Surplus Lines Appendix 1 Filing Instructions
To further assist our producers, Appendix 1 now can be submitted online through the Department of Insurance Surplus Lines Web Portal. The User Guide directs users through the online system for account creation, account management and submission of the filings.
- The surplus lines licensee is mandated to file the quarterly surplus lines Appendix 1 no later than within 45 days after the end of each calendar quarter ending March 31, June 30, September 30, and December 31. Each surplus lines broker shall report under oath to the director on forms prescribed by him or her a statement showing, with respect to each respective calendar quarter.If you choose, you may submit your filings daily, weekly or monthly, as long as you submit at least one filing per quarter. This report must be filed even if zero business, the effective date column must be filled in on zero filings. Our system determines the quarter using the effective date or endorsement date of the policy, not the date of the email.
- The surplus lines licensee shall thereafter maintain in the licensee's files the original verified quarterly surplus lines tax report in its entirety for a period ending five years after the filing.
Go to Surplus Lines Web Portal and choose Sign up; you will be instructed to fill in your email address and all contact information. Then select the Surplus Lines Producer(s) SL # you will be submitting filings for and the producers’ email address. Only one user can file for a Surplus Lines Producers SL #. If the producer leaves the agency or someone else becomes responsible for the filings, the current account holder will need to delete the producer(s) SL # before another account holder can add it to their account. It is imperative that this information be kept current in the account settings.
- Filing type: On the Excel spreadsheet for Appendix 1 filings, this will be 1. This will automatically populate when the SL# is entered into the appropriate column. On the Surplus Lines Web Portal you will pick either the Appendix 1 or Appendix 3 box.
- Risk number: Unique risk number assigned by the Missouri Department of Insurance. If this is an original Appendix 1 filing, leave blank. If you are submitting an endorsement Appendix 1 filing and you do not know risk number, contact Surplus Lines Section at 573-751-0669. You cannot file an endorsement without the risk number.
- Surplus lines licensee number: Surplus lines licensee number which is assigned by DIFP. If you do not know the surplus lines licensee number, check SBS Licensee Look-up.
- Coverage type: Two-digit number for coverage type assigned by DIFP. Review list of valid coverage types.
- Carrier code: Three-digit number for each carrier assigned by DIFP. Review list of valid carrier codes.
- Name of insured: Complete name of insured.
- Premium amount debit: Dollar amount of premium charged. If no amount, submit as 0. Do not use dollar signs, commas or double quotation marks.
- Premium amount credit: Dollar amount of any premium reduction. If no amount, submit as 0. Do not include a negative sign. Do not use dollar signs, commas or double quotation marks.
- Tax year: Four-digit tax year for risk being reported.
- Fee: Dollar amount of any fee charged. If no amount, submit as 0. Do not use punctuation such as dollar sign, comma or double quotation marks.
- Policy number: Policy number assigned. Do not use special characters, dashes or spaces - even if it is part of policy number.
- Effective date: On originals, use the original effective date of the policy, use the endorsement or cancellation date on endorsements and cancellations. On audits, use the invoice date.
- Termination date: Date coverage is terminated for risk.
- Transaction code: One-letter code for transaction code. O for original. S for supplemental (amended).
- Producing Broker: The name of the producing broker. If not applicable, leave blank.
- Insured Location Address - Street: The street address for the location of the risk.
- Insured Location Address - City: The city for the location of the risk.
- Insured Location Address - State: The 2-letter state code for the location of the risk.
- Insured Location Address - Zip Code: The zip code for the location of the risk.
- Insured Home State Address - Street: The street address for the insured.
- Insured Home State Address - City: The city for the insured.
- Insured Home State Address - State: The 2-letter state code for the insured. Must be Missouri, otherwise, do not submit filing.
- Insured Home State Address - ZIP Code: The ZIP code for the insured.
- Reason: The reason for the placement of the risk in the surplus lines market.
You will log into your account and select the appendix type at the top of the page you want to submit. You will need to fill out the form in its entirety and click either submit and continue or submit and finish. Please remember not to submit any tax amounts on your filings. If you choose, you may submit your Appendix 3 after receiving your confirmation report throughout the year.
After you submit your filings, go to the Print Data for this session tab at the top of the page. This is the only time this information is available. You will be emailed the process complete report the next business day with the risk numbers for your records.
How to submit the Excel Appendix I (xlsm for macros)
Email your Excel file attachment to the Surplus Lines Section at email@example.com. In body of message, identify the following:
- Filing type - Appendix 1.
- Producer's name and surplus lines licensee number.
- Producer's email address.
- Contact person's name, email address and phone number.
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.