for confirmation to overwrite the existing search Deleting a Saved Search 1 Go to the Advanced Search screen 2 Click on the drop down arrow in the Saved Searches field and select the search to be deleted Saved Searches Searches 3 Click the button Saved Searches Current Search American Bankers Searches Please Select 4 Click the L_Pelete__ button SERFF Industry Manual Page 215 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Message from webpage P j Are you sure you want to delete the search America
227. nce Company State Tracking Number Company Tracking Number SL 10 TOI LO7I Individual Life Whole Sub TOI LO7I 101 Fixed Indeterminate Premium Single Life Product Name Whole Life Project Name Simple Life Date of Event Detail User 8 6 10 Public Access Status of Disposition 126557060 submitted on 08 06 2010 was Changed to true Jennifer 8 11 4 Haskell 8 6 10 Disposition 126557060 for Filing AAAL 126737026 was Submitted with a Status of Approved as revised Public Access Status has been Set by Default Jennifer 8 11 43 AM Haskell 8 6 10 Public Access Status of this filing was Changed to true Public Access Status of Objection Letter 125668501 submitted on 07 27 2010 was Changed to true Jennifer 8 11 38 AM Public Access Status of Response Letter 125676295 submitted on 08 05 2010 was Changed to true Public Access Status of Whole Life Insurance Policy Haskell 140427286 was Changed to true Public Access Status of Accelerated Death Benefit Endorsement 140257183 was Changed to true Public Access Status of Disability Waiver of Premium 140257184 was Changed to true Public Access Status of Travel Accident Rider 140427287 was Changed to true Public Access Status of Daily Benefit Rider 140257186 was Changed to true Public Access Status of Accidental Death Benefit Rider 140257187 was Changed to true Public Access Status of Child Term Rider 140257188 was Changed to true Public Access Status of Direct Sold Application 140257189 was
228. nce Company i Third Party Authorization Requirement Last Modified Nov 18 2010 AAAL 126885444 AlabamaLife Form Rate Auto Club Life Actuarial Memorandum Life amp Health Requirement Last Modified Jan 27 2004 AAAL 126885444 AlabamaLife Form Rate Auto Club Life Third Party Authorization Requirement Last Modified Nov 18 2010 4 Select Bypass Satisfy Reset Apply Filter Clear Filter Tracking Number State E Filing Type Company Name s Status Requirement Name AAAL 126885441 AlabamaLife Form Rate Auto Club Life N Actuarial Memorandum Life amp Health All v Actuarial Memorandum i Requirement Last Modified Jan 27 2004 AAAL 126885443 AlabamaLife Form Rate AAA Life Insurance Company a Actuarial Memorandum Life amp Health Requirement Last Modified Jan 27 2004 AAAL 126885444 AlabamaLife Form Rate Auto Club Life i Actuarial Memorandum Life amp Health Requirement Last Modified Jan 27 2004 5 Once the filter has been applied the user may a Select Bypass or The user will need to enter a Bypass reason or Satisfy the requirement as they would when working in a single draft filing Either option can be cancelled SERFF Industry Manual Page 119 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved Bypass Window Cancel Action Bypass Reason Document not required for this filing
229. ncludes information not specific to a product about submitting SERFF filings to the state instance e Types of Insurance The Types of Insurance TOls and Sub Types of Insurance Sub TOls accepted by a specific state instance in SERFF e Submission Requirements A compilation of TOls Sub TOls Filing Types and Requirements The Submission Requirements identify the specific Requirements that need to be submitted to a state specific to the TOI Sub TOI and Filing Type selected Requirements A Requirement when included in a Submission Requirement is a request from the state for Supporting Documentation to aid in the review of a filing States use the Requirements list in this view when creating their Submission Requirements A Requirement can be used in multiple Submission Requirement documents but are instance specific The Requirement search page allows searches based on the following information SERFF Industry Manual Page 43 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual e Name The Requirement name e Business Type The line of business to which the requirement applies e State Instances The State instance s participating in SERFF Find Requirements i A State Instances Alabama AlabamaLite Alaska AlaskaLH Arizona ArizonaLH Arkansas ArkansasLH California California LAH S Find Requirements 1 Click the Filing Ru
230. nformation Information Last Name Jor 54 Message Settings User Preferences First Name Frances Email Address fstuart naic org Ex name domain com Address 2301 McGee City Kansas City State Missouri Postal Code 64108 m e k Phone 316 783 8586 Ex 123 555 4567 Fax i Ex 123 555 4567 SERFF Industry Manual Page 24 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual The second area of User Preferences is Message Settings Under this tab users can indicate any type of SERFF message that they do not wish to receive The user selects the action s for which they would like to receive message by moving them from the list on the left to the list on the right Remove items for which you no longer wish to receive messages by moving them back to the list on the left These settings are specific to the user Contact E 3 gt VENIN 7 Indonesia Filing Activity Messages Filing Activity Messages Help j Message Settings Billing Low Block Warning Compact Filing Acknowledge Included State User Preferences Effective implementation Date Updated Disposition Submitted Public Access Defaults Restored Filing Reopened Filing Submitted with Default Public Access Filer Note Created industry Reminder Notification Generated Note To Filer Submi
231. nge of premium increase i e 0 10 10 20 increase etc and a worst case scenerio after all changes have been considered Also if it is an initial program a competitors comparison exhibit is always helpful F Actuarial Memorandum Description Any actuarial documents that will help to support the change Of those the required exhibits consist of a 5 year rate change history a histogram showing the percentage of insured s falling with a range of premium increase i e 0 10 10 20 increase etc and a worst case scenerio after all changes have been considered Also if it is an initial program a competitors comparison exhibit is always helpful Comment C No Attachment Required __ Reset 3 onftenet 7 You may attach up to 5 files at a time Use the Browse button to navigate to the 4 button to link the file or files to file you wish to attach Then click the the requirement Word documents and files over 3mb will not be allowed to be uploaded into the system SERFF Industry Manual Page 114 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual SERFF File Attachment Upload Attachments larger than 3MB or Microsoft Word tm documents cannot be uploaded to SERFF Comments may be added before or after files have been attached The attached files are listed below the comment box adjacent to the file Remove opt
232. ns Co of Kansas Produ Code Name KIER 000500245 Life Test Life Ins Co of 12345 Kansas KIER Credit Life 000500666 12345 SERFF Ins 65987 Forms Life amp Credit Satisfied Third Party Filing Bypasse SERFF Industry Manual Page 310 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Quick Export Tool As with the Export Tool Quick Export is available to authorized industry users from their Data Hosting site If a user has access to Quick Export the link in the Workspace on the Filings tab will read Search Export rather than Search Quick Export utilizes the Advanced Search feature as the mechanism to pull back data on the filings that meet the criteria entered Refer to the sections on creating and running Advanced Searches for more information Quick Export will always pull back the same fields The data is exported into an Excel spreadsheet allowing users to create custom reports amp Running a Quick Export 1 In the Advanced Search screen enter the search criteria or load a saved search Before exporting data its a good idea to run the query as a search and validate that the desired results are being returned 2 Click the button on the Advanced Search screen Users that do not have the Export role will not have this button and cannot run exports 3 The File Download dialog opens
233. nt that triggered the Message Message Remove Message Move to Workfolder Assignment Made on Filing AAAL 126884560 to Alabama Attn Frances Stuart SERFF Tr Num AAAL 126884560 Product Name Health Test Co Tr Num Type Of Insurance HO3G Group Health Accidental Death amp Dismemberment State Tr Num i a a Sub Type Of Insurance HO3G 000 Health Accidental Death amp Dismemberment Filing Type Form Rate Company AAA Life Insurance Company From Frances Stuart Contact Fran Schwarz Message Received 12 14 2010 01 44 PM State Alabama Event Detail Primary Reviewer changed for Filing ASAL 126884560 to Stuart Frances When viewing a Message the user has several options e To return to the Message Center click the link SERFF Industry Manual Page 153 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual R M e To delete the Message for the current user click the button e To move the referenced filing to the user s Workfolder click the Move to Workfolder button e Moving a filing to the Workfolder from within the Message also removes the Message from the Message Center e To open the filing referenced in the Message click the blue underlined SERFF Tracking Number Message Setting Message Settings allows users to control two types of Messages they receive the first type is Filing Activity Messages the second is State Genera
234. nter them into the list 5 Before exiting the form create a blank item to be used as the default selection This will prevent the field from being automatically populated and will make it more noticable if it is not filled out It will also reduce unnecessary clutter on the page Place the cursor into the Item box and press the Space Bar then click Add Make sure the blank line is selected to make it the default and click OK E 6 When you activate the form the combo box will look like this NZ Ar SERFF Industry Manual Copyright 2011 National Association of Insurance Commissioners All righ Page 298 of 345 A A A A A C C 40 A E SERFF End User Training Manual State of Domicile Click the arrow button to reveal the list and make the selection Creating Radio Buttons and Check Boxes Radio buttons and Check boxes are tools that allow the user to makes selections from a list of items If you want to restrict the user to making one choice a radio button would be your best choice Though if you want to give the user the option of making more than one choice use check boxes The procedures for setting up radio buttons and check boxes are exactly the same For our example use radio buttons in the Type of Filing section on the Retaliatory Fee Form The user will be given the choice of either Life and Health or Property and Casualty 1 Select the radio button from the Forms tool bar
235. o Brow Po Brows Po Brow eet ee Up to five files can be attached at a time before uploading 7 Continue in this manner until all the necessary Schedule Item changes have Appl been made Be sure to click PPY to save your changes periodically SERFF Industry Manual Page 173 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual 8 Click to save changes and exit Revise mode fa Schedule Item has been replaced in error click the Undo Draft button Build the Response Letter 1 Click button located next to the Objection Letter on the Filing Correspondence tab This will generate your Response Letter General Rate Rule Supporting Companies Filing Information Schedule Documentation and Contact Correspondence Objection Letters Status Created By Created On Date Submitted Re fea Dy Response Created On Response Submitted On Under review Stuart Frances 12 14 2010 12 14 2010 02 50 PM SERFF will automatically pull all Draft Schedule Items the filing revisions into the Response Letter Each Response will automatically match up with the corresponding Objection 2 Enter an Introduction Comments per Objection and Conclusion in the respective fields The Comments field is required and must be completed for each Objection SERFF Industry Manual Page 174 of 345 Copyright 2011 National Association of Insurance C
236. o information on a Message that is not in the filing itself Filers are encouraged to read and then delete messages Multi State Filing A Multi State Filing is a filing intended for multiple states A filer creates the filing and identifying all the states to which they would like to submit their filing The Filing Wizard walks the filer through the creation process selecting the base information on a filing that might be the same for all the states selected Once the Filing Wizard is completed the filer can go back through the filings and add state specific information Notes Notes are used as a means of communicating between filer and reviewer or internally on either the state or industry side A Note is created from the filing and becomes part of the filing Type Definition Note to Sent from the company to the state where it will be read by the Reviewer reviewer and becomes a part of the filing This is more general Communication to the reviewer Note to Filer Sent from the state to the company this is information a reviewer may want to add to a filing outside of other reports More general Communication to the filer Reviewer Note Created on the state side For internal use only this note is not seen by the industry Filer Notes Created on the industry side For internal use only this note is not seen by the state SERFF Industry Manual Page 341 of 345 Copyright 2011 National Association of Insurance Commis
237. o the Message Click when the Message to be read is highlighted in yellow Messages Remove Message Messages Unrea Subject O d State Message Received from Alabama Frances Stuart 4 The Message will display The Message contains the message sent by the state Remove Message State Message Received from Alabama Business Type P amp C and LAH Message Received 01 20 2011 03 33 PM Message Detail The state of Alabama has updated their General Instructions Please reveiw them prior to submitting any filings to our state SERFF Industry Manual Page 158 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Post Submission Update The Post Submission Update feature of SERFF gives industry users the ability to update various filing fields after the filing has been submitted Depending upon a state setting these updates will be allowed on open filings both open and closed filings or none at all Once received the state will review the request and allow or disallow the changes amp Note The filers will only be able to submit post submission updates if the state allows the functionality on their instance If the state does not accept updates the link will be replaced by explanatory text General Form Rate Rule Supporting State Companies Filing Filing Information Schedule Schedule Documentation Specific and Contact Fees Cor
238. ocessing version of the document and re save it as a PDF file again text in an Adobe Acrobat document S Editing Text Below are the steps to edit 1 Open the appropriate document in the Adobe Acrobat program window a File Edit View Document Comments Tools Advanced Window Help ent amp Markup Bookmarks The Schedule of Exhibits lists each Exhibit to this policy to whom it applies and its effective date Policyholder AnyCompany Group Policy No DORA or ma T E uy i D i Tii T i mi JJa EFFECTIVE DATE 2 Help This policy will take effect on October 1 1999 This policy replaces Group Policy Number YY Y which was issued by ABC Company and took effect on October 1 1997 POLICY ANNIVERSARIES Policy anniversanes will be October 1 2000 and each subsequent October 1 PREMIUM PAYMENTS J This policy is issued in return for the payment by the Policyholder of required Premiums Premiums are SERFF Industry Manual payable at the home office of ABC Company or to its authorized agent The first Premium is due on and Page 240 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual 2 Right Click on the Toolbars to activated the Advanced Editing Toolbar Basic Commenting Drawing Markups 3 Click the Touchup Text Tool button iT from the Advanced Editing Toolbar 4 Click on the text y
239. ociate with the form field such as jumping to a specific page or playing a media clip e Format You can choose the format of data entered in text and combo box form from the Select Format Category menu such as numbers percentages dates and times f Validate Use validation properties to restrict entries to specified ranges values or characters This ensures that users enter the appropriate data for a specified form field SERFF Industry Manual Page 289 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual g Calculate The calculation options let you perform mathematical operations on existing form field entries and display the result You can use the common operations predefined in the Calculate Properties dialog box 5 The Name field is mandatory and it is recommended that you select a name that is descriptive and unique to each field In our example we named the field Company Name The Short Description field is optional Text entered into this box will appear as a tool tip like pop up when the user s mouse passes over it This makes it extremely useful for displaying short instructions Text Field Properties General Appearance Options Actions Format Validate Calculate Tooltip Type in the Company Mame Common Properties Form Field Visible Read only Orientation fo degrees Required T Locked
240. of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Select the appropriate TOI Type of Insurance If there is not an exact match for the Type of Insurance when using the Wizard Type of Insurance Selector click the drop down next to each applicable state and select the appropriate TOI SERFF Industry Manual Page 70 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual In the example below notice that Florida does not accept the TOI specified The Author would then be required to select a TOI from the offerings presented in the TOI drop down list specific to Florida Step 3 Select Types of Insurance Type of Insurance Selector 04 0 Homeowners Selected States Type Of Insurance Alabama 04 0 Homeowners Colorado 04 0 Homeowners Florida Please select a value Please select a value Previous Next PSC Personal Lines h Add or Remove States SaveandClose Save Cancel S A state can be added or removed at this point by clicking the Add or Remove States button 4 Click on the button to advance to Step 4 Step 4 Select Sub Type of Insurance Select the Sub Type of Insurance The Sub TOI drop down arrow will list those Sub Types that are available based off of the TOI selected in the previous step NYP w er TIMES SAVER Wizard Su
241. of the filing e View General Instructions link Click the ie Seneral Instructions Iink to be brought to the specific state instances General Instructions document SERFF Industry Manual Page 85 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Add Authors Edit Set Confidentiality Submit Filing Create Reminder Move to Workfolder PDF Pipeline Alabama View General Instructions View Filing Loi Product Name Homeowners Product Launch SERFF Tr Num AAAL 126885436 SERFF Status Draft TOL 04 0 Homeowners State Tr Num State Status Sub TOk 04 0001 Condominium Homeowners Co Tr Num Co Status Filing Type Form Date Submitted Not Submitted Disposition Date Effective Date Requested New Effective Date Requested Renewal Authors Frances Stuart LAH Filing at a Glance Filing at a Glance contains key information about the filing and is always displayed at the top of the page regardless of where the Author is working The Filing at a Glance contains the following fields e Product Name The name of the product being filed to state e SERFF Tracking Tr Num This is the number defined by SERFF e SERFF Status This value is assigned by the SERFF application and automatically updates as activities happen on a filing This field has three main purposes 1 Give state and industry a common measure as to where the filing is in the process 2 g
242. okylis sued for defers In and gceemed by The laws of darsdan Sigd by A kemed agent of resident agent 2s requires by lear Comments attach THE POLICY E INTENDED TO BE A GUALIAED LONG TERM CARE INSURANCE UNDER SECTION T7026 OF THE INTERNAL REVEXUE CODE OF 160 A3 AMENDED CET EER LA Ten LE ROO DURING THE OF COVERAGE THE BUYER IS ADVISED TO CAREFULLY K 4l ier p hilo Oo m 4 Enter the desired text in the note 5 Click EJ to close the Note 6 Click to turn off the Note feature 7 The document will contain a at the location of the note 8 Select File Save from the main menu or click to save the changes SERFF Industry Manual Page 251 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual S Editing a Note in an Acrobat Document Acrobat allows you to add change or delete part of a note previously created Use the following steps to edit a note 1 Open the appropriate document in the Adobe Acrobat program window TE File Edit wiew Document Tools Advanced Window Help 0 Taiisoecttet fia A 3 OOS e Note Too F TextEdts A gt a Show Fe 1 Bookmarks ABC COMPANY ASC Company a stock company will pay the benefits specified in the Exhibits of this policy subject to the tennis and provisions of this policy The Schedule of Exhibits lists each Exhibit to this policy to whom it appli
243. ole eanan aaa asada aaaeaii adada iadoi sedie 195 SERFF End User Training Manual INOUE LO IRC VIC WC lac ariasuecteasircauaaaunarsaronannndandcaaesseeaciadaua seamen aaeausucieneatouseaneeoueeh 198 When States Restrict NTR on Closed Filings cccceccceceseeeeeeeeeeeeeeeeees 201 PSSM CTS Sassissid icacdsvettcicuac atid EASRA EEE 202 BS olel 6 i eee Cn ere Ce ne ee ee ee ee ee ee 203 CSS Ol Orrorin AA 206 Tracking Number Search ccccccccecceeeceeecececeecaeeceeeceeeceeeseesaeeeeeseeeseeeseeees 207 AOVANCCO SEAN GN sis enicauininceaiouiesaieiniesaiounasaicuneaianuuniuonmnwonumnanueeenins 208 LESSON orree O yi ova aria eS a 218 MOGUC HOMO CTO AU AAE OAA A OAN AA 219 Creating and Editing Acrobat Pages cccccccecceseceeeseeeseeeseeeeeeeseesaeesaues 234 Marking Up an Acrobat Document ccc ccec cece eecceeeeeeeeeceeeeeeseeeeeseesaeeaeeaes 249 Aavyanced AUOD FOALS errorean EREE EI E 264 Creaung ONIN S drernen ene ne e E E E EOTS 283 APETO eana E EEA 305 EX OOM TO Olaann N ae ea howngeneeunniaes 306 QUICK EX DOM WOO berets ae tease aaaea 311 RODO aa eeepc ca accu uence ce aca es aecenae esate en 313 Create a Paper FulnG wcussivsxiveutrecinsedeendvecdescduendueudesesedadceneudedecntudntverdedetaseindedes 317 Paper Filing Wizard DefiMmtioNnS reren eteicnd eee cdieciicc edn ots 317 SER EE LO SN a ieserce cin ie peed doseraenedeseseeseanasncasonenostaoensieseeneseeerssesest 339 SERFF Industry Manu
244. olor field The Color dialog box appears 5 Select the color you would like to use as your highlighter The highlighted text will be highlighted with your new color choice 6 Select File Save from the main menu or click to save the changes SERFF Industry Manual Page 261 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual All highlighted comments and other marked up comments are easily found by clicking on the comments tab You can easily find your comments by using the bookmarks automatically created in the comments tab Delete Highlighting in an Acrobat Document If the text no longer needs to be highlighted you can delete the highlighting without affecting the text Use the following steps to delete highlighting in a document 1 Open the appropriate document in the Adobe Acrobat program window B File Edit View Document comments Tools Advanced Window Help gt Note Tool F Text Edits TT Stamp Tool UE da w Ea T E J oO Policyholder AnyCompany Group Policy No XXXXX EFFECTIVE DATE This policy will take effect on October 1 1999 This policy replaces Group Policy Number YYYY Y which was issued by ABC Company and took effect on October 1 1997 POLICY ANNIVERSARIES 5 50 x 11 00 in 4 a al ire BS S 2 Right mouse click on the highlighted text A shortcut menu appears SERFF Industry Manua
245. ommissioners All rights reserved SERFF End User Training Manual Objection 2 Applies To 5501WL Policy Contract Fraternal Certificate Whole Life Insurance Policy Form Comment Text The form that is attached is not the correct form for this request Response 1 Comments Please see the attached file for the requested changes Changed Items Form Schedule Item Changes Form Form Form Action Action Specific Readability Attachments Submitted Number Type Name Data Score Remove s5s0iWL POL Whole Life Initial 50 3 Health Rider pdf Insurance Policy Previous Version s A 5501WL POL Whole Life Initial P 5501WL Whole Date Submitted Lite Insurance Insurance Policy Policy pdf 12 14 2010 By Frances Stuart No Rate Rule Schedule items changed No Supporting Documents changed Add Schedule Item s amp Ifthere are no Schedule Item changes for a given Objection enter a comment relating to the particular Objection Appl 3 Throughout the process click to periodically save updates 4 Click once all updates have been made After clicking on the button the user can Submit Edit Delete or Close the Response Letter The user can also View the original Objection Letter sent by the Reviewer 5 After reviewing the Response Letter and the changes click L SERFF Industry Manual Page 175 of 345 Copyright 2011 National Association of Insurance Commissioners All right
246. ompany will enter their tracking number for this filing e Company Status CO Status The Company enters their status of the filing e Filing Type Defined in the Filing Wizard during the preparation on the filing e Date Submitted The date the filing is submitted to the state e Disposition Date The date the Disposition Report was submitted to company and final action taken e Implementation Date Requested The date the company expects to have the product ready for market e Authors Author of the filing e View General Instructions link Click the 2 Se0eral Instructions Iink to be brought to the specific state instances General Instructions document Add Authors Edit Set Confidentiality Submit Filing Create Reminder Move to Workfolder PDF Pipeline Alabama View General Instructions View Filing Lo Product Name Health Product Launch SERFF Tr Num AAAL 126885444 SERFF Status Draft TOI HO2G Group Health Accident Only State Tr Num State Status Sub TOl HO2G 000 Health Accident Only Co Tr Num Co Status Filing Type Form Rate Date Submitted Not Submitted Disposition Date Implementation Date Requested Authors Frances Stuart SERFF Industry Manual Page 87 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved Draft Filings INE MME p INER HR SERFF End User Training Manual After completing the Filing Wizard process the Filing Wizard automatically gen
247. op up Mote This policy will take effect on October 1 1999 This policy replaces Gr Reset Pop up Mote Location issued by ABS Company and took effect on October 1 1287 POLICY ANNIVERSARIES a Policy anniversaries will be October 1 2000 and each subsequent Oct Reply PREMIUM PAYMENTS Show Comments List This policy is Issued in return for the payment by the Policyholder of rec Make Current Properties Default payable at the home office of ABC Company or to its authorized agent z musi be Properties ee plage oe effective date Any later oe are dwe mor lid 4l ra plo oO Je ea 3 Select Delete from the menu 4 The note is deleted from the document SERFF Industry Manual Page 254 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Adding a Stamp to an Acrobat Document Acrobat allows you to apply a stamp to a document much the same way you would use a rubber stamp on a paper document Open the appropriate document in the Adobe Acrobat program window 2 Click on the Notes Tool button The stamp type will appear T File Edit wiew Document Comments Tools Advanced Window Help Bookmarks i ni 3 To Ol i ABC COMmpany a STOCK Cor pr mein the Exhibits of this policy subject to the terms and provisions of this p f ts each Exhibit to this policy to whom it applies and its effective date A PPROVE D Policyholder An S
248. orm Submitted KIER o00501000 Georgia Sep 17 2006 Credit Life lt 120 Months Form Submitted KIER O00501005 Georgia Sep 16 2006 Credit Life gt 120 Months Form Submitted KIER OO0S00666 Georgia Sep 16 2006 Credit Lifer 120 Months Forms amp Rates Submitted KIER 000500667 3 F s Georgia Sep 16 2006 Credit Life gt 120 Months Rate Submitted KIER 000500668 SERFF Industry Manual Page 217 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Lesson 7 Adobe Acrobat software is a document exchange program that enables users to share files that can be viewed and printed easily with a freely downloadable Acrobat reader Acrobat allows you to convert virtually any document easily in a shareable Portable Document Format PDF Documents in PDF format retain likeness of the original document with a smaller file size making them easier to share the document via email disk or other means In addition Adobe Acrobat contains tools for you to markup review and edit changes with PDF documents Adobe Acrobat allows you to create interactive table of contents notes stamps annotations bookmarks and indexes for your document The following lesson will show you how to use Adobe Acrobat In addition SERFF standards for documents will also be included amp Note When a state receives a filing for review it is important to understand that in order for Adobe
249. ou would like to edit A box will appear around the text block with the text highlighted ABC COMPANY ABS Compay a Sack company Wi pay the beets specitied nite Erhibils of Ihis policy subsi to the fern and provisions of his policy The Schedule of Exhibils lists ach Exhibit to this policy o whom fi apie and Rs efectee date Aryoompany EFFECTIVE DATE This paky will take eect on Foclober 1 1956 This policy replaces Geowp Policy Number 9 which weg ieee by Ao Compay and took affection October 1 1957 POLICY HNMERSARIES Policy anmnmbhareaie will be Oribe 1 2000 end each subsequent Ocioter 1 PREMIUM FATHEHTE Thi paky is ksu In reum for ine pment Ey Te FPoloyholier of egued Premiums Premiums me payable st te home office of ASC Company or to ts mawio agent The Tra Premium e due on acd muH be ald by his polcy s eisd date Any later Premiuma are due monthly n scvance on ihe fret day of acth Policy Honti These dates are ihe Freemium Gee Cae POLICY SITUS Thi poky ls Reed for defer in and gamed by fhe lew of asde Signed by L jA kema agento edeni agent as egaine Ey a MHE POLET E INTENDED TO BE A GUALIAED LONG TERM CARE IHIURAHTE CONTRACT UNDER SECTION TTE OF THE INTERNAL REVENUE CODE OF 1EB 44 AHEHCEC THIS POLICY MAY HOT COVER ALL THE COSTS ASSOCIATED WITH LONG TERM CARE INCURRED BY THE BUYER DURING THE PERIOD OF COVERAGE THE BUYER I8 AD 36D TO CAREFULLY REVIEW ALL POLICY UMMTATIONS GROUP GLALIRED LONG T
250. paring PDF documents page by page visual differences and textual differences including fonts It is important to note that you must have the complete version of Adobe Acrobat Professional utilize the comparison options The third advanced feature included in this section is how to create a customized stamp Most image files can be converted to stamps This feature would be ideal for individuals that need to insert a seal or special image into a PDF file Adding Links to an Acrobat Document Links can be used to ensure that readers have immediate access to related information Simple links can be established that connect users to other places within the same document other documents out on a network or Web sites 1 Go to the place in the documents where you would like to establish a link 2 Select the link tool icon on the advanced editing toolbar When this option has been selected the pointer turns into a crosshair and existing links within the same document will become visible 3 Create a box or rectangle around the text SERFF Industry Manual Page 264 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual 4 Hold down the mouse on the top left corner of the text that will become the link and drag the mouse to the bottom right area of the text to be selected When the mouse is released a text box should appear around the text DEFINITI
251. pe of Insurance Selector drop down For those states that have SERFF Industry Manual Page 68 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual implemented the Product Coding Matrix and accept the Type of Insurance TOI specified the information will auto populate for each state selected For the states that haven t implemented the Product Coding Matrix the Author will have to click on the drop down arrow next to the TOI for each state Click the Add State or Remove states button to change the states included in the filing Multi State Filing Step 3 Select Types of Insurance Type of Insurance Selector Please select a value v Selected States Type Of Insurance Alabama Please select a value Colorado Please select a value Florida Please select a value Y Previous Next Add or Remove States Save and Close Save Cancel Single State Filing The Wizard Type of Insurance Selector does not display in a single state filing Step 3 Select Types of Insurance Selected States Type Of Insurance Alabama Pleqse select a value Add or Remove States Save and Close Save Cancel Step 3 Select Types of Insurance 1 Click on the drop down arrow next to the Wizard Type of Insurance Selector or to the right of the selected state SERFF Industry Manual Page 69
252. perform functions in the program and why you would use certain things in the program Below are the steps to use the Adobe Acrobat Help file 1 To open the help file and look through the bookmarks in the file select the main menu item Help Complete Acrobat 7 0 Help This will display the help file and a list of bookmarks in the navigation pane on the left side of the screen FP Adobe Acrobat Professional Help E Hi ACROBAT ESSENTIALS mH s Mew in 4adobe 4croabs ma a at the Work Area a Finding Adobe PDF Files Using Organizer a ADOBE PDF CREATION a Creating Adobe PDF Files Using POFMaker a Creating Adobe PDF Files Using Acrobat Adobe PDF Settings e Saving and Converting Adobe PDF Content a gt FORMS a Creating Adobe POF Forms Filling in Adobe PDF Forms a Collecting Data from Submitted Forms a REVIEW AND MARKUP Using Commenting Tools a Initiating Document Reviews a Participating in Document Reviews 4 gk Mananinn Canments 4 2 To see sub topics of a bookmark click the button to the left of the bookmark This will expand the sub topic list 3 To search the help file for a particular word or phrase click the Search tab Using Bookmarks in an Acrobat File SERFF Industry Manual Page 225 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Bookmarks are electronic links within an Adobe Acrobat document If a docu
253. proved updates PPACA Example General Form Rate Rule Supporting Companies Filing Filing Information Schedule Schedule Documentation and Contact Fees Correspondence Oui Prior Value Not PPACA Related Proj Changed By Frances Stuart er 9889 Status of Filing in Change Date 12 14 2010 Domicile Status C lino Stat View Related Update ile Rate Rule Example General Rate Rule Supporting Companies Filing Filing Information Schedule Documentation and Contact Fees Correspondence Add Rate Data Yes amp Filing amp Use Filing Method Increase Rate Change Type Overall Percentage of Last Rate Revision Effective Date of Last Rate Revision Filing Method of Last Filing Company Rate Information Company Name Overall Overall Written Premium of Policy Holders Written Premium Maximum Change Minimum Change Indicated Rate Impact Change for this Affected for this for this Program where required where required Change Program Program 5 5 650 2 560 10000 1000 500 6 560 8 560 Name Prior Last Last iew X alue Changed Changed Related By Date Update Overall Yo Frances 12 07 2009 View Ke Stuart o Indicated Change 9 i miele ia aha 12707 2009 verall Rate Information for Multiple Company Filings Impact 2 Clicking the icon for a field with changes will trigger the display of the history of changes for that field including prior values and the d
254. pulate for those states that have implemented the standard naming convention The Filing Types listed next to each state contain all of the Filing Types that have been setup by the state and are based on the TOI and Sub TO selected SERFF Industry Manual Page 73 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Multi State Filing Step 5 Select Filing Types Filing Type Selector Advertising Form Form Rate Form Rate Rule LC Form Rule M Rate CL Rate Rule Rule Selected States Filing Types ki Alabama TOI 04 0 Homeowners O Consent to Rate F Credit Model Form Rate F Rate Rule Fj Rule Sub TOI 04 0001 Condominium Homeowners Colorado TOI 04 0 Homeowners l C Loss Cost Rate Rate Rule Rule Sub TOI 04 0001 Condominium Homeowners Florida TOI P amp C Personal Lines Rate Sub TOI PPA Previous Next Add or Remove States Save and Close Save Cancel Single State Filing The Wizard Type of Insurance Selector does not display in a single state filing Step 5 Select Filing Types Selected States Filing Types Alabama TOI 04 0 Homeowners Sub TOI 04 0001 Condominium Homeowners Add or Remove States Saveand Close Save Cancel amp Step 5 Select Filing Types 1 Using the Filing Type Selector place a checkmark next to the Filing Type s applicable to the filing Wherever the
255. r and whether the user is accessing SERFF at the NAIC or at their Data Hoster The standard tabs for an industry user logged into SERFF at the NAIC are Filings Billing Settings Filing Rules and Templates If an industry user is logged in to SERFF via their Data Hoster a Reports tab will also be present Home About SERFF Contact Us naic org Welcome Frances Stuart aaalifeinsurancecompany Help Logoff aproooct of STS Tracking Number Search Filings Billing Settings Filing Rules Reports Templates My Workfolder My Open Filinas My Draft Filings Messages Search Create Filing Create Paper Filing Filings The Filings tab is where filings are created and managed The Filings tab also contains the Message Center Search and EFT Reporting capability The Filings tab is covered in more detail later in this lesson Billing The Billing tab is where industry users can view their billing information including the number of remaining prepaid transactions for their instance s and create a Billing Export report The Billing tab was covered in Lesson 1 Settings The Settings tab is where all user and instance preferences are stored and where Filing Companies and Contacts are maintained The Settings tab will be covered later in this lesson SERFF Industry Manual Page 23 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual
256. r Filing EFT Report My Open Filings 1 filing was moved to your Workfolder Remove from My Workfolder SERFF Industry Manual Page 148 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual My Workfald 1 Click on Me tarkalder iny 2 Place a check mark in the box next to the filing s to be removed from My Workfolder My Workfolder Remove from Workfolder Filings Filings 1 2 of 2 First Previous Next Last State G Product Name Company Tracking Filing Date Created By SERFF Status Vy Maine Personal Property Sep 17 2006 Melissa Moeller Assigned m Maine Animal Mortality Sep 12 2006 Melissa Moeller Pending Industry Response R f Workfold Filings Billing Settings Filing Rules Reports Templates My Workfolder My Open Filings My Draft Filings Messages SearchExport Create Filing Create Paper Filing EFT Report My Workfolder 1 filing was removed from your Workfolder e Removing filings from My Workfolder will not remove or delete the filing from SERFF The filings can still be found under the My Open Filings link or the My Draft Filings link Message Center The Message Center contains notifications about activity on SERFF Filings Messages can be viewed by clicking on the link under the Filings tab There are a number of messages that are generated to notify the user of their filings status Authors receive messages fo
257. r Filing link under the Filings tab to begin using the Filing Wizard Step 1 Create a Paper Filing The first step in the Paper Filing Wizard is to accurately complete the following fields e Business Type In accordance with the NAIC Speed to Market tools there are two business types Property amp Casualty and Life Accident Health Annuity Credit These are lines of business under which an insurance company is licensed by its state of domicile The business type can be predefined in the User Preferences area of SERFF located by clicking on the Settings tab Once set within User Preferences this field will default to the defined business type without the user selecting it on each filing The Author has the ability to change business types as some Authors will work across multiple business areas and thus require this flexibility e Product Name The Author enters the name of the product that they are submitting This is a required field on the filing SERFF Industry Manual Page 318 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual e Project Name The Author may enter a project name for this filing This is not a required field but the Author is encouraged to complete it if they use Project Names within their organization e Project Number The Author may enter a project number This is not a required field but the Author is encouraged to complete it if they u
258. r all events on filings to which they are assigned Managers receive messages for all events on all filings in their instance Messages are identified by a distinct subject line Once the message is opened additional information is displayed and the user can link directly to the filing referenced If two Authors receive messages on the same filing and one user opens the message the icon will disappear for the filer who reads the message The message for the other SERFF Industry Manual Page 149 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Author will be displayed with a push pin icon indicating that the message has not been read SERFF Industry Manual Page 150 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Types of Messages Assigned Changed Reviewer Note to Filer received Filer Note created Objection Letter received Disposition submitted Filing submitted with Default Public Access Public Access status change Reopened Filing Compact Filing Acknowledgement Effective Implementation Date Updated Filing State Info Changed Billing Low Block Warning Reminder Notification Generated Post Submission Update Approved Disapproved SERFF Industry Manual Page 151 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End Us
259. r logs into SERFF they are able to view their most recently viewed files by clicking on the Most Recently Viewed Filings link This provides an easy and fast way to access the last 10 filings that they have been working with most recently SERFF Industry Manual Page 147 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Home About SERFF Contact Us naic org Welcome Frances Stuart aaalifeinsurancecompany Help Logoff Tracking Number Billing Settings Filing Rules Reports Templates My Workfolder Remove from Workfolder Filings 0 Filings os M State a Product Name Company Tracking Filing Date Created By SERFF Status No filings in folder Remove from Workfolder View Filing 1 Click anywhere on the filing row to open a filing you wish to view is a customizable user specific view The Workfolder may contain draft filings open filings and closed filings Filings can be moved to My Workfolder from any view on the Filings tab amp Move to My Workfolder 1 Place a check mark in the box next to the filing by clicking inside the box To remove the check click in the box again Move to Workfolder Click on the button The user is notified that the selected filing has been moved to their Workfolder sna sess wanes wens e UUU en Filings My Draft Filings P 5 Create Filing Create Pape
260. r shall be a public office and the records books and papers thereof on file therein except those records or documents containing or disclosing any analysis opinion calculation ratio recommendation advice viewpoint or estimation by any Department staff regarding the financial or market condition of an insurer not otherwise made part of the public record by the Director shall be accessible to the inspection of the public If there are attachments they will be displayed at the bottom of the document Attachments Attachments serffmar2 pdf Date Uploaded 12 01 2010 12 35 PM Return to Search 4 Toclose the General Instruction screen click on the button or on any of the links or tabs Search General Instructions 1 Click the Filing Rules tab to initiate a search l General Instructions f 2 Click on the link SERFF Industry Manual Page 48 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved 3 ee Seca button Find General Instructions State Instances Alabama AlabamaLife Alaska _ gt gt AlssksLH Arizona gt ArizonaLH ma Arkansas Ls ArkansasLH a California CaliforniaLAH b Instance Business Types C Life AccidentHealth Annuity Credit CI P amp C and LAH C Property and Casualty Status In Domicile C Domiciliary Approval Required C Domiciliary Status Required C Not Applicable Multiple Company Filings P amp C OYes ONo Eith
261. racters a user can type into the field and allow users to add text formatting User can type information into this field Some property settings are dependent on others For example you cannot check the spelling of a password field or a field used for file selection These options appear unavailable You must deselect the check spelling option before you can select the password or field used for file selection options e Digital Signature A digital signature box allows the user to sign the documents with an electronic signature and then inserts a graphic representation of that signature A digital ID contains your signature information Digital IDs are also referred to as credentials or profiles SERFF Industry Manual Page 286 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Creating Text Form Fields The Text Box is the most commonly used field The initial procedure for creating any of the above options is exactly the same Ensure that the document you intend to make into a form is open and displayed in Adobe Acrobat 1 Click on the text field tool button T File Edit View Document Comments Tools Advanced Window Help a SH th e Je gt Sele j BEyHHE OLOY Retaliatory Fee Summary Page Company Name on Check Date Check Mailed with this Form Attached Check Amount Type of Filing Life and Health Property and Casualty
262. re is an exact match the Filing Type for the state will auto populate If there are no Filing Type matches select the appropriate Filing Type for each state 2 Click on the button to advance to Step 6 SERFF Industry Manual Page 74 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual e Selecting more than one Filing Type will create unique filings for each type selected In the example above we have selected Form and Rate In Step 6 there will be four filings displayed for the three states Step 6 Confirm Selections Step 6 displays a summary of the filing for review and confirmation of all the data entered in previous steps Click on the button to make changes to the filing prior to saving Once the button is clicked changes to the prior Filing Wizard values cannot be changed Step 6 Confirm Selections Step 6 Confirm Selections State TOI Sub TOI Filing Types Alabama 04 0 Homeowners 04 0001 Condominium Homeowners Rate Alabama 04 0 Homeowners 04 0001 Condominium Homeowners Form Colorado 04 0 Homeowners 04 0001 Condominium Homeowners Rate Florida P amp C Personal Lines PPA Rate Previous Save and Continue Save and Close Save Cancel 1 Click on the J button to advance to Step 7 Step 7 Select Companies and Contact The Author selects the contact and company or companies for the filing All con
263. rements Each requirement has an option to Bypass or Satisfy If the Author chooses to Bypass the requirement an explanation is required If the Author chooses to Satisfy the requirement the Author must first either attach a file or check No Attachment Required Once one of the above has been completed the Author may enter an optional comment pertaining to the requirement General Information Ss Actuarial Memorandum amp Authorization Form Icon Legend 4 No Action Taken Satisfied Bypassed User Added Draft Schedule Item p Open Objection ms i ony The Author can expand collapse or bypass multiple requirements When collapsed only the Requirement Name and its Status No Action Taken Satisfied or Bypassed are visible When a requirement is expanded the Author can also see the state s description of the requirement and any attachments the state has added for the requirement Links in the requirement description will be active meaning they can be clicked and a new window will open with the web address referenced SERFF Industry Manual Page 111 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual General Form Rate Rule Supporting State Companies Filing Filing Information Schedule Schedule Documentation Specific and Contact Fees Correspondence Expand All Collapse All View Additional Info
264. remove the check s Choose the appropriate companies for each state SERFF Industry Manual Page 327 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Step 8 Select Companies for States Reset Select All Companies fi De Select All Companies Multiple companies accepted on a filing Alabama California C AAA Life Insurance Com pany AAA Life Insurance Company C Auto Club Life Auto Club Life Save and Continue Save and Close Save Cancel e Step 8 Select Companies for States 1 Click on the button to advance to Step 9 Step 9 Default Filing Data Step 9 in the Filing Paper Wizard is where the Author will enter the description of the Filing In addition the fields in this step will vary by Business Type These fields can also be modified at a later time e Filing Description This area can be used in lieu of a Cover Letter or Filing Memorandum and is free form text This is not a required field e Effective Date Requested New or Renewal This is the effective date the company is requesting for their product to be available to sell It is not necessarily the date the filing officially becomes effective The State Insurance Department will determine the actual effective date This is also where the company can indicate the different effective dates for new or renewal business P amp C only This is a not required field
265. respondence Objection Letters No Objection Letters Amendments No Amendments There are no draft Schedule Items to submit in an Amendment Dispositions No Dispositions Filing Notes No Filing Notes Create Filer Note Reminders No Reminders Create Reminder amp Creating a Post Submission Update 1 Click on the Filing Correspondence tab 2 Click on the L button SERFF Industry Manual Page 159 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual General Rate Rule Supporting Companies Filing Filing Information Schedule Schedule Documentation and Contact Fees Correspondence Objection Letters No Objection Letters Amendments No Amendments There are no draft Schedule Items to submit in an Amendment Post Submission Updates No Post Submission Updates Dispositions No Dispositions Filing Notes No Filing Notes Reminders No Reminders Create Reminder The Post Submission Update request will show the fields available for update The current values of the fields will be displayed Please note that there will be slight differences between filings of different business types amp Note If you chose the incorrect PPACA Value option when creating your original PPACA filing you must use the Post Submission Update feature to make changes to your filing SERFF Industry Manual Page 160 of 345 Copyright
266. robat Document If you find pages in your document that would be better suited in a document of its own you can extract them to a new document while at the same time deleting them from the current document You can also extract pages from a document without deleting them This may be done to insert these pages into other documents or to let them stand alone as their own document while still retaining them as part of the original document 1 Open the appropriate document in the Adobe Acrobat program window 2 Locate the page numbers of the pages you would like to extract 3 Select Document Pages Extract from the main menu The Extract Pages dialog box appears x From i To f of 19 Delete Pages After Extracting cnal 4 Enter the appropriate page numbers in the dialog box Select the Delete Pages After Extracting checkbox if you would like the pages to be deleted from the original document upon extraction 5 Click button The pages will be extracted to a new document in your Adobe Acrobat program window 6 Select File Save from the main menu or click rn to save the new document 7 Select File Close to close the new document and return to the original document SERFF Industry Manual Page 246 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual 8 Select File Save from the main menu or click to save the changes to the original doc
267. row next to the Wizard type of Insurance Selector or to the right of the selected state to select TOI Select the appropriate TOI If there is not an exact match for the TOI when using the Wizard Type of Insurance Selector click the drop down next to each applicable state and select the appropriate TOI 4 Click on the button to advance to Step 4 NOTE states can be added or removed at this point by clicking the Add or Remove States button SERFF Industry Manual Page 323 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Step 4 Select Sub Type of Insurance Select the Sub Type of Insurance The Sub Type drop down arrow will list the Sub Type of Insurance that are available based on the TOI selected in the previous step yhdy STINE Wizard Sub Type of Insurance Selector The Author selects the Sub Type of Insurance from the Filing Wizard Sub Type of Insurance Selector drop down For those states that have implemented the Product Coding Matrix and accept the Sub Type of Insurance Sub TOIl specified the information will auto populate for each state selected T NOTE For the states that haven t implemented the Product Coding Matrix the Author will have to click on the drop down arrow next to the Sub TOI for those to select the Sub TOI for each state Step 4 Select Sub Types of Insurance Sub Type of Insurance Selector Selected S
268. rris Benjamin Rush Benjamin Franklin John Morton George Clymer James Smith George Taylor James Wilson George Ross Delaware Caesar Rodney George Read Thomas McKean Maryland Samuel Chase William Paca Thomas Stone Charlies 6 5x11in lid 4 3 of 4 SERFF Industry Manual mn SERFF End User Training Manual Modified and that as Free and Independent States they have full Power to levy War conclude Peace contract Alliances establish Commerce and to do all other Acts and Things which Independent States may of right do And for the support of this Declaration with a firm reliance on the protection of Divine idence we pledge to each other our Lives our nes and our ed Honor The signers of the Declaration represented the new states as follows New Hampshire Josiah Bartlett William Whipple Matthew Thornton Massachusetts John Hancock Samual Adams John Adams Robert Treat Paine Elbridge Gerry Rhode Island Stephen Hopkins William Ellery Connecticut Roger Sherman Samuel Huntington William Williams Oliver Wolcott New York William Floyd Philip Livingston Francis Lewis Lewis Morris New Jersey Richard Stockton John Witherspoon Francis Hopkinson John Hart Abraham Clark Pennsylvania Robert Morris Benjamin Rush Benjamin Franklin John Morton George Clymer James Smith George Taylor James Wilson George Ross Delaware Caesar Rodney George Read Thomas McKean Maryland
269. rs All rights reserved SERFF End User Training Manual File Edit view Document Comments Tools Advanced Window Help ABC COMPANY ABC Company A stock company Wil pay ihe berets specified in tee Exhibils of itis policy suhe to the fens and provisions of his policy The Schedule of Ewhibils list each Exhibit to iis policy io whom F Sonia and Rs effects date lt Bookmarks Polke hoider Ane ompa Group Puky Hoa PREI Signatures EFFECTIVE DATE This polky will ake eied on jOcobe 1 1555 This policy replaces Gap Policy Number or which was baed by ASC Company and took effection October 1 1937 Policy anniversaries wil be Schober 1 2000 and each subsequent October 7 wi u a a PREMIUM PAYMENTS Thi policy is sued In reum for the payment bey he Policyhicider of require Premiums Premiums ore parabi at ihe home office of ABC Coroany of fo Gs suthorized agent The first Premium E due on amj must be pah by ils polis eisie date Any later Premiuerns are due monthly in aciance on the irt hago each Polity Monit These daves ane the Premium Due Gees POLICY SITU This polky ls ksusd for defvery In anc govemed by ihe laws of plurtsdiction Sigred By Lemass A kesaj agent or resident agent as required bey lea Comments Attachi THE POLICY E INTENDED TO BE A QUALIAED LONG TERM CARE INSURANCE UNCER ECTION TIZBE OF THE INTERMAL REVENUE CODE OF 1653 A3 AMENDED THI POLICY MAY HOT COVER ALL THE COATE A
270. rs All rights reserved SERFF End User Training Manual Licensed States State State ID Number Alabama Save Cancel 9 Each state added will appear under the entry boxes and each will have a Remove State button To change the State ID number the state must be removed and added back with the correct number amp This section is optional but the list of licensed states is used in the Filing Wizard see Lesson 4 and the State ID Numbers will be displayed for the appropriate state filings 10 Click Save to finalize or _ Cancel to discard the changes made amp Finding a Company Once companies have been set up the Company Search feature will aid in opening the company profile for viewing or updating 1 Click the Companies link to search for a company Company Search Company Name 2 Search Tips Company Type Any combination of fields Group Code may be used Group Name Fields in bold must match exactly All other fields vill match partial entries CoCode starting with whatever text you type If you do not make an entry in a field FEIN Number no attempt to match on that field will be made State of Domicile Alabama Filling out no fields will Alaska return all companies you can view Alberta AMERICAN SAMOA Status active Inactive Either Industry Instances gaajifeinsurancecompany SERFF Test Industry 2 Ent
271. s Use inline AutoComplete C Use Passive FTP for firewall and OSL modem compatibility Use smooth scrolling HTTP 1 1 settings Use HTTP 1 1 C Use HTTP 1 1 through proxy connections Java Sun Use Java 2 v1 4 2073 for applet requires restart Microsoft VM J Java console enabled requires restart Q Java logging enabled JIT compiler for virtual ma Multimedia C Con display online media content in the media bar Enable Automatic Image Resizing Enable Image Toolbar requires restart F Restore Defaults chine SERFF Industry Manual Copyright 2011 National Association of Insurance Commissioners All rights reserved Page 11 of 345 SERFF End User Training Manual 10 Click the button Pop Up Blockers SERFF will not work correctly for users with pop up blockers If you have a pop up blocker installed please contact your IT department or the SERFF Help Desk for assistance in configuring it to allow pop ups from the SERFF application SERFF Tracking Number To ensure uniqueness and provide audit capabilities the SERFF tracking number represents a meaningful identifier for each filing Instance Identifier Filing ID ABCD 125000123 1 Instance Identifier A four character representation of the industry instance Each industry instance will be assigned their own code for this portion of the tracking number 2 Unique Number This filing ID number consists of nine digits
272. s All rights reserved SERFF End User Training Manual Supporting Documentation Bypass 1 To Bypass Multiple Requirements click the click on the check box next to each Requirement General Form Rate Rule Supporting State Companies i Filing Filing Information Schedule Schedule Documentation Specific and Contact Fees Correspondence Expand All Collapse All View Additional Info Actuarial Memorandum Icon Legend amp No Action Taken Satisfied Bypassed User Added 4 Draft Schedule Item mA Open Objection Multiple Supporting Document Bypass Bypass Reason Please see filing fees tab and Form Schedule 3 To Bypass an Individual Requirement click the L button to skip the item listed 4 Enter explanation in the Bypass Reason text box Satisfy SERFF Industry Manual Page 113 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual 5 Click the button to attach a file and add comments General Form Rate Rule Supporting State Companies Filing Filing Information Schedule Schedule Documentation Specific and Contact l Fees Correspondence O Actuarial Memorandum Description Any actuarial documents that will help to support the change Of those the required exhibits consist of a 5 year rate change history a histogram showing the percentage of insured s falling with a ra
273. s Filing Sep 18 2006 Thea Cook the indicates that this is a Paper Filing 7 Open a Paper Filing 1 To open the filing click anywhere on the Filing Add Authors Edit Set Confidentiality Create Reminder Move to Workfolder PDF Pipeline Alabama View General Instructions View Filing Log Product Name Auto Product SERFF Tr Num AAAL 126885557 SERFF Status Draft TOI 19 0 Personal Auto State Tr Num State Status Sub TOI 19 0000 Personal Auto Combinations Co Tr Num Co Status Filing Type Form Rate Date Submitted Not Submitted Disposition Date Effective Date Requested New Effective Date Requested Renewal Authors Frances Stuart General Information Paper Information Filing Correspondence Rate Rule Schedule Supporting Documentation Companies and Contact Project Name Project Number Status of Filing in Domicile Domicile Status Comments Filing Status Changed 12 15 2010 State Status Changed Company Status Changed Reference Organization Reference Number Reference Title Advisory Org Circular Assigned To Created By Frances Stuart Submitted By Corresponding Filing Tracking Number Filing Description Add Authors Edit Set Confidentiality Create Reminder Move to Workfolder PDF Pipeline SERFF Industry Manual Page 332 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved 2 Click the button to up
274. s reserved SERFF End User Training Manual Response Letter for AAAL 126885444 Submit Edit Delete Close View Objection Letter Expand All Collapse All J SERFF Tracking Number AAAL 126885444 State Alabama Filing Company Auto Club Life State Tracking Number Company Tracking Number TOI HO2G Group Health Accident Only Sub TOI HO2G 000 Health Accident Only Product Name Health Product Launch Dec 2010 Project Name HPL 2011 Status Draft Dear Frances Stuart Introduction Objection 1 Applies To Entire filing Comment One or more of the required forms is missing from the filing The state of Alabama requires the following documents with this type of submission File 1 etc For more infomation on filing to Alabama please visit our website http w Response 1 Comments y Please see attached Changed Items Form Schedule Item Changes Form Form Form Action Action Specific Readability Attachments Submitted Number Type Name Data Score FormA CER Certificate Initial Compliance Certification pdf How to Edit the Response Letter 1 Open the Response Letter and click the button to update 2 Update the Introduction Response Comments and or the Conclusion fields as needed SERFF Industry Manual Page 176 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Response Letter for AAAL 126885444 Save
275. s to add the state required documentation to each filing and submit to the state s Filings Billing Settings Filing Rules Reports Templates My Workfolder r My Open Filings My Draft Filings raft Filin Messages Search Create Filing Create Paper Filing EFT Report Draft Filings for Product Homeowners Product Launch State TOI Sub TOI Filing Types Companies AAA Life Insurance Company Auto Club Life AAA Life Insurance Company Auto Club Life Colorado 04 0 Homeowners 04 0001 Condominium Homeowners Rate Auto Club Life AAA Life Insurance Company Auto Club Life Alabama 04 0 Homeowners 04 0001 Condominium Homeowners Rate Alabama 04 0 Homeowners 04 0001 Condominium Homeowners Form Florida P amp C Personal Lines PPA Rate SERFF Industry Manual Page 83 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual P amp C Filing at a Glance Filing at a Glance contains key information about the filing and is always displayed at the top of the page regardless of where the Author is working The Filing at a Glance contains the following fields Product Name The name of the product being filed to the state SERFF Tracking Tr Num This number is defined by SERFF SERFF Status This value is assigned by the SERFF application and automatically updates as activity occurs on a filing This field has three main purposes 1 Give state and industry a commo
276. se Project Number within their organization e Other Authors The creator or Author of the filing may assign Other Authors to a filing s Once given permission as an Other Author full access to the Filing is granted An Author may also be removed from a filing Step 1 Create a PAPER Filing Asterisk image denotes required field Business Type productname SS projectName SS Projectnummer SSS Authors Hassell Barbara Stuart Frances Plesuchenko Kathy Scharz Fran Sulfaro Susan Thompz2on Tamara Windham Victoria amp Step 1 Create a Paper Filing 1 Click on the Business Type drop down box and select appropriate Business Type for the Filing If setting has been pre determined in the user s User Preferences the field will be automatically populated but can be changed if needed Enter Product Name for filing Enter Project Name for filing This is not a required field SERFF Industry Manual Page 319 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual 4 Enter Project Number for filing This is not a required field 5 Assign Other Authors if needed Other Authors can also be added and removed later in the process Highlight the name of the other Author and click on the button 6 Click on the button to advance to Step 2 amp Note Click on the button to cancel the process Canceling th
277. sioners All rights reserved SERFF End User Training Manual Report Communication from the reviewer to the filer about a specific filing will be done with Reports A Report is created to reference the entire filing or only specific pieces of the filing There are two types of Reports a reviewer may send to a filer Type Definition Objection Letter Reports indicating errors and or omissions found in schedules during review Disposition The results of a review of the filing A filing rejection is also handled Report with a Disposition Report Requirement A Requirement identifies an individual requirement that can be requested by the state Requirements are used when creating Submission Requirements A Requirement can be used in multiple Submission Requirement documents Schedule A schedule is one of the actual documents submitted for review It will be attached to the Form or Rate Rule schedule in PDF format SERFF Industry Manual Page 342 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF Filing Status Status Submitted to State SERFF End User Training Manual Definition Filing has been assigned a tracking number but has not been completed and submitted to the state Filer has chosen to submit filing and the filing has passed all applicable validations State can now access the filing State has assigned the filing to one or more reviewers bu
278. son covers the following topics My Open Filings Message Center Post Submission Update ae S Responding to an Objection Letter Amendments PDF Pipeline Filer Note Note to Reviewer Reminders 7 4 4 4 3 3 4 4 Dispositions SERFF Industry Manual Page 146 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual My Open Filings me My Open Filings All filings that have been assigned to an analyst appear under the link Open filings can be moved to My woretolger by placing a check mark in the check box next to the filing s that the user wishes to move and clicking the button to execute the move a Filing Managers will not see filings in the My Open Filings view unless they are added as an Author to the filing Filing Managers must use the Search feature to locate filings that are not assigned to them Filings Billing Settings Filing Rules Reports Templates My Workfolder My Open Filings My Draft Filings Messages Search Create Filing Create Paper Filing EFT Report My Open Filings Move to Workfolder Filings Filings 1 1 of 1 First Previous Next Last on State 4 Product Name Company Tracking iling Date Created By SERFF Status oe S Alabama Health Test Dec 14 2010 Frances Stuart Submitted Filings 1 1 of 1 First Previous Next Last Move to Workfolder Most Recently Viewed Filings When a use
279. ssioners All rights reserved SERFF End User Training Manual Rate Rule Schedule P amp C The Author completes any Rate Rule Schedule items under the Rate Rule Schedule tab The information in this tab can be updated post submission All Rate Rule related attachments will be attached here e Filing Method This is the review method for which the filing is being submitted See state specific requirements e Rate Change Type The Author can choose from either Increase Decrease Neutral e Overall Percentage of Last Rate Revision This is the statewide average of the last percentage change implemented in the state e Effective Date of Last Rate Revision This is the implementation date of the last overall percentage rate impact e Filing Method of Last Filing This is the review method for which the last filing was submitted See state specific requirements e Company Rate Information Overall Percentage Indicated Change when applicable This field is only to be completed when an actuarial indication is included in the filing submission Overall Rate Impact This is the statewide average percentage change to the accepted rates for the coverage s included for each company Written premium change for this program This is the statewide change in written premium based on the proposed overall percentage rate impact for each company Number of policyholders affected for this program This is the number of policy
280. state of domicile e Domicile Status Comments This is a free form text field in which companies can supplement Domicile Status information For example if a form is pending in a company s domiciliary state SERFF Industry Manual Page 79 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual e Reference Organization if applicable P amp C only The name of the advisory organization i e ISO NCCI AAIS etc or an Insurance Company name if a me too filing is permitted Some states allow companies to reference another company s filing A me too filing is when one company adopts another company s filing Usually they are not part of the same group You should check with each state to determine their rules on these filings f permitted use this area to indicate either an advisory organization name or me too company name e Reference Organization Number amp Title if applicable P amp C only This is the unique number that the reference organization gives to the filing It is generally not the same number as the circular number e Advisory Org Circular P amp C only This is a unique number that references the circular number SERFF Industry Manual Page 80 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Step 9 Default Filing Data 1 Complete th
281. states Note The Wizard Type of Insurance Selector will only display on multi state filings The Author can select from the Wizard type of Insurance Selector or select from the TOI drop down next to each state Wizard Type of Insurance Selector The Author selects the Type of Insurance TOI from the Wizard Type of Insurance Selector drop down For those states that have implemented the Product Coding Matrix and accept the TOI specified the information will auto populate for each state selected Note For the states that haven t implemented the Product Coding Matrix the Author will have to click on the drop down arrow next to the TOI for those to select the TOI for each state Click the Add State or Remove states button to change the states involved in the filing SERFF Industry Manual Page 321 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual SERFF Industry Manual Page 322 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Step 3 Select Types of Insurance Type of Insurance Selector Please select a value Selected States Type Of Insurance Alabama Fleaze select a value wt California Please select a value wt Previous Next Add or Remove States Save and Close Save Cancel e Step 3 Select Types of Insurance 1 Click on the drop down ar
282. sualty c Life Accident Health Annuity Credit SERFF Industry Manual Page 140 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual 3 Choose the Schedule Type a All b Rate Rule c Form d Supporting Document Supporting Document OB Rate Rule Form 4 Select the Template Owner Filter Templates 5 Click on the J button Schedule Templates Create Schedule Template Filter Templates Template Name Business Type Schedule Type Template Owner L4H Form Life Accident Health Annuity Credit Frances Stuart 7 Add a Schedule Template to a Filing 1 Create a new filing or open a draft filing Click the button Click the Rate Rule Schedule Form Schedule or Supporting Documentation General Form Rate Rule Supporting Companies Filing Filing Information Schedule Schedule Documentation and Contact Fees Correspondence Add Rate Data C Yes No Select Exhibit Name Rule or Page Rate Action Previous State Filing Number Attach Document Submitted oO SERFF Industry Manual Page 141 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual 4 Click the 4 button Select Template s to Import Import Close Template Name Template Owner E Rate Rule Schedule Frances Stuart 5 Select the Template s
283. t Draft Draft Draft Draft Draft Draft Draft Draft Draft Filings 1 10 of 10 First Previous Next Last There is a grey dollar sign next to the Draft Filing for Alabama in the above screen shot This icon indicates that Alabama is eligible for EFT Once the EFT section of the Filing Fees tab has been completed and the filing submitted the dollar sign will turn to green as shown below oS Alabama Jul 25 2010 Life LO7I Individual Life Whole L071 101 Fixed Indeterminate Premium Single Form Closed Approved as revised AAAL 126737026 SL 10 SERFF Industry Manual Copyright 2011 National Association of Insurance Commissioners All rights reserved Page 88 of 345 SERFF End User Training Manual SERFF Industry Manual Page 89 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Opening a Filing from Draft Filings 1 To open the filing click anywhere on the filing 2 To edit the filing click on the button Add Authors Edit Set Confidentiality Submit Filing Create Reminder Move to Workfolder PDF Pipeline Alabama View General Instructions View Filing Log Product Name Homeowners Product Launch SERFF Tr Num AAAL 126885436 SERFF Status Draft TOE 04 0 Homeowners State Tr Num State Status Sub TOk 04 0001 Condominium Homeowners Co Tr Num Co Status Filing Type Form Date Submitted
284. t Production Favorites Object Data E Paste Clipboard Image as Stamp Tool g Attach a File as a Comment Create Custom Stamp 4D Record 4udio Comment Manage Stamps Show Commenting Toolbar Show Stamps Palette SERFF Industry Manual Page 282 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Creating Forms Adobe Acrobat Professional has the tools necessary to transform regular PDF documents into interactive forms Standardizing forms can be very useful in speeding up the user s completion of the form and reduce input errors that may delay filing processing Although it will not be covered in this manual it is also possible to electronically capture the data from the form to be entered into a database Some of the form tools available in Adobe Acrobat include text boxes buttons check boxes combo boxes list boxes radio buttons and signature fields In this chapter you will familiarize yourself with the different form field options and you will be provided with practical exercises for some of the more common ones Getting Started The first step is to import a document into Adobe Acrobat Here is a portion of a document created in Microsoft Word and distilled into a PDF We will be using this document as the base to create our form Retaliatory Fee Summary Page Company Name on Check Date Check Mailed with this Form Attached Check Amount Type
285. t User Update Request User Deactivate T Request User Deactivate 1 Click the 2 Select the user SERFF Industry Manual Page 40 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Qeactivate User Request Submit Reset Requestor E mail fstuart naic org User _ Please Select v Please Select Additional Info Anthony Joris ajoris Barbara Hassell bhassell EDS EDSSupport edssupport Eric Hartwell e h pi Fran Scharz fschwarz Frances Stuart fsimgr 5 Click the button F 1 PPP eee 6 Click button to verify the request Windows Internet Explorer 2 Please verify that your email address is FStuarti naic org ee This is how the SERFF Help Desk will contact you regarding this request IF this is not correct please press cancel to correct it now After the request has been submitted the submitting user will receive confirmation that their request was successfully processed The SERFF Help Desk will contact you when the new request has been processed Filings Billing Settings Filing Rules Templates User Preferences Instance Preferences Companies Contacts Re Thank you Your user request has been submitted The SERFF Help Desk will notify you when your request has been successfully processed Would you like to make another user request Request New User Request User Update Request
286. t date and end date Dates are inclusive b Filing Medium choose to include paper or electronic filings or both SERFF Industry Productivity Report Submit Cancel Please choose the parameters for your report Begin Date inclusive 42457010 End Date inclusive Asg EJ Report format PDF file Excel file csv file xml file Submit Cancel 4 Select the Report Format a PDF file Portable Document File that can be opened by Adobe Reader Adobe Acrobat or similar PDF software tools b Excel file A file that can be opened in Microsoft Excel or similar spreadsheet tools SERFF Industry Manual Page 314 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual c CSV file Comma Separated Value file that defaults to Microsoft Excel but can be opened in any word processing spreadsheet or database applications d XML file Extendible Markup Language that can be opened in any browser window 5 Click the button to run this report or click Lo d to return to the Reports main page 6 A notification page appears asking the user to wait Your Report Has Been Started Your report has been started and will begin downloading shortly When you are done with the report and would like to return to the report home page please click here 8 The File Download dialog opens File Download Do you want to open or s
287. t displayed into the Item box Only one item can be entered at a time When text is entered into the Item box the Add button will become active Clicking the Add button will add the item to the box in the center of the window Combo Box Properties General Appearance Options Actions Format validate Calculate Iter fo Export value Item List Do E Sort items Allow user to enter custom text I Check spelling T Commit selected value immediately Y Select an item in khe list to make it the default choice Locked SERFF Industry Manual Page 297 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual 4 Repeat the process for all of the choices you want displayed Combo Box Properties General Appearance Options Actions Format Validate Calculate Item Add Export Value Item List American Samoa Delete AZ _ mo CT Dao C Hl Sore jkems T Allow user to enter custom text M Check spelling T Commit selected value immediately Q Select an item in the list to make it the default choice Locked amp Notice from the preceding diagram that California CA was entered out of order There is no need to retype the list Use the Up and Down buttons to move the selection to different positions in the list You could also check the Sort Items check box to automatically sort the items as you e
288. t no additional action has been taken Pending Industry There are one or more open objection letters on Pending State One or more objection letters have been created Closed The state has created a disposition report indicating the final action on the filing The asterisk indicates that the state disposition status i e Approved Acknowledged Disapproved will be appended to the SERFF status Closed Rejected The filing has been rejected by the state and is closed SERFF Industry Manual Page 343 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual SERFF Tracking Number To ensure uniqueness and provide audit capabilities the SERFF Tracking Number collectively represents several meaningful identifying components for each company filing Each industry instance will be assigned their own code for this portion of the tracking number Instance Identifier Random Unique Alpha Numeric Characters ABCD 12A34B56C e Instance Identifier A four alpha character representation of the first four characters of the company name e Random Number This overall filing number is a combination of nine alpha numeric characters SERFF Workspace The SERFF Workspace is the active window for the filings database where the industry users will create new filings and check the status of submitted filings The SERFF Workspace is the first screen
289. tacts and companies need to be created in both the Companies and Contacts views Settings prior to completing the Filing Wizard The Industry Configuration Manager is responsible for adding contacts and companies Refer to Lesson 2 for instructions SERFF Industry Manual Page 75 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Step 7 Select Companies 1 Select the contact from the drop down list Step 7 Select Companies and Contact Asterisk image denotes required field Contact Companies AAA Life Insurance Company J Suto Club Life i Save and Close Save Cancel 2 Select the company or companies and click on the or 22 button Multiple companies can be added at one time holding down the Ctrl or Alt buttons on your keyboard 3 Click to advance to Step 8 Step 8 Selection Companies When multiple states are selected in the filing the Author will select the companies for each state Clicking on the button places a check s next to each company Clicking on the button will remove the check s SERFF Industry Manual Page 76 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual oS Based on a state setting states can pre determine if multiple companies are allowed on a single filing If the state has established this func
290. tamp Too Group Policy No XX XXX EFFECTIVE DATE This policy will take effect on October 1 1999 This policy replaces Group Policy Number YYY YY which was issued by ABC Company and took effect on October 1 19977 POLICY ANNIVERSARIES Policy anniversaries will be October 1 2000 and each subsequent October 1 PREMIUM PAYMENTS Then elias in aed es eee fee Hee eas eo be dhe Thelin dh de nf ee eed Dees Tee ese ee lia af irs pp po 6 5 50 x 11 00 in 4 3 Click the Stamp Tool button The cursor will turn into the stamp symbol 4 Click the mouse on the document where you wish the stamp to appear The Approved stamp graphic will appear on the document SERFF Industry Manual Page 255 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual FI Edi vew Documen Lomments loos Advanced window F the Exhibits of this policy subject to the tamm and iraviiane of this icy The Sued of Exhibits lists each Exhibit to this policy to whom it applies and its effective date Bookmarks Policyholder AnyGo Group Policy No XXXXX APPROVED EFFECTIVE DATE 0 1 a ip w This policy will take effect on October 1 1999 This policy replaces Group Policy Number YYYY Y which was issued by ABC Company and took effect on October 1 1997 POLICY ANNIVERSARIES Policy anniversaries will be October 1 2000 and each subsequent O
291. tates Sub Type Of Insurance Alabama TOI 19 0 Personal Auto California TOI 19 0 Personal Auto Previous Next Add or Remove States Please select a value Please select a value Save and Close Save Cancel SERFF Industry Manual Page 324 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual e Step 4 Select Sub Type of Insurance 1 Select the Sub TOI by using the Wizard Sub Type of Insurance selector or by individual state 2 If there is not an exact match for the Sub TOI when using the Wizard Sub Type of Insurance Selector click the drop down next to each applicable state and select appropriate Sub TOl 3 Click on the button to advance to Step 5 Step 5 Select Filing Types The Filing Type Selector uses a standard naming convention for the most commonly used Filing Types in SERFF When Filing Types are selected using the Filing Type Selector Filing Types will auto populate for those states that have implemented the standard naming convention The Filing Types listed next to each state contain all of the Filing Types that have been setup by the state and are based on the TOI and Sub TOl selected Step 5 Select Filing Types Filing Type Selector Advertising Form LC Form Rate Form Rate Rule Form Rule Rate C Rate Rule Rule Selected States Filing Types Alabama Cl Advertising LJ Form I For
292. ted Messages Filing Activity Messages The user can specify which messages they will receive so that their Message view remains manageable For example if a particular user is a Filing Manager he she may not want to receive a Message each time a Filer Note is created on a filing To access this feature click on the Settings tab and then click on Message Settings Filings Billing Settings Filing Rules Reports Templates User Preferences Instance Preferences Companies Contacts Contact rp l Information Contact Information aE Message Settings stuart Y ee Email Address fstuan naic org SERFF Industry Manual Page 154 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual The following screen shows all pieces of Correspondence that can be activated cam Filing Activity Messages Filing Activity Messages Help i Hesage Seis Biling Low Block Warning Compact Filing Acknowledge Included State User Preferences e E ffective implementation Date Updated Disposition Submitted Public Access Defaults Restored Filing Reopened Filing Submitted with Default Public Access 7 Filer Note Created Industry Reminder Notification Generated Note To Filer Submitted State Generated Messages State Generated Messages Help Business Type Life Accident Health Annuity amp Credit Property amp Casualty District Alabama Alaska Alberta AMERICAN S
293. ted per month 3 Choose the applicable instance s 4 Click the button SERFF Website SERFF s informational website is located at http www serff com The information available at this site includes e The v5 Insider Newsletter e State Insurance Department contacts e Information on getting started with SERFF e Frequently Asked Questions e State Participation grid e EFT Implementation Guides and more SERFF Industry Manual Page 14 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual system for ee SERFF IS Speed to Market Electronic e a gt A Ta Rate and we zl oN Form l i Vi a National Association af TH Insurance Commissioners Fling About SERFF Getting Started Sign Up s l PPACA and SERFF What you Need to Know State Participation SERFF Board of Data Hosting Over the last several weeks the Speed to Market EX Task Elections Force and NAIC SERFF staff has been working to identify a The Incid Ing number of items to be implemented for PPACA filings The Haii SERFF Events overall goal was to very quickly make it as simple as possible for Speed to Market Tools SERFF API both industry and states to identify submit review and report SEREE Tutorials on PPACA filings E Re g Conference Below is an overview how the NAIC SERFF staff plans to work with states to implement changes in SERFF so industry
294. ter SERFF Tracking Number AAAL 126885444 State Alabama Filing Company Auto Club Life State Tracking Number Company Tracking Number TOI HO2G Group Health Accident Only Sub TOI HO2G 000 Health Accident Only Product Name Health Product Launch Dec 2010 Project Name HPL 2011 Objection Letter Status Under review Objection Letter Date 12 14 2010 Respond By Date Submitted Date 12 14 2010 02 50 PM Dear Victoria Windham Introduction SERFF Industry Manual Page 179 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual SERFF Industry Manual Page 180 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Example 2 e By clicking on the Author s name under Responded by the user will be able to view the draft Response Letter General Rate Rule Supporting Companies Filing Information Schedule Documentation and Contact Correspondence Objection Letters Status Created By Created On Date Submitted Responded By Response Created On Response Submitted On 6g Under review Stuart Frances 12 14 2010 12 14 2010 02 50 PM Stuart Frances 12 14 2010 m Click the J button to close the Response Letter when finished reviewing 7 How to Submit the Response Letter 1 Click the button to send the Response Letter Response Letter for AAAL 126885444 Submit Edit
295. the Name field Click ox The Save PDF file as dialog box appears SERFF Industry Manual Page 236 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Savei E Hitoy tsi PE ER Mame Modified ES Ga 2005 February Se 2005 7 02 AM History Se ABC COMPANY p 3 8 2005 6 49 AM E Access Lexel 1 M 1f27iz2005 9 39 AM ad PE Airline Military Poli Sf2f2005 9 31 AM Desktop fe bsb_catalag pdf 2 1242005 1 13 PM a BSBorder pdf 1 20 2005 12 50 PM fal CriticaldatesDocu 3 3 2005 1 50 PM Mu Documents Se ENUExt pdf 3 2 2005 9 28 AM 7 Hd etime 2 112512005 10 47 AM F fy etime 3 3 2005 7 03 AM e AETS Manual 2004 2 24 2005 12 45 PM a a en M e LAJ JAAA o 44 RA File name Lessor 1 pdf My Network F Save as type PDF files PDF Cancel i 3 Enter the appropriate name for the document and click Save When you have returned to your word processor program the file has been created and will be found in the folder you selected during the saving process Using the Drag and Drop Option to convert an image file into an Adobe PDF File Format If the file is an image you can convert it to a PDF without opening Adobe or the original document Drag the image file within the Windows desktop onto the Adobe Acrobat application window If you drag the image onto the Adobe icon Acrobat will create a new PDF file for each i
296. the Note Tool button 3 Click on the document where you would like the note to appear A Note box will appear on the document SERFF Industry Manual Page 250 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Tt File Edit wiew Document Comments Tools Advanced Window Help h n EE g a ny BS create PDF comment amp Markup e81 Send tor Review A f p JO Ds fal amp 3 4 Foe gt ORI ere Commenting gt Note Tool 4B Text Edits stamp Tool ABT a sock Company wil pay ihe beneils spectied in ihe Erhibils of Ihis policy subject to ha terms and prov slors of this pel cy The Schedule of Estibils its each Exhibit ic ihis palicy to wig applies and Fs afise date Bookmarks Polhoyhotcer Anyanga a Group Pilkey Hoa POG EFFECTIVE DATE i ii Ba 3 T ol uy Thi paky wil take effect on Foclober 1 1555 Thi policy repisces Geowp oir isased by ABC Company and took sieci on October 1 1937 POLICY AHHNER ARIES Pages Policy amhrais wil be Oclober 1 2000 and each subsequent October 1 PREMIUM PAYMENTS This polky is ksu In rium for the payment by The Policyhoider of required Premiums ae sg gar rac a Gornaiy O fo Gs suitorined agent The first Freemium Eq an eee er Any ier Premiuma are due morthi n siae on ihe tet ct each Policy Honti These dates are the Fremium Due Gees POLICY SITUS This p
297. tifications can be filed thro HH ALL RATE AND LOSS COST FILINGS ARE REQUIRED T These are general instructions for all property an These are general instructions for all life and he Delaware LRF General Instructions Tmportant Effective 5 23 07 Delaware Proper 11 03 2009 02 09 2009 06 29 2009 10 14 2009 08 05 2009 11 02 2009 06 08 2009 02 09 2009 10 15 2009 10 22 2009 11 03 2009 11 12 2009 02 10 2009 02 11 2009 07 29 2009 06 29 2006 09 18 2006 05 18 2006 04 12 2007 05 02 2006 08 24 2006 10 18 200 10 18 2007 08 10 2006 06 01 2009 06 09 2006 02 23 2005 06 03 2005 07 26 2007 11 22 2005 To open a General Instruction document click anywhere on that row The selected General Instruction document is displayed SERFF Industry Manual Copyright 2011 National Association of Insurance Commissioners All rights reserved Page 47 of 345 SERFF End User Training Manual View the IllinoisL4H General Instructions Return to Search General Instructions Last Updated 02 08 2008 Instance Business Type Life Accident Health Annuity Credit General Information Multi Companies Allowed on Filings PC Yes LAH Yes Public Access Public Access Detail Date Last Modified Confidentiality requests are Not Allowed Explanation Illinois does not want to allow companies to indicate a form is confidential Please reference 215 ILCS 5 404 which reads in part The office of the Directo
298. tinue Save and Close Save Cancel T Step 6 Confirm Selections 1 Click on the button to advance to Step 7 Step 7 Select Companies The Author selects the contact and company or companies for the Filing Go to the Companies view to create Companies and the Contacts view to create contacts All contacts and companies need to be created prior to completing the Filing Paper Wizard The Configuration Manager will be able to create contacts and companies Refer to Lesson 2 for instructions SERFF Industry Manual Page 326 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Step 7 Select Companies and Contact Asterisk image denotes required field Contact ERS vere aa IN Companies AAA Life insurance Company Auto Club Life _ gt gt gt nine Save Cancel 7 Select the Contact and Company 1 Select the company or companies and click on the or button Multiple companies can be added at one time by holding down the Ctrl or Shift buttons on your keyboard 2 Click to advance to Step 8 Step 8 Select Companies for States When multiple states are selected in the Filing the Author will select the companies for Select All Companies each state Clicking on the button places a check s next to each company Clicking on the De Select All Companies JI button will
299. tion by eliminating the copying and delivering of paper filings States will no longer have to flip through stacks and stacks of paper to find what they need in a filing Furthermore this automated nationwide system provides some key benefits to both industry and state a Filing submission process accommodates individual state filing requirements b Accelerated review cycle allows for more responsiveness to market change c Enhanced competitive advantage that allows faster product marketing resulting in accelerated revenues Thank you for choosing SERFF as your rate and form solution We think you will enjoy your experience The SERFF Team SERFF Industry Manual Page 4 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual About this Course This training manual was created to assist SERFF users This manual was written using SERFF v5 11 Internet Explorer 8 0 and Acrobat 8 0 Professional Using this Manual We believe that teaching concepts Is just as important as teaching procedures With this in mind each topic is introduced and background information provided Then details and procedures are presented in easy to absorb segments Conventions Used In This Manual The following special features are included in this book to assist readers Bold fonts are used to emphasize an idea or a representation The green pointer hand is used repres
300. tionality and multiple companies are allowed company fields will auto populate if the company s profile reflects that it is licensed in that state If multiple companies are not allowed by the state SERFF will break out the filing automatically for the industry Step 8 Select Companies for States Multiple companies accepted on a filing Alabama Colorado AAA Life Insurance Company C AAA Life Insurance Com pany Auto Club Life Auto Club Life Florida AAA Life Insurance Company Save and Continue Save and Close Save Cancel SERFF Industry Manual Page 77 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual 7 Step 8 Select Companies for States 1 Click on the button to advance to Step 9 Step 9 Default Filing Data In Step 9 of the Filing Wizard the Author has the opportunity to enter the required Filing Description This is intended to replace a state s Cover Letter requirement but a Cover Letter may still be required please check each state s individual requirements In addition the Author may enter data for certain fields on the filing These fields will vary by Business Type and can be modified later This is the point in the creation of a filing where users begin to see differences between PC and LAH e Filing Description This area should be used in lieu of a Cover Letter or Filing Memorandum and
301. to secure these rights Governments are instituted among Men deriving heir iust nowers from the consent of the aoverned That 1 of B gt A O OI i D pms T key Preflight Comments 85x 11 in 3 From the menu bar select Document Compare Documents 4 The following window will be displayed SERFF Industry Manual Page 274 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Compare Documents Compare folder document Document NE chose Revision To newer document Document DeclarationModified pdf se Choose Revision Type of Comparison f Page by page visual differences Detailed analysis very slow Markup color C Textual differences P Indude font information tstyle size typeface Choose compare report type 0 Side by Side Report C Consolidated Report Type of Comparison Page by page visual differences to find any textual or graphic differences between the documents Note If many changes have been made to the revised document it may denote changes to every page This feature is best used for comparing changes to document with minor revisions such as the addition of a signature file Types of Analysis Mormal analysis al Detailed analysis very slow Mormal analysis Coarse analysis Faster SERFF Industry Manual Page 275 of 345 Copyright 2011 Nat
302. trices one for Property and Casualty products and another for Life Accident Health Credit and Annuity products e PCM Sub Types of Insurance The standardized Sub TOls that are affiliated with each TOI 1 Click on the Filing Rules tab 2 Click onthe Submission Requirements link e Clicking in the State Instances box and then typing the first letter of the state you are looking for will move the highlight to the first instance of the state that begins with that letter For example typing N will move the highlight to Nebraska Typing N again will take you to the second State Instance that begins with N ex NebraskaPC Highlight the State Instance s and click on I button 4 Type a Requirement Name in either the Included Text or Excluded Text field if looking for a specific Requirement and you want to see when it is used for specified State Instance s PCM TOls and PCM Sub TOls SERFF Industry Manual Page 56 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Find Submission Requirements State Instances AlabamaLife Alabama Alaska AlaskaLH Arizona ArizonaLH Arkansas ArkansaaLH California California LAH Colorado Requirement Name Actuarial A 7 ee Enter text that D Starts With O Contains O Equals should be in the requirement name RO ees Enter text that Sta b f jua starts w
303. tted State Generated Messages State Generated Messages Help Business Type F Life Accident Health Annuity amp Credit F Property amp Casualty District Alabama Alaska Alberta AMERICAN SAMOA Arizona Arkansas Australia British Columbia California Colorado The final area under User Preferences is called User Preferences This section contains two items a setting for Current Instance and another for Default Business Type The Current Instance setting only applies to users with more than one instance By selecting an instance from the list and clicking Save the user can switch between instances Default Business Type is an optional setting that allows the user to indicate whether they are primarily Life Accident Health or Property Casualty Making a selection pre populates the Business Type field for the Filing Wizard and Search SERFF Industry Manual Page 25 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Filings Billing Settings Filing Rules Reports Templates User Preferences Instance Preferences Companies Contacts Contact a a Informat User Preferences Current Instance Te wi i Message Se aaalifeinsurancecompany y User Preferences Default Business Type Please Select for New Filings Save Cancel Instance Preferences Instance Preferences are used to define options for the ent
304. uct Launch Project Name HPL 2010 Date Submitted Comments Changed Items No Form Schedule items changed No Rate Rule Schedule items changed No Supporting Documents changed Save Apply Cancel 4 To make an association between draft Schedule Items and the Amendment click See and select Schedule Item changes that belong with the update Amendment of AAAL 126885435 Save Apply Cancel SERFF Tracking Number AAAL 126885435 State Alabama First Filing Company AAA Life Insurance Company State Tracking Number Company Tracking Number TOI 04 0 Homeowners Sub TOI 04 0001 Condominium Homeowners Product Name Homeowners Product Launch Project Name HPL 2010 Date Submitted Comments Here is my amendment Changed Items No Form Schedule items changed No Rate Rule Schedule items changed SERFF Industry Manual Page 188 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Appl 5 Throughout the process click to periodically save updates 6 Click once all updates have been made 7 The user may then Submit Edit Delete or Close the Amendment SERFF Industry Manual Page 189 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Amendment of AAAL 126885435 sata eae netere cane SERFF Tracking
305. ument Replacing Pages in an Acrobat Document Adobe Acrobat allows you to replace pages in a document with another Acrobat file This is helpful if you have an original document in a word processing program and you saved a copy of it as a PDF file to insert it into another PDF document Every time you make changes to the original word processing file you will want to save the changed document as a PDF file and replace the pages in the other document with the new updated information The only restriction to replacing pages is that the number of pages being replaced and replacing must be the same 1 Open the document that needs updating in the Adobe Acrobat program window 2 Locate the page numbers of the pages you would like to replace 3 Open the document that has the updated information in the Adobe Acrobat program window 4 Locate the pages numbers of the pages you would like to replace 5 Select File Close from the main menu to close the document with updated information amp You cannot insert an open file into another file 6 Select Document Pages Replace from the main menu The Select File with New Pages dialog box appears SERFF Industry Manual Page 247 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Sy PYCS_work ee eee 2 i LI My Computer My N aW ork P Adobe POF Files pdf 7 meee settings 7 Sel
306. ure art F e Livonia MI 48152 a came 734 591 6329 Phone _ FEINNumber 38 2043661 State of Domicile Michigan Company Type L amp H Companies and Contacts 1 Click on the L button to change the contact for the filing 2 Click on the button to add additional companies to the filing 3 Click on the button to remove companies from the filing Filing Fees This is the section where rate and form filing fees including EFT will be recorded e Fee Required Defaults to No for all filings If left at no the rest of the fields will be hidden Click the Yes radio button to display fee related fields e Fee Amount Enter the state filing fee Allows only valid US currency e Retaliatory Click the Yes No radio button if state filing fee is retaliatory SERFF Industry Manual Page 124 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual e Fee Explanation Enter the explanation of where your state filing fee was derived if required by state General Form Rate Rule Supporting State Companies Filing Filing Information Schedule Schedule Documentation Specific and Contact Fees Correspondence Overall Fees Fee Required No Fee Amount Retaliatory Fee Calculation Explanation Electronic Funds Transfer Company Amount AAA Life Insurance Company 0 00 E Bypass EFT for this company
307. urrently selected link 1 Select the Link tool or the Select Object tool and then move the pointer over the link rectangle The cross hair changes to an arrow when the cursor is over a corner If the cursor is not directly over a corner of the link rectangle the cursor is a standard pointer 2 Do one of the following a To move the link rectangle position the arrow anywhere in the rectangle and drag it to the new location SERFF Industry Manual Page 270 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual b To resize the link rectangle drag any corner point until the rectangle is the size you want c Select the Link tool or the Select Object tool and double click inside the link rectangle to open the Link Properties dialog box or right click and choose properties POLICY ANNIVERSARIES Policy anniversanes will be PREMIUM PAYMENTS This policy ts issued in retl payable at the home office must be 3 paid by this policy s effe SERFF Industry Manual Copyright 2011 National Association of Insurance Commissioners All rights reserved Edit Sign Center Distribute Size Use Current Appearance as Mew Default Page 271 of 345 SERFF End User Training Manual Appearance Tab You can define the appearance of a link before you set the link or after you set the link You define the link appearance in the Properties toolbar or in
308. us has been Set by Default 3 To open the filing referenced in the message click the blue underlined SERFF Tracking Number 4 Click on the Filing Correspondence tab General Rate Rule Supporting Companies Filing Filing Information Schedule Schedule Documentation and Contact Fees Correspondence 5 Click the blue link under Dispositions Dispositions Status Created By Created On Date Submitted Approved Stuart Frances 12 14 2010 12 14 2010 04 23 PM The Disposition is now viewable SERFF Industry Manual Page 204 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Disposition for AAAL 126885443 chose SERFF Tracking Number AAAL 126885443 State Alabama Filing Company AAA Life Insurance Company State Tracking Number Company Tracking Number TOI HO2G Group Health Accident Only Sub TOI HO2G 000 Health Accident Only Product Name Health Product Launch Project Name HPL 2011 Disposition Date 12 14 2010 Implementation Date Status Approved SERFF Industry Manual Page 205 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Lesson 6 This lesson covers the Search functionality of SERFF Search is available to all users SERFF offers two levels of search a Tracking Number Search that provides quick access to a particular f
309. using the Search tool Disposition Reports can be found on the Filing Correspondence Tab of the filing Filing A Filing is a package of information sent from an insurance company to a state rate and form filing review department A filing contains one or more Schedules including a Supporting Documentation schedule and Notes from the insurance company The state reviewer may add Notes Objection Letters and Reports as responses All of these pieces make up the SERFF filing SERFF Industry Manual Page 339 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved Filing types Type Rate Rule Form Advertisement Multi SERFF End User Training Manual Definition A filing that contains a company s proposed rates and documents that support the rate filing A filing that contains a company s proposed rules and documents that support the rule filing A filing that contains a company s proposed forms and documents that support the form filing A filing that contains a company s proposed advertisements and documents that support the advertisement filing A filing that contains components from more than one filing type Ex Rates Rules Rates Forms Filing Wizard A component of SERFF that helps guide a user through the initial creation of a single or multi state filing The Filing Wizard leverages uniformity found with the Product Coding Matrix and the standard Fil
310. value is not calculated sumi 7 of the following fields Simplified field notation Custom calculation script Tl Locked 5 Next Acrobat must be told which fields to sum This is done using the Pick button When the button is pressed a dialog box containing a list of the available form fields will appear Select Fee Total 1 Fee Total 2 Fee Total 3 Fee Total 4 and click the OK button Field Selection Select Fields For Calculation LI Check Number Select All CI Company Mame L Fee Cal i Deselect All CI Fee Cal 2 L Fee Cal 3 CI Fee Cal 4 Fee Total 1 Fee Total 2 Fee Total 3 Fee Total 4 LI Filing Co 1 ce SERFF Industry Manual Page 303 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Text Field Properties General ppearance Options Actions Format Validate Calculate Yalue is not calculated Yalue is the sumit F of the Following Fields e Total 1 Fee Total Fee Total 3 Fee Total 4 Simplified field notation Custom calculation script T Locked 6 Click the Close button to close the Field Properties then the Hand Tool to activate the form The table should look like this Show Retaliatory Fee Calculation Total of Retaliatory Fees for this Filing Submission The zeros are displayed in the Total of Retaliatory Fees cell because no
311. values have been entered into the cells above it Once those values are entered the sum will be calculated and displayed in the cell SERFF Industry Manual Page 304 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Appendix Many companies use the services of a Data Hoster There are many benefits to using a Data Hoster like Disaster Recovery and special SERFF functionality only available to Data Hoster users This lesson covers the following topics e Export Tool e Reports Yoa Paper Tracking SERFF Industry Manual Page 305 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Export Tool The Export Tool is available to authorized industry users from their Data Hosting site If a user has access to the Export Tool the link in the Workspace on the Filings tab will read Search Export rather than Search The Export Tool utilizes the Advanced Search feature as the mechanism to write the query and identify filings to be exported Refer to the sections on creating and running Advanced Searches for more information Running an Export 1 In the Advanced Search screen enter the search criteria or load a saved search Before exporting data its a good idea to run the query as a search and validate that the desired results are being returned 2 Clic
312. y Manual Page 52 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Return to Search State Instance Alabama Business Type Property amp Casualty Electronic Type Of Insurance 01 0 Property Sub Types of Insurance 01 0001 Commercial Property Fire and Allied Lines 01 0002 Personal Property Fire and Allied Lines 2 To close the Type of Insurance screen click on any of the links on the SERFF Workspace Filings Billing Settings Filing Rules Reports Templates quirements General Instructions Types of Insurance Submission Reguirements as SERFF Industry Manual Page 53 of 345 Copyright 2011 National Association of Insurance Commissioners All rights reserved SERFF End User Training Manual Submission Requirements The Submission Requirements are a set of specific Requirements for a particular combination of TOI Sub TOI s and Filing Type s The following information is stored in a Submission Requirement e State Instance e Type of Insurance e Sub Types of Insurance e Filing Types The type of filing ex Form Rate Rule e Requirements Items that need to be submitted on a filing The Submission Requirements which are located on the Supporting Documentation Schedule of a filing must be satisfied or bypassed in order to submit a filing for review SERFF Industry Manual Page 54 of 345 Copyright 2011 Nation

About this Course .........................................................

Contents

Download Pdf Manuals

Related Search

Related Contents