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DATA
ACCEPTANCE
SYSTEM
RY 2008
United States Department of Agriculture
───────────
Federal Crop Insurance Corporation
Research & Development
FCIC-Appendix III
(June 28, 2007)
Appendix III
Standard Reinsurance Agreement and
Livestock Price Reinsurance Agreement
DATA ACCEPTANCE Requirements
REINSURANCE YEAR 2008
TABLE OF CONTENTS
PAGE NO.
SECTION 1 PURPOSE AND OBJECTIVE
1
2
3
4
PURPOSE .................................................... 1
OBJECTIVE .................................................. 1
ACRONYMS
................................................. 2
ISSUANCES/REVISIONS . ...................................... 4
SECTION 2 RESPONSIBILITIES
1
2
3
RESPONSIBILITIES OF FCIC ................................... 5
RESPONSIBILITIES OF COMPANIES OPERATING UNDER
THE STANDARD REINSURANCE AGREEMENT (SRA) .................. 10
RESPONSIBILITIES OF COMPANIES OPERATING UNDER
THE LIVESTOCK PRICE REINSURANCE AGREEMENT (LPRA) .......... 16
SECTION 3 SYSTEM OVERVIEW ............................................... 17
SECTION 4 DATA SUBMISSION REQUIREMENTS .................................. 21
SECTION 5 TELECOMMUNICATIONS ........................................... 23
SECTION 6 PROCESSING CONSIDERATIONS .................................... 26
SECTION 7 ACCOUNTING CONSIDERATIONS
1
2
RAS REPORTS . ............................................. 43
INTEREST CALCULATION ...................................... 51
Page ii
APPENDIX III - DATA ACCEPTANCE SYSTEM HANDBOOK
REINSURANCE YEAR 2007
TABLE OF CONTENTS
EXHIBIT
NUMBER
1
FCIC OPERATIONS REPORT
MONTHLY OPERATIONS REPORT................................... 1-1
FCIC INSTALLMENT REPORT..................................... 1-2
ANNUAL SETTLEMENT OPERATIONS REPORT........................ 1-3
FCIC FEE REPORT ............................................ 1-4
FCIC ACCOUNTING DETAIL REPORT (EXCLUDING CAT)............... 1-5
P/CR MEMO REJECT REPORT.................................... 1-9
INTEREST CALCULATION EXAMPLES ............................. 1-10
2
DETAIL ACCOUNTING AND ADMINISTRATIVE FEE REPORTS
CAT COVERAGE FEES REPORT.................................... 2-1
ADDITIONAL COVERAGE ADMINISTRATIVE FEE SUMMARY REPORT ...... 2-4
3
REINSURANCE RUN REPORTS
FCIC REINSURANCE RUN.......................................
3-1
4
RECONCILIATION REPORTS
MONTHLY RECONCILIATION REDUCTION WORKSHEET .................
ANNUAL RECONCILIATION REDUCTION WORKSHEET..................
DISCREPANCIES OF PREMIUM BY POLICY..........................
DISCREPANCIES OF LOSSES BY POLICY...........................
DISCREPANCIES OF PAIDS BY POLICY............................
DISCREPANCIES OF LOSS-CREDITS BY POLICY.....................
4-1
4-2
4-3
4-4
4-5
4-6
5
FCIC ADMINISTRATIVE REDUCTION REPORTS
ADMINISTRATIVE REDUCTION REPORT-LATE FILED SALES...........
5-2
6
PREMIUM DUE WORKSHEETS
PREMIUM DUE WITHOUT PAYMENTS WORKSHEET...................... 6-1
PREMIUM DUE WORKSHEET....................................... 6-3
7
INSTRUCTION GUIDE FOR FUNDS TRANSFER –
DEPOSIT MESSAGES TO TREASURY ..................................... 7-1
8
ESCROW REGISTER .................................................. 8-1
9
RAS SUMMARY REPORTS – ADJUSTMENTS FOR LIVESTOCK
FCIC LIVESTOCK DETAIL REPORT................................ 9-1
MONTHLY LIVESTOCK OPERATIONS REPORT......................... 9-2
LIVESTOCK SETTLEMENT REPORT................................. 9-3
10
CROP YEAR 2008 PILOT CROPS ...................................... 10-1
Page iii
DAS RECORD DESCRIPTORS
05
CIMS REQUEST RECORD - TYPE: 5............................... 5-0
CIMS STATUS CODES EXHIBIT................................... 5-1
09
FUND DESIGNATION RECORD - TYPE: 9........................... 9-0
FUND DESIGNATION GUIDELINES EXHIBIT......................... 9-1
10
POLICY RECORD - TYPE: 10................................... 10-0
ENTITY AND ID TYPE TABLE................................... 10-1
11
ACREAGE RECORD - TYPE: 11.................................. 11-0
GUARANTEE REDUCTION PERCENTS............................... 11-1
MALTING BARLEY – DAS EDIT REQUIREMENTS..................... 11-1
DAS ‘ZERO Acreage Reporting Requirements’.................. 11-1
First Crop Processing (Planted Acreage).................... 11-1
2008 RATE CLASS............................................ 11-2
2008 MAP AREA.............................................. 11-3
DOLLAR AMOUNT OF INSURANCE................................. 11-4
GUARANTEED REDUCTION FACTORS FOR CHERRIES.................. 11-5
SHELLER WAREHOUSE CODES FOR PEANUTS........................ 11-5
INSURANCE PLAN CODES....................................... 11-6
CROPS ELIGIBLE FOR BU...................................... 11-7
WRITTEN AGREEMENT EDITS AND DAS VALIDATIONS................ 11-8
2008 FILING YEAR OPTION CODES.............................. 11-9
CROPS REQUIRING ZEROS FOR DATE PLANTED.................... 11-10
TYPE: 11 - CALCULATIONS................................... 11-11
YIELD REQUIREMENTS/EDIT................................... 11-12
UNIT PREMIUM ADJUSTMENT FACTOR
AND PRODUCER PREMIUM PERCENTAGE TABLE................... 11-13
CODES FOR FCIC APPROVED SUPPLEMENTAL
AND REINSURED POLICIES.................................. 11-14
12
PAYMENT RECORD - TYPE: 12.................................. 12-0
13
INVENTORY VALUE RECORD - TYPE: 13.......................... 13-0
TYPE: 13 - CALCULATIONS.................................... 13-1
14
INSURANCE IN FORCE RECORD - TYPE: 14.......................
CROPS WHICH ALLOW MULTIPLE TYPE 14 RECORDS.................
RESERVED...................................................
DUPLICATE EDITS............................................
RESERVED...................................................
CROPS WHERE CAT COVERAGE IS NOT AVAILABLE..................
14-0
14-1
14-2
14-3
14-4
14-5
15
YIELD RECORD - TYPE: 15....................................
YIELD TYPE EDITS...........................................
YIELD LIMITATION EDITS.....................................
MAXIMUM YIELDS ALLOWED.....................................
CROP REQUIRING A TYPE 15 (YIELD) RECORD....................
INDEXED INCOME PROTECTION YIELDS...........................
APH CROPS THAT NO LONGER HAVE CAPPED YIELDS................
15-0
15-1
15-2
15-3
15-4
15-5
15-6
16
RESERVED ........................................................ 16-0
Page iv
17
LAND IDENTIFIER RECORD - TYPE: 17 ............................... 17-0
CROP/PLAN CODES NOT REQUIRING A 17 RECORD ....................... 17-1
LEGAL LAND ID VALIDATION ........................................ 17-2
18-19
RESERVED .............................................. 18-0 THRU 19-0
20
LOSS TOTAL RECORD - TYPE: 20 .................................... 20-0
21
LOSS LINE RECORD - TYPE: 21 ..................................... 21-0
FIRST CROP PROCESSING (PLANTED ACREAGE) ......................... 21-1
CAUSE OF LOSS CODES BY CROP ..................................... 21-2
CAUSE OF LOSS CODES ............................................. 21-3
STAGE CODE DEFINITIONS .......................................... 21-4
STAGE CODES BY CROP ............................................. 21-5
SIMPLIFIED CLAIMS PROCESSING .................................... 21-6
SELF-CERTIFIED REPLANT CLAIMS ................................... 21-6
PREVENTED PLANTING GUARANTEE PERCENTAGE TABLE ................... 21-6
REPLANT MAXIMUM/MINIMUM TABLE ................................... 21-7
STAGE PERCENT, PRICE PERCENT AND PRICE ELECTION FACTORS ......... 21-8
RESERVED ........................................................ 21-9
TYPE 21: CALCULATIONS .......................................... 21-10
22
INVENTORY LOSS RECORD - TYPE: 22 ................................
TYPE 22: NURSERY CALCULATIONS ...................................
TYPE 22: CULTIVATED CLAMS CALCULATIONS ..........................
NURSERY OPTIONAL UNIT PLANT TYPE CODES ..........................
CAUSE OF LOSS CODES BY CROP .....................................
23-24
RESERVED .............................................. 23-0 THRU 24-0
25
SETTLEMENT/ARBITRATION RECORD - TYPE: 25 ........................ 25-0
26
RESERVED ........................................................ 26-0
27
COMMON LAND UNIT ID ............................................. 27-0
28-48
RESERVED .............................................. 28-0 THRU 48-0
49
DELETE RECORDS - TYPE: 49 ....................................... 49-0
55
AGENT DATA - TYPE: 55 ........................................... 55-0
56
LOSS ADJUSTER DATA - TYPE: 56 ................................... 56-0
57
QUALITY CONTROL REPORTING RECORD – TYPE: 57 ..................... 57-0
58-59
RESERVED .............................................. 58-0 THRU 59-0
60
INELIGIBLE PRODUCER INPUT RECORD - TYPE 60 ...................... 60-0
INELIGIBILITY TRANSACTION FLAG VALUES ........................... 60-1
Page v
22-0
22-1
22-1
22-2
22-3
60e
INELIGIBLE PRODUCER ERROR RECORD - TYPE 60e .................... 60e-0
INELIGIBLE TRACKING SYSTEM ERROR CODES ......................... 60e-1
61
INELIGIBLE PRODUCER OUTPUT RECORD - TYPE 61 ..................... 61-0
INELIGIBILITY STATUS FLAG VALUES ................................ 61-1
62-64
RESERVED .............................................. 62-0 THRU 64-0
65
CAT FEE RECEIVABLE RECORD ....................................... 65-0
66-69
RESERVED .............................................. 66-0 THRU 69-0
70
REVERSE 70 DETAIL RECORD - TYPE 70 .............................. 70-0
71
REVERSE 71 TRAILER RECORD - TYPE 71 ............................. 71-0
72-80
RESERVED .............................................. 72-0 THRU 80-0
81
POLICY HOLDER TRACKING EXPERIENCE INQUIRY-TYPE 81 OUTPUT FORMAT . 81-0
82-96
RESERVED .............................................. 82-0 THRU 96-0
97
2006 DAS FLOW CHART ............................................. 97-0
98
98-1
98-2
98-3
98-4
98-5
98-6
98-7
98-8
98-11
98-12
98-13
OUTPUT ERROR FORMAT for ‘.err’ ................................. 98-0
REC 9 OUTPUT FORMAT for ‘.acp, .fun, .rej, .sus’ ............... 98-1
REC 10 OUTPUT FORMAT for ‘.acp, .esc, .exp, .ex5, .rej, .sus’ ... 98-2
REC 11 OUTPUT FORMAT for ‘.acp, .rej, .sus’ ..................... 98-3
REC 12 OUTPUT FORMAT for ‘.acp, .rej, .per, .sus’ ............... 98-4
REC 13 OUTPUT FORMAT for ‘.acp, .rej, .sus’ ..................... 98-5
REC 14 OUTPUT FORMAT for ‘.acp, .exp, .ex5, .rej, .sus’ ......... 98-6
REC 15 OUTPUT FORMAT for ‘.acp, .rej, .sus’ ..................... 98-7
REC 17 OUTPUT FORMAT for ‘.acp, .rej, .sus’ ..................... 98-8
REC 20 OUTPUT FORMAT for ‘.acp, .esc, .rej, .sus’ .............. 98-11
REC 21 OUTPUT FORMAT for ‘.acp, .esc, .rej, .sus’ .............. 98-12
REC 22 OUTPUT FORMAT for ‘.acp, .rej, .sus’ .................... 98-13
99a
FCIC CROPS (BY CROP CODE/ALPHABETICAL) ......................... 99a-0
99b
ROUNDING RULES ................................................. 99b-0
99c
Removed from
99d
FIELD DEFINITIONS .............................................. 99d-0
99e
FIPS STATE CODES ............................................... 99e-0
99f
INSURANCE PLAN CODES ........................................... 99f-0
100 – 109
APPENDIX III – Information available in Crop Ins. Handbook
RESERVED
Page vi
eDAS EXHIBITS
111
ADJUSTER.................................................. 111-0
112
AGENT..................................................... 112-0
116
REVIEWER.................................................. 116-0
119
LIVESTOCK CROP POLICY..................................... 119-0
121
ENTITY.................................................... 121-0
ENTITY/SBI ID TYPE TABLE.................................. 121-1
122
POLICY.................................................... 122-0
123
AGR/AGR-L CROP POLICY..................................... 123-0
COVERAGE LEVEL ELIGIBILITY................................ 123-1
124
PAYMENT................................................... 124-0
126
SBI....................................................... 126-0
130
LIVESTOCK FUND............................................ 130-0
131
AGR/AGR-L FUND............................................ 131-0
135
LRP
LRP
LRP
LRP
PREMIUM...............................................
PREMIUM CALCULATIONS..................................
INDEMNITY.............................................
INDEMNITY CALCULATIONS................................
135-0
135-1
135-2
135-3
140
LGM
LGM
LGM
LGM
PREMIUM ..............................................
PREMIUM CALCULATIONS..................................
INDEMNITY.............................................
INDEMNITY CALCULATIONS................................
140-0
140-1
140-2
140-3
150
DISBURSEMENT (OF LOSS PAYMENT)............................ 150-0
151
AGR/AGR-L
AGR/AGR-L
AGR/AGR-L
AGR/AGR-L
FARM REPORT/PREMIUM.............................
LIABILITY/PREMIUM CALCULATIONS..................
INDEMNITY.......................................
INDEMNITY CALCULATIONS..........................
Page vii
151-0
151-1
151-2
151-3
June 28, 2007
FCIC – Appendix III
U. S. DEPARTMENT OF AGRICULTURE
WASHINGTON, D.C. 20250
Federal Crop Insurance Corporation Directive
Number:
FCICAppendix III
SUBJECT:
DATE:
June 28, 2007
Data Acceptance System Handbook
OPI:
Research & Development
RY - 2008
APPROVED:
Deputy Administrator
SECTION 1
1
PURPOSE AND OBJECTIVE
PURPOSE
To provide instructions and information for reporting Approved
Insurance Provider data to the Risk Management Agency (Federal Crop
Insurance Corporation) hereinafter referred to as FCIC.
2
OBJECTIVE
A
Provide a means of validating data to ensure that reimbursements
are made based on accurate information in accordance with the SRA.
B
Maintain detailed information at FCIC.
C
Enhance the quality and availability of data at all levels.
1
June 28, 2007
3
FCIC – Appendix III
ACRONYMS
The following acronyms will be used throughout this Appendix:
A&O
ACT
AD
ADM
AFS
AGR
AGR-L
AIP
APH
ARD
ARPA
BMP
CAT
CEO
CIH
CIMS
CLU
CO
COB
CRC
CY
DAS
DQS
DSR
DY
eDAS
EFT
FCIC
FIPS
FOSD
FSA
FY
GRP
IP
IRM
IS
ITS
KCO
LAC
LAM
LAN
LGM
LRP
LSR
MGA
MPCI
MY
NAD
Administrative & Operating Expense
The Federal Crop Insurance Act (7 U.S.C. 1502 et seq.)
Actuarial Division
Actuarial Data Master
Actuarial Filing System
Adjusted Gross Revenue (Whole-farm coverage based on
producer’s Schedule F)
Adjusted Gross Revenue-Lite (Whole-farm coverage based on
producer’s Schedule F using less commodities to qualify)
Approved Insurance Provider
Actual Production History (producer’s records for developing
coverage)
Acreage Reporting Date
Agricultural Risk Protection Act (also known as the
Crop Insurance Act of 2000)
Best Management Practices
Catastrophic Risk Protection
Coverage Enhancement Option
Crop Insurance Handbook
Comprehensive Information Management System
Common Land Unit
RMA Compliance Office
Close of Business
Crop Revenue Coverage
Crop Year
Data Acceptance System
Data Quality Section
DAS Status Report
Determined Yields
Electronic Data Acceptance System
Electronic Funds Transfer
Federal Crop Insurance Corporation (RMA)
Federal Information Processing Standards
Fiscal Operations & Systems Division
Farm Services Agency
Fiscal Year (i.e. Oct. 1, 2007 to Sept. 30, 2008 is the
2008 fiscal year)
Group Risk Plan
Income Protection Plan (an insurance plan)
Information Resources Management
Insurance Services
Ineligible Tracking System
RMA Kansas City Office
Loss Adjustment Contractor
Loss Adjustment Manual
Local Area Network
Livestock Gross Margin
Livestock Risk Protection
Late Sales Reduction
Managing General Agency
Multiple Peril Crop Insurance
Master Yields
National Appeals Division
2
June 28, 2007
FCIC – Appendix III
ACRONYMS Con’t
NASS
National Agricultural Statistics Service
NCIS
National Crop Insurance Services
P/C
Policy Issuing Company
PDD
Product Development Division
PHTS
Policyholder Tracking System
PRD
Production Reporting Data
R&D
Research and Development Division
R&E
Research and Evaluation Division
RA
Revenue Assurance (type of policy)
RAS
Reinsurance Accounting System
RMA
Risk Management Agency
RME
Risk Management Education
RSD
Reinsurance Services Division
RO
RMA Regional Office
SBI
Substantial Beneficial Interest
SCD
Sales Closing Date
SF
Standard Form (prefix to form numbers)
SPOI
Special Provisions of Insurance
SRA
Standard Reinsurance Agreement
T-Yield Transitional Yields
UCM
Underwriting Capacity Manager
USDA
United States Department of Agriculture
WA
Written Agreement
WDC
RMA Washington, D.C.
WUA
Written Unit Agreement
XML
Extensible Markup Language
3
June 28, 2007
FCIC – Appendix III
4
ISSUANCES/REVISIONS
A
This appendix will be issued annually, and reflect reporting
requirements for detailed eligible crop insurance contract data,
applicable to each Reinsurance Year. A DRAFT will be issued by May
31 preceding the reinsurance year for comment, including General
DAS requirements, major processing enhancements, Fund designation
requirements and LSR determination process. Appendix III will be
issued by June 30, preceding the reinsurance year, and will be
approved quarterly, as needed.
Revisions to this appendix and to the Data Acceptance System may
become necessary after the annual release to ensure that data
reported complies with the SRA, actuarial requirements, federal
regulations, crop policy provisions, and procedural changes that
could not be anticipated when the annual update was released.
Revisions to Appendix III, will include:
B
Clarifications – revisions that do not change the format or
values of the reporting requirements;
New Requirements - new reporting requirements to meet the terms
and conditions of the Act, FCIC regulations, and/or procedures,
enacted after the initial release of Appendix III;
Corrections - revisions to the reporting requirements to meet
the existing terms and conditions of the Act, FCIC regulations,
and/or procedures.
Any new or proposed revisions will be available for comment, for a
period of 14 calendar days. RMA generally will work with the
AIP’s in an attempt to reach consensus in determining the most
efficient means of implementing revisions both prior to and
subsequent to the initial release. Revisions after the initial
release will be highlighted and a summary by date will be
maintained.
The SRA, ACT, regulations in 7 C.F.R. Chapter IV and the
applicable eligible crop insurance contract and procedures take
precedence over Appendix III for servicing requirements.
C
The appendix is maintained electronically via the Risk Management
Agency’s Home Page. The RMA Website address is:
http://www.rma.usda.gov/data
Click on APPENDIX III, Data Reporting Requirements. There are
provisions for approved and draft versions of the Appendix III for
multiple reinsurance years available on the website.
The approved version contains the current Appendix III
that has been approved by RMA. The draft version contains
proposed changes RMA is providing for review and comment. Draft
versions will be watermarked DRAFT and changes will be highlighted
when possible. AIPs will be notified of changes to the Draft
version on the DAS Status Report and/or on the ‘Read me’ page.
4
June 28, 2007
FCIC – Appendix III
SECTION 2
1
RESPONSIBILITIES
RESPONSIBILITIES OF FCIC
RMA will be responsible for the following:
1 Reviewing and analyzing Appendix II,
2 Approving or denying Appendix II,
3 Approving or denying amendments to Appendix II,
4 Approving modifications to the fund designations or A&O reductions
due to Late Sales Reduction.
5 Provide AIP’S updates to FCIC reporting guidelines
in Appendix III, DATA ACCEPTANCE SYSTEM (DAS)
REQUIREMENTS.
6 Perform duties and validations of AIP data as outlined in the
“Format/Edits" portion (Exhibits 9 - 99) of the DAS Handbook.
7 Determine data reporting requirements and standards.
8 Maintain and administer the databases and ISAM files used by the
Data Acceptance System.
9 Prepare error reports containing items which did not pass
all edits and validations specified by FCIC and provide to the
AIP’s designated MGA.
10 Update/maintain reinsurance data in the Policy and Accounting
databases.
11 Provide technical assistance in error resolution as needed and
requested by AIPs. RMA will respond in 7 business days to a properly
completed DAS error report submitted by an AIP.
12 Generate Reconciliation Reports.
13 Generate Accounting Reports.
14 Process Premium Due Without Payment Worksheet and Premium Due
Worksheet data upon receipt of the certified report/worksheet if
received by the due date for monthly reporting.
15 Generate a revised Monthly Operations Report after entries made
on the current worksheet by the AIPs have been updated
in RAS. Complete the monthly processing cycle.
16 Generate and remit payments due to the AIP, if applicable,
based on data validated in the DAS after it has been reconciled,
but no later than the first banking day after the 14th calendar
day following FCIC's receipt of both the detailed reinsurance
contract data file, and the certified (signed) hard copy
Monthly/Annual Operation Report. FCIC will pay the net amount due
from FCIC to the AIP as reflected in the FCIC-generated report,
reduced or increased) where appropriate for any differences between
the reports submitted and the data validated.
a Additionally, FCIC will net together for payment
purposes multiple Reinsurance Year reports.
b FCIC will make payments to AIPs via Electronic Funds
Transfer (EFT) through the U.S. Treasury.
c FCIC will pay interest in accordance with the interest
provisions of the Contract Disputes Act (41 U.S.C. 601 et
seq.) on any payment which is not sent to the AIP by the dates
provided by the SRA.
17 Reimbursement of Losses
a For any AIP that elects to use escrow funding: FCIC will fund
the escrow account within three (3) business days after the
loss transactions are accepted in FCIC’S Escrow System.
On a monthly basis the escrow funded amount, as of the
transaction cutoff date for the first full week of the month
will be reconciled with the escrow loss data accepted on the
5
June 28, 2007
FCIC – Appendix III
monthly or annual report. Any escrow requests which have not
been funded as of the transaction cutoff date for the first
full week of the month will not be included in that month's
report. Any difference in the escrow funded amount and the
losses validated by FCIC will be refunded monthly by the AIP to
FCIC.
b
c
AIPs may also report loss data through DAS prior to check
issuance (for validation purposes), in accordance with
instructions on the Type 20 record descriptor contained in this
Appendix.
1
Losses reported in this manner will not be funded through
Escrow, and will not appear on the Monthly/Annual
Operations Report.
2
To obtain escrow funding, AIPs must re-submit loss data
consistent with the Escrow Agreement and instructions for
the Type 20 record descriptor contained in this Appendix.
Any AIP who elects not to utilize Escrow Funding will be
reimbursed on the Monthly/Annual Operations Report for paid
losses which have been validated and accepted in the DAS as of
the monthly transaction cutoff date.
1
18
Any loss will be considered paid by the AIP, when the
instrument or document issued as payment has cleared the
AIP’s bank account.
Administrative Expense Reimbursement
a
The FCIC will pay the AIP an A&O Subsidy
as specified in the SRA.
i
After insurance attaches payment will be made no later
than the first banking day following the fourteenth
(14th) calendar day after receipt of both the certified
(signed) Monthly/Annual Operations Report and the
detailed reinsured contract data file.
ii
All A&O Subsidy amounts paid are subject to correction
at any time, and by the Monthly/Annual Operations Report
following detection of the error.
iii Any rejected eligible crop insurance contract due
solely to an identified DAS edit error, will be fully
compensated on that month’s accounting report.
b Reporting of Eligible Crop Insurance Policies.
The eligible crop insurance contract may be accepted
any time up to the annual cutoff settlement date for the
reinsurance year. There after, policies will be rejected
if they are originally submitted after the cutoff date
for the first annual settlement. If a situation arises
that causes the AIP to be unable to meet this cutoff,
justification my be submitted to the DQS representative
for RMA review to determine if a waiver is appropriate.
6
June 28, 2007
FCIC – Appendix III
c Reduction in Administrative and Operating Expense - Late Sales
Reduction.
The A&O subsidy applicable to the eligible crop
insurance contract will be reduced whenever the
identified required LSR data has not been timely and
accurately provided to FCIC or such information is
revised after the LSR Transaction Cutoff Date.
The required LSR data is identified in the individual
DAS and eDAS records. The required LSR data are the
required data elements that must pass acceptance edits
in order to meet the requirements in section IV.B.7 of
the SRA.
The DAS or eDAS records that contain the
required LSR data do not have to be accepted in their
entirety in order to meet this requirement.
d Determination of the LSR Transaction Cutoff date
The ADM 3, Dates Record, contains a modified Sales
Closing date for when the sales closing date falls on
a non business day. It also contains an Extended
Sales Closing date if RMA would extend the sales
period. If there is not a modification or extension,
all three date fields will contain the same date DAS
uses the extended sales closing date to calculate LSR
and fund cutoff dates (this would be the latest
possible date).
“Transaction cutoff date” for weekly data reporting is
8pm Central time on Friday of each calendar week. A
calendar week begins with Sunday and ends with
Saturday. “Transaction cutoff date” for monthly data
reporting is 8pm Central time on Friday after the
first Sunday of the month. Any date that falls on a
Saturday will use the preceding Friday as the
transaction cutoff day.
The LSR transaction cutoff date will be determined for
eligible crop insurance contracts meeting the
following conditions:
1. for eligible crop insurance contracts with a fixed
sales closing date, the LSR transaction cutoff date
will be the weekly cutoff date containing the 30th day
after the sales closing date.
2. for eligible crop insurance contracts not having a
fixed sales closing date, the LSR transaction cutoff
date will be;
a. for the initial year of coverage, the later of
the weekly cutoff containing the 30th day after
the producers signature date from the
application and is reported on the Type 14
Record, or the weekly cutoff containing the 30th
calendar day after the cancellation date.
7
June 28, 2007
FCIC – Appendix III
b. for subsequent years, the weekly cutoff
containing the 30th day after the cancellation
date.
3. for the initial year of an approved RMA written
agreement issued for an eligible crop insurance
contract or for any written agreement that must be
renewed or approved annually, except those listed in
3.A., the LSR transaction cutoff date will be the
weekly cutoff containing the 30th calendar day after
the RMA Written Agreement approval date.
A. RMA approved written agreements excluded from LSR
cutoff determination under section 3;
High Rate Area
(HR)
Acreage not harvested or
planted in prev. year
(NB)
Listing Reconsideration for
Tobacco 2005
(TL)
Small Grains Interplanted
(SG)
Seed Potato acreage >125%
(SP)
Written Unit Agreements
(UA)
Unrated Land
(UC)
Additional County Application
If the eligible crop insurance contract was sold under
the additional county provision, any subsequent
counties will be accepted with the same LSR
determination as the designated primary county
contract.
Multiple Sales Closing Dates
If the eligible crop insurance contract has more than
one sales closing date for the eligible crop insurance
contract, the earliest SCD will be used to determine
the LSR transaction cutoff date, unless the type or
practice is reported to indicate the specific SCD.
Successor-in-Interest
For successor-in-interest changes to a policy between
sales closing date and date insurance attaches to
prevent LSR determination, additional data must be
accepted by DAS. After insurance attaches successorin-interest is not applicable for reporting until the
subsequent crop year.
Reduction Calculations
If the required LSR data first passes acceptance edits
after the LSR Transaction Cutoff Date or is revised
after the LSR Transaction Cutoff Date, the A&O subsidy
will be reduced by:
i.
one percent, up to the weekly cutoff for the
8
June 28, 2007
FCIC – Appendix III
ii.
iii.
week containing the 30th calendar day after the
LSR transaction cutoff date, or
three percent, after the weekly cutoff
containing the 30th calendar day after the LSR
transaction cutoff date up to and including
the weekly cutoff for the week containing the
60th calendar day; or
six percent, after the weekly cutoff containing
the 60th calendar day after the LSR transaction
cutoff date.
If the price election factor, coverage level, price
indicator or plan code changes (after the lockdown
date), the late sales reduction is recalculated. The
late change date field will reflect the date of the
batch where the coverage level, price election, or
market price indicator was changed for the eligible
crop insurance contract. If the company resubmits the
14 record back to the lockdown coverage level, price
election and market price indicator, DAS will reverse
the reduction to the lockdown reduction percentage.
19 The Reimbursement for CAT Loss Adjustment Expense will be calculated
in accordance with the SRA, and will be included on the
Monthly/Annual Operations Reports.
20 Any payment received under Section IV.H must be paid by the last
business day of the month for the Monthly/Annual Operations Report
cutoff following RMA’s notification to the AIP of the amount due.
21 Deviations From Stated Reporting Requirements
a
RMA may deviate from stated reporting requirements when
necessary to ensure accurate and timely data processing.
Deviations from stated reporting requirements will occur only
in cases of material monetary discrepancies created by the
processing of inaccurate or untimely data.
9
June 28, 2007
FCIC – Appendix III
2
REPORTING REQUIREMENTS OF AIP’S OPERATING UNDER THE STANDARD
REINSURANCE AGREEMENT (SRA)
The following are functions performed by AIP’s to ensure correct and
accurate submission of data to FCIC. The general information that
applies to the DAS and RAS is outlined below:
A
Submit information contained in Appendix II.
B
Submit accurate detailed eligible crop insurance contract data and
supporting data to FCIC in the prescribed format. The weekly
transaction cutoff date is Friday of each week. Data must be
successfully and completely received by FCIC no later than 8:00 PM
Friday. FCIC will process all data that were submitted through the
cutoff date.
C
The monthly transaction cutoff date is 8:00 PM Central Time, Friday
of the first full week of the month, (Friday following the first
Sunday of the month).
Data revisions must be submitted no later
than monthly, for a period of one year following annual settlement.
D
Review error reports and correct errors generated from the DAS edit
and validation process. Rejected items identified, reconciled or
corrected after the cutoff date because of the monthly reporting and
validation process are to be resubmitted for revalidation in the next
reporting cycle.
E
Submit a properly completed DAS Error Report to the DQS, after
analysis, for guidance in correcting data rejected in the DAS and
present on the DAS Error Listing, as necessary.
F
Review reconciliation reports to resolve differences and resubmit
data corrections immediately after receipt.
G
Submit electronic loss data for the purpose of funding the escrow
account. Monitor the escrow account balance and maintain sufficient
collateral coverage to insure timely funding of all loss data. If
there is a shortfall of funds in the escrow account, it is the AIP’s
responsibility to deposit funds to cover any shortages.
H
Submit certified hard copy, Monthly/Annual Operations Reports (recap
and worksheets) by Reinsurance Year, for the purpose of making
monthly settlements with FCIC regarding reimbursement of
administrative expenses, losses, if applicable, and payment to FCIC
of premiums collected. Monthly Operations Reports are required to be
submitted through annual settlement time. Annual Settlement
Operations Reports must continue to be submitted for any month that
revised data are submitted. Court action, compliance, audit or
investigative related findings by the Government or the Company AIP
after the February accounting cut-off following 5 years from the
beginning of the reinsurance year must be reported to FCIC and will
be processed manually. Operations Reports must be received by FCIC
by the last banking day of each month corresponding to the
transaction cutoff date.
1a Reports provided by the AIP must contain cumulative, summarized
eligible crop insurance contract data according to the
requirements and formats provided in the exhibits and text of
this Appendix. For monthly operations reports, completed
10
June 28, 2007
FCIC – Appendix III
‘Premium Due’ and ‘Premium Due without Payment’ worksheets are
to be submitted along with the summary page.
1b For annual operations reports, the completed ‘Premium Due
without Payment’ worksheet is to be submitted along with the
summary page.
2
If uncollected, the producer premium for each billing date is due
from the AIP at the end of the month of the billing date.
Uncollected premiums for each billing date must be reported by the
AIP by the transaction cutoff date for the Monthly Operations
Report following the month of the billing date. Interest will be
charged on all uncollected premiums not paid to FCIC by the AIP
payment date from the first of the month following the billing
date at the rate of 15% per annum. The AIP must enter data into
the appropriate columns on the Premium Due Worksheet to indicate
their intent whether to pay uncollected premiums and return a
signed copy of the report/worksheet along with the report, to be
received by FCIC by the last business day of the month
corresponding to the transaction cutoff date. (See Exhibit 6)
3
When producer premiums are collected by the AIP before the billing
date, any premium collected during a calendar month must be
reported on the Monthly Operations Report submitted during the
next calendar month and payment made by the AIP Payment Date. All
premiums not collected must be paid to FCIC at annual settlement
whether or not they are collected from insured.
4
For the purpose of collection CAT fees and accrued interest from
insureds, there are responsibilities that must be undertaken by
the AIP and RMA. These responsibilities shall be in accordance
with 7CFR 457.8, which states “Interest will accrue at a rate of
1.25 percent simple interest per calendar month, or any portion
thereof, on any unpaid amount owed to us or on any unpaid
administrative fees owed to FCIC.”
a. The responsibilities of the AIPs are as follows:
• AIPs are responsible for calculating and collecting
interest on CAT fees in accordance with 7CFR 457.8
beginning 30 days after the premium billing date until
the crop termination date.
• AIPs shall transmit a 60 and 65 record through the
Ineligible Tracking System for the principle amount only,
for unpaid CAT fees within 7 to 21 days after the crop
termination date. (At this time these fees become a
Federal debt and all collection efforts on the part of
the AIP shall cease.)
• AIPs are responsible for any questions that an insured
may have regarding the validity of this debt or payments
made prior to the crop termination date. (After the crop
termination date, all questions regarding amounts due
including interest accrued shall be referred to RMA.)
• If an AIP receives payment for a Federal debt, they are
to transmit a type 12 record with a payment type code of
“02” for the entire amount received within 7 days of the
receipt of the payment. (Timing is critical since the
11
June 28, 2007
FCIC – Appendix III
debt may be referred by RMA to Treasury for cross
servicing and any amounts due the insured from any
Federal agency will be reduced by the Federal debt that
includes CAT fees and accrued interest.
b. The responsibilities of RMA are as follows:
• RMA shall calculate interest in accordance with 7CFR
457.8 on any unpaid CAT fees reported to RMA beginning on
the termination date until the debt is satisfied.
• RMA will answer any questions regarding the amount of the
Federal debt or any payments made after crop termination
since subsequent interest may have accrued.
• RMA shall take over all collection efforts of unpaid CAT
fees upon termination date and the submission of the type
60 and 65 records.
• RMA may refer the Federal debt to Treasury for cross
servicing.
I
5
Escrow funding and reported loss data will be reconciled on each
Monthly and Annual Operations Report.
6
All payments due FCIC will be netted on the Monthly and Annual
Operations Reports with amounts due the AIP from FCIC. All
payments, must be deposited by the AIP Payment Date directly into
FCIC's account in the U.S. Treasury by Electronic Funds Transfer
(EFT). FCIC will remit payments to the AIP by EFT.
7
Any aggregate underwriting loss of the AIP will be paid to FCIC by
the AIP with each Monthly Operations Report as calculated by the
Reinsurance Run Report generated by FCIC. Any underwriting gain
due the AIP will be paid at annual settlement.
The AIP must enter data into the appropriate columns on the Premium
Due Without Payments Worksheet to indicate any increase in premium
and return a signed copy of the report/worksheet along with the
Monthly Operations Report, which must be received by FCIC by the last
business day of the month corresponding to the transaction cutoff
date. (See Exhibit 7)
1
The insured's premium due is calculated by subtracting the paids
and loss-credits from the producer premium amount for each policy
and billing date. The total due is then summarized by billing
date. The paid amount is always deducted from the premium amount
before deducting loss-credits. The proration of paids and losscredits is best demonstrated with the following examples:
a
Producer Premium Due
Paid
Loss-Credit
Balance Due
=
=
=
=
$100
50
50
0
The paid amount of $50 is applied to the premium due of
$100, leaving a balance of $50 premium due. The losscredit is then applied to the premium due balance leaving a
balance of $0 premium due.
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June 28, 2007
FCIC – Appendix III
b
Producer Premium Due
Paid
Loss-Credit
Balance Due
=
=
=
=
$100
50
25
25
The RAS will apply the $50 paid to the premium due, leaving
a balance of $50 premium due. The loss-credit can then be
applied to the premium due leaving a premium due balance of
$25, which would be added to the total premium due for the
billing date.
c
Producer Premium Due
Paid
Loss-Credit
Balance Due
=
=
=
=
$100
0
75
25
Apply $0 paid to the premium due of $100, giving a premium
due balance of $100. Loss-Credit of $75 can then be
applied to the premium due leaving a balance of $25 premium
due. Although the paid amount was $0, it must be applied
to the premium due before applying the loss-credit.
d
Producer Premium Due
Paid
Loss-Credit
Balance Due
=
=
=
=
$100
100
0
0
Apply $100 paid to the premium due of $100, which would
leave a premium due balance of $0. The loss-credit of $0
is applied to the $0 premium due, leaving a balance in
premium due of $0.
e
Producer Premium Due
Paid
Loss-Credit
Balance Due
=
=
=
=
$100
100
75
0
Apply $100 paid to $100 premium due, leaving a balance of
$0 in the premium due. The loss-credit of $75 cannot be
applied to the premium due balance of $0, and is considered
an overpayment on the loss-credit which would be displayed
on another RAS report.
f
Premium Due
Crop Code 011
Crop Code 091
Balance Due =
$50
$50
0
Paid
$50
Loss-Credit
$50
When there are multiple crops with premium due from a
producer, the paid amount is applied to the premium due on
crop code basis until the paid amount is exhausted. If
there is any premium remaining due after applying the paid
amount, the loss-credit can be applied to the premium due
on the remaining crops.
13
June 28, 2007
FCIC – Appendix III
g
Premium Due
Crop Code 011
Crop Code 091
Balance Due =
$75
$50
$25
Paid
$50
Loss-Credit
$50
Apply $50 paid to the premium due of $75, leaving a
remaining premium due of $25 on Crop Code 011. Loss-credit
of $50 can be applied to the $25 remaining premium due on
Crop Code 011. Then the remaining $25 loss-credit can be
applied to $50 premium due on Crop Code 091. This leaves a
premium due balance of $25 on Crop Code 091, but all crops
are summarized on the Premium Due Worksheet by billing
date, as the crop detail is not shown on the Worksheet.
The system prorates the paids and loss-credits also by
successive billing dates.
J
The new amount due FCIC as reflected in the Monthly or Annual
Operations Report, must be paid by EFT by the later of, 10
calendar days of being issued by RMA or last business day of each
month corresponding to the transaction cutoff date for that month.
When payment is submitted to FCIC based on a report generated by
the AIP or it’s reporting agent and supporting data is
subsequently rejected, the AIP must remit the difference by EFT
within seven (7) calendar days of the date the AIP was notified of
the discrepancies. In instances where an AIP generated report
differs from RMA generated Operations Reports, payments will be
based on the RMA Operations Reports.
K
All payments due to FCIC must be deposited directly into the
Corporation's account in the U.S. Treasury by EFT. An instruction
guide for funds transfer deposit messages to the Treasury is
provided in Exhibit 7. Information, such as agency codes, and
beneficiary codes will be provided under separate cover.
L
Annual Operations Reports
1
A hard copy settlement report, called the Annual Operations
Report (recap and worksheets), must be received by FCIC by
the last banking day of the February following the end of
the reinsurance year. The report will follow the format as
provided in Exhibit 1, page 3 of this Appendix. All
reinsurance transactions for the year must be summarized
and reported on the Annual Operations Report.
2
Corresponding data file transmissions for the Annual
Operations Report must be successfully received in its
entirety by the February monthly transaction cutoff of the
first full week of February following the end of the
Reinsurance Year. The amount due either FCIC or the AIP
will be calculated based on the DAS validation of the data,
will be based on the FCIC-generated Operations Report, and
will follow the monthly reporting process.
3
The gain or loss of the AIP is calculated in the monthly
Reinsurance Run Report generated by FCIC. Any underwriting
gain, excluding reserves, will be paid by the FCIC Payment
Date at Annual Settlement. Underwriting loss will be
14
June 28, 2007
FCIC – Appendix III
calculated on the Monthly Operations Report. If the
underwriting loss netted with any other amounts due results
in a net amount due FCIC, payment must be received by EFT
by the AIP Payment Date.
M
Fund Designation
AIPs may designate eligible crop insurance contracts with an
accepted Type 9 record to either the Assigned Risk Fund or
Developmental Fund by the fund designation cutoff date. AIP’s may
transfer eligible crop insurance contracts from either the
developmental or assigned risk fund to the commercial fund by the
fund cutoff. Designations to the Commercial Fund may be made via
the Type 14 or Type 9 record if the eligible crop insurance
contract is not designated to either the Assigned Risk or
Developmental Fund. If a Type 9 record is not accepted for an
eligible crop insurance contract, it will be designated as
commercial. “Transaction cutoff date” for weekly data reporting
is 8pm Central time on Friday of each calendar week. A calendar
week begins with Sunday and ends with Saturday. “Transaction
cutoff date” for monthly data reporting is 8pm Central time on
Friday after the first Sunday of the month. Any date that falls
on a Saturday will use the preceding Friday as the transaction
cutoff day.
The fund designation cutoff date will be determined for eligible
crop insurance contracts as follows:
1. For an eligible crop insurance contract associated with an
agricultural commodity with a fixed sales closing date,
(including those with multi-year Written Agreements after the
initial year), the Type 9 record must be accepted by DAS by
the weekly cutoff date for the week including the 30th calendar
day after the sales closing date.
2.
For eligible crop insurance contracts with extended sales
periods (i.e., sales are permitted beyond the sales closing
date shown in the special provisions), the transaction cutoff
dates for the designation of policies to the Assigned Risk
and Developmental Funds are;
a. For new policies, the later of the transaction cutoff date
for the week containing the 30th calendar day after the
eligible producer signature date or the transaction cutoff
date for the week containing the 30th calendar day after the
sales closing date.
b. For carryover policies, the transaction cutoff date for
the week containing the 30th calendar day after the sales
closing date.
3. For written agreements requiring annual FCIC approval or for
the initial year an eligible crop insurance contract
associated with a written agreement only, (excluding Written
Agreement types GP, HR, NL, SP and UA), the Type 9 record
must be accepted by DAS by the weekly cutoff date for the
week, including the 30th calendar day after the RMA written
agreement approval date (Print Date).
15
June 28, 2007
FCIC – Appendix III
4. For AGR-Lite the sales closing date of 3/15 will be
used for new insureds. For Carryover AGR-Lite insureds the
cancellation date of 1/31 will be used. For AGR the sales
closing date of 1/31 will be used for all insureds. The
Fund must be accepted by eDAS by the weekly cutoff date for
the week, including the 30th calendar day after the
applicable date.
Multiple Sales Closing Dates
If the AFS documents or ADM have more than one sales closing date
(SCD) for the eligible crop insurance contract, the earliest SCD
will be used to determine the fund designation cutoff date, unless
the type or practice is reported to indicate the specific SCD.
For crops in counties with both Fall and Spring Sales Closing Dates,
if the fall crop is not planted and a zero acreage record is
accepted for the fall crop, the fund designation for the spring crop
may be changed up to the fund designation cutoff date for the spring
crop.
Added County Application Procedure:
If a reinsured AIP uses a ‘Added-county’ block on applications and/or
contract change forms, they may timely indicate the primary
(designated) county for fund designation by entering the appropriate
field value in the multi-added-county flag field for the location
state, policy number, crop year and crop code. The primary county
for fund designation does not have to match the primary county used
for the additional county provision on the “insurance in force record
14”.
Subsequent counties established under the ‘Added-county’ procedure
and transmitted to RMA after the fund designation deadlines, must be
placed in the same fund as the primary (designated) county.
Subsequent counties are indicated by placing the appropriate value in
the Added-county flag field.
For 2008, only category B crops (excluding Forage Production) qualify
for added-county.
Subsequent counties can be added after Fund designation cutoff if
insured does not have an interest in any other crop in the added
county.
Companies must also identify the primary (designated) county policy
key (location state/county, AIP number, policy number, crop year,
crop code and type code) in the added-county reference policy key
fields.
CRC Exclusion
High Risk Ground may be excluded from a CRC policy and insured under
APH. The fund designation for high risk ground may be different than
the primary/CRC fund designation.
16
June 28, 2007
FCIC – Appendix III
Alternative Crop
When RMA approves alternate crops, the Type 9 record must be
accepted by DAS by the weekly cutoff date for the week including
the 60th calendar date after the RMA approval date.
N.
3
AIPs are to immediately notify their DQS representatives of any
problems or issues that may impact previously accepted eligible
crop insurance contract data or which prevents the timely
acceptance of data.
RESPONSIBILITIES OF AIP’s OPERATING
REINSURANCE AGREEMENT (LPRA)
UNDER
THE
LIVESTOCK
PRICE
A. Submit Appendix II to RMA for review and approval.
B. Allow eligible producers to use electronic methods to submit
information to the maximum extent practicable. The AIP must file its
plan for providing such electronic service methods with their Plan of
Operations.
C. Submit a completed FCI-586 for Web Application User to RMA Security
for approval.
D. Submit accurate and detailed contract data to FCIC through eDAS in
accordance with the reporting requirements contained in APPENDIX III.
E. Collect and provide to FCIC the SSN or the EIN for all policyholders
and all persons with a substantial beneficial interest in the
policyholder.
F. Designate any eligible livestock price insurance contract accepted by
the UCM to the Private Market Fund in accordance with APPENDIX III
within two Federal workdays of the acceptance date of the contract by
FCIC.
G. Designate in Appendix II whether it will use commercial reinsurance
or private market instruments to transfer or hedge its retained
liability for ultimate new losses remaining after all cessions to
FCIC under the agreement.
H. If the AIP purchases private market instruments, it must submit a
copy of its brokerage statements detailing the purchase, sale, and
holdings of private market instruments as required by LPRA and
certify to the completeness and accuracy of the information.
I. Producer premiums collected by the AIP must be reported on the
monthly summary report submitted to FCIC by the accounting cut-off
date for the calendar month after collection.
J. Report/submit a minimum of 5 percent of insurance contracts and 5
percent of indemnified contracts reviewed. Flag contracts that are
reviewed.
17
June 28, 2007
SECTION 3
FCIC – Appendix III
SYSTEM OVERVIEW
DAS OVERVIEW
A
The FCIC Data Acceptance Systems (DAS) and Reinsurance Accounting
System (RAS) are two integrated data processing systems. DAS
receives and validates transmitted data. Data validated by DAS is
loaded to RMA databases. Together they provide FCIC with a
mechanism to ensure that data received is accurate, that errors
are corrected timely, that information contained on Monthly
Operations Reports certified by the AIP are accurate for the data
validated, and appropriate accounting entries are made in FCIC's
Financial Accounting Systems. An overview of these two systems
follows. See Exhibit 97 for a chart displaying the flow of data
from AIPs to FCIC.
B
Data supplied to FCIC for a Reinsured AIP is processed through the
DAS. The data is checked for proper reinsurance year format. All
transmitted data that is accepted will replace previously accepted
data on a policy level.
C
All transactions are validated for data accuracy and compliance
with policy, procedure and processing requirements. The DAS
performs required edits on each transaction before rejecting a
transaction. Upon completion of editing, a Summary report is
generated which summarizes the acceptance, rejection and
suspension by record type and liability, premium and indemnity
amounts from the transaction. Records, which were found in error,
are system-generated output that is sent to an AIP after each edit
run.
D
The edit first performs simple field validations, including checks
for numeric/alphanumeric, validity of codes, and completeness of
expected data. Records that pass all these edits are edited for
recomputation tests, inter-field comparisons, inter-record
comparisons, ADM and other cross reference file look-ups. All
data passing the edit is considered accepted.
The accepted transactions from the DAS are used to update various
databases. The Policy databases are maintained on a detail and
summary basis that reflect the current information that has been
accepted by DAS.
Data validated and accepted by the DAS is also used to update
Statistical Data Bases maintained by RMA. These databases are
used in rating analysis, underwriting activities, statistical
analysis, and management reporting.
E
Full Book of Business (Type 70/71 Records)
As part of the DAS/RAS operations, an AIP will be required to
submit a full book of business data file no less than semiannually. A "full book" must consist of at least one Type 70
Record for all policies and one Type 71 (trailer information)
Record for a specific reinsurance year. This requirement provides
a means to isolate differences between data residing on the
DAS/RAS and the AIP’s systems. The full book data will be used to
load the Reconciliation Database, to generate reconciliation
18
June 28, 2007
FCIC – Appendix III
reports, and to determine the ‘Reduction Due to Reconciliation
Report Differences’ amount on the Operations Report.
The AIPs must be able to submit their full book of business upon
request by FCIC. A full book of business is required to be
submitted twice annually during the first week after the February
and August monthly transaction cutoffs. The full book of business
must be submitted via the IP SERVER.
As a means of assisting the AIPs in reconciling their systems with
DAS, FCIC provides to the AIPs a full book file of business
weekly.
F
Support Functions
The (DQS) provides operational support for the DAS and eDas. The
DQS is responsible for establishing reporting requirements,
validation edits, validation files and assisting companies in
researching and resolving errors in data reporting. All questions
regarding data distribution, reporting, and validation should be
addressed to the AIP’s DQS representative.
Staff will be
available between the hours of 8:00 A.M. and 4:30 P.M. Central
time, Monday through Friday.
For after hour and weekend processing questions, call the
operations desk at(816) 926-3275, until 10:00 p.m.
19
June 28, 2007
FCIC – Appendix III
eDAS OVERVIEW
A. eDAS is a real-time system operating in a web environment designed to
edit transmitted data from Reinsured AIPs. AIPs will send data in
Extensible Markup Language (XML) format to be processed by eDAS or
use web application to input required information to eDAS. After
performing a series of edits on the data, an XML transmission with
all input data received from the AIP and all output data defined by
RMA will be sent back to the AIP in the same order they are
processed. The transmission will also notify the AIP of its
acceptance or rejection, and if rejected, errors will be included in
the transmission.
B. eDAS will perform a series of edits on the current data. The type of
data and edits performed will be outlined in the APPENDIX III. Edits
are done in a series of steps. If any step fails, no other edits
beyond the current step will be done. First, basic edits are done.
Some of these basic edits include a required check, optional check,
numeric check, alphabetic check, and validity of codes check. The
next step is to run conditional rules. These rules apply to APPENDIX
III tags that will only be present based on the value of other
APPENDIX III tags. Next, the advanced step occurs. Advanced rules
include ADM cross reference checks and inter-field comparisons. If
needed for the current APPENDIX III section, the corporate
calculation modules are run to determine premium or indemnity.
Calculation validation edits are performed to determine if the AIP’s
calculated values match RMA’s calculated values. Finally, postprocessing rules are performed. Post-processing edits include the
Underwriting Capacity Manager (UCM) check.
C. AIP will indicate the type of transaction currently being sent to
eDAS using the APPENDIX III fields process flag and change flag.
Process flag indicates whether the transaction is an original, a
modification, a deletion, a validation, a quote, a retrieval, cancel
or re-instate. Original indicates a first time entry. All edits
will apply. A modification indicates an update to an existing
record. Key fields and the updated values are required. All other
fields will be ignored. A deletion will mark the currently accepted
record as removed. Key fields will be required for the delete. All
other fields will be ignored. Validation will not consider the
current transaction as real but only as a test. All APPENDIX III
edits will apply and errors will be returned to the AIP. A quote is
only performed on sections associated with corporate calculations
modules. Only values necessary to perform the quote will be required
as input. A quote will not be treated as a real transaction but will
return errors on required fields and corporate calculation results to
the AIP. A retrieval indicates an AIP is requesting the information.
A cancel indicates an AIP is requesting the information to be
cancelled, not applicable for AGR/AGR-L. A re-instate indicates an
AIP is requesting the information be re-instated (reverse the use of
cancel (flag 8)), not applicable for AGR/AGR-L. The change flag of
1,2, or 3 is required only on an update transaction. The change flag
indicates the level of change authority associated with this record.
Only fields with a level of change less than or equal to the change
flag may be modified. Change flag of 3, AIP must submit a request to
Reinsurance Services Division (RSD) for approval.
20
June 28, 2007
FCIC – Appendix III
D. Only the latest eDAS transactions will be stored in an Informix eDAS
database. Input and output data will be stored when an original,
update, delete, or cancel takes place. Each of these transactions
will also be kept on the web server for a period of time for
companies to download. Also, once an original, update, delete, or
cancel passes all edits and therefore was accepted by eDAS, it will
be copied to the Policy database. This will be done frequently
during the day. Quote or validation transactions will not be stored
in the eDAS database or written to the Web server.
E. The Reinsurance Accounting System (RAS) will be used to generate
accounting reports containing Reinsured AIP data processed by eDAS.
Data will be taken directly from the Policy database to feed RAS.
F. eDAS Retrieval Processes
There are two ways of retrieving data that has been posted to eDAS: One
is through the use of process flag 7, and the other is Transaction Retrieval.
To use process flag 7, submit a transaction to eDAS with no more than one of
each of the records that are desired. On each record, set the process flag to
7. This instructs eDAS to look for the record in the eDAS database, and
return records that match the criteria sent in. As much or as little of the
record may be sent in, depending on how specific the request is. The only
required fields are insurance_provider, reinsurance_year and insurance_plan_cd
(where applicable). This method is the preferred method for reconciling data
between eDAS and other systems, since it returns only what has been accepted
directly from the eDAS database, and is therefore much faster than Transaction
Retrieval.
The other method of retrieval is to request a range of actual transactions
submitted to eDAS. This is done through Transaction Retrieval. This method
reads the transactions off of disk, and is slower than process flag 7. The
following is a description of the retrieval processes, as well as parameters
that may be used to determine what should be returned.
AGR/AGR Lite and Livestock (2005 and beyond)
HTML POST/GET
URL:
https://online-livestock.rma.usda.gov/apps/edas_service/retrieve.aspx
Filtering Parameters:
start_dt (format mm/dd/yyyy)
end_dt (format mm/dd/yyyy)
start_tm (format hh:mm:ss 24 hour clock)
end_tm (format hh:mm:ss 24 hour clock)
section_name (comma delimited list of sections desired)
start_trans_num (Transaction Sequence Number of first section to be returned)
end_trans_num (Transaction Sequence Number of last section to be returned)
accepted_rejected (A comma-delimited list of character strings. Values may be
A for accepted only, R for rejected only, and B for both accepted and
rejected.)
section_required (A comma-delimited list of character strings. Values may be Y
meaning the section is required or N meaning the section is not required)
process_type (A string that can be either “actual”, “validate”, or “all”.
21
June 28, 2007
FCIC – Appendix III
Designates what type of process flags to return)
include_warnings (A string that can either be Yes (Y) or No (N).
return XML with warnings. Use N to exclude XML with warnings.)
Use Y to
Search Parameters - Searching will return transactions submitted within the
last 90 days that match the following criteria:
transaction_method = Method by which transaction was submitted to eDAS.
Valid values are webservice, webapp or blank.
reinsurance_year
= Reinsurance year of the records desired.
company
= Company listed on the policies related to the
records desired.
insurance_plan_cd = Insurance plan listed on the crop policies related
to the records desired.
policy_number
= Policy number of policies related to the records
desired.
id_number
= ID number of entity or SBI listed on policies
related to the records desired.
location_state
= State listed on policies related to the records
desired.
location_county
= County listed on policies related to the records
desired.
agent_ssn
= Agent SSN listed on crop policies and premiums
related to the records desired.
Example:
https://onlinelivestock.rma.usda.gov/apps/edas_service/retrieve.aspx?start_dt=10/01/2004&end
_dt=10/05/2004§ion_name=agent,policy,crop_policy&transaction_method=webapp
&reinsurance_year=2005&accepted_rejected=A,A,A§ion_required=Y,Y,Y&process_
type=actual and include_warnings = Y
The previous example returns accepted Agents and Policies with or without
warnings from 10/01/2004 through 10/05/2004, where the records were submitted
using the web application and the reinsurance year was 2005. Additionally,
only Policies with at least one accepted crop policy record will be returned.
This search will not return any validate only records (process_flag of 4&5).
SOAP
URL:
https://online-livestock.rma.usda.gov/apps/edas_service/main.asmx
The following web methods exist for retrieval using SOAP:
To retrieve transactions from any date, use the following method.
Transaction getTransaction(DateTime startDateTime, DateTime endDateTime, int
startTransNum, int endTransNum, int startRecNum, int endRecNum, string[]
sectionName, string processType)
startDateTime = A DateTime object representing the start date and time
that you want to retrieve.
endDateTime
= A DateTime object representing the end date and time
that you want to retrieve.
startTransNum = An Integer that represents the first trans_sequence_num
you want to retrieve. 0 for all.
endTransNum
= An Integer that represents the last trans_sequence_num
22
June 28, 2007
startRecNum
endRecNum
sectionName
processType
FCIC – Appendix III
you want to retrieve. 0 for all.
= An Integer that represents the first record number you
want to retrieve. 0 for all.
= An Integer that represents the last record number you
want to retrieve. 0 for all.
= An Array of strings representing the sections you want
to retrieve.
= A String representing what process flags to return.
“All” to return validates and actual records.
To search transactions within the last 90 days, use the following method.
Transaction getTransaction(DateTime startDateTime, DateTime endDateTime, int
startTransNum, int endTransNum, int startRecNum, int endRecNum, string[]
sectionName, string[] acceptedRejected, string[] sectionRequired, string
transactionMethod, string processType, int reinsuranceYear, int
insurancePlanCd, int company, int locationState, int locationCounty, int
idNumber, int policyNumber, int agentSSN)
startDateTime
= A DateTime object representing the start date and
time that you want to retrieve.
endDateTime
= A DateTime object representing the end date and
time that you want to retrieve.
startTransNum
= An Integer that represents the first
trans_sequence_num you want to retrieve. 0 for
all.
endTransNum
= An Integer that represents the last
trans_sequence_num you want to retrieve. 0 for
all.
startRecNum
= An Integer that represents the first record number
you want to retrieve. 0 for all.
endRecNum
= An Integer that represents the last record number
you want to retrieve. 0 for all.
sectionName
= An Array of strings representing the sections you
want to retrieve.
acceptedRejected = An Array of characters representing whether
sections in section name must be A – accepted, or R
– rejected. “B” for both.
sectionRequired
= An Array of characters. Y meaning required, No
meaning not required. Default is No.
transactionMethod = A String indicating the method by which the
transactions desired were submitted to eDAS. Valid
values are webservice, webapp or blank.
processType
= A String indicating what process flags to return.
“Validate” for validate only records, “actual” for
actual records, or “all” for all records. Default
is actual.
reinsuranceYear
= An Integer indicating the Reinsurance year of the
records desired.
insurancePlanCd
= An Integer indicating the Insurance plan listed on
the crop policies related to the records desired.
company
= An Integer indicating the Company listed on the
policies related to the records desired.
locationState
= An Integer indicating the State listed on policies
related to the records desired.
locationCounty
= An Integer indicating the County listed on policies
related to the records desired.
idNumber
= An Integer indicating the ID number of entity or
23
June 28, 2007
policyNumber
agentSSN
includeWarnings
FCIC – Appendix III
SBI listed on policies related to the records
desired.
= An Integer indicating the Policy number of policies
related to the records desired.
= An Integer indicating the Agent SSN listed on crop
policies and premiums related to the records
desired.
= a Boolean indicating whether to include or exclude XML
with warnings. Use true to include warning and false to
exclude warnings.
Note: The second web method is an overload of getTransaction with more
parameters. In the SOAP packet, it will be shown as searchTransaction instead
of getTransaction. This will not affect Microsoft.Net developers, who can
continue to use getTransaction in their code.
24
June 28, 2007
FCIC – Appendix III
SECTION 4
DATA SUBMISSION REQUIREMENTS
DAS SUBMISSION
Monthly submission of data is mandatory through annual settlement if any
activity occurred during the month. All data submitted will be processed
through the DAS as soon as possible. Occasionally, the system will be
unavailable during normal operation hours due to scheduled or emergency
maintenance. Companies will be notified as soon as possible in these cases.
Transmission files between 2 and 1,000,000 records will be automatically
processed during operation hours Monday through Friday. Operation hours for
all reinsurance years are Monday 6:00am to 11:00pm, Tuesday thru Thursday 6:00
am to 2:00am and Friday 6:00am to 8:00pm. Any transmission received after
cutoff or a file that is too large to be completed during the operation hours
will be processed in the next operation period.
Companies must contact RMA prior to submitting transmission files over
1,000,000 records. RMA will schedule these files to be processed, based on
the availability of the operating system. This is required for validation
purposes and to allow time for correction and resubmission of rejected
transactions to FCIC before the monthly cutoff date for processing.
Upon successfully passing all edits, the accepted data is included in the
Monthly Operation Reports generated by the RAS. Failure of data to pass all
reporting and edit requirements in this Appendix may result in such data not
being accepted for payment on the Monthly Operations or Annual Operations
Reports. Data must be electronically transmitted successfully and completely
received by the transaction cutoff date to be included in that week's
transactions. Monthly Operation Reports will be prepared based on data
received and accepted by the transaction cutoff date of the first full week of
the month.
Data must be submitted on a Reinsurance Year basis. The 2008 Reinsurance Year
data would include the following crop year data: 2009 Avocados, 2007 Raisins,
2009 Citrus (Arizona, California, Florida, Texas), 2009 Florida Fruit Trees,
2009 Nursery, 2008 Texas Citrus Trees and all other crops. All data relating
to each respective Reinsurance Year must be included in the same submission,
with separate submissions required for each reinsurance year.
The amount of premium submitted by the AIP cannot exceed the maximum premium
limitation established by Reinsurance Services. With each DAS edit, AIPs will
receive the Year to Date accepted totals report on the .sum report. This
report notifies the AIP of the summary statistics, including premium accepted
as of the stated date on the report. When the percentage has reached 100% of
maximum, RMA will determine whether subsequent edits will be suspended.
Accounting reports will be generated based on data received prior to any
suspension.
eDAS SUBMISSION
A. Data will be processed through eDAS in real-time. eDAS will be
operational 24 hours a day and 7 days a week for certain APPENDIX III
sections with exceptions for maintenance. These are the Agent,
Entity, SBI, Policy, Fund, Crop Policy, Adjuster (if applicable), and
Reviewer (if applicable). The insurance plan will determine the
availability of eDAS for the Premium and Indemnity sections. For
25
June 28, 2007
FCIC – Appendix III
example, the Livestock Risk Protection plan will fail any Premium or
Indemnity records sent during certain hours of the day due to ADM
data unavailability. If maintenance is required, eDAS will be
temporarily shut down, fixes will be migrated into eDAS, and eDAS
will be turned on again. eDAS will be unavailable for processing
data daily from 12:00pm to 1:00am for daily maintenance. If at this
time eDAS is in the middle of processing data, the data not processed
will be rejected.
B. eDAS requires the transmission of APPENDIX III sections in a certain
order. This order by section is as follows: Agent, Entity, SBI,
Policy, Fund (AGR/AGR-L), Crop Policy, Reviewer (if applicable),
Premium, Fund, (Livestock) and Indemnity. If data is sent out of
order, eDAS will send an error back to the AIP in its XML output for
the current transaction. For example, Crop Policy data with an
Agent ID Code must have an accepted Agent section for that Agent ID
code.
C. eDAS does not require the bundling of an entire set of sections for a
policy. For example, once the Agent data has been accepted by eDAS, it
never will have to be sent to eDAS again unless the AIP wishes to update
it. Agent data is not required each time Policy or Premium data is
sent. This also applies to the SBI data. If five SBI records are
required for the Entity, one may be sent today while two more may be
sent next week and the remaining two may be sent in two months from now.
CIMS SUBMISSION
Companies may request insured producer data from the Comprehensive
Information Management System, CIMS. Before CIMS will return any
data to an AIP for a requested insurance policy, the producer’s
policy must have been previously accepted by RMA and loaded into the
CIMS database.
AIPs may request CIMS information by submission of a CIMS Request,
Type 05 Record. The request record will contain fields for the RMA
policy key and the FSA administrative state and county (if needed)
and will be used to retrieve FSA producer and/or crop acreage
information. The request will be performed by matching the RMA
location state and county to the FSA location state and county.
There may be cases where the request must be made based on the FSA
administrative state and county. In these situations, the AIP will
submit the FSA administrative state and county on the request record
and the process will use these values and not the RMA location state
and county. If the AIP request indicates that a statewide
application exists, the returned acreage information will be based on
the RMA location state matching to the FSA location state or matching
to the FSA administrative state if the FSA administrative state is
submitted with the request.
The AIP will be able to request three sets of information for an
insurance policy; producer information for the primary insured,
producer information for primary insured and the reported SBIs,
producer and acreage information for the primary insured.
26
June 28, 2007
FCIC – Appendix III
SECTION 5
A
TELECOMMUNICATIONS
DAS Telecommunication Processing
Electronic transmission is mandatory for submission of data and
dissemination of reports. Electronic transmission provides faster
processing turnaround, and more automated processing of data
submissions and report handling. This method of processing allows
FCIC to direct its resources to error resolution and AIP
processing support functions.
The Federal Crop Insurance Corporation’s (FCIC) Insurance Provider
(IP) Server is a system designed to provide telecommunications
services for all reinsured AIPs and associated organizations which
report to FCIC. In addition to this, the IP Server also supports
connections to FCIC’s SUN system.
•
Each AIP is responsible for obtaining telecommunications
services from any common carrier of their choosing. The
IP Server supports VPN and Dial-up connections to the
RMA IP Server.
All AIP’s will need to complete security form FCIC-586 before a
connection ID can be provided. Once that ID is provided,
connection details are as follows:
With Dial-up, connectivity can be achieved using the following
asynchronous speeds:
•
ITU V.90 industry standard modem speeds up to 56 Kbps
•
Modems should be configured with no parity, 8 data bits,
1 stop bit and full duplex.
With VPN Connections - 2 options are available.
o
Checkpoint Secure Client VPN Connection
Connection must be encrypted with the following
parameters. 3DES Encryption Algorithm, SHA1
Authentication Algorithm, and Pre-Shared Secret as
Authentication Mode.
o
Client workstations use Checkpoint client which is a
free download from the Internet. RMA will provide
connectivity documentation for the initial setup and
connection. On going technical support on the
client's side will be the responsibility of the AIP.
Checkpoint Site to Site VPN Connection
A permanent connection to the public Internet is
required
An industry standard firewall capable of a Site to
Site VPN Tunnel over the public Internet. On going
technical support on the client's side will be the
responsibility of the AIP.
27
June 28, 2007
FCIC – Appendix III
The IP Server can be reached at 1-800-847-3834.
This is a toll-free call available from anywhere in
the continental United States. It currently
operates forty-six (46) on ISDN-PRI (Digital)
service configured as one access group. Any AIP who
chooses may establish a dedicated access to the IP
Server via the above mentioned Site to Site VPN
connection. Those AIPs who wish to have dedicated
access would be required to provide the compatible
equipment as listed above. AIPs considering a
dedicated connection to the IP Server should contact
the System Administration Section before making any
purchases.
All electronic transmissions must be completed by 8:00 PM Friday
CST to ensure the transmission will be included in that week's
transactions. Any electronic transmissions not successfully
completed by 8:00 PM Friday CST will not be accepted for the
current week's transactions.
Except for the maintenance periods, AIP may initiate the
transmission at the AIP’s discretion during operational hours.
This could include multiple daily submissions.
FCIC will retain the option to stop automatic edit processing, at
its discretion. AIPs will still be allowed to continue
transmitting data, although it is not immediately processed
through the DAS. A temporary stop in automatic edit processing
should only occur in case of a DAS processing problem,
maintenance, or when the timing of edit revisions must coincide
with a particular point in time of the submission cycle. In the
event that automatic edit processing is stopped for more than one
hour, the AIPs will be notified when processing has resumed. All
submissions sent during this period will be processed separately
in the order they are received.
All accounting reports must be downloaded by the AIPs via
telecommunications processing. These reports will be made
available on a monthly basis. AIPs may query the
telecommunications facility any time to see if the accounting
reports are ready to be downloaded.
B
DAS Report Handling
All reports, error listings and operations reports will be made
available to the AIP for downloading via the Web Server.
C
EDAS Telecommunications/Security
1.
All eDAS transactions will take place on a web server. A
user id and password are required to use eDAS. These items
will be given to each AIP by RMA upon request. XML data
transfer will take place along a 128-bit SSL link.
Performing a HTTP XML post to eDAS may be done with many
languages including Perl, Java, or Windows Server Com
objects XMLDOM and XMLHTTP.
28
June 28, 2007
FCIC – Appendix III
2.
AIP must submit a FCI-586 to RMA Security for approval.
Upon approval RMA Web Team will establish a Virtual Host on
the Web Server and assign a VPN account. RMA Security will
assign a Web App account.
3.
There are two versions of the web app, Admin and Sales. In
both cases, the web app is secured by 128-bit SSL. The
Sales web app is not restricted to IP address since an agent
could log in from somewhere other than the AIP office. The
Admin web app is secured by the AIP ID and password provided
by RMA (changed every 6 months). The AIP controls the ID
and password of their agents to be used for the Sales web
app. Agents can log into the Sales web app using the ID and
password that is submitted via the agent section. If an AIP
does not provide an ID and password for an agent, that agent
will not have access to the Sales web app. For problems
related to ID or password contact RMA Web Team at 816-9267301 or via email webteam@rma.usda.gov.
URL’s:
POST (SOAP)
Test:
https://online-test.rma.usda.gov/apps/edas_service/main.asmx
Prod:
https://online-livestock.rma.usda.gov/apps/edas_service/main.asmx
POST (without SOAP)
Test:
https://online-test.rma.usda.gov/apps/edas_service/index.aspx
Prod:
https://online-livestock.rma.usda.gov/apps/edas_service/index.aspx
29
June 28, 2007
FCIC – Appendix III
SECTION 6
PROCESSING CONSIDERATIONS
DAS Processing Considerations
A
1. FCIC will maintain Policy Databases which contain the current
net cumulative effect of all transactions for an eligible crop
insurance contract and required supporting data. An eligible crop
insurance contract is identified in the policy database, based on
the following fields, Approved Insurance Provider, Location State,
Policy number and Crop Year. All transmitted records accepted for
a policy fully replaces all previously accepted data for the
eligible crop insurance contract.
2. The Record Type fields: RMA Internal use only, Filler and
Reserved, will be initialized by RMA. AIP transmitted data will
be replaced with appropriate default value and may be overlaid
with RMA Internal values.
B
Acceptable record types and specific handling considerations for
DAS are as follows:
1
Type 5 - CIMS Request Record
Type 5 records are used to request insured producer data from
the Comprehensive Information Management System, CIMS. Type 5
records are not processed by DAS. For 2008, the type 5 record
will be used to retrieve approved FSA producer and/or crop
acreage information from the CIMS. The Type 5 records will be
transferred from the secured RMA IP Server to the CIMS for
processing. The request information, along with the original
request record and status codes outlining success/failure in
the process, will be placed on the RMA IP server returned to an
AIP. The AIP may then extract the CIMS information from the
secured RMA IP server.
2
Type 9 - Fund Designation Record
Timely acceptance of the Type 9 record is required to establish
the eligible crop insurance contract into either the Assigned
Risk or Developmental Fund. Any eligible crop insurance
contract not designated by the AIP to the Assigned Risk Fund or
the Developmental Fund will be designated to the Commercial
Fund.
If an eligible crop insurance contract was established
into a Fund, the policy can be timely transferred to the
Commercial fund by submitting a type 9 record before the Fund
Designation transaction cutoff date for the eligible crop
insurance contract. If a Type 9 record is not accepted for an
eligible crop insurance contract, it will be designated as
commercial. The type code and practice code may be required
for crops with more than one sales closing date to determine
fund designation based on the sales closing date. Type 9
records are submitted for the eligible crop insurance contract
on location state and location county basis. Once a record has
been accepted it does not need to be resubmitted. RMA may
accept fund designations records after the ADM Records have
been released for the crop. Refer to Fund Designation
Guidelines in Exhibit 9-1.
30
June 28, 2007
3
FCIC – Appendix III
Type 10 - Policy Record
Type 10 records are used to establish a policy and provide
information regarding the policyholder and entities with a
Substantial Beneficial Interest, Spouse, Landlord and Transfer
of right to indemnity. A Type 10 record requires at least one
Type 14 record to be submitted with it. The Type 10 record
identifies the data elements required for the timely reporting
of an eligible crop insurance contract.
The DAS requires a Type 10 record with a record number of
"001." This is considered the “primary” insured, and
establishes the contract within the system. If a Type 10 with
a record number of "001" is not submitted, then all records for
the contract will be rejected. DAS will allow a Type 10 record
for each crop year covered under the policy number. All Type
10 records with a record number other than "001" are considered
a Spouse, SBI, Landlord or Transfer of right to indemnity
entities with a SBI in the farming operations of the primary
insured. SBI records are required for the determination of the
timely reporting of an eligible crop insurance contract. If
any Type 10 record is rejected, then all records for the
contract will be rejected. SBI record requirement is based on
the entity type on the primary Type 10 record (See Exhibit 101).
A Type 49 Delete record will remove the policy and all records
for the policy from FCIC’s Databases and Duplicate ISAM files.
4
Type 11 - Acreage Record
Type 11 records are used to establish premium and liability for
each acreage line. The record also identifies the land
location and allows reporting of common USDA information.
Legal descriptions in a section that has a high risk area
designation will receive a warning for partial sections and be
rejected for sections completely within a high risk area
designation.
A Type 11 record will not be accepted until corresponding Type
10, Type 14, Type 15 (if required - See Exhibit 15-4), and Type
17(if required - See Exhibit 17-1) records have been accepted
by the DAS. A Type 11 zero acreage record must be submitted
for zero acres, uninsured acres, no history acres (no APH
records) and units not planted, on the eligible crop insurance
contract. To modify data previously accepted, all current and
valid records for the policy must be resubmitted. A Type 11
record will not be accepted until after the accounting cutoff
preceding the date insurance attaches for the insured
commodity.
Previous Insurance Experience/Premium Adjustment
Insureds may have had favorable insurance experience and earned
premium discounts on some crops provided by previous policy
provisions prior to 1988. The AIP must retain previous
insurance experience, if the insureds have been continuously
31
June 28, 2007
FCIC – Appendix III
insured on the same crop and county in order for the insured to
remain eligible for any favorable insurance discount factor.
For insureds who switch coverage plans or APH coverage levels,
AIP must retain previous insurance experience. The favorable
experience factor is not used for GRP, GRIP, CRC or RA, or when
calculating CAT premium.
5
Type 12 - Payment Record
Type 12 records are used to record/report payments by producers
for each eligible crop insurance contract. Only one Type 12
record per payment type code will be accepted for the contract.
Type 12 transactions may be removed by resubmitting all
applicable records for the crop insurance contract or via the
Type 49 delete record with the exception of payment type ‘02’
or ‘03’.
When reporting CAT fees payments (either money or loss credit)
using the Type 12 record, use the payment type “02”. A CAT fee
receivable must exist before a CAT fee payment is accepted, and
the paid amount for CAT fees cannot exceed the total receivable
amount reported on the Type 65 record. The paid amount for CAT
fees is cumulative. The paid date also must be greater than
the debt delinquency date reported on the Type 65 record. Error
conditions will occur for any of the following: duplicate Type
12 records, a paid date less than or equal to the debt
delinquency date, no match to a receivable, and a paid amount
with a $0 value.
When reporting CAT fee payment reversals using the Type 12
record, use the payment type “03”. The paid amount for
reversals must equal the paid amount reported using payment
type “02”. The paid date must be the same as the paid date
reported on the payment type “02”.
The “03” payment type code is the only way to reverse a CAT fee
payment. Error conditions will occur for any of the following:
duplicate Type 12 records, and the paid amount and/or paid date
do not match the previous “02” payment. The Type 49 delete
record cannot be used to remove a CAT fee payment. Only the
“03” payment type can be used to remove a CAT fee payment.
When reporting state subsidy use payment type code “04”.
6
Type 13 - Inventory Value Record
Type 13 records are used to establish premium and insurance
values for Nursery (0073) and Aquaculture (0116). A Type 13
record will not be accepted until corresponding Type 10 and
Type 14 records have been accepted. In addition, a Type 13
record for Aquaculture (Clams) will not be accepted until
corresponding Type 17 has been accepted. A Type 13 record will
not be accepted until after the accounting cutoff preceding the
date insurance attaches for the insured commodity.
7
Type 14 - Insurance In Force Record
32
June 28, 2007
FCIC – Appendix III
The Type 14 record establishes the crop, county, plan code and
reports the eligible crop insurance contract data determined at
Sales Closing. The Type 14 record identifies the data elements
required for timely reporting of eligible crop insurance
contracts. The type code and practice code may be required for
crops with more than one sales closing date to determine
eligibility based on the sales closing date. Refer to Exhibit
14-1.
8
Type 15 - Yields Record
The Type 15 records are used to record/report APH yield
information for designated crops.
A warning message will be issued to companies when the yield
year is less than 1970.
If a Type 15 record(s) is rejected, the corresponding Type 11
record will be rejected.
9
Type 17 - Land Identifier Record
The Type 17 records are used to record/report up to ten
corresponding legal descriptions and three persons sharing in
the crop for the Type 11 record. A Type 17 record is required
for each 11 or 13 (for Aquaculture - Clams) or 15 (see Exhibit
15-4) record reported.
10
Type 20 - Loss Total Record
Type 21 - Loss Line Record
Type 22 - Inventory Loss Record (Nursery (0073) & Aquaculture (0116))
The Type 21 and 22 Records establish the loss amounts for a
given eligible crop insurance contract and the Type 20 Record
identifies the application or disbursement of loss payments.
AIPs must transmit denied claim records to RMA with all
applicable fields recorded for any claim for indemnity
inspected by a loss adjuster and denied by the AIP thus
resulting in no indemnity payment.
DAS will not automatically accept loss records if the price,
coverage level, or market price indicators are accepted or
modified after the notice of loss, producer signature date or
loss adjuster signature date on the loss records.
Type 20 records are linked by Claim Number to corresponding Type
21/22 records. Therefore, all Type 20 and 21/22 records for an
eligible crop insurance contract from the transaction file will
replace all Type 20 and 21/22 records for the eligible crop
insurance contract on the Policy database.
If a Type 20, 21 or 22 record is rejected, all Type 20, 21 and 22
records for the Claim Number will be rejected. If a Type 11 or
13 record is rejected, the corresponding Type 21/22 records for
the crop are rejected, also all other Type 21/22 records for the
Claim Number(s) of the rejected crop, along with all applicable
33
June 28, 2007
FCIC – Appendix III
Type 20 records for the Claim Numbers of the rejected Type
21/22s.
Optional: An AIP can submit Type 20 losses with loss total code
of ‘D’, Unfunded Escrow, to ensure records clear DAS edits before
sending an ‘E’, Escrow Funded. All loss total codes from the
Type 20 will need to be sent every time because the sum of the
loss totals should equal the indemnity amount on the Type 21/22
records.
Type 20, 21 and 22 Processing: The Type 20 record is submitted
in support of the Payable element in the Type 21 or 22 record.
There are four separate "buckets" which identify the amount of
the check to the insured; and cover any deduction made from the
indemnity, which will be applied to premium on the policy for
current year with the loss (M), premium on another policy for
current year(P), administrative fees (F), other (O), recovery of
a prior or subsequent reinsurance year premium or loss (R) and
Void check (V). The total of any loss application code must be
greater than zero.
One Type 21/22 record is submitted for each loss line. More than
one Type 20 record may be submitted, if needed, to support the
21/22 record(s).
If any of the "Total" fields on the Type 20 Record contain a
"P", the corresponding "P/CR Memo State" and "P/CR Memo Policy
Number" fields must contain the Location State and Policy
Number for current year to which the "P" amount will be
applied.
The RAS will show the generated "P" amounts in the
loss credit column of the summary report on the designated
crop insurance contract.
1
If part of the loss is to be applied to an eligible crop
insurance contract under a different AIP number than the
eligible crop insurance contract with the loss, the
"P/CR Memo Company" field must also be entered. If
"P/CR Memo Company" is not entered (value of 000), DAS
assumes the same AIP number as the eligible crop
insurance contract with the loss and will generate the
loss credit accordingly.
2
Rejected P/CR Memo Posting
If the P/CR Memo Policy does not exist in the database
or the P/CR Memo Policy has zero premium, then the P/CR
Memo posting is rejected. Generated P/CR Memo amounts
will not be allowed to create an overpayment on a
eligible crop insurance contract. Such rejected
postings are printed on a RAS error report titled "P/CR
memo Reject Report." An example of this report is found
in Exhibit 1. This report will be furnished to the AIP
with their Monthly Operations report.
11
Type 25 – Settlement/Arbitration Record
The Type 25 Records establish the settlement amounts for a given
eligible crop insurance contract that will not pass normal DAS
edits and the Type 20 Record identifies the application or
34
June 28, 2007
FCIC – Appendix III
disbursement of loss payments.
Type 20 records are linked by Claim Number to corresponding Type
25 record. Therefore, all Type 20 and 25 records for an eligible
crop insurance contract from the transaction file will replace
all Type 20 and 25 records for the eligible crop insurance
contract on the Policy database
A Type 25 record will not be accepted by DAS until approval has
been given by Reinsurance Services Division to pay the requested
amount.
12
Type 27 – Common Land Unit ID Records
The Type 27 records are used to record/report up to fourteen
corresponding common land unit ids and associated acres for the
Type 11 record. A Type 27 record is optional for each 11
record reported.
13
Type 49 - Delete Records
The Type 49 Records are
eligible crop insurance
Dup ISAM. Only one Type
crop insurance contract
Type 49 Records for the
will be rejected.
used to remove all records for the
contract from the data base(s) and the
49 Record will be processed per eligible
from the transaction file. Subsequent
same eligible crop insurance contract
Type 49 records are processed independently after all other
record types have been processed for the eligible crop insurance
contract.
14
Type 55 - Agent Data
The Type 55 Records are used to record/report agent information.
Type 55 records may be processed independently or with all other
DAS records. This data will be collected by AIP and will be
stored in order to identify agents, provide agent counts for AIP,
and facilitate the creation of the Agent Location Directory. The
agent records on the database are maintained by the AIPs. The
acceptance of Type 11, 13 and 14 acreage records is dependent on
acceptance of a valid agent SSN on a Type 55 record. Each
submission must include the AIP’s cumulative agent file for the
reinsurance year in its entirety. AIPs are to only report
licensed and/or certified agents who are actively participating
in the delivery of FCIC approved products. The accepted agent
records from each submission will replace all previously
submitted agent records. Records will be rejected if the
individual agent is currently disbarred or suspended.
15
Type 56 - Loss Adjuster Data
The Type 56 Record is used to record/report loss adjuster
information.
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June 28, 2007
FCIC – Appendix III
Type 56 records may be processed independently or with all other
DAS records. This data will be collected by AIP and will be
stored in order to identify loss adjusters, provide loss adjuster
counts and facilitate compliance analysis. Each submission must
include the AIP’s cumulative adjuster file for the reinsurance
year in its entirety. The accepted adjuster records from each
submission will replace all previously submitted adjuster
records. The acceptance of Type 21 and 22 loss records is
dependent on acceptance of a valid loss adjuster SSN on a Type 56
record. Records will be rejected if the individual adjuster is
currently disbarred or suspended.
16
Type 57 – Quality Control Reporting Record
The 57 records are to be submitted annually by April 30 following
the crop year for all reviews required to be performed by
Appendix IV.
17
Type 70 - Reverse 70 Detail Record
Type 70 records are submitted semi-annually by AIPs for each
eligible crop insurance contract (see record descriptor) to
reflect the current status of the AIP database. Type 70 records
replace and reinitialize FCIC’s reconciliation database.
18
Type 71 - Reverse 71 Trailer Record
Only one Type 71 record is permitted with each semi-annual
submission of Type 70 records. The counts and amounts (see
record descriptor) are used to validate the summation of Type 70
records received.
19
Type 81 - Policy Holder Tracking Experience Inquiry
Type 81 records are output records that are initiated by the
setting of the Experience Inquiry flag on the Type 14 record
(position 92) for an eligible crop insurance contract. If the
Experience Inquiry flag is a ‘Y’ only the previous year
information will be accessed. If the Experience Inquiry flag is a
‘F’ the previous five years of information will be accessed Both
the one-year and five year inquiries are based on the ID Number
from the associated Type 10 record (position 82) to perform a
search against the data to locate all information for the
producer and any SBI’s for the crop/state/county contained in the
requesting 14 record. The data retrieved is imbedded in the
“body” of the Type 81 record (positions 21 - 331) in the same
field order and format as that specific in the record type. All
Type 10, 11, 14, 15 and 21 records found are returned to the
requesting AIP. The Type 14 record that requested the inquiry is
imbedded in the Type 81 record when: 1) the value of the
Experience Inquiry flag is an invalid value, 2) no prior year
records were found for the producer, or 3) when the producer’s
prior year insurance was with the requesting AIP. RMA may limit
repeated Policy holder tracking requests.
36
June 28, 2007
C
FCIC – Appendix III
INELIGIBLE TRACKING SYSTEM
1
Type 60 Ineligible Producer Input Record
Type 60 records are used to submit information regarding a
producer’s ineligibility status for participation in the crop
insurance program. These records must be submitted in a separate
file from all other record types and placed in the IT Input
directory that has been established for each transmitting AIP on
the IP server. Once per day a process collects all files
transmitted, validates the data submitted and outputs 3 types of
files to the IT Output directory on the IP server : 1) .acp accepted transactions, 2) .rej - rejected transactions and 3)
.err - error codes. The accepted transactions are loaded to the
Ineligible Tracking System database and notification letters are
generated and distributed to the ineligible producers upon their
initial entry into the system for a period of ineligibility.
2
Type 60E - Ineligible Producer Error Record
Type 60E records are generated during the Ineligible Tracking
edit process. They will contain all errors for each Type 60
record that is rejected during the edit process. The file
containing these records is placed in the submitting companies’
IT Output directory on the IP server (.err).
3
Type 61 Ineligible Producer Output Record
Type 61 records are generated from the Ineligible Tracking System
database and output to the IT Output directory on the IP server
for all companies. This file is an accumulation created daily
after each ITS load of ALL producers that have been reported as
ineligible, their period(s) of ineligibility and their current
eligibility status. This also includes persons reported by the
Risk Management Agency for suspension/disqualification/debarment.
4
Type 65 – CAT Fee Receivable Record
Type 65 records are submitted along with Type 60 (Ineligible
Producer) if the debt is all or partially due to unpaid CAT fees.
5
DAS Ineligible Edit Process
The DAS edit process accesses the ineligible tracking system
database to validate policy records. The DAS will reject
eligible crop insurance contracts for a producer if the
applicable sales closing date/termination date for the crop in
the county falls during a period of ineligibility.
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June 28, 2007
FCIC – Appendix III
Consider the following examples:
A. Single Sales Closing Date
• Prior Year Term Date is the same as the Sales Closing
Date
Producer reported as ineligible
o Producer became ineligible on 3/15/1999
o A policy is submitted for a crop with sales closing
date and prior year termination date of 3/15/1999.
The policy would be rejected for that crop since the
sales closing date is greater than or equal to the
date of the ineligibility. If the sales closing date
had been prior to the date of ineligibility, the crop
policy would have been accepted.
Producer reported as ineligible and has become eligible
o Producer became ineligible on 9/30/1998
o Producer became eligible on 3/16/1999
o A policy is submitted for a crop with sales closing
date and prior year term date of 3/15/1999
The policy would be rejected for that crop since the
sales closing date falls within the period of
ineligibility. If the eligible date had been
3/15/1999, the crop policy would have been accepted.
Producer with more than one period of ineligibility
o Producer became ineligible on 9/30/1998
o Producer became eligible on 12/01/1998
o Producer became ineligible on 2/01/1999
o Producer became eligible on 3/15/1999
o A policy is submitted with 3 crops:
• Crop 1 – sales closing date 10/31/1998
• Crop 2 – sales closing date 1/31/1999
• Crop 3 – sales closing date 2/28/1999
The policies for Crop 1 and Crop 3 would be rejected
since the sales closing dates fall within the period
of ineligibility.
The policy for Crop 2 would be accepted since the
sales closing date for that crop falls within a period
of time that the producer is eligible.
•
Prior Year Term Date is later than the Sales Closing Date
o Producer became ineligible on 4/15/2002
o A policy is submitted for a crop with sales closing
date 3/15/2002 and prior year termination date
4/15/2002
The policy would be rejected for that crop since the
prior year termination date is the same as the
ineligible date. The prior year termination date is
used to determine eligibility in this situation
because the producer would unfairly be allowed a
38
June 28, 2007
FCIC – Appendix III
policy for the next crop year if the sales closing
date had been used. If the sales closing date had
been used to determine eligibility, the producer would
have no penalty for not paying for the prior year
policy premium/CAT fees by the term date.
B. Multiple Sales Closing Dates
If the eligible crop insurance contract is a new eligible crop
insurance contract where the producer is ineligible on the first
sales closing date but becomes eligible by the second sales
closing date, then the record for the second sales closing date
will be accepted.
If the eligible crop insurance contract is a continuing eligible
crop insurance contract, then the producer is ineligible for the
crop and the record will be rejected. For a continuing eligible
crop insurance contract, the producer must be eligible on the
first sales closing date to be eligible for the crop for the
submitted crop year.
C. Agent is reported as ineligible
• Agent became ineligible on 09/12/2003.
• Agent becomes eligible on 09/12/2010.
Eligible Crop Insurance Contract 1 - T11 record
agent signature date is 09/10/2003.
Eligible Crop Insurance Contract 2 - T11 record
agent signature date is 9/14/2003.
The agent is eligible for an eligible Crop insurance contract
1 because the agent signature date is before the agent became
ineligible. Additional edits are done to further determine
eligibility.
The agent is ineligible for an eligible Crop insurance contract
2 because the agent signature date falls between the agent’s
ineligible and eligible dates. The T11 record would reject.
D. Loss adjuster is reported as ineligible.
• Loss adjuster becomes ineligible on 12/3/2004.
• Loss adjuster becomes eligible on 12/3/ 2008
Loss 1 – T21 record loss adjuster signature date is
12/08/2004.
Loss 2 – T21 record loss adjuster signature date is
11/30/2003.
The loss adjuster is ineligible for Loss 1 because the loss
adjuster signature date falls between the loss adjuster’s
ineligible and eligible dates.
The loss adjuster is eligible for Loss 2 because the loss adjuster
signature date is before the loss adjuster became ineligible.
39
June 28, 2007
5.
FCIC – Appendix III
DAS Duplicate Edit Process
The duplicate edit process is designed to reject duplicate
eligible crop insurance contracts or identify possible duplicate
eligible crop insurance contracts reported to RMA. The process
determines the ownership of an eligible crop insurance contract
and is based on the definition of a duplicate eligible crop
insurance contract and a possible duplicate eligible crop
insurance contract key. Duplicate or Possible Duplicate eligible
crop insurance contracts are identified by DAS errors and are
reported to companies weekly.
In the case of Duplicate eligible crop insurance contracts (i.e.
same tax id number, tax id type, entity type, location state,
location county, crop code, and type code (grapes only crop code
0052 and 0053)), DAS will determine the owner IP based on
signature date and transferred cancellation fields on the Type 14
record.
If any of the duplicate eligible crop insurance contracts are
indicated as a ‘Transfer and Cancellation’ eligible crop
insurance contract on the 14 record, the Dup process will use the
earliest signature date for the current sales period to determine
ownership. The ‘sales period’ starts the day following the
earliest sales closing date for the previous crop year and
continues through the latest sales closing date for the current
crop year. If none of the duplicate eligible crop insurance
contracts are indicated as being a ‘Transfer and Cancellation’
eligible crop insurance contract, then ownership will be
determined by earliest signature date without regard to the sales
period.
Companies will be notified of Duplicate eligible crop insurance
contracts on a batch transmission basis through the DAS edit
process. In addition, on the first business day following the
transaction cutoff date for weekly data reporting, companies will
be provided a summary report identifying the count of duplicate
policies with another AIP and the number of ownership eligible
crop insurance contracts where another AIP has a duplicate
eligible crop insurance contract.
After the weekly cutoff, the RORYOWN and RORYDUP reports will
be generated from the duplicate eligible crop insurance
contract information captured during DAS processing. For RY
2008 and succeeding years, RMA will remove DAS determined
duplicate crop/county eligible crop insurance contract records
(Type 14 records), in the RORYDUP report, from the Dup ISAM
and the Policy databases.
Once this weekend process is complete, the DAS determined
'owner' eligible crop insurance contract will remain in the DAS
System and should not receive a duplicate error when retransmitted. AIPs must take action to ensure that duplicate
eligible crop insurance contracts listed in the RORYDUP report
are NOT re-transmitted to DAS.
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June 28, 2007
D
FCIC – Appendix III
DAS REPORTS
The Data Acceptance System provides AIPs the following reports,
transmission data files and reference files to assist error resolution and
status.
1. Reports
Summary Report (.sum): provides transactional, financial and error
statistics on each transmission. The report identifies the input file
name, the run date and time, and the received date and time. The
transactional statistical section provides counts by record type of:
submitted; accepted; rejected; and suspended records. The financial
statistical section provides the associated dollar amount of: submitted,
(if a type 97 record is included in the transmission); accepted; rejected;
and suspended records. The error statistics sections lists the error code
and message received and the number of records in error.
Premium and Loss Error Report (.rp2): provides by crop, the dollar amount
of premium and indemnity rejected by error code combination. The number
of records and eligible crop insurance contracts are also listed.
Error Report (.rpt): is a formatted report by eligible crop insurance
contract listing the record(s) and field(s) in error. It identifies the
data in error and what is expected in the field.
2. Transmission Files
Rejected File (.rej): contains the records rejected with errors by DAS
with an additional 50 bytes of data used internally by DAS.
Error File (.err): lists the record key with an error, the error code,
data in error and the expected data.
Accepted File(.acp): contains the records accepted by DAS with an
additional 50 bytes of data used internally by DAS. AIPs may request this
file be placed in their Directory.
Accepted Fund Designation File (.fun): contains the Type 9 records
accepted by DAS with an additional 50 bytes of data used internally by
DAS. This file is provided to AIPs confirming fund designation by RMA.
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June 28, 2007
FCIC – Appendix III
3. Weekly Reports/Files
Duplicate Report Files are put on the IPSERVER every Monday at 12:00pm. They
contain the eligible crop insurance contracts, identified by DAS, as being a
duplicate.
IPRYSUM.TXT – a report file showing duplicate policy and
owner policy summary information for IP/RY.
IPRYDUP.TXT – a data file containing duplicate policy identification
along with owner policy info for IP/RY.
IPRYOWN.TXT – a data file containing owner policy identification along
with duplicate policy info for IP/RY.
The mini-40 reports are put on the IPSERVER every Monday at 12:00pm and on
Tuesday evening at 6:00pm. This report is a listing by policy of the
premium and indemnity with totals, accepted by DAS the previous week.
Written Agreement reports are put on the IPSERVER every Monday at 12:00pm.
Each IP will be provided with two files. A file for their own written
agreement policy data that has been accepted through DAS. The second
file for the written agreements offered by the RMA Regional Office for
that IP. The files are made available to the IP’s via the ‘ip server’
and to the RO’s via the KCSN101 system. The file naming conventions are
‘ipyywaip.txt’ (IP data) and ‘ipyywaro.txt’ (RO data).
4. Reference Files
The Max Yield text files contain the values used by DAS for edits for
the Approved Insurance Providers use. They are put in the Miscellaneous
Files directory on the ftp server on Monday morning and if the files are
updated during the week. It contains the highest yield, the
corresponding maximum warning yield level (beyond which a yield must be
reviewed), the maximum yield allowed and any override value documented
and approved by PDD for each insurable State, Crop, County, Type and
Practice. Default values are provided at the State and Crop level.
The Error Message text files contain the associated text message for the
numeric DAS errors. These files can be found in the Miscellaneous Files
directory by RY.
The Land Location File consists of Public Land Survey identifiers
indexed by state and county, and is a copy of the file used to validate
PLSS identifiers submitted by Approved Insurance Providers on the type
11 and 17 records and on exhibits 135 and 140.
The data in the Land Location File is derived from PLSS spatial data
(i.e. GIS format) collected and maintained by RMA. Modifications are
made (a) when queries from AIP's are validated, and (b) when newer or
more complete PLSS spatial data is acquired for a specific state.
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June 28, 2007
FCIC – Appendix III
eDAS Processing Considerations
A. 1. FCIC maintains all eDAS transactions, which will be stored in an
Informix eDAS database. Exception for new eDAS format, this will be
the most recently accepted transactions stored in an Informix eDAS
database. Once an original, modify, delete, or cancel passes all
edits and therefore is accepted by eDAS, it will be copied to the
Policy database.
2. eDAS does not require the bundling of an entire set of sections
for a policy. Once the data is accepted only the ‘KEY’ and data
being modified will need to be resent. Note - under the new eDAS
format on an update, only the key fields that define the sections are
required plus any changed fields or new sections.
3. Change flag will default to 2 and process flag will default to 1
unless otherwise indicated. A section will inherit the change flag
and/or process flag of the parent section unless set by that section.
Example: .
B. Acceptable sections and specific handling considerations are as
follows:
1 AGENT
The AGENT section (AGR/AGR-L, Exhibit 112) is used to record/report
agent information.
This data will be used by FCIC to identify agents, provide agent
counts for AIP, facilitate the creation of the Agent Location
Directory and FCIC planning purposes. eDAS will separate agencies
for an agent by using the DETAIL_NUM, listed on the APPENDIX III
AGENT section in the DETAIL section. Each DETAIL_NUM represents a
separate agency (i.e. Agent ID Code). Use ‘comma delimited’ to list
multiple directory counties for an agent (Example:
1,2,215). The acceptance of
PRODUCER and PREMIUM are dependent on the acceptance of a valid agent
SSN. Only report licensed and/or certified agents who are actively
participating in the delivery of FCIC approved livestock and AGR/AGRL products. Records will be rejected if the individual agent is
currently disbarred or suspended.
2 ADJUSTER
The ADJUSTER section (AGR/AGR-L, Exhibit 111) is used to record/report
loss adjuster information.
Indemnity section (AGR/AGR-L, Exhibit 151-2)is dependent on
acceptance of a valid loss adjuster SSN. Data will be rejected if the
individual adjuster is currently disbarred or suspended.
3 REVIEWER
The REVIEWER section (Exhibit 116) is used to record/report
reviewer information.
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June 28, 2007
FCIC – Appendix III
For Livestock the AIP is required to review a minimum of 5 percent of
the insurance contracts and 5 percent of indemnified contracts. This
data will be used by FCIC to facilitate compliance analysis. Premium
and indemnity that have been reviewed (flagged) are dependent on eDAS
acceptance of a reviewer. Reviewer SSN reported on premium and
indemnity will be verified against the reviewer database.
4 ENTITY
The Entity section (Exhibit 121) is used to record/report the
producer information.
5 SBI
The SBI section(Exhibit 126) is used to record/report substantial
business interests information related to the entity.
The company is required to collect and report all entities with
significant business interests. This data will include SSN, EIN,
and share of the SBIs.
6 POLICY
The Policy section (Exhibit 122) is used to record/report the
policy number.
7 FUND
The FUND section (Livestock, Exhibit 130 and AGR/AGR-L, Exhibit
131) is used to record/report fund designation information.
Livestock - eDAS will generate initial fund data with fund
designation flag set to ‘C’ (Commercial Fund) when premium is
accepted AIP may designate to Private Market Fund by resubmitting
fund data with flag set to ‘P’ within two Federal workdays after
the acceptance date of premium (fund lockdown date). Example:
premium accepted by eDAS/UCM Monday, lockdown will be Wednesday at
midnight. If change flag equals 3, AIP must submit a request to
Reinsurance Services Division (RSD) for approval.
AGR/AGR-L - The Fund section will be used to designate for the
crop/plan Assigned Risk, Developmental, or Commercial Fund. If a
crop/plan was established into the Assigned Risk or the
Developmental Fund, the crop/plan can be timely transferred to the
Commercial Fund.
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June 28, 2007
FCIC – Appendix III
8 PAYMENT
The PAYMENT section (AGR/AGR-L, Exhibit 124) is used to
record/report payments by producers for each policy. Only one
payment section per payment type code will be accepted for the
policy. When reporting state subsidy use payment type code “4”.
9 CROP POLICY
The Crop Policy section (Livestock, Exhibit 119 and AGR/AGR-L,
Exhibit 123) is used to record/report the crop, insurance plan,
and location county.
A policy cannot be active for both livestock products (LGM and
LRP) for a commodity at the same time within the same reinsurance
year and location state. The existing policy can be cancelled if
the coverage period has ended and the producer wants to insure
another livestock product. Example: Product 1 was purchased for
90 days of coverage. At the end of that coverage the insured can
cancel product 1 and purchase product 2 during the next sales
period.
For AGR/AGR-L, only 1 crop policy per Tax-ID (Entity) nationwide
is allowed. Cannot have both insurance plans.
10 PREMIUM
The PREMIUM section (Livestock, Exhibit 135-0 & 140-0 and AGR/AGRL, Exhibit 151-0) is used to record/report premium and liability
information.
Insurance plan will determine the availability of eDAS and type of
data necessary in submission of premium. Premium is dependent on
eDAS acceptance of agent, entity, SBI (if applicable) and reviewer
(if applicable) and the acceptance by the UCM. Coverage may not
be available if the UCM has been expended. When premium is
accepted eDAS will assign an approval number. If change flag
equals 3, AIP must submit a request to Reinsurance Services
Division (RSD) for approval.
For AGR/AGR-L, all detail information must be submitted each time
any information is updated. The detail section contains
information that’s used in the validation and determination of
premium.
11 DISBURSEMENT
The DISBURSEMENT section (AGR/AGR-L, Exhibit 150) is used to
record/report disbursement information.
12 INDEMNITY
The INDEMNITY section (Livestock, Exhibit 135-2 & 140-2) and
AGR/AGR-L, Exhibit 151-2) is used to record/report indemnity
information.
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June 28, 2007
FCIC – Appendix III
Indemnity is dependent on eDAS acceptance of agent, entity, SBI
(if applicable), premium, reviewer (if applicable), and adjuster
(if applicable). AIP is responsible for determining if an
indemnity is due and submission of data to eDAS for validation and
acceptance. If change flag equals 3, AIP must submit a request to
Reinsurance Services Division (RSD) for approval.
C.
Example of new XML_TEMPLATE for AGR/AGR-L:
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June 28, 2007
FCIC – Appendix III
47
June 28, 2007
FCIC – Appendix III
D. Example of XML_TEMPLATE for Livestock:
48
June 28, 2007
FCIC – Appendix III
49
June 28, 2007
FCIC – Appendix III
E. Example of XML error layout:
F. Example of XML warning layout:
G. Example of XML Disbursement with process flag 1, 2, or 3 where an Indemnity already exists. Automatic
deletion of Indemnity is required:
//Automatic deletion of Indemnity by eDAS
//Any other XML sent by company for this policy
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June 28, 2007
FCIC – Appendix III
H. Example of XML Indemnity with process flag of 3 (delete) causing Disbursements to be set to warnings
automatically by eDAS.
//eDAS automatically does an update on Disbursement(s) and sets them to have warnings.
I. Example of XML message layout:
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June 28, 2007
FCIC – Appendix III
SECTION 7
1
ACCOUNTING CONSIDERATIONS
RAS REPORTS
A
P/CR Memo Reject Report (Exhibit 1)
This report lists all policy record amounts that contain
generated P/CR Memo amounts which were not posted. P/CR Memo
amounts are rejected when the P/CR Memo policy does not exist or
when the P/CR Memo policy has zero premium.
B
Reconciliation Reports (Exhibit 4)
A set of reconciliation reports is generated in addition to the
various error reports whenever there are unusual circumstances
concerning a policy or record type submitted. The purpose of
these reports is to perform a verification or validation of data
on FCIC's database to the most current data received from the
AIP. The AIP should research data appearing on the
reconciliation reports and determine what action needs to be
taken to correct the discrepancies (i.e., delete, correct, in
order to resubmit the records correctly). The amount of negative
financial impact to FCIC will be determined and deducted from the
Monthly/Annual Operations Report. Following are the four
reconciliation reports the AIP may receive:
Discrepancies
Discrepancies
Discrepancies
Discrepancies
of
of
of
of
Premium by Policy
Losses by Policy
Paids by Policy
Loss-Credits by Policy
The Discrepancy reports, are generated when a policy record that
has been submitted by a AIP does not agree with data accepted
into the DAS.
C
RAS Summary Reports
The RAS generates summary reports based on detailed reinsured
contract data submitted by the AIPs each month through DAS. Once
data is received from AIPs electronically, the DAS processes the
data through FCIC edits/validations, and RAS produces the summary
reports. The reports are used to calculate the balance which is
due the AIP or FCIC.
The FCIC Detailed Policy Report shows detail policy-level
information. It feeds information to the Operations Report which
generates grand totals, and consists of the following:
a
Premium
The Premium grand total is developed from the Premium Lines
Record - Type 11 and 13, and is reported as summarized policy
detail for all lines and all crops associated with a policy.
Premium is totaled by Crop Year.
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June 28, 2007
FCIC – Appendix III
b
Paid
The Paid grand total is developed from the Payment Record Type 12 (Payment Type 00) and the RAS currently shows policy
detail for the net paid amount. The paid amount should not
include administrative fees and must be ≥ zero.
The net paid represents the premium collected by the AIP from
the producer (insured). An overpaid amount may exist when a
producer overpaid his premium.
c
d
Loss-Credit
1
The Loss-Credit grand total is derived from the Loss Total
Record Type 20, which consists of M-Memos and P-Credit
Memos. M-Memos are premium amounts due (by producer) that
have been deducted from a loss payment by the producer from
losses received on the same policy. P-Credit Memos occur
when premium due on another policy (in same reinsurance
year) is designated with a "P" in the Type 20 record which
enables the amount to be deducted from a loss payment on
the policy incurring a loss.
2
All other amounts designated in the "1st - 4th Total
Amounts" on the Type 20 record appear as a single line item
entitled "Loss Deductions (F, R, O)" on the Operations
Report.
3
RAS will generate the designated ‘P-Credit Memos’ into the
Loss-Credit column of the Monthly Operations Reports to
eliminate out-of-balance conditions.
4
The sum of each loss deduction code for a policy should
never be less than zero.
5
An overpaid amount may exist when an excessive amount of an
insured’s loss was deducted from his policy.
Subsidy
The Subsidy grand total is the Total Premium minus the
Producer Premium submitted on the Premium Lines Record - Type
11.
e
Losses
The Loss grand total is derived from the Loss Line Record Type 21 or 22, which consists of all losses reported by the
AIP. The losses are reimbursed to the AIP through the
automated escrow process. On a monthly/annual basis, the
total of Total Losses will be compared to the sum of "Losscr., Escrow, and Drafts" and "Loss Deductions (F, R, O)" and
FCIC will pay the lesser amount. FCIC will also adjust the
amount of "Drafts Issued (Escrow)" included in the
Monthly/Annual Summary Report on the line for "Loss-CR,
Escrow and Drafts" to the lesser amount of "Previous Escrow
Funded" or "Less Drafts Issued (Escrow)." This will avoid
any potential overpayments by FCIC on the Monthly/Annual
Summary Reports.
53
June 28, 2007
FCIC – Appendix III
f
Cost Share
The total AGR or AGR-L Cost Share reported as additional
subsidy.
2
The Monthly/Annual Operations Report (see Exhibit 1, page 1)
shows the grand totals of all insurance policies carried by each
AIP and provides the balance due the AIP or FCIC. The remainder
of the entries on the Operations Report are calculated from
entries which the AIP has made on the Premium Due and Premium Due
Without Payments Worksheets or derived from other reports
generated by RAS.
The following provides a description of how each line item on the
Monthly Operations Report is calculated and corresponds to the
lettered line items in Exhibit 1-1. All line items represent
cumulative totals.
a
Net Expense Reimbursement Adjustment - This item represents
administrative expense reimbursement based on a percentage of
total premium on all non-cat crop policies. This item also
includes the CAT loss adjustment expense based on the total
CAT premium. The net installment adjustment is supported by
the FCIC Installment report. Exhibit 1-2. (Section II, B12b of
the SRA)
b
Net Contingency Fund – Sales Reduction, Excess Premium
Penalty, Compliance Penalty and Agreement Termination Penalty
c
Less Premium Collected - Insured's premium collected by the
AIP.
d
Escrow and Drafts 1
Escrow is the lesser of the "Previous Escrow Funded" or the
amount of "Drafts Issued (Escrow)" (See Items u, v).
2
Drafts - represents the amount paid by the AIP for losses
paid to producers if the AIP is not participating in
Escrow. It is determined from Type 20 records which
contain a "D" for drafts.
e
Loss Deductions (F, R, O) - Amounts reimbursed by the FCIC to
the AIP for administrative fees (F), recovery of previous or
subsequent year premium (R), or other (O) to include interest
deduction amounts, which the AIP deducted from their loss
reimbursement request.
f
State Subsidy - The cumulative amount of all state subsidy
based on the 12 record, payment type code = 04.
g
AIP Previous Payment - The cumulative amount of other payments
received by FCIC via electronic transfer to Treasury by the
AIP.
h
FCIC Interest Paid - The cumulative total of all interest paid
to AIPs by FCIC for late payments, etc.
i
Litigation Expense
54
June 28, 2007
FCIC – Appendix III
j
Administrative Fee Adjustment - Net fee due FCIC supported by
supplemental administrative fee reports. Exhibit 1-3.
k
Reduction Due to Reconciliation Report Differences - Net
reduction amount based on unreconciled differences from
reconciliation reports that have a negative financial impact
to FCIC.
l
FCIC Interest/Penalty - This item represents interest or
penalty assessed against the AIP.
m
FCIC Determined Overpaid - Any overpayments that FCIC has made
to the AIP.
n
FCIC Previous Payment - The cumulative amount of all payments
made to the AIP by FCIC for the current Reinsurance Year.
o
Escrow Funded - This line item represents the escrow amount
the AIP has been funded. The total is summed up to the
current cutoff date of the Monthly Operations Report.
p
Paid Previous Worksheets - Amounts paid to FCIC on previous
worksheets.
q
Underwriting Loss - This line item represents the loss taken
from the "Reinsurance Run" report. This amount is a
calculation of the AIP’s loss based on entries made in the
Appendix II, together with the Standard Reinsurance Agreement
applicable to each respective Reinsurance Year. The report is
a summation of reinsured data displayed the fund, state and
national (grand total) levels.
r
Aquaculture Underwriting Loss - This line item represents the
loss taken from the ‘Aquaculture Reinsurance Run’ report.
s
Subtotal - The total of lines preceding this line from the
FCIC Due/Paid Column on the Operations Report.
t
Total from Current Worksheet - This item represents the
combined total from the Premium Due and Premium Due Without
Payments Worksheets.
u
Balance Due AIP (+), FCIC (-) - The total balance due the AIP
or FCIC.
v
Previous Escrow Funded - This line item represents the amount
of escrow the AIP has been funded, and is reported here when
FCIC issues the funds to the AIP. The total is summed up to
the current cutoff date of the Monthly Operations Report.
w
Less Drafts Issued (Escrow) - This item represents the amount
of checks issued to producers for losses, and is accumulated
from an "E" that was validated and accepted in the DAS from
the Type 20 record.
x
Escrow Balance - This item represents the difference between
the "Previous Escrow Funded" line and the "Less Drafts Issued
(Escrow)" line.
55
June 28, 2007
3
FCIC – Appendix III
The following describes how each line item on the Annual
Operations Report is calculated, and corresponds to the lettered
line items in Exhibit 1-3. All line items represent cumulative
totals.
a
Expense Reimbursement Adjustment - This item represents
administrative expense reimbursement based on a percentage of
total premium on all non-cat crop policies less the reduction
for Late Sales Reductions. The CAT loss adjustment expense
which is based on the total CAT premium. The net installment
adjustment is supported by the FCIC Installment report.
b
Net Contingency Fund –(Section II B12b of the SRA) Sales
Reduction, Excess Premium Penalty, Compliance Penalty and
Agreement Termination Penalty
c
Less Premium Collected – Insured’s premium whether or
not collected by the AIP.
d
Loss-CR, Escrow and Drafts 1
Escrow is the lesser of the "Previous Escrow Funded" or the
amount of "Drafts Issued (Escrow)" (See Items v, w).
2
Drafts - represents the amount paid by the AIP for losses
paid to producers if the AIP is not participating in
Escrow. It is determined from Type 20 records which
contain a "D" for drafts.
3
Loss Credits
e
Loss Deductions (F, R, O) - Amounts reimbursed by the FCIC to
the AIP for administrative fees (F), recovery of previous or
subsequent year premium (R), or other "O" to include interest
deduction amounts, which the AIP deducted from their loss
reimbursement request.
f
State Subsidy - Cumulative amount of all state subsidy.
g
Subsidy - Cumulative amount of subsidy.
h
Cost Share - Cumulative amount of AGR or AGR-L cost share
assistance.
i
AIP Previous Payment - The cumulative amount of other payments
received by FCIC via electronic transfer to Treasury by the
AIP.
j
FCIC Interest Paid - The cumulative total of all interest paid
to AIPs by FCIC for late payments, etc.
k
Litigation Expense
l
Net Administrative Fee Adjustment - Net fee due FCIC supported
by supplemental administrative fee reports.
Less Reduction Due to Reconciliation Report Differences - Net
reduction amount based on unreconciled differences from
reconciliation reports that have a negative financial impact
to FCIC.
m
56
June 28, 2007
FCIC – Appendix III
n
FCIC Interest/Penalty - This item represents interest or
penalty assessed against the AIP.
o
FCIC Determined Overpaid - Any overpayments that FCIC has made
to the AIP.
p
FCIC Previous Payment - The cumulative amount of all payments
made to the AIP by FCIC for the current Reinsurance Year.
q
Escrow Funded - This line item represents the escrow amount
the AIP has been funded.
r
Paid Previous Worksheets - Cumulative interest from any
worksheets.
s
Underwriting Gain/Loss - This line item represents the
gain/loss taken from the "Reinsurance Run" report. This
amount is a calculation of the AIP’s gain/loss based on
entries made in the Appendix II, together with the Standard
Reinsurance Agreement applicable to each respective
Reinsurance Year. The report is a summation of reinsured data
displayed at fund, state and national (grand total) levels.
t
Aquaculture Underwriting Gain/Loss - same as above except
‘Aquaculture Reinsurance Run’.
u
Subtotal - The total of lines preceding this line from the
FCIC Due/Paid Column on the Operations Report.
v
Total from Current Worksheet - Normally this item represents
the total from the Premium Due Without Payments Worksheets;
however, there is an exception for those companies which had
deferred premium. For those companies, on the 1st annual
report only, a Premium Due Worksheet calculating interest
should also be included in this total.
w
Balance Due AIP (+), FCIC (-) - The total balance due the AIP
or FCIC.
x
Escrow Funded - This line item represents the amount of escrow
the AIP has been funded, and is reported here when FCIC issues
the funds to the AIP. The total is same as ‘p’ above.
y
Less Drafts Issued (Escrow) - This item represents the amount
of checks issued to producers for losses, and is accumulated
from an "E" that was validated and accepted in the DAS from
the Type 20 record.
z
Escrow Balance - This item represents the difference between
the "Escrow Funded" line and the "Less Drafts Issued (Escrow)"
line.
57
June 28, 2007
D
FCIC – Appendix III
RAS Summary Reports – Adjustments for Livestock
Summary reports are generated based on detailed reinsured contract
data submitted by the AIPs each month through eDAS. The reports
are used to calculate the balance which is due the AIP or FCIC.
1
The FCIC Livestock Detail Report (LADR001)(EXHIBIT 9-1) shows
detail policy-level information. It feeds information to the
Livestock Operations Report, which generates grand totals, and will
include the following for Livestock:
A Premium
The Premium grand total is developed from the Livestock Premium
Data Identifier and is reported as summarized policy detail for all
lines associated with a policy.
B Subsidy
The Subsidy grand total is developed from the subsidy information
submitted on the Livestock Premium Data Identifier and is reported
as summarized policy detail for all lines associated with a policy.
C Losses
The Loss grand total is derived from the Livestock Indemnity data
identifier, which consists of all losses reported by the AIP.
2
The Monthly Livestock Operations Report (LRCP001)(Exhibit 9-2) shows
the grand totals of all insurance policies carried by each AIP and
provides the balance due the AIP or FCIC.
A
The following provides a description of how Livestock will
be reflected on the Monthly Livestock Operations Report.
1)
Net A&O Subsidy - 24.5% Administrative and Operating
Subsidy.
2)
AIP Previous Payment – The cumulative amount of other
payments received by FCIC via electronic transfer to
Treasury by the AIP.
3)
FCIC Interest Paid – The cumulative total of all interest
paid to AIPs by FCIC for late payments.
4)
Litigation Expense - Any Litigation expense owed the AIP.
5)
FCIC Previous Payment – Cumulative total of all ‘Balance Due
Company’ amounts from all prior months reports.
6)
FCIC Interest/Penalty - Interest or Penalty assessed against
the AIP.
7)
FCIC DET Overpaid - Offline (manual) corrections by the AIPs
for overpaid indemnities.
8)
Livestock Settlement – This line represents the livestock
adjustment supported by the Livestock Settlement Report
(Exhibit 9-3 - new).
9)
Balance Due Company/FCIC – The total balance due the AIP or
FCIC.
58
June 28, 2007
2
FCIC – Appendix III
INTEREST CALCULATION
The AIP will be charged interest in the following cases: Late payments of
the balance due on Monthly/Annual Operations Reports, overpayment by FCIC
of losses or expense reimbursements, increases in the Premium Due Without
Payments Report, and on Premium Variations and on uncollected premiums not
paid which are reported on the Premium Due Worksheet. The AIP will pay
FCIC interest at the annual fixed rate of 15%. (See Exhibit 6).
A
If the balance due FCIC on the Monthly/Annual Operations Report is
not received by the last banking day of the month, via electronic
transfer to FCIC's account at Treasury, interest will attach from the
day following the last banking day of the month and will be charged
through the day funds are received at Treasury.
B
The AIP will repay, with interest, any amount paid to the AIP by FCIC
which is subsequently determined by FCIC or the AIP, to have been not
due to the AIP, such as overpaid indemnities or excessive expense
reimbursements. Interest begins accruing based on the date of the
Final Determination letter. (See Interest Calculation Example 2).
C
Increases in premium amounts for a crop contract which occur after a
billing date are reported on the Premium Due Without Payments Report.
Interest on these increased amounts will accrue from the first of the
month following the AIP Payment Date, and will accrue through the end
of the month for the monthly report on which the increase was
included.
D
The AIP will pay interest on any uncollected premiums if the
uncollected premiums are not paid to FCIC by the month following the
month of the billing date. Interest will attach on any uncollected
premiums from the first of the month following the month of the
billing date. A full month's interest will be charged for any month
or portion of a month that the uncollected premiums are not paid to
FCIC. (Exhibit 1)
E
All payments are subject to post audit by FCIC.
59
| File Type | application/pdf |
| File Title | Microsoft Word - ACT_NARR.doc |
| Author | julie.carew |
| File Modified | 2007-06-28 |
| File Created | 2007-06-28 |