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SURPLUS LINES

Appendix 1 - Electronic Filing      Excel Workbook (34 KB)

Text Specifications for Reporting Surplus Lines Data

*New version of Excel Workbook available (July 2008)—will create a formatted text file with a click of the “Create Text File” button.

General Information:

• An Appendix 1 with a Lloyds syndicate list, schedule of locations or allocation sheet can be submitted electronically by attaching the required documents to the email submission for approval.
• Filings submitted without a valid carrier code will be rejected
• Filings submitted that are not Missouri risks will be rejected.
• Multiple filings can be submitted in the same e-mail.

Step1:

• Create a semi-colon delimited text file using the provided excel spreadsheet template containing your Appendix 1 report data. See the Field Identification section below for information about what the file should contain. NOTE: Filenames must begin with the Surplus Lines Licensee number and end with .txt for the file extension. If you have problems creating the text file, please call and we will assist you with any questions you may have.

Step 2:

• Send the semi-colon delimited text file to Surplus Lines

surpluslines@insurance.mo.gov as an email attachment.
• In the body of the message identify the following:
• Filing Type - Appendix 1 or Appendix 3
• Producer Name and Surplus Lines Licensee number
• Contact person name, email address and phone number.

Step 3:

• DIFP will validate your submission and send the approved and rejected filings report to you via email. You will need to correct the rejected filings and resubmit.

Field Identification:

No field headings to be included in the text file

• Filing Type:  For Appendix 1 filings, this will be 1.
• Risk Number: The unique risk number assigned by the Missouri Department of Insurance, Financial Institutions & Professional Registration. If this is an original Appendix 1 filing, leave blank. If it is an amended Appendix 1 filing and you do not know the risk number, contact the Surplus Lines Section at (573) 751-0669.
• Surplus Lines Licensee Number:  The 8-digit surplus lines licensee number preceeded with SL which is assigned by the Missouri Department of Insurance, Financial Institutions & Professional Registration. If you do not know the surplus lines licensee number, check the business entity producers listing.
• Coverage Type:  The 2-digit number for the coverage type assigned by the Missouri Department of Insurance, Financial Institutions & Professional Registration. Review Insurance's website for the list of valid coverage types.
• Carrier Code:  The 3-digit number for each carrier assigned by the Missouri Department of Insurance, Financial Institutions & Professional Registration. Review Insurance's website for the list of valid carrier codes.
• Name of Insured: The complete name of the insured.
• Premium Amount Debit:  The dollar amount of the premium charged. If no amount, submit as 0 (zero). Do not use dollar signs, commas or double quotation marks!
• Premium Amount Credit:  The dollar amount of any premium reduction. If no amount, submit as 0 (zero). Do not include a negative sign. Do not use dollar signs, commas or double quotation marks!
• Tax Year:  The 4-digit tax year for the risk being reported.
• Fee:  The dollar amount of any fee charged. If no amount, submit as 0 (zero). Do not use punctuation such as dollar sign, comma or double quotation marks!
• Policy Number: The policy number assigned. If unavailable, submit as TBA (to be assigned).
• Effective Date:  The date coverage is effective for the risk.
• Termination Date: The date coverage is terminated for the risk.
• Transaction Code:  The one-letter code for the transaction code. O for Original and S for Supplemental (Amended).
• Producing Broker: The name of the producing broker. If not applicable, leave blank.
• Insured Address - Street: The street address for the insured.
• Insured Address - City: The city for the insured.
• Insured Address - State: The 2-letter state code for the insured.
• Insured Address - Zip Code: The zipcode for the insured.
• Location Address - Street: The street address for the location of the risk.
• Location Address - City: The city for the location of the risk.
• Location Address - State: The 2-letter state code for the location of the risk. MUST BE MISSOURI, otherwise, do not submit filing.
• Location Address - Zip Code: The zipcode for the location of the risk.
• Reason: The reason for the placement of the risk in the surplus lines market.

Sample records (semi-colon delimited):

1;612345;SL123456;12;123;Name;999;999;2006;0;Policy;12/01/2005;12/01/2006;O;Producing Broker; Street;City;MO;65101-0690;Street;City;MO;65101-0690;reason;

1;2006E12345;SL123456;12;345;Name;1000;0;2006;0;Policy;01/01/2006;12/31/2006;O;Producing Broker; Street;City;MO;65101-0690;Street;City;MO;65101-0690;reason;