97-02: Electronic Filing of Company Appointments/Terminations
* This bulletin was repealed by 08-05
From: Carol S. Hartman, Supervisor, Licensing Section
Re: Electronic Filing of Company Appointments/Terminations
Date: February 28, 1997
Effective March 30, 1997, Regulation 20 CSR 700-1.135 will require all insurance companies to submit appointments and terminations in an electronic form. The electronic form shall conform to one of the following:
- A company may use the enclosed specifications for diskette filing to format its own
3-1/2" IBM-compatible diskette and generate the filing on that diskette; or
- A company may use a department-created data entry personal computer program to generate
the file on diskette. This computer program will generate the appointments/terminations in
the proper form on the diskette. This program can be acquired from the department by
sending a self-addressed, postage-paid envelope and a 3-1/2" pre-formatted
IBM-compatible diskette to:
Missouri Department of Insurance
PO Box 690
Jefferson City, MO 65102-0690
- A company may contract with the Missouri Department of Insurance's designated direct electronic filing provider and use such provider's services to send appointments and terminations directly to the Missouri Department of Insurance via electronic mail.
Companies must send their appointments and terminations on a diskette with a properly labeled diskette and the enclosed Company Appointment/Termination Diskette Submission Authorization Form. It is required that all correspondence with the department must reference the company name and company number EXACTLY as it appears at the beginning of this bulletin. abbreviations of the company name will result in rejected appointments and terminations due to improperly identified companies.
- Diskette must be 3.5 inch size, high density (preferred), formatted for MS-DOS PC compatible use.
- Data must be in ASCII code format.
- Data must not be compressed.
- Data must be in fixed length records with no carriage control characters embedded.
- Each diskette must be labeled with the following information:
- Company name
- Eight digit NAIC (National Association of Insurance Commissioners) number (group code, company code, if applicable)
- Date submitted
- Contact company name submitting diskette
- Contact company address
- Contact person responsible for submitting data
- Contact person's telephone number
- Signature of authority representing enclosed transactions
- Sequence number if more than one is submitted (one of two, two of two, etc.)
- Numeric fields must be whole numbers with no punctuation (dollar signs, commas, periods, etc) and right justified.
- Alphanumeric fields must be left justified with blank(s) filled.
- Specific diskette instructions may be attached which conflict with general diskette instructions. Specific diskette instructions take precedence over general diskette instructions.
Specific Diskette Instructions for Company Appointments and Cancellations
- Alphanumeric fields must contain upper case characters only.
- File name must be 'AGENT' with the file extension of '.TXT' (AGENT.TXT).
- Diskette(s) will be returned to sender if a self-addressed, postage-paid shipping container is accompanying diskette(s) when submitted to the department. Otherwise, diskette(s) become the property of the department and will be destroyed without prior notification.
- File structure and field definitions are on attached page(s).
- Filing erroneous data within a diskette or filing a diskette with a virus or other problem which causes the filed diskette to be practically worthless or pose danger of contaminating the department's own electronic data processing equipment is prohibited. In addition, filing virus-infected diskettes shall be deemed filing materially false report or statement covered under section 374.215.2, RSMo.
- If third-party company is submitting appointments and cancellations for more than one company , diskette label is not required to list all companies and associated NAIC number on the enclosed diskette.
- A Diskette Submission Authorization Form signed and dated by proper authority responsible for submitting the appointments and cancellations must be attached to the listing of file records as described above.
- A valid filing consists of:
- Diskette, properly labeled as specified above
- Diskette Submission Authorization form, signed and dated
- Postage-paid, self-addressed mailing container [optional]
- Any supporting paperwork necessary to process the appointment or cancellation, if necessary.
Any filing not meeting these requirements will be returned without processing.
|Field Name||Column (s)||Field Length||Field Type||Valid Entries|
|Agent Identification Number
(as shown on Agent's Missouri license)
|Name Suffix||NAMESF||47-49||3||Character||JR, SR, II, etc.|
|Reason for Cancellation||TERMCD||56-57||2||Character||AM, LP, CD, AR, OM, WP, MP, FI, DA, RP, FC, FE, TD, Blank for Appointments|
|Contact Company Name||CONTACT||109-147||39||Character|
|Contact City, State, Zip||CONADDR2||173-199||27||Character|
Record Structure Descriptions for AGENT.TXT
APPTERM - Specifies whether the record to be added is an agent Appointment or Cancellation. Valid entries include A for an APPOINTMENT or T for a CANCELLATION.
SSN - Agent Identification Number of the Agent to be appointed or cancelled. This number must be the same number as shown on the Agent's Missouri license excluding all dashes (-).
LNAME - Last name of the Agent.
FNAME - First name of the Agent.
MI - Middle initial of the Agent.
NAMESF - Name suffix of the agent, if applicable. Valid entries include JR (Junior), SR (Senior), II, III, etc.
EFFYR - The year in which the appointment or cancellation is to become effective.
EFFMO - The month in which the appointment or cancellation is to become effective. Valid entries include 01 through 12.
EFFDAY - The day on which the appointment or cancellation is to become effective. Valid entries include 01 through 31.
TERMCD - The reason for cancellation of an agent. Not Applicable to appointments (leave 2 spaces). Valid entries include the following:
AM Agent moved LP Lack of production CD Company Decision AR Agent Request - Retired, Resigned, etc. OM Agent owes company money WP Agent withheld premium MP Agent misrepresented policy FI False information on job application DA Disciplinary action in other states RP Replaced policies FC For Cause FE Felony Conviction TD Cancellation due to death of the agent.
CONAME - The name of the company to which the agent is to be appointed or cancelled.
CONUM - The 7 digit state company number of the company to which the agent is to be appointed or cancelled.
NAICNO - The last five digits of the NAIC number of the company to which the agent is to be appointed or cancelled.
CONTACT - The name of the company submitting the Agent Appointment or Cancellation.
CONADDR - The address of the company submitting the Agent Appointment or Cancellation.
CONADDR2- The city, state and zip code of the company submitting the Agent Appointment or Cancellation.