State User Manual
Contents
1. Subscriptions M OPTins Scoop Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 10 of 44 OPT ns User Training Manual State gt User Admin Forms To make changes to the users who have access to OPTins or to add a new user to an OPTins account a User Admin request must be submitted to the Help Desk using the User Admin Forms in OPTins Current users who have the User Mt Admin role will see the following User Admin links across the top of the Settings tab Request New User Request User Update and Request User Deactivate All User Admin requests will be directed to the Help Desk for processing The User will be notified once the request has been completed ns Online Premium Tax for Insurance Filings Settings User Prefs State Configuration State Account Request a New User Click on the Request New User link The e mail address of the User submitting the request will automatically populate Fill in all fields Note that any field with a red asterisks is a required field Check the radio box next to all of the roles to be assigned to the new User Confirm the selection check box next to the OPTins Scoop Subscription is checked Provide any applicable additional information in the Additional Information field Click Submit The new User will receive a confidential e mail from the Help Desk containing thei2. end date TO y e inclusive Report format SBS Revenue Report Raw XML gt Transaction Reports There are two Transaction Reports in OPTins which will assist states in their audit process State Transaction Balance Report and Entity Transaction Balance Only users with the State Transaction Maintainer or State Transaction Viewer role s will see the Transaction tab and have access to the Transaction Reports If you would like to implement this report function please contact the OPTins Marketing Team at optinsmktg org gt State Transaction Balance Report The State Transaction Balance Report is an overview or snapshot of current balances for all Entities that have filed to your state account When you first click on the State Report link the list of Entities which have submitted filings with Refresh Report button to retrieve the most recent filing data Check the Include entities with a zero balance box for a listing of all Entities that have submitted filings regardless of whether there was a payment toward tax liability included payments will appear real time Click on the The Total Balance represents the overall tax liability due to the state account This figure is the sum of all payments itemized below and will include offsets or adjustments entered by the state on the Entity Balance page Copyright 2012 National Association of Insurance Commissioners All rights reser
3. Search Results 2 NAIC Company National Pro State ID Fiscal Payment iyi oe Code oo Number Number Year Period Submitted Amount M nti 95 Semi Annual a 61182 2441930 2011 i 01 03 2011 3 487 00 amp Annually 1 03 22 2011 15 020 00 amp Annually 1 03 10 2011 1 500 00 amp 44 04 7 SEN 2010 Quarterly 1 01 04 2011 5 855 00 amp Quarterly 2 01 05 2011 951 00 amp Quarterly 3 03 10 2011 15 020 00 amp 41 23582 Da 2011 Quarterly 1 03 24 2011 500 00 amp 31 10060 avr 2011 Annually 1 03 24 2011 85 481 00 amp Annually 1 03 22 2011 45 100 00 amp j 1 64327 pA 2010 Quarterly 1 03 22 2011 8 561 00 amp Quarterly 2 03 22 2011 854 00 amp R 23 l 10674 JAGADJ 2011 Quarterly 1 03 24 2011 89 924 00 amp Annually 1 03 22 2011 15 000 00 amp 2946265 2010 Quarterly 1 03 22 2011 5 200 00 amp Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 22 of 44 OPT ns User Training Manual State gt Within a Filing Assign With the filing open select the button to assign the filing for review A list of active reviewers will populate in the left box Select the name s and then the right arrow button to move the reviewer s into the right active box Save 3 Select the ese button a Quarterly 2 Filing Information Filing Tracking Number DE20120200215035 Original Submission Date 06 02 2012 State Status New Company Type Surplus Lines Broker As
4. Amend Filing button If you need to update the Submitter data change the information in the applicable fields Completing this While viewing the Filing Details select the information enables you to utilize the one way OPTins e mail system to communicate to the filer if necessary 3 Several fields will appear including a listing of all of the forms provided by the state and those originally submitted by the filer The State Provided forms will be on the left the industry filed forms will be on the right Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 27 of 44 OPT ns User Training Manual State Upload Form s State Provided Forms Filing Instructions pdf Upload OPTins Quarterly Tax Payment amp OPTins Quarterly Remove 2010 pdf Tax pdf Replace Supporting Documents Upload Legend Required P Download Form 4 You will need to save the form to your network or hard drive in order to make changes to the form and then upload the amended form To initiate the process click on the paperclip icon next to the form submitted by the industry 5 The form will open up in Adobe Acrobat or Microsoft Excel if the document is in Excel format Click the Save button on the toolbar to save the form to your network or hard drive Save the form with a similar but different name indicating an amendment For example Amended OPTins Quarterly f
5. Request Additional Taxes or Fees 1 Change the Status to Pending Industry 2 Enter details in the Comments box The comments should explain what the filer needs to correct In this example the request IS NOT an assessment of penalties but a request for additional taxes The reasoning behind the request should be included 3 Click the box next to Email comments to filer This will also populate your Signature you created in your User Preferences 4 Inthe applicable Requested Amount Type box enter the amount due Or gt Assess a Penalty The steps for assessing a penalty are the same as above except the details entered in the Comments box should reflect the reason for the penalty Once the industry has submitted the additional payment or fee due you should be notified by either a phone call or an email whichever you requested in your comments From that point you should Search for and update the filing 1 Run an EFT Report confirming receipt of the funds See EFT Reports 2 Click on the button in the original Filing Revision 3 Change the filing Status to Complete 4 Mark the box next to the Paid field 5 Enter the date the payment was received in the Date Paid field Enter in mm dd yyyy format or use the calendar drop down button save 6 Click on the button gt Update the State Status While the OPTins Status automatically changes based on specific changes in status only v
6. their Account User Admin Request User Allows the user to request new users update current user roles and deactivate users on behalf of their Account Enhanced Export Allows the user to request a complete export to be transformed from the standard XML to another output style State Payment Report Reviewer Allows the state user to execute and review Payment reports State Transaction Maintainer Allows the user to view and maintain the payment balance totals of filing entities that have filed to their state account State Transaction Viewer Allows the user to ONLY VIEW the payment balance totals of filing entities that have filed to their state account Request User Deactivate a oe Click on the Request User Deactivate link The e mail address of the User submitting the request will automatically populate Choose the User to be deactivated from the User drop down If there is any additional information that the Help Desk would need to know enter the data in the Additional Information field 5 Click Submit Deactivate User Request Submit Reset Requestor E mail stateuser state org User Additional Information Please Select indicates a required field Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 13 of 44 OPT ns User Training Manual State gt State Configuration Sett
7. 0 enabled Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 4 of 44 OPT ns User Training Manual State Lesson 2 In this lesson we will review logging into OPTins as well as the OPTins Workspace User Preferences State Configuration Settings and State Accounts will be discussed as well OPTins state users must have an Account in order to access the OPTins application Initiate the process by contacting the OPTins Marketing Team at optinsmktg naic org or 816 783 8787 This lesson assumes that the state has already completed the implementation process This lesson covers the following topics e OPTins Login e OPTins Workspace e User Preferences e User Admin Forms e State Configuration Settings o Filing Periods o Payment Types o Company Types o Filing Period Requirements e State Account Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 5 of 44 OPT ns User Training Manual State gt OPTins Login 1 Access the OPTins login page either by clicking on the OPTins logo on the NAIC website www naic org or from the OPTins website www optins org NAIC Website Access www naic org NAIC Affiliates amp Programs IIPRC NIPR adh L R NAIC Chief Operating Officer amp Chief Legal Officer Andrew Beal NAIC Vice President and North Dakota Insurance Commissioner Adam Hamm GRAMMY winner SB Amy Grant and NAIC President and Florida In
8. 1 If Open is not yet expanded click the arrow to the left of Open to expand the section 2 Select View to the right of the Filing Configuration you wish to view 3 Then the Filing Configuration will open showing you an expanded view of what is displayed on the previous screen This new screen will also display any Vendor Requirements and Field Requirements that were set up by the OPTins staff Filing Configurations Draft Open Name Filing Period Company Types Begin Year End Year Forms Actions Captive Instructions pdf DE_Captive_Annual Annual Captive 2011 Captive 11 OPTins Final pdf View SponsorCellCaptive 1 1 OPTins Final pdf Notary Affidavit pdf Domett iH Domestic Instructions pdf DE_Domestic_Annual Annual mkapa PEC 2011 Domestic 1 1 OPTins Final 2 pdf View Notary Affidavit odf DPO HMO HSC 1 1 OPTins Final pdf DE_DPO_Annual Annual DPO HMO HSC 2011 Notary Affidavit pdf View se L amp H Foreign Instructions pdf DE_Foreign_Annual Annual Foreign P amp C 2011 Notary Affidavit pdf View Foreign RRG Foreign 1 1 OPTins Final pdf Fraternal Instructions pdf DE_Fraternal_Annual Annual Fraternal 2011 Fraternal 1 1 OPTins Final pdf View Notary Affidavit pdf Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 17 of 44 OPT ns User Training Manual State Maintain Filing Configuration Asterisk image denotes required field Configure Filin
9. Balance link 2 Select the Entity from the Select Filing Entity dropdown 3 Select the Transaction Date range Search 4 Click the Eee button In addition to viewing the Entity Transaction Balance as described above users can view the Transaction Balance from within a filing by clicking on the View Entity Transaction Balance link located in the upper right hand corner i View Entity Transaction Balance eee tempers jfi Atabar stiind _settgpenety of fieco tee ame NAIC Company Code 42900 Group Code 0253 FEIN 23 2253669 State Of Domicile New Jersey Filing Year 2010 Annually 1 8 Annually 1 Assign AmendFiling Update Filing Filing Information All of the transactions submitted by the Entity to the state will list under Entity Details To see the details of a particular transaction simply click on that transaction in the table e Transaction Date Date and time the filing transaction was submitted to the state e Transaction Description If the transaction is system generated a filing submitted by the industry the description will be filing information related to the transaction i e year filing period and filing type If the transaction was entered by the state an offset or adjustment the detail will be whatever data was entered by the state user Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 42 of 44 OPT ns User Training
10. Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 6 of 44 OPT ns User Training Manual State OPT ins Online Premium Tax for Insurance Already a User Login here Welcome to OPTins About OPTins OPTins is the Online Premium Tax for Insurance application developed and supported by the NAIC In addition to facilitating the collection of premium tax forms and payments OPTins will also expedite the submission of surplus lines tax forms and payments as well as Annual Contracted Producer Reports and payments for participating states For more information about using OPTins click here If you are already an OPTins user click the login link in the upper right hand corner to access the application The current release of OPTins version 2 0 was released on January 23 2009 Click here to view the release notes for this version Support Hours The Help Desk for OPTins is staffed frorn 8 am to 5 pm CST Monday through Friday The Help Desk can be reached by calling 816 783 8990 or sending an email to optinshelp naic org Application Availability OPTins is available from 7 am to 7 pm CST Monday through Friday except in the event of unexpected outages or emergency maintenance The system may or may not be available outside these hours The regularly scheduled maintenance window for OPTins is every Tuesday and Wednesday from 7 pm to 2 am CST and every third Saturday from 10 pm until 2 am CST Other
11. Current Amendment L Filer Information Date Created Created By Filing Attachments Additional Information Filer Information Submission Date Filing Attachments Additional Information Kelly McCumber 816 231 2200 kmecumbe naic org 01 25 2010 Kelly McCumber ID Amended OPTins Quarterly Tax pdf SS No Additional Information Kelly McCumber 816 231 2200 kmecumbe naic org 01 25 2010 OPTins Quarterly Tax pdf No Additional Information Once you ve amended the filing the Filing Status will default to Complete See Update the Filing Status Unless changes are minimal in most cases the industry will be amending the form Following are steps to request that the industry amend a form 1 Confirm that the filing Status is marked Pending Industry Update Filing button Select the 3 Scroll down to Comments field and enter your request Be as detailed as possible with your request Select the box next to Email comments to filer Make sure your email address is included in your signature if you want confirmation once the form has been amended and submitted via OPTins _submit_ 5 Clickthe button to save your changes Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 29 of 44 OPT ns User Training Manual State Edit Filing Revision Comments hese comments can be submitte
12. Information Field 20 Click Next to go to the payment information screen 21 Enter Filing Payments received in the correct fields If no payment was required select the radio button OPTins will automatically total the fees in the Total field 22 After entering the Filing Payments you can enter the check payment information for the paper filing Enter the Check Number Check Amount Check Date and Reference Number then click Add Z 23 Click on the button to complete the process Enter Filing Payments Amount 3 Premium Tax 5 000 1 Additional Premium Tax 1 Annuity Tax o Workers Comp Debt Reduction O i o Workers Comp Surcharge o WY Fire amp Casualty Surcharge Total 5 150 00 No State Payment Required Oo Check Number Check Amount Check Date Check Reference 55555 5 150 00 06 04 2012 delete E PO CT Add Enter Filing Submission Date Process Date 06 06 20 12 EJ Click Submit to have this filing submitted on the Process Date Please note that full processing of the payment could take 2 5 business days To avoid potential late filings and payments please schedule n NAIC is not responsible for late filings and accompanying paym Previous Save as Draft Submit Cancel A message will appear at the top of the screen confirming that you ve submitted the paper filing An icon will appear next to the Filing Detail confirming that
13. SRAN de n 11 03 2010 0 00 Month 5 06 10 2010 0 00 Bae o 13 s 2005159 2010 4125003 Month 6 07 13 2010 0 00 gt Quick Export and Complete Export Quick Export provides a subset of data useful in creating custom reports Complete Export provides a report in several formats based on the states preference The Complete Export s default is an XML file a standard file format which can be used to import data into a legacy system The Complete Export results include all data elements from the selected filings and tax forms The data elements in the Complete Export will be populated with the filer s form data if the premium tax filing was submitted via TriTech or if the form was marked as parsed gt Quick Export Once you ve completed the search and are prepared to export data and create a personalized report if desired from the list of static fields that are returned Quick Export Select the button The Windows confirmation box will appear requesting that you either Open or Save the data download Select Save to save the document to your network The document will export in Microsoft Excel format The Quick Export will return the same information in every export but once the document is in Microsoft Excel format you can personalize the display of the data to serve your needs a le ee oa gt Complete Export The Complete Export is typically run in an XML format For states that pr
14. a PE 7 2z010 0 00 2 08 03 2010 PF YT 2010 0 00 2r O08 05 2010 PFE Y z010 0 00 Cancel 6 Depending on your state s business requirements and implementation choices choose either Tab Delimiter or Semicolon Delimiter then click Next and then click Finish The data will automatically import into the Excel spreadsheet Page 39 of 44 Copyright 2012 National Association of Insurance Commissioners All rights reserved OPT ns User Training Manual State Text Import Wizard Step 2 of 3 This screen lets you set the delimiters your data contains You can see how your kext is affected in the preview below Delimiters ae Treat consecutive delimiters as one Semicolon C Comma Space Other Text qualifier Data preview ALZOLOQZO00051365 ALZOLOQZOOO0SL3S35 ALZOLOQZOO00SL330 ALZOLOQZ000351331 ALZOLOQZO00051408 amp Mm gt gt EFT Reports OPTins users have two Financial Reports which can be viewed in two formats The EFT Report can be viewed as a Web Page or a CSV File which can be converted to a Microsoft Excel document and the Payment Report can be viewed as an SBS Revenue Report or a Raw XML file States can use the EFT report and Payment Report to confirm receipt of payments and reconcile their bank statements Only states with the SBS Company Module can run the Payment Report Both reports can be run at any time and will show all transactions issue
15. Filings All filings are managed on the Filings tab o Search Filings This is the initial view upon login States can search for filings based on a variety of criteria o EFT Reports This link allows states to balance the fees received on filings against their bank statements by running an EFT report o I Site Link This link will take states directly to the NAIC s i Site system so they can research annual state data o SBS Link This link will be active for all states using SBS and can be set up to direct to a specific SBS service e Settings o User Preferences All user contact information is managed on the User Preferences tab o State Configuration The states can enter and manage their State Configuration settings including which Filing Periods they will accept Payment Types Company Types for which they will accept filings and Filing Configurations link the filing periods payment types and company types to the individual state forms State Configuration must be coordinated with the OPTins staff State Account The State Account is created by OPTins staff and cannot be edited User Admin Links Users with the User Admin role will see three additional links Request New User Request User Update and Request User Deactivate Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 9 of 44 OPT ns User Training Manual State User Preferences When you initially log into OP
16. Manual State e Transaction Performed by If the transaction was system generated a filing submitted by the industry OPTins will appear If the transaction was entered by a state user an offset or adjustment the name of the state user will appear e Transaction Amount The amount of the specific transaction The negative figure indicates payment toward the overall tax liability e Entity Balance The sum of all of the transactions submitted within the chosen date range The figure will show as negative indicating payment toward the total tax liability until the state enters an offset or adjustment e Transaction Notes State users can enter notes on each transaction to keep track of the audit process When r icon will appear All users with the State Transaction Maintainer role can add edit delete notes regardless of who originally added the note there is a note on a transaction the gt Entering an Offset or Adjustment All transactions submitted will show as a negative indicating payment toward the Entity s tax liability due until the state completes their audit and enters an offset or adjustment Users with the State Transaction Maintainer role can enter an offset or adjustment To enter an offset or adjustment 1 Select the Entity from the Select Filing Entity dropdown 2 Select the Transaction Date range Search 3 Click onthe Eee button All of the transactions submitted by the Entity to the state will
17. OPTiins Online Premium Tax for ns State User Manual OPT ns User Training Manual State TABLE OF CONTENTS INEFOGUCTION iia i cccdie ies eariand cata wean Siena Gace en ee PS SOI haste Scie sie as tated nie ita nc ala gist te sy ate dso aprms aera Sate ge eae eae ees Browser COME SU la tl OM accicauscatescninacicossasadedet E LESSON 2 goa ecatcd tear a amare ceasananscades snreied mount E OPTS LOGI xctricten Gest a a etuaaltan deen N AON OP TITS WOKS PACE scie tecture E och ean chau TE User Preter rente Sonrisa hie T R E E E EO ER Jeer AANO seca opel ean ine aeauac nna iee ce tana aeaeueminmeaaes State CONTISUrAtON SELLINE S sapiri rran n E EAEE FIDE PErOdScaanie aa a ta aiensabeonastantavas Payment TYDE S eni E E ans COMmMDINY TYPE Sari a E sendiauaghestaciaes Filing Confie UAT ONS srisanae o a T State Specific Field Definitions ss sssensseeneseesseessrerosrersseeessrrsssrreses State ACCOUNT na T LESSON I irena a ects E E E E ea tno eats op E OE ce cna OGa Ge IN CWE IIE aaa PUSS IAC BU Socata aO O TAN Ba gill oo f e lt param te eer Ronee rR eR aoa rR ane er eR eo ee eae View SBS Licensing Data asesoria a A a ERE a Update FINNES siiman e map unnct te sbadavasiuasaeceu omar cupumeesiaereeds Request Additional Taxes or F S ccccccsssceccsseeceeseceeeeceseesceeaeaees Assess a Penalty catdeaisciusstendded n aT T O E E T EAN Update the Stale Status acannon a ANT FMM EN SI ON aa cane cant ee avectuas ears
18. Tins you should choose the Settings tab and enter the balance of your contact information The NAIC will enter your first and last name email address and phone number during initial set up After i your contact information has been entered you can edit the data at any time by simply clicking the button 1 Click on the Settings tab 2 Ifyour state has multiple Accounts i e an Account for Premium Tax and a separate Account for Surplus Lines taxes you can toggle between the Accounts to review the filings if you have the appropriate access to do so Select the Current Account from the drop down menu to switch Accounts 3 Enter all of your contact information including fax number and mailing address 4 Enter your state and or department in the Organization field 5 Enter an Email Signature to include when emailing comments to filers through the Update Filing option 6 Maintain your subscription to the OPTins Scoop by checking or unchecking the selection check box 7 Click on the button User Preferences for Laura Jackson Current Account Delaware Premium Tax LastName Jackson First Name Laua Email Address ljackson naic org Phone 816 783 8470 Phone Extension o Fax Fax Extension PO Address 1 1100 Walnut Address 2 fp Address 3 PO city Kansas Ciy State Missouri O ss sS Postal Code e4106 t s Organization NaC t CS m Email Signature Thank you
19. as made a separate Transaction must be entered to correct the entry Entity Name MAdona alia NAIC Company Code 3 99 FEIN National Producer Number State of Domicile Ohio State ID Number NAIC Group Code imss Entity Details Entity Balance Amount 4 519 00 Date Transaction Detail User Performed Amount Balance 03 29 2011 10 56 AM Total Tax Liability Kelly McCumber gt 4 519 00 03 24 2011 08 52 AM 2011 Annually 1 Filing and Payment OPTins 85 481 0 85 481 00 Create New Transaction Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 44 of 44
20. ation the export will deliver an XML file fier Date Submitted Filing Pe wl ii cect nate m Filing Pe Zz i MALTI ANES AAR ee AL 009 annuals xsl en ee nae _ __ AL 2 010 atrly xsl Alabama Annualxsl Export Cancel Me Search Quick Export Complete Export Clear 3 The File Download box will then appear Choose to either open the txt file in Notepad or save it to your network to convert to a Microsoft Excel format File Download Do you want to open or save this file Name Filing expork txt Type Text Document From eapps int naic org Cane While files from the Internet can be useful some files can potentially harm your computer IF you do not trust the source do not open or save this tile What s the nek Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 38 of 44 OPT ns User Training Manual State filing export 1 bt Notepad i File Edit Format View Help AL201L0Q200031325 71471 Quarter 2 08 03 2010 PD B 2010 722 07 AL2010Q200031330 22950 Quarter 2 08 03 2010 PE 2010 0 00 AL2010Q200031331 22950 Quarter 2 08 03 2010 PF v 2010 0 00 AL201L0Q200031287 31380 Quarter 2 08 02 2010 PF 2010 2 519 00 J4l2010Q200031300 26310 Quarter 2 08 02 2010 PE 2010 0 00 ALZOLOQ2 00031301 26410 Quarter 2 08 02 2010 PF 2010 4 170 01 AL2010Q200031285 65412 Quart
21. cel cata naaeaciens Amend FHIN srra n segas eet hee ae ama baat vacecan donadeestecesaasoates RE AIO Cale FUNG S monuar E a O TENERA Create Papert iNe oeer ien ele danas E N A se aee anand OS SON A cear E a E is E esa eee ats eg O SLEE A E ANNAA TA A E RC E A Pa A E EEE A Quick Export and Complete EXPO barions na Eai Bei Ie Oi ovate A EE IGANSACTIONN REDO sesaran pet taesasenpabansavucaieneecehans oat taers eee saneaes Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 2 of 44 OPT ns User Training Manual State Introduction OPTins Online Premium Tax for Insurance facilitates the submission of premium tax assessment surplus lines Annual Contracted Producer Reports and other state specific filings and payments to the states States can securely collect payments and review the submissions electronically In addition the NAIC has partnered with TriTech allowing PREMIUM Pro software users the capability of submitting their premium tax forms and payments electronically via OPTins About This Manual This manual was developed to assist the states receive and audit premium tax assessments surplus lines Annual Contracted Producer Report and other state specific filings via OPTins This manual was written using OPTins v4 5 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 informat
22. d the user will not be able to submit filings for that specific Filing Period save _ 5 Select the button to save your entry Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 14 of 44 OPT ns User Training Manual State Payment Types State specific payment types must be created in order to accept fee payments via OPTins States are offered the flexibility of naming the specific Payment Types accepted For example Taxes Fees Penalty ACP etc NOTE States must contact the OPTins staff when changing or adding Payment Types Payment Types Sort Active Default Name Code Description IV O Surplus Lines Tax SLT v C Premium Premium Tax c fwa E C ooo Do Add New Payment Type Save Cancel button in the Payment Types box Add new Payment Type 2 Select the button Enter the Payment Type name in the Name field Enter the Payment Type Code in the Code field This code can be anything the states want but must be unique The Payment Type Code must be entered when a new Payment Type is added This field is not editable 1 Select the after the new Payment Type has been saved 5 Enter the Payment Type description in the Description field This field is for internal description only The description cannot be viewed by industry users 6 Change the order of the Payment Types by hovering over the arrows in the Sort column unt
23. d to the filer through OPTins and directly to their email a hank you Laura Jackson NAIC M emai comments to filer lt bad address naic org gt d addre Attachments d to the PT Browse No Forms Uploaded Requested Funds Requested Amount Premium Tax 10000 00 paid E pate paia p JE Create This Filing gt Reallocate Funds If the user submitted fees but allocated them to the wrong Payment Type states can reallocate the funds Under the Payment Information header select the button The Payment Reallocation box will appear Enter the fee amount in the correct Payment Type field For example if fees were submitted as Annual but were actually Installment fees delete the fees in the Annual field and type the amount in the Installment field 3 Confirm the amount in the Total field is correct Save 4 Click the ES button NOTE Reallocation is for the audit of the filing and for the state to document what the monies are for Reallocation has no impact on EFT and does not transfer funds between bank accounts Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 30 of 44 OPT ns User Training Manual State Payment Information Filing Payments 3 Premium Tax 126 00 dnar mm 1 Additional Premium Tax 1 Annuity Tax Payment Reallocation x WY Fire amp Casualty Surcharge Wor
24. d to the state To run an EFT Report 1 Select the Financial Reports link from the main OPTins Workspace 2 Select EFT Reports 3 Enter the Begin Date in mm dd yyyy format or choose the date from the calendar button option 4 Enter the End Date in mm dd yyyy format or choose the date from the calendar button option 5 Choose the Report Format 6 Click on the Petr button OPTins EFT Report for Premium Tax Please choose the parameters for your report inclusive inclusive Report format webpage csv file Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 40 of 44 OPT ns User Training Manual State An EFT report is generated providing all of the transaction details for the period requested The EFT report will also display the total number of transactions for each day that a fee was received as well as the total amount of fees received for that day To run a Payment Report 1 Select the Financial Reports link from the main OPTins Workspace Select Payment Reports Enter the Begin Date in mm dd yyyy format or choose the date from the calendar button option Enter the End Date in mm dd yyyy format or choose the date from the calendar button option Choose the Report Format 6 Click onthe button oe a eS OPTins Payment Report for Delaware Surplus Lines Please choose the parameters for your report Hebe C OB inclusive
25. ect filing entity NAIC Company Code FEIN National Producer Number Entity Name State ID Number 72052 23 2999999 KMc Health Insurance Company 17355 72052 23 2999999 KMc Health Insurance Company 6 The Create Filing screen will appear Filing Year State and Filing Entity will be pre populated on the Create Filing Wizard 7 Make changes to the Filing Year if necessary 8 Choose the Company Type from the drop down menu 9 Choose from the available Filing Period Types in the drop down menu 10 Choose from the available Filing Periods and then click Next 11 The State Instructions for Submission and Submission Steps fields will appear Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 33 of 44 OPT ns User Training Manual State 12 Under Submitter Information enter the name phone number and e mail address of the industry filer If you do not have all of the information enter as much as possible Entering this data will allow the state to utilize the one way e mail system in OPTins to communicate with the industry 13 Choose the date the filing was originally submitted from the Submission Date calendar picker Submitter Information Name jane Doe Phone Email emailaddress insurance org Submission Date _ h9 20 2012 warom pF e I Su Mo Tu We Th Fr a State Provided Forms 1 E Quarterl
26. efer their data be exported in a txt format or format other than XML our staff will work with each state to gather their reporting business requirements Note States must contact the OPTins Marketing Team in order to implement an export format other than XML For states that wish to export data in an XML format once the search criteria has been chosen Complete Export 1 Select the button 2 The Windows confirmation box will appear requesting that you either Open or Save the data download 3 Select Save to save the document to your network The document will export in XML format The Complete Export is essentially the same for states that have provided the OPTins team with their business requirements and chosen to modify their report options to export data in either an XML or a txt format There will be Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 37 of 44 OPT ns User Training Manual State additional options once the Complete Export button is clicked If you are interested in utilizing this functionality please contact the OPTins Marketing Team Once you ve completed your search and are prepared to export the data Complete Export Select the button The Complete Export Transformation box will appear Choose from the pre determined formats created by the OPTins team to be included in the export and then click Export By selecting No Transform
27. er 2 08 02 2010 PA B 2010 66 066 48 Ja L20100 00031288 14494 Quarter 2 08 02 2010 PF 2010 10 514 90 ALZ0L0Q200031327 66265 Quarter 2 08 03 2010 PD B 20L0 844 00 AL2Z01L0Q200031304 69132 Quarter 2 08 02 2010 PD B 2010 20 504 00 Data exported into Notepad 4 In order to import the data into a Microsoft Excel spreadsheet save it to your network then open up a blank Excel spreadsheet 5 Choose File then Open and then search for the txt file When the file is chosen it will open the Text Import Wizard box Choose the Delimited option if it is not already selected then click Next Text Import Wizard Step 1 of 3 The Text Wizard has determined that your data is Delimited IF this is correct choose Next or choose the data type that best describes your data Original data type Choose the File type that best describes your data Characters such as commas or tabs separate each Field O Fixed width Fields are aligned in columns with spaces between each field Start import ak row ca File origin 437 OEM United States Preview of File C Documents and Settings EMcCumbe Desktop fFiling export 1 txt ALZOLOQZO00S1385 77879 Quarter E LZ010Q0Z00031335 71471 Quarter ALZOLOQZO00031330 22950 Quarter ALZOLOQZO00031331 722950 Quarter ALZOLOQZOO0S1L408 42757 Quarter fe UNEI W eyes 0l PL E 43 515 03 08 03 2010 PD B 2010 22_ 07 sO lens O lei 0l
28. er the data until the line turns grey then click to select 2 Make the necessary changes NOTE The NAIC Company Code cannot be edited 3 Click Once you ve entered your Paper Entities into OPTins you can then create a Paper Filing 1 From the Filings tab click on the Create Filing link Create Filing Select Entity will appear This step will allow you to search for the Entity to create a paper filing You can enter data into one or all of the fields but the least amount of data entered will return the broadest search Once you ve entered the data click on the Search button 3 Please note search fields are exact match To widen your search results add an asterisk at either the beginning and or end of your search criteria Create Filing Select Entity NAIC Company DO E National Producer DO Code Number Entity Name State ID Number 4 The Entity Search Results will appear at the bottom of the screen This is a list of companies that have submitted electronic OPTins filings as well as the company that your state has entered as a Paper Entity 5 The Paper Entities are denoted by the paper icon LI If the search results return both a Paper Entity and an electronic entity please choose the electronic entity to create your filing This will ensure that the data generated by the industry will match the state Paper Filing data Entity Search Results Click to select the corr
29. er the filing on the Search Results field If you mouse to the left by the Entity Name you can view all filings for that company for a fiscal year If you mouse to the right by the Period you can choose the specific Filing Period for that company The field will turn a light shade of grey Click to select the desired filing view and open the filing OPTins will display twenty 20 Entities at a time in the Search results Users can page through the results by clicking on the Next link or Last link found at the top or bottom of the Search results Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 21 of 44 OPT ns User Training Manual State gt Assign Filings There are two ways to assign filings to a specific reviewer or reviewers Batch Update or Assign from within a filing gt Batch Update 1 From the Search screen select the box to the far right of each filing to be assigned to a specific reviewer Batch Update Click on the button 3 When the Batch Filing Update box appears choose the name of the reviewer and click on the right arrow button to select them Click Save 4 Once a filing has been assigned the amp icon will appear next to the filing in the Search results Batch Filing Update prene Available Assignees Assign To Kelso Rick Kieras Bridget McCumber Kelly State CNeff State Status Save Cancel
30. g Period Select to configure M Filing Configuration Name DE_Captive_Annual Begin Year 2011 End Year o Filing Requirements Forms g File Name Form Name Required Parsed Captive Instructions odf Captive Instructions Captive 11 OPTins gt Final pdf Captive 11 sponsorCellCaptive SponsorCellCaptive 11 OPTins Final pdf 11 Notary Affidavit pdf Notary Affidavit Additional Info The documents in OPTins do need to be completed and uploaded as the electronic version of the tax form To download click on the download icon see legend at the bottom of the screen once the document opens click on File and then Save As locate a place on your computer to save the file and rename it to what you would like Once the file is saved close the electronic version and locate the file on your computer to complete the document Once the form is complete then click Upload from OPTins and locate the completed document The OPTins Notary Affidavit does need to be printed signed notarized and then scanned back into OPTins Vendor Requirements Vendor Company Types Field Requirements gt State Specific Field Definitions State Specific Fields gives you the ability to track state specific data elements Once a State Specific Field is defined it will display in the OPTins filing as well as the Maintain State Specific Field Data page Please note You must have the State Specific Field Administra
31. iewable by the Industry states are responsible for keeping the State Status field updated Status is a searchable field so keeping the status correctly updated will assist in narrowing down your search range There are two ways to update the State Status through a Batch Update or from within the filing post audit Batch Update 1 From the Search screen select the box to the far right of each filing to be updated Batch Update 2 Click on the button When the Batch Filing Update box appears choose the Filing Status from the State Status drop down menu Click Save Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 26 of 44 OPT ns User Training Manual State Batch Filing Update p Available Assignees Assign Ta Kelso Rick Kieras Bridget McCumber Kelly State CNeff State Status Save Cancel a Pending Industry Under Review 2011 gt Filing Revisions OPTins allows states the flexibility amend previously submitted forms and to reallocate funds All revisions are incorporated in the original filing maintaining the integrity of the filing gt Amend Filing OPTins allows the state the flexibility to request or make changes to forms after the original submission States can either amend the form themselves or request the industry filer amend the form and resubmit the amendment to the State via OPTins Steps for a state to amend a form
32. il highlighted blue Drag the Payment Type to the desired location in the Payment Types list Please note the default Payment Type will always be the top option in the Payment Types list Save 7 Repeat this process for each Payment Type When finished select the button 8 A Payment Type can be deactivated at any time by removing the checkmark from the Active box next to the Payment Type Payment Types cannot be deleted NOTE Any changes to Payment Types must be coordinated with OPTins staff Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 15 of 44 OPT ns User Training Manual State Company Types OPTins offers states the flexibility of creating state specific Company Types for all filings The Company Type Name and Special Instructions are free form fields The Company Types will link up with the Filing Requirements to guide the user to the necessary forms There is no limit to the number of Company Types your state can create Company Types 2 Company Type Name Special Instructions Domestic Lie OOOO O O Domestic Pac a O O Enter specific company type instructions in this field Warranty Add CompanyType Save Cancel 1 Select the button in the Company Types box Add Company Type Select the button to generate the field 3 Enter the Company Type Name Use sentence capitalization as OPTins will create the Company Type Name exact
33. ilings that have been submitted since you last logged into OPTins will automatically populate in Search Results This includes filings that have been amended by the industry If you ve been logged in for a period of time new filing submissions will not automatically generate You will need to use the Search tool to locate new filings that were submitted to the state after you logged into a current OPTins session Make sure the Search Status is New Search Click on the button Search Entity Name Tracking Number Fiscal Year Entity Identifier i Date Submitted Filing Period Type ID NAIC Company Code Start Date E 1 _ Filing Period End Date Company Type State Status ere yl New State Of Domicile Assignee v Search Quick Export Complete Export Clear Search Results P lt lt First lt Previous 1 to 20 of 206 Next gt Last gt gt e NAIC Company National Producer State ID Fiscal s Date Payment ny ee Code rien Number Year Period Submitted O Month 9 11 03 2010 0 00 go 52 Month papay 718 11 03 2010 100 00 71854 B n 2010 10 3 O m 11 03 2010 0 00 O 13 Month 5 06 10 2010 0 00 o 4125003 2005159 2010 Month 6 07 13 2010 0 00 O The Search Results will update listing any companies containing a new or amended filing submission Amendments will m be indicated with an icon I next to the Filing Period Hover your mouse ov
34. ings Before your state can receive and review filings the State Configuration Settings must be created These settings will guide the user through the filing process by communicating the required forms Filing Periods accepted Payment Types accepted and Company Types accepted To access the State Configuration Settings you should choose the Settings tab NOTE State Configuration will be administered with state guidance by the OPTins staff gt Filing Periods Communicate which Filing Periods are accepted by your state by adding your state specific Filing Periods OPTins automatically allows for Annual Filing Periods but states can also activate Interim Periods In the example below we ve used the Interim Period Quarter but you have the flexibility of naming the Interim Period based on your state specific requirements Installment Payment Vouchers etc Maintenance Filing Periods Name Web Service Default Active Type Code Number of Yearly Occurrences Month M 2 Quarter Q 4 Periodic P 36 Annual A 1 1 Select the button in the Filing Periods box Click on the Ae button to add a new field for an Interim Filing Period 3 Enter the Interim Period name assign a Type Code and enter the number of Yearly Occurrences 4 Select the Active box next to each Filing Period to activate the specific Filing Period If there is no check mark next to the Filing Period it will not be activated an
35. ion provided Then details and procedures are presented in easy to absorb segments All of the topics will walk you through a step by step process As an additional resource please view the State OPTins tutorial located here Conventions Used In This Manual The following special features are included in this manual to assist readers Bold fonts are used to emphasize an idea or a representation gt The green pointer is used to let you know that there is something you must do gt The red pointer is used to let you know that there is something of importance Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 3 of 44 OPT ns User Training Manual State Lesson 1 OPTins is a secure web based program accessed through your Internet browser OPTins is tested on Firefox and Internet Explorer We do not test and cannot support Apple browsers This lesson covers the following topics e Browser Configuration Browser Configuration OPTins performs optimally using either Microsoft Internet Explorer or Firefox System requirements dictate that users must log in through Internet Explorer 7 or higher All versions of Firefox are system compliant Most NAIC applications are written using JavaScript 1 2 or higher and use cookies Consequently these applications perform optimally with browsers configured as follows e JavaScript 1 2 or higher enabled e Cookies accepted e Pop up blockers disabled e SSL3
36. is created by OPTins staff States can have multiple accounts based on the different filing types accepted Example Premium Tax Surplus Lines Assessments etc Each of the State Accounts will populate when the industry creates their filing prompting them to choose the correct account based on the type of filing being submitted The State Account will also link the state s bank account information to the account with the UNID This number is specific to each state and directs the EFT funds to the correct bank account Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 19 of 44 OPT ns User Training Manual State Lesson 3 In this lesson we will review how to audit a filing within OPTins This lesson assumes that the state has already updated their State Configuration Settings and User Preferences This lesson covers the following topics e Locate New Filings e Assign Filings o Batch Update o Within a Filing e View SBS Licensing Data e Update Filings o Request Additional Taxes or Fees o Assess a Penalty o Update the State Status Batch Update Within a Filing e Filing Revisions o Amend Filing o Reallocate Funds e Create Paper Filing Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 20 of 44 OPT ns User Training Manual State gt Locate New Filings Each time you log into OPTins you will be directed to the Search screen Any new f
37. it is a Paper Filing Annual L From this point you should assign the filing and update the status as you would an electronically submitted OPTins filing see Assign Filings and Update the Filing Status Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 35 of 44 OPT ns User Training Manual State Lesson 4 This lesson will review the Search and Export functionality and EFT Reports available in OPTins This lesson covers the following topics e Search e Quick Export and Complete Export e EFT Reports e Transaction Reports gt Search Each time you log into OPTins a list of filings with the state status of New will automatically display in the Search Results field States can search for filings on several sets of criteria including Entity Name Company Type Fiscal Year Status ID NAIC Company Code FEIN National Producer Number and State ID Number State of Domicile Filing Period Tracking Number Assignee and Date Submitted You can search on any of these criteria individually or a combination of the criteria If you unsure of the exact information you are searching for add an asterisk to the search criteria to include all results The more criteria used in your search the narrower the results provided by OPTins Search Once you ve entered the search criteria click on the See button Each filing that matches the search criteria will display in the Search Res
38. itted via EFT from the user bank account to the state bank account on the business day after the filing submission You can run an EFT Report to confirm the fees remitted by the industry See EFT Reports 4 Scroll down to the Filing Summary header for an overview of Filing Information and to review any forms or attachments submitted Click on the blue hyperlink form name under Filing Attachments to open the form 5 While the form is open on your screen complete the audit process If you need to save the form to your network follow these steps a Click on the Save button on the Adobe Acrobat toolbar b Choose the area on your network or hard drive to save the form c Confirm the name of the form is correct and click Save lf you need to make changes to a form and or the submitter information fields see Amend Filing 6 Review the information included in the Additional Info field Note Updating the Additional Info field is optional for the industry so there may not be any information to review 7 OPTIONAL State users can retrieve the Schedule T and State Pages for companies that have filed an NAIC Annual Statement This option will be available for annual premium tax filings only If there is no Annual Statement Data available the Available NAIC Annual Statements field will indicate so If there is data available the links directly to the forms will be populated gt Update Filings Update Fili
39. kers Comp Debt Reduction SP leavin Workers Comp Surcharge 1 Additional Premium 25 00 Tax Total 1 Annuity Tax 56 00 Saar WY Fire amp Casualty 173 00 Filing Summary Surcharge Workers Comp Debt 174 00 Filing Information Reduction Workers Comp 183 00 Filer Information Thea Surcharge 816 Total tcookt Submission Date 09729 Cancel Save Filing Attachments Ab Create Paper Filing States may choose to use OPTins for all tracking and reporting of the accepted types of filings even those filings not submitted via OPTins thus creating a paper filing in OPTins For example a company may submit an interim filing to the state via paper because they had not yet implemented OPTins This means the state user will take the filing originally submitted in paper and re create in OPTins This will allow states the ability to store and search for all of their filings in one location OPTins It will also allow states to combine paper filings to electronically submitted filings see Combine Paper and Electronic Filings NOTE OPTins staff will load all entities for states upon initial implementation of paper filings The following process explains how to enter individual entities should it be necessary Before states can create a paper filing the company or Entity must be entered into OPTins Only users with a specific role are allowed to enter Entities into OPTins To have this role added to a u
40. list under Entity Details Create New Transaction 4 Click on the time date stamp automatically populate button The Entity name based on the Entity chosen in Step 1 and 5 Enter the Transaction Description or why you are entering the Transaction For example Adjustment Credit Tax Liability Due etc 6 Enter the Transaction Amount This could be an overpayment due to the Entity or the total tax liability due based on the audit among other reasons 7 Enter detailed information about the transaction in the Transaction Notes field 8 Click Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 43 of 44 OPT ns User Training Manual State Transaction Info ne Entity Transaction Information a riya K Transaction Date 06 06 2012 02 54 PM Transaction Description Tax Liability Transaction Performed By Laura Jackson zs Transaction Amount s 0000 00 Transaction Notes ax liability due by entity Save Cancel a a ae ssh a Ma m m The Transaction entered by the state user will list under Entity Details and will offset any payments submitted by the Entity The Entity Balance and Balance Due will reflect the transaction entered by the state indicating an overall figure still due to the state by the Entity NOTE Once a Transaction has been entered it CANNOT be edited or deleted If a mistake w
41. ly as entered 4 Enter details regarding the Company Type in the Special Instructions field This data will appear as Additional Instructions in the State Instructions for Submission section This is an optional field but a good resource to communicate instructions critical to the company preparing their filings 5 Repeat this process for each Company Type 6 When finished click on the ave I button Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 16 of 44 OPT ns User Training Manual State gt Filing Configurations States may have different Filing Requirements Vendor Requirements and field Requirements for each Filing Period accepted Any forms related to the Filing Requirements should be an interactive PDF or in some cases a Microsoft Excel form The users are required to download the form to their network complete the form and upload and submit the completed form to the state along with their taxes or fees The forms are created for states by OPTins staff which helps to ensure an accurate tax form is submitted as data fields can be parsed flagged as required and all calculations are built into the form Additionally the interactive forms allow the states to extract the data assisting with their auditing and reporting Please note to edit or add a new Filing Configuration please contact the OPTins Marketing Team at optinsmktg org To view your current Filing Configurations
42. maintenance including code releases will be scheduled as necessary 4 Type in your username provided by the NAIC in the User Name box 5 Type in your temporary password provided by the NAIC in the Password box 6 Click the ae button Home naic org OPT ins Online Premium Tax for Insurance User Name Password When you initially login you will be prompted to change your password Please note that passwords are set to expire every 90 days Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 7 of 44 OPT ns User Training Manual State OPTins Online Premium Tax for Insurance Change Password National Association of Insurance Commissioners User ame Requirements existing Password an Passwords are case New Password een characters Password Maximum thirty Must contain at least one numeric character Must contain at least one lowercase letter Permitted special characters _ Cannot reuse old passwords Enter your username assigned by the NAIC in the User Name box Enter your current password assigned by the NAIC in the Existing Password box Enter a new personalized password in the first New Password box Please note the password rules Passwords must be at least seven characters with a maximum of thirty characters Passwords must contain at least one number and one lowercase letter Certain characte
43. ngs and Amend Filings are two separate processes Update Filings includes the initial audit process Amend Filings will allow state users to make changes to forms after their original submission To Update Filings Update Fiing 1 Once you have reviewed the filing and its attachments select the button to initiate the review process Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 24 of 44 OPT ns User Training Manual State 2 An Update Filing pop up opens to begin the process yt 3 The State Status is a drop down field offering several options Complete Pending Industry and Under Review Change the State Status from New to Under Review a Under Review select this option when you are reviewing a filing for audit See Audit New Filings b Pending Industry select this option if you ve requested additional information an amended form additional taxes or penalty fees See Requesting Additional Taxes or Fees c Complete select this option if the audit process is complete See Audit New Filings Requesting Additional Taxes or Fees Assessing a Penalty or Amending Forms 4 The State Notes field is available to keep notes throughout the review These notes cannot be seen by the industry 5 The Comments field allows you to send information directly to the filer If you d like to e mail these comments to the filer select the box next
44. orm pdf 6 Make the necessary amendments to the form and resave the document to your network or hard drive Amend Filing 7 Once the amendments are complete you ll need to click on the button again scroll to the Upload Form section and click on the Replace link This will replace the form originally submitted by the industry with the form you just amended 8 Upload the amended form into the filing by selecting the button then choose the amended form from your network or hard drive and select Open to add the form to the filing Submitter Information Name isora Jadson Phone 816 783 8950 Email jackson naic org Submission Date 06 05 2012 Upload Form s State Provided Forms SL 1917 11 OPTins Final pdf SL 1917 11 OPTins Final pdf Remove Replace Supporting Documents Legend 9 You have the option of entering comments regarding the amended form in the Provide Additional Information field 10 Click on the button to save your changes Upload Required PH Download Form Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 28 of 44 OPT ns User Training Manual State An overview of the Current Amendment and Original Submission will appear under the Filing Summary The 3 amendment icon will appear indicating an amendment to the filing Filing Summary
45. r Username and Password eS a a a a a Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 11 of 44 OPT ns User Training Manual State New User Request Submit Requestor E mail New User s First Name New User s Last Name New User s E Mail New User s Phone New User s Extension Available User Roles Available Subscriptions F OPTins Scoop Additional Information urentstateuser naic org tate User ewstateuser naic org 559 555 5555 a State Regulator Allows the user to review submitted filings amend filings and create paper filings State Configuration Manager Allows the user te maintain state configuration settings including Filing Periods Payment Types Company Types and the Filing Requirements part of Filing Configurations EFT Report Reviewer Allows the user to execute and review EFT reports Filing Entity Administrator Allows the user to add new and edit existing filing entities on their Account User Admin Request User Allows the user to request new users update current user roles and deactivate users on behalf of their Account Enhanced Export Allows the user to request a complete export to be transformed from the standard XML to another output style State Payment Report Reviewer Allows the state user to execute and review Payment reports State Transaction Maintainer Allows the u
46. rs are permitted S 4 _ You cannot reuse previous passwords 4 Re type your new personalized password in the second New Password box for confirmation change Password 5 Click on the Parse Password button Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 8 of 44 OPT ns User Training Manual State gt OPTins Workspace The OPTins Workspace offers states the ability to search for filings run EFT reports manage their User Preferences and State Configuration Settings as well as access to the i Site and State Based Systems SBS applications You must be an SBS state in order to view the SBS link Welcome Laura Jacksor Delaware Surplus Line ins fo Online Premium Tax for Insurance Filings Settings Transactions Search Filings Create Filing Financial Reports i site naic org SBS Search Entity Name Tracking Number Fiscal Year Entity Identifier i Date Submitted _ Filing Period Type ID NAIC Company Code 7 Start Date rs i i Filing Period CT I en ate E Company Type State Status State Of Domicile Assignee Search QuickExport CompleteExport Clear Search Results Batch Update The OPTins Workspace contains two tabs with corresponding links State users with either of the State Transaction roles will also see a third tab Transactions Transactions will be covered later in the manual e
47. ser please submit a Request User Update through OPTins Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 31 of 44 OPT ns User Training Manual State Add the Paper Entity into OPTins 1 Click on the Settings tab and the State Account link Entity Click on the button 3 The Filing Entity Maintenance screen will appear Choose whether your Entity is a Company or Individual Confirm the check box next to Active is selected and then fill in all of the company information A red asterisk denotes a required field Filing Entity Maintenance Entity Type Company Individual Active y Name DE Premium Tax Company NAIC Company 7345 Code NAIC Group Code 12 FEIN 55 5555555 National Producer 45674 Number Annual Statement Property amp Casualty aj Blank Type State Of Domicile Maine Add State Licenses below State State ID Number 8787 4 Enter the company s State ID number for your state and click on the button OPTins will automatically populate your state name If you are adding an individual such as a surplus lines broker the agent s license number should be entered in the State ID Number field 5 Click on me Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 32 of 44 OPT ns User Training Manual State Edit the Entity data 1 Hover your mouse ov
48. ser te view and maintain the payment balance totals of filing entities that have filed to their state account State Transaction Viewer Allows the user to ONLY VIEW the payment balance totals of filing entities that have filed te their state account State Specific Field Administrator Allows the state user to maintain state specific fields Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 12 of 44 OPT ns User Training Manual State gt Request User Update 1 Click on the Request User Update link 2 Choose the User to update from the User drop down 3 Select the updated roles to be assigned to the User Note if there are roles assigned that should be removed please de select the role and put a note in the Additional Information explaining your request 4 Click Submit Update Existing User Request Submit Reset Requestor E mail currentstateuser naic org Available User Roles State Regulator Allows the user to review submitted filings amend filings and create paper filings State Configuration Manager Allows the user to maintain state configuration settings including Company Types Payment Types Filing Periods and Filing Period Requirements EFT Report Reviewer Allows the user to execute and review EFT reports Filing Entity Administrator Allows the user to add new and edit existing filing entities on
49. signed To None assigned Assigned To Brush Kelsey Cook Thea Dinsmore Nikki Fletcher Ann Franz Jennifer Hartwell Bryan Kelso Rick Kieras Bridget Lancaster Connie Lancaster Connie Once the filing has been assigned an amp icon will appear next to the filing in the Search Results gt View SBS Licensing Data OPTins allows states using State Based Systems SBS to view licensing data for Entities from within a filing Once you ve selected a filing from the Search screen look for the View Licensing Data icon name Click on the icon to open up the Licensing Data details and confirm their licensing status next to the Entity Ui duis Licensing Data x Online Premium Tax for Insurance Filings Settings Transactions TAARN ok eed Search Filings Create Filing Financial Reports i Number z z a se Legacy State ID P NAIC Group Number NAIC Company Ar State Of Incorporation 2 108 Domicile Type Foreign Number incorporation Date 05 13 1974 Domicile State g i j Batat afl diate thiid o eettapemet yy Company Status Eff Date Exp Date Status Date Line s Of Business NAIC Company Code Active 05 13 1974 05 13 1974 1 Life Disability and Annuities FEIN S08 State Of Domicile Michigan Filing Year 2011 Quarter 1 Filing Information Filing Tracking Number AL2011Q10015389 Original Submission Date 06 07 2011 Copyright 2012 National Association of Insurance Commis
50. sioners All rights reserved Page 23 of 44 OPT ns User Training Manual State gt Review Filings Once you are within a filing you can begin the filing review process From within each filing record an overview of each Filing Period will be displayed including any prior filings submitted via OPTins on behalf of the company To hide Filing details for a Filing Period that is not currently being reviewed select the sign next to the Filing Period The symbol will change to a To display the Filing details for a Filing Period that has been hidden select the symbol next to the Filing Period The symbol will change to a and the Filing details will be displayed NOTE If there has been no filing for a particular period the message No OPTins Submission Made will list underneath the Filing Period There will not be a or symbol to select 1 Filing Information provides an overview of the filing information This section lists Filing Tracking Number Original Submission Date Company Type State Status and the state reviewer that the filing is Assigned To 2 The State Notes are available to keep notes throughout the review These notes cannot be seen by the industry If there are prior notes for the entity they will be shown in the banner area with the current State Notes 3 Scroll down to the Payment Information header for an overview of payments submitted All funds are subm
51. surance Commissioner Kevin Ml TI ah ah 4b wn 7 MoCarty Boomers in the Sandwich Generation Face Complex Insurance Decisions O PT j n S Singer Amy Grant partners with the NAIC to encourage baby k boomers to plan ahead Online Premium Tax for Insurance UCAA Taodaws FF milliar hahu Een re load hortir lives Mlan ara nart nf OPTins Website Access www optins org Home NAIC Contact Us Help O PT 5 ns Many Tax Options Online Premium Tax for Insurance One Fill FIT Jne rmn A Product of AE Getting Started A Cost Benefit Model OPTins Scoop Click Here to Login to OPTins gt Additional Links OPTins is your electronic filing solution facilitating premium tax surplus lines tax assessments and other state specific tax filings Tritech Make OP Tins Your Electronic Tax Filing Solution Users lag into OPTins upload their state specific tax forms enter the applicable fee NAPSLO amount and click Submit Insurance Tax Conference OPTins makes tt easy for PREMIUM Pro users ton PREMIUM Pro use an now submi 2 If you log in from the NAIC website you will be directed to the OPTins website www optins org You will then need to click on the button on the right side of the screen to be directed to the OPTins Splash Page 3 Once on the Splash Page click on Login Here in the upper right hand corner of the screen to be directed to the application login page
52. to Email comments OPTins has incorporated a one way email tool allowing the states to email the user The industry cannot reply to this email By selecting the box next to Email comments your signature from your User Preferences will be inserted into the Comments field 6 Add any attachments you wish to send to the filer by selecting the button 7 The Requested Funds section will allow you to either Request Additional Taxes Fees or Assess a Penalty see below for instructions on how to process either Save 8 Once you have completed all necessary fields click on the es button Once you click Save your email is sent to the user notifying them of the requested revisions so they can then take necessary action if you chose to email the comments Update Filing gt State Status m State Notes State notes are placed here and are not viewable by the industry m Comments Comments can be submitted to the filer through OPTins and directly to their email hank you Laura Jackson NAI F Jemail comments to filer lt bad address naic org gt SS Attachments w m Requested Funds Requested Amount Premium Tax s i paid E bate paid E ld Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 25 of 44 OPT ns User Training Manual State gt
53. tor role to have access to maintain these fields To add a State Specific Field 1 Select the button under the State Specific Fields Definition section Add State Specific Field Select the button to begin adding a new field Enter a State Specific Field Label in the Label field 4 Select the field type from the Type drop down The different field type options are Date Memo Money Numeric Text or True False 5 Select the Show On Filing box to indicate a State Specific Field will display on the filing view screen Deselect the Show On Filing box to indicate a state specific field will not display on the filing view screen 6 Select the Active box to indicate a state specific field is active Deselect the Active box to indicate a state specific field is inactive Please note Only active fields can be updated 7 Change the order of the State Specific Fields by hovering over the arrows in the Sort column until highlighted blue Drag the State Specific Field to the desired location in the State Specific Fields list 8 Click to add the new State Specific Field State Specific Field Definitions Sort Label Type Show On Filing Active Date Reviewed Date X Vv Vv Add State Specific Field Save Cancel Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 18 of 44 OPT ns User Training Manual State gt State Account The State Account
54. ults OPTins will list a summary of each filing including the Entity Name company individual submitted on behalf of NAIC Company Code FEIN National Producer Number State ID Number Fiscal Year Period Date Submitted and Payment Amount To view the Filing move your mouse over the Filing on the Search Result field The field will turn a light shade of grey You can choose to view the entire filing record from a filing entity or a specific Filing Period Click to select the Filing OPTins will display twenty 20 Entities at a time in the Search results Users can page through the results by clicking on the Next link or Last link found at the top or bottom of the Search results Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 36 of 44 OPT ns User Training Manual State Search Entity Name Tracking Number Fiscal Year Entity Identifier Beles Porod Type l ID NAIC Company Code Start Date ii Filing Period End Date i Company Type State Status New State Of Domicile Assignee Search QuickExport Complete Export Clear Search Results P lt lt First lt Previous 1 to 20 of 206 Next gt Last gt gt NAIC Company National Producer State ID Fiscal Code FEIN Period Payment Number Year Submitted Amount Month 9 11 03 2010 0 00 Month 10 Entity Name Pe 52 11 03 2010 100 00 71854 0891929
55. ved Page 41 of 44 OPT ns User Training Manual State Negative figures indicated with a sign represent payments submitted by the Entity toward their overall tax liability The figure will show as a negative until the state has entered an offset or adjustment showing the total tax liability due from the Entity The offset or adjustment will need to be entered by the state on the Entity Balance page To view Entity details hover the mouse over the name A dialogue box appears listing the Entity name NAIC Company Code FEIN National Producer Number State of Domicile State ID and NAIC Group Code State Transaction Balance Report State Account New York Premium Tax 4 Run Date 03 29 2011 08 45 AM Refresh Report Include entities with a zero balan Total Balance 1 294 954 12 Name Entity ID Type Entity ID Value Balance NAIC Company Code ee 0 00 FEIN 19 520 00 NAIC Company Code 6 854 12 NAIC Company Code 500 00 NAIC Company Code 500 00 NAIC Company Code 85 481 00 NAIC Company Code 54 515 00 NAIC Company Code 0 00 NAIC Company Code 1 409 576 00 National Producer Number PAA 0 00 gt Entity Transaction Balance This page allows you to view the current balance for any Entity that has filed to your state You may also view the transactions that have led up to that balance within a date range To view the Transaction Balance for an Entity 1 From the Transactions tab click on the Entity
56. y Prepayment Form 2 3 4 5 G T 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 Legend A 23 24 25 26 27 28 29 Required P Download Form 30 Supporting Documents 14 A list of State Provided Forms will appear under the Upload Form s field Choose the paperclip icon next to the form to download the document save it to your PC and complete 15 Once the form has been completed and re saved upload it back into OPTins 16 To upload the document click on the Upload link next to the form name Upload Form s State Provided Forms Filing Instructions pdf OPTins 2009 Annual Tax Payment pdf Supporting Documents Legend Required P Download Form 17 The Upload Form field will appear Click on the button to search for the form When you locate the form on your network or hard drive select the form then click Open to add the form to the OPTins filing 18 Once the form has been uploaded it will appear next to the State Provided form Upload Form s State Provided Forms Filing Instructions pdf OPTins Quarterly Tax Payment Amended OPTins 2010 pdf Quarterly Tax pdf Supporting Documents Legend Required P Download Form Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 34 of 44 OPT ns User Training Manual State 19 OPTIONAL Enter data into the Provide Additional
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