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Industry User Manual

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1. 4 The EFT report can be run at any time and is based on transactions submitted on behalf of any Entities included on your Account Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 50 of 56 OPT ns User Training Manual Industry Lesson 5 This lesson will review the process that occurs if a scheduled filing is unsuccessful as well as the filing revision functionality available in OPT ns This lesson covers the following topics Scheduled Filing Failure Filing Revisions Penalties Assessed Taxes Due Submitting Additional Fees Amend Filing Scheduled Filing Failure As an added layer of protection OPT ns will generate an email message to both the user who created the filing as well as the back up contact in the event a Schedule Filing submission is unsuccessful Users can also choose to search for these filings by choosing the Payment Failure option under OPT ns Status The Payment Information section will indicate the payment failed by highlighting the section in red Outside of unforeseen system issues the only reason a Scheduled Filing would fail would be if a user made changes to the UNID assigned to the Entity after the filing was scheduled The system generated email will be delivered the morning of the day the filing was scheduled to be submitted allowing the user ample time to log in correct the UNID and re submit the filing Users
2. Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 25 of 56 OPT ns User Training Manual Industry 15 If you have the Schedule Submit role and are prepared to submit the filing on the current date simply click on the button OPT ns automatically inserts the current date in the Process Date field 16 If you have the Schedule Submit role and wish to Schedule the filing to be submitted at a later date choose the Process Date from the calendar picker tool then click on the button OPT ns will schedule your filing to be submitted on the specified date 17 Once you click Submit a confirmation box will appear Read the message and confirm that the Filing Year State Instance Filing Period and payment amount is correct If everything is correct click Submit Filing Uf Test LIST ANS COUNIPpaily NAIC Company Code 12345 National Producer Number Group Code State ID Number FEIN 12 1234567 State Of Domicile Pennsylvania North Dakota Premium Tax Quarter 1 Submission Filing Year 2012 State Instance North Dakota Premium Tax Filing Period Quarter 1 You are submitting a new 2017 Quarter 1 filing to North Dakota Premium Tax with a payment of 1 060 00 From the total 1 050 00 will be paid to North Dakota Premium Tax and 10 00 will be paid to the NAIC Prior to submitting your filing please ensure the above information is correct
3. scscececeesseeeeeeeseeeeenensesterereees 48 FURO SOMMA ona heen tiene ieee maaan aeeanetee 49 al Bal DON Ro enero oe eer ee Ree eee eee eee eee 50 LESSON bs E A E A 51 Scheduled Filing Failure cccceceeeeseceeeeeeeeeeeaeeeeaeeeeeeaeeeeaees 51 PILOT ROM SIONS rescence tees tusn ceca naa ctinsaseameciaeesenessiesaiesaeeeatees 52 Penalties Assessed Taxes DUeC cccececeeceeveeeeeeveesaesaeennars 52 Submit Additional FEES susiana a 53 Amend FilingS ssssensnnssenunnnnnnununnsnnensnnnnrnnnnnnennnnenensnnnnnns 55 Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 2 of 56 OPT ns User Training Manual Industry Introduction OPT ns Online Premium Tax for Insurance facilitates the submission of premium tax assessment surplus lines tax Annual Contracted Producer Reports and other state specific filings and payments States can securely collect payments and review the submissions electronically The NAIC has partnered with Tritech allowing PREMIUM Pro software users the capability of submitting their premium tax forms and payments electronically via OPT ns In addition to PREMIUM Pro users standard users can log directly into OPT ns upload the state specific forms enter the applicable taxes or fees and click Submit Funds are securely transmitted to the states via an EFT Electronic Funds Transfer ACH Debit transaction There are no license fees or specia
4. The filing can be saved as a draft until an authorized user logs in and completes the submission For additional assistance please contact the OPTins Help Desk at 816 783 8990 or optinshelp naic org NAIC Company Code 12345 National Producer Number Group Code State ID Number FEIN 12 1234567 State Of Domicile Pennsylvania Enter Filing Payments Amount Surplus Lines Tax 1000 00 Interest o oo Penalty Fine NAIC Transaction Fee k2 Total No State Payment Required E 15 If you have the Schedule Submit role and are prepared to submit the filing on the current date simply click on the button OPTins automatically inserts the current date in the Process Date field 16 If you have the Schedule Submit role and wish to Schedule the filing to be submitted at a later date choose the Process Date from the calendar picker tool then click on the button OPT ns will schedule your filing to be submitted on the specified date 20 Once you click Submit a confirmation box will appear Read the message and confirm that the Filing Year State Instance Filing Period and payment amount is correct If everything is correct click Submit Filing FEIN 12 1234567 State Of Domicile Pennsylvania E Enter Filing Payments na a a Filing Confirmation x Oklahoma Surplus Lines Estimated Quarter Surplus Lines Tax 1 Submission Filing Year 2012 State Instan
5. Filing NOTE Look for the Tips icon throughout OPTins V Click on the icons to display various help tips to assist throughout the filing process Online Premium Tax for Insurance Search Filings Create Filing EFT Report Filings Settings Create Filing Filing Year 2012 State Filing Entity Test Insurance Company Company Type All Company Types Filing Period Type Quarter Filing Period 7 Click on the Create Filing link on the Filings tab to initiate the process The Filing Year is displayed Please note the fiscal year changes each April You may change the Filing Year if necessary by highlighting and deleting the current year and typing in the Filing Year for which you are submitting Select the State to which you are submitting your filing Pay careful attention to the different filing types accepted by the state and be sure to choose the correct state and filing type Select the Company Entity for which you are filing Select the state specific Company Type Select the Filing Period Type and then the corresponding Filing Period OPT ns will only populate Filing Period Types and Filing Periods accepted by the state and that have not been previously submitted Click the button Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 22 of 56 OPT ns User Training Manual Industry From that point you will be
6. NAIC Company Code NAIC Group Code FEIN 6 6 994567 Number Annual Statement Blank Fraternal Type State Of Domicile Michigan x Add State Licenses below State State ID Number Michigan 599741 Remove State Cancel denotes required fields Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 19 of 56 OPT ns User Training Manual Industry ompany Individual Insurance Compan In order to submit filings for this entity additional configuration must be completed so that ACH Debit transactions can be initiated Please contact the OPTins Marketing team at optinsmkta naic ore for assistance 9456 Continue ernal higan tate ID Number Edit Entities 1 Hover your mouse over the company until the line turns grey then click to select 2 Each of the editable fields will open Make the necessary field edits 3 Make an entity active or inactive by checking or unchecking the check box next to Active 4 The NAIC Company Code is not an editable field 5 State ID s are added by choosing the state from the drop down entering the number in the State ID Number field and clicking the Add State button 6 Click the L 52 button Filing Entity Maintenance 2 Entity Type Company Individual Active Iv Name Test Insurance Compan NAIC Company Code NAIC Group Code FEIN 23 1738402 Number An
7. ance 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 Additional Instructions for Surplus Lines Carriers Please ensure that your tax form is signed with an electronic signature If you do not have an electronic signature set up please see the instructions at http help adobe com en US Acrobat S 0 Standard WS583s04882263e50102bd615109794195ff 7dS2 w html WHEN FILING VIA OPTINS YOU MUST USE THE STATE PROVIDED FORMS THAT ARE ATTACHED To use the forms please dovmload the forms to your workstation fill each out save each and upload each back into OPTins Submission Steps for Test Insurance Company 2 NAIC Company Code 12345 National Producer Number Group Code State ID Number FEIN 12 5698745 State Of Domicile Connecticut Upload Form s State Provided Forms 2 Annual Surplus Tax Rept 2 Brokers Annual Filing Info Supporting Documents Legend Required d Dovmload Form iq Provide Additional Information Optional Previous Save as Draft Next Cancel 1 Review the State Instructions for Submission as well as any Additional Instructions provided by the state 2 Under Submission Steps you ll see the state specific fo
8. and paid on a later date the amount will be filled in with a green background Payment Information Filing Payments Scheduled Date 07 13 3013 Premium Tax 1 200 00 Continuation Fee 500 00 Total 1 700 00 If a Scheduled Filing has a payment failure the amount will be filled in with a red background See Lesson 5 Scheduled Filing Failure Payment Information Filing Payments Payment Failure 07 15 2010 Payment Type O1 Wrhis fee payment may or may not have been successfully submitted Please contact the OPTins help desk at 816 783 8990 to resolve this issue Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 48 of 56 OPT ns User Training Manual Industry Filing Summary The Filing Summary will list all of the Original Submission information including the name and contact information of the person who originally submitted the filing original Submission Date and Filing Attachments It will also list any details regarding Amendments to the filing including who submitted the Amendment the Submission Date and any Filing Attachments Filing Summary Current Amendment Filer Information Laura Jackson Submission Date 97 12 2012 816 783 8950 hackson naic org Filing Attachments SL 1917 11 OPTins Final pdf Additional Information No Additional Information Original Submission Filer Information Laura Jackson Submission Date
9. ns User Training Manual Industry Already a User Login here OPTins Online Premium Tax for Insurance 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 from 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 maintenance including code releases will be scheduled as necessary OPTins Release 2 4 Type in yo
10. on the Settings tab Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 16 of 56 OPT ns User Training Manual Industry User Preferences When you initially log into OPT ns 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 your contact information has been entered you can edit the data at any time by simply clicking the button User Preferences for Laura Jackson Current Account testinsurancecompany Last Name Jackson it First Name kaua sits Email Address emailaddress naic orc Phone 816 783 8787 Phone Extension P Fax PO Fax Extension PO Address 1 i100 Walnut Address 2 PO Address 3 PO city Kansas Ciy State Missouri Postal Code esoe tt itits Organization Nac o Subscriptions a a a a a a a a a a a a a a a a a aaa aaaea M OPTins Scoop Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 17 of 56 OPT ns User Training Manual Industry 1 If you have access to multiple Accounts you can choose which Account you d like to work in by selecting the Current Account drop down and switching Accounts WVO7E This applies to users who submit filings on behalf of the same company but use a different bank account for each Filing Type Exam
11. sole discretion of the NAIC This Agreement authorizes the NAIC upon receipt of appropriate requested and required information to initiate debit entries and if necessary credit entries and adjustments through the Automated Clearing House ACH Operating System for that purpose You agree that you will maintain sufficient funds in your account to cover any amounts due to the applicable state agency and any NAIC transaction fees incurred and will indemnify the NAIC for any obligations indebtedness or liability owed to the NAIC s financial institution or any state agency caused by your failure to have sufficient funds You shall reimburse the NAIC for any obligations incurred within five days including any penalties or other charges By clicking on the Agree button below you affirm that the individual accepting these terms is legally authorized to bind the filer being represented You agree you are authorized by the NAIC to access OPTins and its contents for permitted purposes only You further acknowledge that you will only access content that you have the proper authority to view and use and that you have verified this authority with the NAIC You agree that you will not reverse engineer reverse assemble or reverse compile the application You also agree not to make available all or any portion of the application to any third party and you recognize that unauthorized or improper access use or dissemination of materials or modification of the syst
12. to Complete or other applicable status For example New Under Review or Pending Industry Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 54 of 56 OPT ns User Training Manual Industry gt Amend Filings OPT ns allows the flexibility to submit amended forms after the original submission There are no additional fees to submit amended forms to the state If the state reviewer has requested an amendment to your form s you should be notified of the requested changes via an automated email You should then make the requested changes to the form and upload the amended form to the original OPT ns filing You will need to send an email to the state reviewer notifying them that there is an amended form on the filing for their review 1 Locate the PDF form on your network or hard drive 2 Open the PDF and make the necessary changes 3 Save the PDF with a similar name indicating an amendment For example Amended OPTins Quarterly Tax Form paf 4 Click on the located above the Filing Information header 5 The State Instructions and Submission Steps will appear along with the State Provided Forms and the original form submitted 6 Click on the Replace link next to the original form submitted to replace this form with the amended form 7 The Browse window will appear Click on the button to search for the amended form 8 Once the amended form
13. to execute and review EFT reports Industry Service User Allows the user to submit filings through the TriTech PREMIUM Pro industry service Filing Entity Administrator Allows the user to add new and edit existing filing entities on their Account Schedule Filings Allows the user to schedule filings to be processed on a future date Submit Filings Allows the user to submit filings that include a state payment User Admin Request User Allows the user to request new users update current user roles and deactivate users on behalf of their Account Available Subscriptions M OPTins Scoop Additional Information J Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 9 of 56 OPT ns User Training Manual Industry gt e YS Request User Deactivate Click on the Request User Deactivate link The email 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 Click Submit Deactivate User Request Submit Bd Requestor E mail ndustryuser email com Additional Information indicates a required field Reset User Please Select Ww Copyright 2012 National Association of Insurance Commissioners All r
14. transferred to the State Instructions and Submission Steps screen The states will provide instructions regarding required information to be included with your filing They will also provide their state specific forms and make them available as an interactive PDF documents or in some cases a Microsoft Excel spreadsheet North Dakota Premium Tax Quarter Submission State Instructions for Submission Please ensure that your tax form is signed with an electronic signature If you do not have an electronic signature set up please see the instructions at http help adobe com en US Acrobat 9 0 Standard WS58a04a822e3250102bd615109794195ff 7d92 w html EFFECTIVE OCTOBER 28 2009 WHEN FILING VIA OPTINS YOU MUST USE THE STATE PROVIDED FORM THAT IS ATTACHED To use the form please download the state specific form to your workstation fill it out save it and upload it back into OPTins Additional Instructions for All Company Types Submission Steps for Test Insurance Company NAIC Company Code 12345 National Producer Number Group Code State ID Number FEIN 12 1234567 State Of Domicile Marshall Islands Upload Form s State Provided Forms A sfn11051_qty2010 pdf Upload Supporting Documents Upload Legend l Required Download Form Provide Additional Information Optional Previous Save as Draft Next Cancel 1 Review the State Instructions for Submission as well as any Addition
15. 00 per submission If you have no taxes due at submission or the state requires a zero filing there will be a 1 00 OPTins Transaction fee Message from webpage X This Filing and payment of 1 060 00 will be submitted on 09 20 2012 From the total 1 050 00 will be paid to Oklahoma Surplus Lines and 10 00 will ae be paid bo the WAIC Please note that Full processing of the payment could take 2 5 business days MAIC is not responsible For late Filings and accompanying payments Do you wish to continue Cancel 10 You will receive confirmation of your filing submission on the OPT ns Workspace You can run an EFT report at any time to confirm the amount of the fees submitted Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 38 of 56 OPT ns User Training Manual Industry gt Submit an OPTins filing with ACH Credit Once you have enabled the ACH Credit payment option you will be able to submit an ACH Credit payment with your filing Zf you are interested in implementing ACH Credit please contact the OPTins Marketing Team at OPTinsmktg ndic org 1 Begin the filing initiation process as mentioned above 2 Enter the filing fees amount in the designated boxes Please note that you will not have the option of Scheduling a filing with an ACH Credit payment Your filing will not be submitted until the ACH Credit payment has been received by the NAIC Submission Steps for Te
16. 07 12 2012 816 783 8950 hackson naic org Filing Attachments SL 1917 11 OPTins Final pdf Additional Information No Additional Information Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 49 of 56 OPT ns User Training Manual Industry EFT Reports OPT ns users with the EFT Report role can run an EFT report at any time There is one EFT report available which can be viewed in two formats as a Web Page or a CSV File which can be converted to an Excel document 1 Select the EFT Reports link from the main OPT ns Workspace 2 Enter the Begin Date in mm dd yyyy format or choose the date from the calendar button option 3 Enter the End Date in mm dd yyyy format or choose the date from the calendar button option 4 Choose whether to list only payments processed Scheduled payments or both 5 Choose the Report Format The csv format will allow you to convert to an Excel spreadsheet and balance with your bank statement 6 Click on the button 7 An EFT report is generated providing all of the transaction details NOTE There is a separate line item for each OPTins transaction fee f OPTins Windows Internet Explorer ioj x OPTins EFT Report for testinsurancecompany Please choose the parameters for your report ae et D inclusive end date id inclusive Include C Completed Fayments E Pending Payments Report format Webpage CSV file
17. 6 05 2012 Filing Attachments DE Annual pdf Additional Information 06 05 2012 10 000 00 816 7 83 8950 ljackson naic or No Additional Information gt OPTins Status The OPT ns Status options are Draft You ve created the filing but it has not yet been submitted Submitted You ve submitted the filing to the state Scheduled You ve scheduled the filing to be submitted at a later date Payment Failure The Scheduled Filing and payment did not submit OPT ns automatically updates to indicate any of these searchable status options Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 47 of 56 OPT ns User Training Manual Industry gt State Status The State Status is a separate indicator from OPT ns Status but should run in conjunction with the OPT ns Status e New Initial submission The State Status is automatically New until changed by the state e Under Review The state has received and are reviewing the filing e Pending Industry The state is awaiting additional information or fees e Complete The State status field is not automatically updated The states will manually update their own status indicators Payment Information Details of all payments issued and scheduled will be listed under the Payment Information header including the type of payment and date issued or scheduled If a filing has been scheduled to be submitted
18. Commissioners All rights reserved Page 37 of 56 OPT ns User Training Manual Industry 8 Once you click Submit a confirmation box will appear Read the message and confirm that the Filing Year State Instance Filing Period and payment amount is correct If everything is correct click Submit Filing FEIN 12 1234567 State Of Domicile Pennsylvania k Enter Filing Payments Filing Confirmation Oklahoma Surplus Lines Estimated Quarter Surplus Lines Tax 1 Submission Filing Year 2012 State Instance Oklahoma Surplus Lines Filing Period Estimated Quarter Surplus Lines Tax 1 You are submitting a new 2012 Estimated Quarter Surplus Lines Tax 1 filing to Oklahoma Surplus Lines with a payment of 1 060 00 From the total 1 050 00 will be paid to Oklahoma Surplus Lines and 10 00 will be paid to the NAIC Prior to submitting your filing please ensure the above information is correct Submit Filing Go Back SSeS Enter Filing Submission Date ct i 2 9 Once you click Submit Filing a payment popup box will appear Read the message and confirm that the amount to be transmitted is correct as well as the scheduled submission date If everything is correct click OK Note that there will be a OPTins transaction fee charged via EFT in addition to the fees transmitted to the state The OPTins Transaction fee is 5 of the surplus lines taxes due not to exceed 10
19. Created By Laura Jackson Filing Attachments Quarterly Form pdf Additional Information Wo Additional Information NOTE You have the option of clicking on the button if you ve decided that you do not want to submit the filing 4 Click on the button OPT ns will return you to the Submission Steps screen If the forms have already been uploaded click Next Otherwise upload your forms as previously noted 5 If the fees have not already been entered enter the Premium Tax or other fees due in the applicable fields OPT ns will automatically include the transaction fee so this amount does not need to be added to the total amount due 6 If you are prepared to submit the filing on the current date simply click on the button 7 If you wish to Schedule the filing to be submitted at a later date choose the Process Date from the calendar picker tool then click on the button OPT ns will schedule your filing to be submitted on the specified date NOTE Pay careful attention to state deadlines when scheduling a filing and allow ample time for the funds to be transferred to the state by the due date NAIC is not responsible for late submissions Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 28 of 56 OPT ns User Training Manual Industry 8 Once you click Submit a confirmation box will appear Read the message and confirm that the Filing Year State Inst
20. Go Back Process Date 09 20 2012 E Click Submit to hawe this filing submitted on the Process Date Please note that full processing of the payment could take 2 5 business days To awoid potential late filings and payments please schedule accordingly NAIC is nnt r J ntg i 18 Once you click Submit Filing a payment popup will appear Read the message and confirm that the amount to be transmitted is correct as well as the scheduled submission date If everything is correct click OK Note that there will be a 10 00 OPTins transaction fee charged via EFT in addition to the fees transmitted to the state Message from webpage x l l This Filing and payment of 1 060 00 will be submitted on 09 20 2012 From the total 1 050 00 will be paid to North Dakota Premium Tax and 10 00 a Will be paid to the MAIC Please note that Full processing of the payment could take 2 5 business days MAIC is not responsible For late Filings and accompanying payments Do you wish to continue i Cancel 19 You will receive confirmation of your filing submission on the OPT ns Workspace You can run an EFT report at any time to confirm the amount of the fees submitted Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 26 of 56 OPT ns User Training Manual Industry gt Edit and Submit Draft Filings Users have the option of saving the filing as a Draft e
21. OPTiins Online Premium Tax for ns Industry User Manual OPT ns User Training Manual Industry Table of Contents liigis oye 8loid a Neeser ater er Cart rn Cnn nT ean ST ne eon Varn ie near A ant arnt 3 LESSON AW aatctiectenchiciien cies en eee eee eee lea else eke 5 Browser Cong Urat sorire a sraa EEEa ETEEN 5 User Role Overview ssssssesssssnsrsrsrrsnsrnrrnrnrnrnsrnrnenernrnenenennne 6 USErAdMIN FONS orines in rnare EEr r E RRO 7 LO GOM aea 11 OPTS LOGIN aran E E 11 OPTS WV ORKSD ACE sesine e e re elm 16 WSEr PRETEKENCCS o 220 esses ede vedo vecehsdaviue esas aai 17 EMUIMCS ice tcicice ti ceecen reat loa teatee hi neauecbinemnee sndtnetspneumeremenemueenae 18 LOS ODGO aerate sti E eames enmneaaaeei cat 21 Create Schedule Submit Filings cccceccecseeeeeeeeeeeeeeeseaeees 22 Premium Tax or State Specific Filing cccceceeeeeeeeees 22 Surplus LINES sch cisdcahacachcsdicsalas ps sveuhicesebtacssiaehiisihates 32 Additional Filing Periods enicicssititienneiiiictaiticnse 30 44 Edit amp Submit Draft Filings ccccccccsecseeseeseesesaeeeeeeeeseeeeeeaes 27 36 EFT and OPT ins Transaction F S cccccceeceeeeeeeeeeeeeeeeeeeeaeeaees 30 42 Submit a filing with the ACH Credit Payment Option 39 LESSON A a ae ic aN a ct Nal al ch it cl a al lu 45 Seal 6 Re ee er er eee earner en ee ee errr ree eee te erent 46 FINO DCCA e 47 OP TiS SAUS a A 47 SAE taWa a 48 Payment Information
22. Surplus Lines Tax 1 Draft Filing Edit Delete Filing Information Filing Tracking Number O 20120100235075 OPTins Status Draft Company Type Surplus Lines Brokers Assigned To None assigned Payment Information Filing Payments Annual Surplus Lines Tax 1 000 00 Annual Penalty 50 00 Total 1 050 00 Filing Summary Filer Information lt No Filer Information Available Date Created 09 20 2012 Created By Laura Jackson Filing Attachments Additional Information No Additional Information NOTE You have the option of clicking on the button if you ve decided that you do not want to submit the filing 4 Click on the button OPT ns will return you to the Submission Steps screen If the forms have already been uploaded click Next Otherwise upload your forms as previously noted 5 If the fees have not already been entered enter the Premium Tax or other fees due in the applicable fields OPT ns will automatically include the 10 00 transaction fee so this amount does not need to be added to the total amount due 6 If you are prepared to submit the filing on the current date simply click on the button 7 If you wish to Schedule the filing to be submitted at a later date choose the Process Date from the calendar picker tool then click on the button OPT ns will schedule your filing to be submitted on the specified date Copyright 2012 National Association of Insurance
23. al Instructions provided by the state 2 Under Submission Steps you will see the state specific forms available for download NOTE The green check mark icon will indicate that the form is required If the form is not marked as required reference the State Instructions to confirm whether or not to submit the form Please use the state form s provided in OPTins Do not use forms from state websites or scan forms into OPTins unless otherwise indicated in State Instructions 3 To download and complete the form click on the paperclip icon next to the form name 4 The form will open allowing you to complete it and save it to your network Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 23 of 56 OPT ns User Training Manual Industry 5 Once you have completed the form and saved it to your network click on the Upload link next to the form name The screen will turn blue and the Upload box will appear Upload Form Browse Cancel 6 Click on the button to browse for the location of the completed form on your network 7 Choose the appropriate form from its location on your network and select Open to upload the form into the filing 8 You will notice the completed form has been uploaded next to the state specific form If you need to Remove or Replace the form select the appropriate link 9 If you have any additional forms nee
24. ance Filing Period and payment amount is correct If everything is correct click Submit Filing rr Pest LSU ate VUilipaily NAIC Company Code 12345 National Producer Number Group Code State ID Number FEIN 12 1234567 State Of Domicile Pennsylvania Filing Confirmation x North Dakota Premium Tax Quarter 1 Submission Filing Year 2012 State Instance North Dakota Premium Tax Filing Period Quarter 1 You are submitting a new 2012 Quarter 1 filing to North Dakota Premium Tax with a payment of 1 060 00 From the total 1 050 00 will be paid to North Dakota Premium Tax and 10 00 will be paid to the NAIC Prior to submitting your filing please ensure the above information is correct Go Back Process Date 09 20 2012 ER 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 accordingly NAIC is not rag ible fo e filinns f a a ini nte 9 Once you click Submit Filing a payment popup will appear Read the message and confirm that the amount to be transmitted is correct as well as the scheduled submission date If everything is correct click OK Note that there will be a 10 00 OPTins transaction fee charged via EFT in addition to the fees transmitted to the state Message from webpage x L P This Filing and payment of 1 060 00
25. annot reuse previous passwords 4 Re type your new personalized password in the second New Password box for confirmation 5 Click on the button Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 14 of 56 OPT ns User Training Manual Industry Each time you login to OPT ns you will be prompted to accept the Use Agreement If you do not accept the terms of the Use Agreement you will not be granted access to OPT ns 1 Review the terms of the Use Agreement 2 Check the box confirming you agree to the terms 3 Click the button Use Agreement guarantee uninterrupted access to the Product The NAIC has MADE NO WARRANTY OR PROMISE EITHER EXPRESS OR IMPLIED INCLUDING BUT NOT LIMITED TO THE IMPLIED WARRANTY OF MERCHANTABILITY AND FITNESS FOR A PARTICULAR PURPOSE THE NAIC SHALL NOT BE LIABLE FOR AND YOU EXPRESSLY WAIVE ANY CLAIM FOR ANY INDIRECT LOSS COST OR INJURY INCLUDING BUT NOT LIMITED TO LOST SALES LOST PROFIT BUSINESS INTERRUPTION OR THIRD PARTY CLAIMS SUFFERED BY YOU AS A RESULT OF RELIANCE ON OR USE OF THE PRODUCT You assume sole responsibility for your use of the application and agree to hold the NAIC harmless against any liability or claim attributable to improper use of the application by you or your subsidiaries or affiliates You shall pay a transaction fee for use of the application Such transaction fee will be disclosed prior to submission and is determined at the
26. ayment is received by the NAIC Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 41 of 56 OPT ns User Training Manual Industry Payment Information Filing Payments Premium Tax Pending Credit Payments Premium Tax 10 000 00 Total 10 000 00 gt EFT and OPT ns Transaction Fees If you are using the ACH Debit payment method once you click OK your filing as well as taxes or fees due has been submitted to the state When submitting Surplus Lines filings the OPT ns transaction fee of 5 of the payment amount owed not to exceed 10 00 has been submitted to the NAIC A minimum transaction fee of 1 00 will be automatically assessed even if there are no taxes due When submitting Premium Tax filings the OPT ns transaction fee of 10 per submission has been submitted to the NAIC Each of the fees has been submitted via EFT as two separate transactions Funds are transferred from the company bank account to the state bank account one or two business days after the filing submission Confirmation of the payment including amount date issued and transaction number will display on the filing under Original Payment The OPT ns transaction fee will not display on the filing An EFT report will list all taxes and fees submitted as well as all OPT ns transaction fees See EFT Reports If you are using the ACH Credit payment method your filing will not be subm
27. ce Oklahoma Surplus Lines Filing Period Estimated Quarter Surplus Lines Tax 1 You are submitting a new 2012 Estimated Quarter Surplus Lines Tax 1 filing to Oklahoma Surplus Lines with a payment of 1 060 00 From the total 1 050 00 will be paid to Oklahoma Surplus Lines and 10 00 will be paid to the NAIC Prior to submitting your filing please ensure the above information is correct Submit Filing Go Back f Enter Filing Submission Date Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 35 of 56 OPT ns User Training Manual Industry 21 Once you click Submit Filing a payment popup will appear Read the message and confirm that the amount to be transmitted is correct as well as the scheduled submission date If everything is correct click OK Note that there will be a OPTins transaction fee charged via EFT in addition to the fees transmitted to the state The OPTins Transaction fee is 5 of the surplus lines taxes due not to exceed 10 00 per submission If you have no taxes due at submission or a state requires zero filings there will be a 1 00 OPTins Transaction fee Message from webpage E x This Filing and payment of 1 060 00 will be submitted on 09 20 2012 From the total 1 050 00 will be paid to Oklahoma Surplus Lines and 10 00 will re be paid to the MAIC Please note that Full processing of the payment could take 2 5 business days MAIC is n
28. ceived and processed From the total 1 050 00 will be paid to North Dakota Premium Tax and 10 00 will be paid to the NAIC Prior to submitting your filing please ensure the above information is correct Go Back Total 2 Once you click Submit Filing a payment popup box will appear Read the message and confirm that the amount to be transmitted is correct as well as the scheduled submission date If everything is correct click OK Note that there will be a 10 00 OPTins transaction fee charged via EFT in addition to the fees transmitted to the state Message from webpage x y This Filing and payment of 1 060 00 will be submitted on 09 20 2012 From the total 1 050 00 will be paid to Morth Dakota Premium Tax and 10 00 ae Will be paid to the NAIZ Please note that Full processing of the pawment could take 2 5 business days NAIC is not responsible For late Filings and accompanying payments Do vou wish bo continue i Cancel 3 The next screen will include the snippet information that must be included in the ACH Credit payment You will also receive an email message with the same information regarding your ACH Credit payment Please note if the snippet information isn t entered exactly as shown the NAIC will not receive the payment and your filing will not be submitted ACH Credit snippets are UNIQUE to each OPTins filing and cannot be reused Copyright 2012 National Association of In
29. ck 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 accordingly NAIC is not responsible for late filings and accompanying payments Previous Save as Draft Submit Cancel 13 At this point you have three options save the filing as a draft schedule your filing to be submitted at a later date or submit your filing on the current date 14 If you want to save the filing as a draft simply click on the Sika button Your filing will be saved so that you or another user with the Schedule Submit role can submit the filing at a later time NOTE If you attempt to submit the filing and don t have the proper role you will see an error message as indicated below Submission Steps for Test Insurance Company You do not have permission to submit a filing to the state The filing can be saved as a draft until an authorized user logs in and completes the submission For additional assistance please contact the OPTins Help Desk at 816 783 8990 or optinshelp naic org NAIC Company Code 12345 National Producer Number Group Code State ID Number FEIN 12 1234567 State Of Domicile Pennsylvania M Enter Filing Payments Amount Premium Tax 2 000 00 Penalty 100 00 NAIC Transaction Fee 10 00 Total No State Payment Required E
30. d now you want to submit for Quarter 2 scroll down until you see each of the available Filing Period headers You ll see a Create This Filing button next to each available Filing Period Quarter 2 pase deacon co Quarter 3 No OPTins Submission Made Quarter 4 No OPTins Submission Made Annual No OPTins Submission Made Return to Search 1 Click on the Create This Filing button next to the desired Filing Period 2 OPT ns will generate a new filing completing the Filing Year State Filing Entity and Filing Period fields Choose the correct Company Type 3 Complete and submit the balance of the filing as reviewed in previous instructions Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 44 of 56 OPT ns User Training Manual Industry Lesson 4 This lesson will review the Search functionality filing details and EFT Reports available in OPT ns This lesson covers the following topics Search Filing Details gt OPT ns Status gt State Status gt Payment Information gt Filing Summary gt EFT Reports Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 45 of 56 OPT ns User Training Manual Industry gt Search OPT ns offers users the ability to search for filings that were previously submitted based on several criteria You can search on any of the criteria individually or a combinati
31. ded to support your tax filing upload those documents under the Supporting Documents section Follow the same process to upload 10 Use the open Provide Additional Information field to write a note to the state This is optional 11 Once all forms have been uploaded click Next You will be transferred to the Remit Payment screen 12 Enter the applicable taxes or fees due to the state in the correct field If there are no fees due check the No State Payment Required box OPT ns will automatically add the applicable OPT ns Transaction Fee and generate an EFT transaction in the amount specified in the Total field NOTE Both filer roles can add the fees into the applicable fields but only users with the Schedule Submit Filings role can actually submit the filing Industry Filer users will only be able to Save as Draft Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 24 of 56 OPT ns User Training Manual Industry Submission Steps for Test Insurance Company NAIC Company Code 12345 Group Code State ID Number National Producer Number FEIN 12 5698745 State Of Domicile Connecticut Enter Filing Payments Amount Premium Tax 10 000 00 Penalty NAIC Transaction Fee D Total 10 010 00 No State Payment Required E Enter Filing Submission Date Process Date 07 12 20 12 m Cli
32. ear is displayed Please note the fiscal year changes each April You may change the Filing Year if necessary by highlighting and deleting the current year and typing in the Filing Year for which you are submitting 3 Select the State to which you are submitting your filing Pay careful attention to the different filing types accepted by the state and be sure to choose the Surplus Lines filing type 4 Select the Filing Entity for which you are filing 5 Select the state specific Company Type 6 Select the Filing Period Type OPT ns will only populate Filing Period Types accepted by the state and that have not been previously submitted 7 Click the button From that point you will be transferred to the State Instructions and Submission Steps screen The states will provide instructions regarding required information to be included with your filing They will also provide their state specific forms and make them available as an interactive PDF Some states may choose to provide their form in a format other than PDF such as Excel Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 32 of 56 OPT ns User Training Manual Industry Oklahoma Surplus Lines Annual Submission State Instructions for Submission The documents in OPTins do need to be completed and uploaded as the electronic version of the tax form To dovmload click on the dovnload icon see legend at the bottom of the screen
33. em may result in immediate termination of access and possibly other disciplinary and or legal action Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 15 of 56 OPT ns User Training Manual Industry gt OPT ns Workspace The OPT ns Workspace offers users the ability to search for filings create new filings run EFT reports and manage their User Preferences Welcome Laura Jackson willisnorthamerica Logoff Online Premium Tax for Insurance Filings Settings Search Filings Create Filing EFT Report Search Entity Name Fiscal Year Entity Identifier Date Submitted _ Tracking Number ID NAIC Company Code aw Start Date i a Ba mn OPTins Status End Date m Search Clear Search Results State Entity Name NAIC Company Code FEIN National Producer Number State ID Number Fiscal Year Period Date Submitted Payment Amount No Results The OPT ns Workspace contains two tabs with corresponding links e Filings All filings are managed on the Filings tab o Search Filings This is the initial view available upon login Users can search for filings based on multiple sets of criteria o Create Filing This link allows users to create and submit filings to the states o EFT Reports This link allows users to balance their filings against their bank statements by running an EFT report e Settings User Preferences and Entity data is managed
34. et browser System requirements dictate that users must log in through Internet Explorer 7 or higher All versions of Firefox are system compliant This lesson covers the following topics gt Browser Configuration User Role Overview Browser Configuration OPT ns performs optimally using either Microsoft Internet Explorer or Firefox 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 SSL 3 0 enabled Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 5 of 56 OPT ns User Training Manual Industry gt User Role Overview The User Roles are requested during initial implementation but can be updated by submitting a request to the Help Desk using the OPT ns User Admin Forms in OPT ns e Industry Filer This user can create a filing and save the filing as a Draft for the Schedule Submit Filings user to submit at a later date This user can also amend a Draft filing This user W not have access to EFT or be able to submit a filing e Schedule Submit Filings This user can create a filing and save the filing as a Draft but they also have the ability to Schedule a filing to be submitted at a later date or Submit a filing on the date created e Industry Service User This role onl
35. ights reserved Page 10 of 56 OPT ns User Training Manual Industry Lesson 2 In this lesson we will review the OPT ns Workspace as well as review entering and editing contact information and entities This lesson assumes that the user has already completed the implementation process This lesson covers the following topics gt Vv yY gt OPT ns Login OPT ns Workspace User Preferences Entities OPT ns Login OPT ns users must have a user account in order to access the OPT ns application Initiate the process by contacting the OPT ns Marketing Team at optinsmktg naic org OPT ns Marketing Team will direct users to the required EFT paperwork and OPT ns Registration Form Once the paperwork has been submitted to the OPT ns Marketing Team the implementation process can begin 1 Access the OPT ns login page either by clicking on the OPT ns logo on the NAIC website www naic org or from the OPT ns website www optins org Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 11 of 56 OPT ns User Training Manual Industry NAIC Website Access Wwww naic org Se lt T NAIC Affiliates amp Programs i IPRC a A NPR Z L R NAIC Chief Opersting Officer amp Chief Legal Officer Andrew Beal NAIC Vice SERF E President and North Dakota Insurance Commissioner Adam Hamm GRAMMY winner SBS E Amy Grant and NAIC President and Florida Insurance Commissio
36. is located select it and click Open 9 The amended form will appear in the place of the originally submitted form Upload Form s State Provided Forms S L 1917 11 0PTins Amended SL 1917 11 OPTins Remove Final pdf Final pdf Replace Supporting Documents Upload Legend prequirea or Required Download Form Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 55 of 56 OPT ns User Training Manual Industry 10 Click on the Next button for the Filing Payments screen If there are additional fees due enter the fees in the applicable fields If there are no fees due and the filing amendment was simply to the form click the box next to No Payment Required and click Submit At the top of the Filing Detail screen an icon will appear indicating an amendment cE An overview of the Current Amendment and the Original Submission will appear under the Filing Summary header Once the state receives the amended form they should change the Filing Status to Under Review and then to Complete once they ve completed their review Filing Summary Current Amendment Filer Information Laura Jackson Submission Date 07 12 2012 816 783 8950 lackson naic org Filing Attachments SL 1917 11 OPTins Final pdf Additional Information No Additional Information Original Submission Filer Information Laura Jac
37. ither to submit themselves at a later date or so that another user with Schedule Submit authority can submit the filing at a later date You can find the filing from the Search tool on the Filings tab 1 Choose Draft from the OPT ns Status dropdown menu on the right side of the screen 2 A list of all filings in Draft mode will appear under Search Results You can confirm that the filing is in Draft mode as the Draft message will appear under Date Submitted 3 Hover the mouse over the filing to select and open the Draft filing to begin editing Filings Settings Search Filings Create Filing EFT Reports 2 Search Entity Name Fiscal Year x Entity Identifier 1 Date Submitted Tracking Number ID NAIC Company Code start Date OPTins Status l F End Date Draft x Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 27 of 56 OPT ns User Training Manual Industry North Dakota Premium Tax Filing Year 2012 Quarter 1 Draft Filing Edit Delete Filing Information Filing Tracking Number ND20120100235056 OPTins Status Draft Company Type All Company Types Assigned To None assigned Payment Information Filing Payments Premium Tax 1 000 00 Penalty 50 00 Total 1 050 00 Filing Summary Filer Information lt No Filer Information Available gt Date Created 09 20 2012
38. itional Information field to write a note to the state This is optional 11 Once all forms have been uploaded click Next You will be transferred to the Remit Payment screen 12 Enter the applicable taxes or fees due to the state in the correct field If there are no fees due check the No State Payment Required box OPT ns will automatically add the applicable OPT ns Transaction Fee and generate an ACH transaction in the amount specified in the Total field NOTE Both filer roles can add the fees into the applicable fields but only users with the Schedule Submit Filings role can actually submit the filing Industry Filer users will only be able to Save as Draft 13 At this point you have three options Save the filing as a Draft Schedule your filing to be submitted at a later date or Submit your filing on the current date 14 If you want to save the filing as a Draft simply click on the button Your filing will be saved so that you or another user with the Schedule Submit role can submit the filing at a later time NOTE If you attempt to submit the filing and don t have the proper role you will see an error message as indicated below Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 34 of 56 OPT ns User Training Manual Industry Submission Steps for Test Insurance Company You do not have permission to submit a filing to the state
39. itted to the state If a filing amendment was submitted the submission date will change to the date of the filing amendment Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 46 of 56 OPT ns User Training Manual Industry Filing Details While viewing the Filing users will find a summary of each submission including among other information the Filing Tracking Number OPT ns Status State Status the forms submitted the Original Payment details as well as any Additional Payments submitted to the state If a filing has been submitted for a particular Filing Period there will be a sign next to the Filing Period indicating you can expand the field to view the Filing Details The sign will collapse the field Users can click the Return to Search link to return to the Search screen or choose the Previous or Next link to scroll through the filings that met the original search criteria a Quarterly 2 Amend Filing Filing Information Filing Tracking Number DE20120200216155 OPTins Status Submitted Original Submission Date 06 05 2012 State Status New Company Type Surplus Lines Broker Assigned To None assigned Filed As Filing Entity Name Test Insurance Company NAIC Company Code 12345 State Of Domicile Maine Payment Information Filing Payments 3 Premium Tax Filing Summary Filer Information Laura Jackson Submission Date 0
40. itted until the taxes or fees due as well as the OPT ns transaction fee have been received by the NAIC The OPT ns transaction fee of 5 of the payment amount owed not to exceed 10 00 has been submitted to the NAIC A minimum transaction fee of 1 00 will be automatically assessed even if there are no taxes due Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 42 of 56 OPT ns User Training Manual Industry Funds along with the filing are then transferred to the state bank account after the successful ACH Credit payment submission Confirmation of the payment including amount date issued and transaction number will display on the filing under Original Payment The OPT ns transaction fee will not display on the filing An EFT report will list all taxes and fees submitted as well as all OPT ns transaction fees Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 43 of 56 OPT ns User Training Manual Industry gt Create Filing for Additional Filing Periods An ease of use feature built into OPT ns is the ability to create a filing for the same company to the same state but for a separate filing period without starting over from the Create Filing link From within a previously submitted filing scroll through to view the other available Filing Periods For example if you ve previously submitted a filing to West Virginia for Quarter 1 an
41. kson 816 783 8950 hackson naic org Submission Date 97 12 2012 Filing Attachments SL 1917 11 OPTins Final pdf Additional Information No Additional Information As stated previously OPT ns will not automatically notify the state that there has been an amendment to the filing However the Submission Date and State Status will update You will need to send an email to the state reviewer notifying them of the change and the Filing Tracking Number The state reviewer will then begin the review process of the amended form Amended filings will be noted on the Search screen with the same icon A l Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 56 of 56
42. l software to purchase only a small one time transaction fee per filing OPT ns can be accessed securely via the web anywhere www optins org Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 3 of 56 OPT ns User Training Manual Industry About This Manual This manual was developed to assist the industry create and submit premium tax assessment surplus lines Annual Contracted Producer Report and other state specific filings via OPT ns 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 Each topic will be reviewed with a step by step process As an additional resource please view the Industry OPT ns 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 4 of 56 OPT ns User Training Manual Industry Lesson 1 OPT ns is a secure web based program accessed through your Intern
43. ner Kevin M McCarty Boomers in the Sandwich Generation Face Complex E Insurance Decisions O PT j n S Singer Amy Grant partners with the NAIC to encourage baby boomers to plan ahead Online Premium Tax for Insurance r y j gp Li ad aa Di tat PTE OPT ns Website Access www optins org Home NAIC Contact Us O PT j ns Many Tax Options Online Premium Tax for Insurance One Filin A Product of AA FLG A S Getting Started FAQs Cost Benefit Model OPTins Scoop Click Here to Login to OPTins gt gt Make OP Tins Your Electronic Tax Filing Solution Additional Links OPTings is your electronic filing solution facilitating premium tax surplus lines tax assessments and other state specific tax filings Tritech Users log into OPTins upload their state specific tax forms enter the applicable fee NAPSLO amount and click Submit Insurance Tax Conference akes it easy for PREMIUM Pro users too PREMIUN Pro users can now submi 2 If you log in from the NAIC website you will be directed to the OPT ns 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 OPT ns 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 Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 12 of 56 OPT
44. nual Statement Blank Property amp Casualty x Type State Of Domicile Pennsylvania Add State Licenses below State State ID Number Select a state Add State Cancel denotes required fields Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 20 of 56 OPT ns User Training Manual Industry Lesson 3 In this lesson we will review how to create a filing as well as Schedule a filing to be submitted at a later date and save a filing as a Draft to be submitted later Any user with the Industry Filer role can create a filing to be saved as a Draft but only users with the Schedule Submit Filing role will be able to submit a Filing see Lesson 1 User Role Overview We will also review how to submit a filing using the ACH Credit payment option This lesson assumes that the Entity and Contact data has already been entered into OPT ns This lesson covers the following topics Create Schedule Submit a Premium Tax or State Specific Filing Edit and Submit a Draft Filing Create Schedule Submit a Surplus Lines Filing Submit a filing with the ACH Credit Payment Option EFT and OPT ns Transaction Fees VVVVVY Create Filing for Additional Filing Periods Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 21 of 56 OPT ns User Training Manual Industry gt Create Schedule Submit a Premium Tax or State Specific
45. ompany Group Code Code Test Insurance Company 12345 12 Life Accident amp Health Pennsylvania PA 16574 Yes 1234567 Individuals Name National Producer Number State Of Domicile State ID Number Active John Doe 9874563 West Virginia WV 598745 Yes Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 18 of 56 OPT ns User Training Manual Industry gt Add Entities Click on the button Select either Company or Individual for the type of Entity you re adding Confirm the check box next to Active is checked Enter the name of the Company or Individual If adding a Company enter the NAIC Company Code NAIC Group Code if applicable FEIN National Producer Number if applicable Annual Statement Blank Type State of Domicile a a a and State ID or license number for each state in which your company is licensed State ID s are added by choosing the state from the drop down entering the number in the State ID Number field and clicking the Add State button 6 If adding an Individual enter the National Producer Number State of Domicile and State ID Number license number for the state 7 Click the button NOTE You will not be able to file on behalf of this new entity until you contact the OPT ns Marketing team to enable the EFT portion of the new entity Filing Entity Maintenance 2 Entity Type i Company Individual Active m Name
46. on of the criteria The more criteria used in your search the narrower the results provided by OPT ns Search Entity Name Fiscal Year State zl Entity Identifier Date Submitted Tracking Number ID NAIC Company Code a Start Date H j End Date Tj OPTins Status Search Clear Search Results State Entity Name NAIC Company Code FEIN National Producer Number State ID Number Fiscal Year Period Date Submitted Payment Amount No Results Once you have entered the search criteria click on the button Each filing that matches the search criteria will list in Search Results OPT ns will display twenty 20 filings 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 OPT ns will list a summary of each filing including the State 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 or specific Filing Period Click to select the Filing NOTE The Date Submitted search will search for filings based on their original submission date unless a filing amendment was subm
47. ort Reviewer Allows the user to execute and review EFT reports Industry Service User Allows the user to submit filings through the TriTech PREMIUM Pro industry service Filing Entity Administrator Allows the user to add new and edit existing filing entities on their Account Schedule Filings Allows the user to schedule filings to be processed on a future date Submit Filings Allows the user to submit filings that include a state payment User Admin Request User Allows the user to request new users update current user roles and deactivate users on behalf of their Account Available Subscriptions optins Scoop Additional Information Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 8 of 56 OPT ns User Training Manual Industry 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 currentuser email com User Please Select k Available User Roles n Industry Filer Allows the user to create and amend filings EFT Report Reviewer Allows the user
48. ot responsible For late Filings and accompanying payments Do you wish to continue Cancel 22 You will receive confirmation of your filing submission on the OPT ns Workspace You can run an EFT report at any time to confirm the amount of the fees submitted gt Edit and Submit a Draft Filing Users have the option of saving the filing as a Draft either to submit themselves at a later date or so that another user with Schedule Submit authority can submit the filing at a later date You can find the filing from the Search tool on the Filings tab 1 Choose Draft from the OPT ns Status dropdown menu on the right side of the screen 2 A list of all filings in Draft mode will appear under Search Results You can confirm that the filing is in Draft mode as the Draft message will appear under Date Submitted 3 Hover the mouse over the filing to select and open the Draft filing to begin editing Filings Settings Search Filings Create Filing EFT Reports 2 Search Entity Name Fiscal Year State Entity Identifier Date Submitted Tracking Number ID NAIC Company Code Start Date li pg WPTins Status End Date Rj i i maeme i pef Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 36 of 56 OPT ns User Training Manual Industry Oklahoma Surplus Lines Filing Year 2012 Estimated Quarter
49. ple ACPR and premium tax filings will be submitted for the same company but using separate bank accounts This also applies to users who need access to more than one account for business company needs 2 Enter all of your contact information including phone number fax number and mailing address 3 Maintain your subscription to the OPT ns Scoop by selecting the check box save 4 Click the 7 button gt Entities The OPTins staff will create your Account and enter your Entity company or individual data during initial set up You will only need to complete this process when adding new Entities or editing Entities You will need the Filing Entity Administrator role in order to add or edit Entities If your OPT ns account has more than 20 entities your entities will not automatically display you will need to search for your entities using any of the Search fields shown below If you have less than 20 entities all of your entities will show in the main screen but you will have the option to search to refine your results Account Account Name testinsurancecompany Vendor Account Number Email Address emailaddress email com AddEntity Edit Account m Entity Search Entity Identifier ID State Of Domicile Status x all v Active x Entity Name Entities Name NAIC NAIC FEIN National Producer Number Annual Statement Blank Type State Of Domicile State ID Number Active C
50. r Admin requests will be directed to the Help Desk for processing The User will be notified once the request has been completed gt Request a New User Click on the Request New User link The email 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 Place a check in the checkbox next to all of the roles to be assigned to the new User Confirm the checkbox next to the OPT ns Scoop Subscription is checked Provide any applicable additional information in the Additional Information field A e o a a a Click Submit The new User will receive a confidential email from the Help Desk containing their Username and Password Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 7 of 56 OPT ns User Training Manual Industry New User Request Submit Reset J Requestor E mail jackson naic org New User s First Name New User s Last Name New User s E Mail New User s Phone New User s Extension Accounts dallasnationslinsurancecompany farmfamilylifeinsurance fredechurch heclifeinsco htbaileyinsuranceagency gt jameskleininsuranceservices liginsuranceagency lt mitsuisumitomoinsurancegroup oldrepublicnatititleinsco lt lt professionalliabilityinsuranceservices x Avaliatta Uver Rolas Industry Filer Allows the user to create and amend filings EFT Rep
51. rms available for download NOTE The green check mark icon will indicate that the form is required If the form is not marked as required reference the State Instructions to confirm whether or not to submit the form Please use the state form s provided in OPTins Do not use forms from state websites or scan forms into OPTins To download and complete the form click on the paperclip icon next to the form name 4 The form will open allowing you to fill it out and save it to your network Once you ve filled out the form and saved it to your network click on the Upload link next to the form name The screen will turn blue and the upload box will appear Upload Form Browse Cancel Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 33 of 56 OPT ns User Training Manual Industry 6 Click on the button to browse for the location of the updated form on your network 7 Choose the appropriate form from its location on your network and select Open to upload the form into the filing 8 You will notice the completed form has been uploaded next to the state specific form If you need to Remove or Replace the form select the appropriate link 9 If you have any additional forms to support your tax filing upload those documents under the Supporting Documents section Follow the same process to upload 10 Use the open Provide Add
52. should contact the OPT ns Help Desk immediately if they receive a system generated email notifying them of a failed submission OPT ns does not generate automated communication when there has been a change to the Status although states have the capability of submitting an email to the user Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 51 of 56 OPT ns User Training Manual Industry gt Filing Revisions Industry users can make several revisions to a filing after submission including paying additional fees and submitting amended forms gt Penalties Assessed Taxes Due If there are additional fees due or the state has assessed a penalty to your filing you should be notified by the state via an automated OPT ns email You should then Search for and review the filing From OPTins Generated Email Client lt OPTinsDoNotReply naic org gt Sent Fri6 8 2012 3 32 PM To Jackson Laura Cc Subject OPTing Generated Email for DE20120300216695 Entity Name Test Insurance Company Date Submitted 06 08 2012 Filing Year amp Period 2012 Quarterly 3 Message from Delaware Surplus Lines There are additional fees due on this filing Please submit the requested amount Thank you Laura Jackson NAIC This email was sent via the OPTins automated notification system PLEASE DO NOT RESPOND TO THIS EMAIL To handle this issue please log in to http www optins org The amoun
53. st Insurance Agency NAIC Company Code 12345 National Producer Number Group Code 1234 State ID Number FEIN 12 1234567 State Of Domicile Maine Enter Filing Payments This filing will not be submitted to the state until the ACH Credit payment has been received and processed Please note that processing of ACH Credit payments takes 2 5 business days To avoid potential late filings and payments promptly submit payment via your banking institution NAIC is not responsible for late filings or payments Amount Premium Tax 10000 NAIC Transaction Fee 100 WZ Total 1 00 No State Payment Required E Previous Save as Draft Submit Cancel 1 Once you click Submit a confirmation box will appear Read the message and confirm that the Filing Year State Instance Filing Period and payment amount is correct If everything is correct click Submit Filing Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 39 of 56 OPT ns User Training Manual Industry How would you like to pay Filing Confirmation North Dakota Premium Tax Quarter 1 Submission Filing Year 2012 State Instance North Dakota Premium Tax Filing Period Quarter 1 You are creating a new 2012 Quarter 1 filing to North Dakota Premium Tax with a payment of 1 060 00 This filing will not be submitted to North Dakota Premium Tax until the ACH Credit payment has been re
54. surance Commissioners All rights reserved Page 40 of 56 OPT ns User Training Manual Industry Return te Search NAIC Banking Information NAIC Bank Name UMB Bank 1010 Grand Blvd Kansas City MO 64106 NAIC Account No 9871991008 34567 NAIC Routing No 101000695 ywania Filing Tracking No ND2012Q100235056 Transfer Amount 1060 00 The following information is required to process your payment Please copy the information or click the Copy To Clipboard button and paste the information into your funds transfer RMR Z7 00001 23507 PO 1 060 00 REF 22 0000264402 ND20120100235056 From OPTins Generated Email Client lt OPTinsDoNotReply Gnaic org gt Sent To Jackson Laura Cec Thu 9 20 2012 11 12 AM Subject OLTPDVLP PREMTAX Notification of pending OPTins ACH Credit Transaction The following information has been submitted to the NAIC for Filing Tracking Number ND20120100235056 Please use the following information when sending your payment NAIC Bank Name UMB Bank 1010 Grand Blvd Kansas City MO 64106 NAIC Account No 9871991008 NAIC Routing No 101000695 State Account North Dakota Premium Tax Entity Name Test Insurance Company Amount Due 1060 00 Required Memo Field Info RMR 22 0000123507 P0 1060 00 REF 2Z2 0000264402 ND20120100235056 4 Now your filing will show a Pending Credit Payment in the Payment Information until the payment is received Your filing will not be submitted until a successful p
55. t due will be indicated in the Filing Revision box under the Requested Funds header The state should enter information in the Comments field explaining the reasoning behind the taxes and or penalty due Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 52 of 56 OPT ns User Training Manual Industry State Update History Filing Revision Created By Laura Jackson Date Created 06 08 2012 03 31 PM Comments Emailed to hackson naic org There are additional fees due on this filing Please submit the requested amount Thank you Laura Jackson NAIC Requested Funds Requested Amount 3 Premium Tax 500 00 Paid No The state can update the Paid and Date Paid indicators once the fees have been submitted via EFT and received See Submit Additional Fees Submit Additional Fees Users have the flexibility to submit additional fees to the state after the original submission This feature would be used if the original fee payment was short and or if the state assessed additional fees or a penalty There is no additional OPTins transaction fee charged to submit additional fees to the state Once you have reviewed the state s request for additional fees or penalties 1 Go to the Payment Information header and click on the button 2 The Submit Additional EFT fields will open under the Filing Summary header 3 Enter the additional fees in
56. the applicable field s If there are multiple fields be sure you have chosen the field s that matches to the state s request Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 53 of 56 OPT ns User Training Manual Industry Payment Information Filing Payments 06 08 2012 06 08 2012 Total 3 Premium Tax 500 00 10 000 00 10 500 00 Total 500 00 10 000 00 10 500 00 Submit Additional Fees 3 Premium Tax o sts 4 Click on the button The additional payment information will then be displayed next to the previous payments on the filing along with the date the payment was issued A confirmation message will appear at the top of the page Payment Information Submit Additional Fees Filing Payments 03 29 2011 07 13 2012 Total Surplus Lines Tax 3 699 99 1 000 00 4 699 99 Late Payment Fine 0 00 100 00 100 00 Total 3 699 99 1 100 00 4 799 99 Once additional fees have been submitted to the state you must either send an email or call the state reviewer and notify them that the fees have been transmitted OPTins does not automatically notify the state of updates to the filing No additional transaction fees are incurred when submitting additional fees The state should then confirm receipt of the fees by entering Yes on the Paid indicator and the date received on the Date Paid indicator They should also update the Status of the filing
57. thin a previously submitted filing scroll through to view the other available Filing Periods For example if you ve previously submitted a filing to West Virginia for Quarter 1 and now you want to submit for Quarter 2 scroll down until you see each of the available Filing Period headers You ll see a Create This Filing bytton next to each available Filing Period Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 30 of 56 OPT ns User Training Manual Industry Quarter 2 No OPTins Submission Made q Quarter 3 No OPTins Submission Made Quarter 4 No OPTins Submission Made co Annual oer aha es a Return to Search 1 Click on the Create This Filing button next to the desired Filing Period 2 OPT ns will generate a new filing completing the Filing Year State Filing Entity and Filing Period fields Choose the correct Company Type 3 Complete and submit the balance of the filing as reviewed in previous instructions Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 31 of 56 OPT ns User Training Manual Industry Create Schedule Submit a Surplus Lines Filing The steps to create a surplus lines filing are the same as a premium tax or state specific filing There are a few minor differences which will be addressed in this section 1 Click on the Create Filing link on the Filings tab to initiate the process 2 The Filing Y
58. ur 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 _ Login button OPT NS 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 13 of 56 OPT ns User Training Manual Industry OPT ins Online Premium Tax for Insurance Change Password username i Existing Password e New Password Confirm New E Password NAIC National Association of Insurance Commissioners 2 Password Requirements sensitive Maximum thirty characters Z Passwords are cas Must contain at least one numeric character Must contain at least on lowercase letter Permitted special characters Cannot reuse old passwords 1 Enter your username assigned by the NAIC in the User Name box 2 Enter your current password assigned by the NAIC in the Existing Password box 3 Enter a new personalized password in the first New Password box Please note the password rules e Passwords must be at least seven characters with a maximum of thirty characters e Passwords must contain at least one number and one lowercase letter e Certain characters are permitted 4 _ e You c
59. will be submitted on 09 20 2012 From the total 1 050 00 will be paid to North Dakota Premium Tax and 10 00 we Will be paid to the MAIC Please note that Full processing of the payment could take 2 5 business days NAIC is not responsible For late Filings and accompanying payments Do you wish to continue Cancel Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 29 of 56 OPT ns User Training Manual Industry gt EFT and OPT ns Transaction Fees Once you click OK your filing as well as taxes or fees due has been submitted to the state The OPT ns transaction fee of 10 00 has been submitted to the NAIC Each of the fees has been submitted via EFT as two separate transactions Funds are transferred from the company bank account to the state bank account one or two business days after the filing submission Confirmation of the payment including amount date issued and transaction number will display on the filing under Payment Information The OPT ns transaction fee will not display on the filing An EFT report will list all taxes and fees submitted as well as all OPT ns transaction fees See EFT Reports Create Filing for Additional Filing Periods An ease of use feature built into OPT ns is the ability to create a filing for the same company to the same state but for a separate filing period without starting over from the Create Filing link From wi
60. y applies to users who also use the Tritech PREMIUM Pro software This role must be assigned in order to submit the PREMIUM Pro forms e Filing Entity Administrator This role can be combined with any of the other roles This role allows the user to make changes and additions to all Filing Entities Business Entities Companies Producers e EFT Report Reviewer This role can be assigned alone or in conjunction with other roles This role allows users to run an EFT report to reconcile their OPT ns transactions against their bank statement e User Admin Request User This role allows users to request new users update current user roles and deactivate users on behalf of their Account e Read Only User This role can be assigned alone or in conjunction with other roles This role allows users to have read only access to search view filings This user will mot have access to create submit or amend filings Copyright 2012 National Association of Insurance Commissioners All rights reserved Page 6 of 56 OPT ns User Training Manual Industry User Admin Forms To make changes to the Users who have access to OPT ns a User Admin request must be submitted to the Help Desk using the User Admin Forms in OPT ns Current users who have the User 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 Use

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