Download:
pdf |
pdfUnited States
Department of
Agriculture
Federal Crop
Insurance
Corporation
RISK MANAGEMENT
AGENCY Appendix III to the
Standard Reinsurance
Agreement and the Livestock
Price Reinsurance Agreement
Risk Management
Agency
2012 REINSURANCE YEAR
Product Analysis
and Accounting
Division
APPENDIX III
March 1, 2012
RISK MANAGEMENT AGENCY
KANSAS CITY, MO
TITLE: RISK MANAGEMENT AGENCY
Appendix III to the Standard Reinsurance
Agreement and the Livestock Price
Reinsurance Agreement
NUMBER: APPENDIX III TO THE
STANDARD REINSURANCE AGREEMENT
EFFECTIVE DATE: March 1, 2012
ISSUE DATE: March 1, 2012
SUBJECT:
OPI: Product Analysis and Accounting Division
Provides the standards, instructions and
information for reporting Approved
Insurance Provider (AIP) data to the Risk
Management Agency/Federal Crop Insurance
Corporation
APPROVED: March 1, 2012
Deputy Administrator, Product Management
Reason for Issuance
This Appendix is being issued to provide standards, instructions and information for electronic data
reporting of policyholder, commodity and other information submitted by AIPs as required by the
Standard Reinsurance Agreement, Livestock Price Reinsurance Agreement or other Risk Management
Agency (RMA) policy and procedures.
TABLE OF CONTENTS
Page No.
Part 1
General Information and Responsibilities
1
General Information ......................................................................................................................1
2
Responsibilities .............................................................................................................................3
3
System Overview..………………………………………………………………………………4
4-10 (Reserved)
Part 2
PASS Submission, Telecommunications and Processing Considerations
11
PASS Submission Requirements ..................................................................................................7
12
Telecommunications ...................................................................................................................20
13
Processing Considerations ..........................................................................................................22
14
PASS Reports ………………………………………………………………………………..40
15-20 (Reserved)
Part 3 Accounting
21
Accounting Processing Considerations.......................................................................................42
22
Accounting Reports ....................................................................................................................47
23
Escrow Reconciliation… ……………………………………………………………………..52
24
Application of Paids and Loss Credits…………………………………………………………55
25
Book of Business
Reconciliation…………………………………………………………………………….……….56
26-30 (Reserved)
March 2012
RMA-Appendix III
TC1
Exhibits
1
FCIC Settlement Reports
Monthly Settlement Report………………………………………………1-1
Monthly Settlement Report (2012 and subsequent) ………………………………1-1A
FCIC Installment Report……………………………………………….……............1-2
FCIC State Reimbursement Report……………………………………………….…1-3
Annual Settlement Report……………………………………………….1-4
FCIC Fee Report……………………………………………….……........................1-5
FCIC Accounting Detail Report (Excluding CAT) …………………………………1-6
FCIC Accounting State Total Report (Excluding CAT) ……………………………1-7
FCIC Accounting Grand Total Report (Excluding CAT) ……………………………1-8
FCIC Accounting Detail Overpaid Report (Excluding CAT) ………………………1-9
P/CR Memo Reject Report……………………………………………….…….........1-10
Interest Calculation Examples……………………………………………….….1-11 & 12
2
Detail Accounting and Administrative Fee Reports
CAT Coverage Fees Reports……………………………………………….……..… 2-1
CAT Coverage Fees Report by State……………………………………………….…2-2
CAT Coverage Fees Receivable Report………………………………………………2-3
Additional Coverage Administrative Fee Summary Report……….……………........ 2-4
3
Reinsurance Run State Recap Reports FCIC Reinsurance Run……
3-1
Reinsurance Run RO Recap Reports FCIC Reinsurance…………………………3-2 & 3
March 2012
RMA-Appendix III
TC2
4
Reconciliation Reports
Annual Reconciliation Reduction Worksheet……………………………..……........ 4-1
PASS Discrepancies of Premium by Policy……………………………………..…
4-2
SBOB Discrepancies of Premium by Policy…………………………………………4-3
SBOB Discrepancies of Losses by Policy…………………………………………... 4-4
5
FCIC Administrative Reduction Reports
Administrative Reduction Report – Late Reported Reduction……………………… 5-1
6
Premium Due Worksheets
Premium Due Worksheet……………………………….…………………………..…6-1
Premium Due Worksheet Example……………………………………………….……6-2
Premium Due Worksheet – Deferred Example………………………………………6-3
Premium Due Without Payments Worksheet…………………………………………6-4
Premium Due Without Payments Worksheet Example………………………………6-5
7
Instruction Guide for Funds Transfer, Deposit, Message to Treasury……………………7-1 & 2
8
Escrow Register……………………………………………………………….……………… 8-1
Escrow Register YTD Summary……………………………………………….……...............8-2
9
RAS Summary Reports – Adjustments for Livestock
Monthly Livestock Settlement Report…………………………………………….…9-1
FCIC Livestock Detail Report……………………………………………….……..9-2
Livestock Settlement Report……………………………..………………………..... 9-3
State Livestock Reimbursement Report………………………………………………9-4
March 2012
RMA-Appendix III
TC3
PASS Record Descriptors (Note PASS Record Descriptors available with this release of
Appendix III are on the RMA public website and serve as a baseline for further ITM
development. Record descriptors contained on the ITM extranet site can be accessed by AIP ITM
team members as needed and provide the most up-to-date decisions/modifications being made
during development and testing of the record descriptors in accordance with the timelines set
forth in the ITM project plan.)
2012 Administrative Fee Schedule
05
CIMS Request Record – Type C05……………………………………………………......… 5-0
CIMS Status Codes Exhibit ……………………………………………………...….………. 5-1
09
Fund Designation Record – Type P09…………………………..…………………………... 9-0
Fund Designation Guidelines Exhibit……………………………………………….…….... 9-1
10
Policy Producer – Type P10………………………………………………………………… 10-0
Policy Producer Address – Type P10A…………………………………………………….. 10A
Policy Producer Other Person – Type P10B………………………………………………… 10B
Entity ID Type Table ………………………………..………………..……………….…… 10-1
11
Acreage Record – Type P11………………………………………………………………… 11-0
Non Premium Acreage Reporting Requirements Exhibit………………………………….. 11-1
Commodity Processing Flow Diagram Exhibit……………………………………………. 11-2
Peanut Processing Fields Exhibit ………………………………………………………….. 11-3
Prevented Planting Guarantee Adjustment Factor Exhibit ………………………………… 11-5
Acreage Report Acceptance Dates Exhibit ………………………………………………… 11-6
Seed Cycle Code Exhibit …………………………………………………………………… 11-7
Price Election Amount Rounding ………..………………………………………………… 11-8
Plan 01-02-03 Premium Calculation ………………………………………………………. 11-1
Plan 04-05-06-13-14 Premium Calculation ………………………………………………... 11-2
Plan 40 Premium Calculation ……………………………………………………………… 11-3
Plan 41 Premium Calculation ……………………………………………………………… 11-4
March 2012
RMA-Appendix III
TC4
Plan 47 Premium Calculation ……………………………………………………………… 11-5
Plan 50 Premium Calculation ……………………………………………………………… 11-6
Plan 51 Premium Calculation ……………………………………………………………… 11-7
Plan 55 Premium Calculation ……………………………………………………………… 11-8
Plan 90 Premium Calculation ……………………………………………………………… 11-9
12
Payment Record – Type P12 ……….……….………....…………………………….………12-0
13
Inventory Value Record – Type P13 …………………..…..……..…….………………….. 13-0
Nursery Insurable Plant Types Exhibit …………………………………………………….. 13-2
Non Premium Inventory Reporting Requirements Exhibit ……………………………….. 13-3
Plan 43 Premium Calculation ……………………………………………………………… 13-1
Plan 50 Premium Calculation ……………………………………………………………… 13-2
14
Insurance in Force Record – Type P14 …………………………………………………….. 14-0
Commodities Allowing Multiple Insurance in Force P14 Records Exhibit ……………….. 14-1
Duplicate Policy Exhibit ………………………………………………………………….
14-2
Edits for Common Options Requirements …………………………………………………. 14-3
Commodities Not Allowing CAT Coverage Exhibit ………………………………………. 14-5
15
Yield Record – Type P15 ….…………………………………………………………..…… 15-0
Yield History Record – Type P15A ……………………………………………………….. 15A
Yield Type Master Exhibit …………………………………………………………………. 15-1
Yield Type by Commodity Exhibit ………………………………………………………… 15-2
Yield Option Code List Exhibit ……………………………………………………………. 15-3
Yield Limitation Code Exhibit …………………………………………………………….. 15-4
Yield Indicator Code Exhibit ……………………………………………………………..
15-5
16–19 Reserved………………………………………………………………………… 16-0 Thru 19-0
20
Loss Total Record – Type P20 ……………………………………………………………. 20-0
Disbursement Record – Type P20A ……………………………………………………….. 20A
March 2012
RMA-Appendix III
TC5
21
Production Loss Detail Record – Type P21 ……………………………………………….. 21-0
Plan 01 Indemnity Calculation …………………………………………………………….. 21-1
Plan 02-03 Indemnity Calculation ………………………………………………………….. 21-2
Plan 04-05-06-13-14 Indemnity Calculation ………………………………………………. 21-3
Plan 40 Indemnity Calculation …………………………………………………………….. 21-4
Plan 41 Indemnity Calculation …………………………………………………………….. 21-5
Plan 47 Indemnity Calculation …………………………………………………………….. 21-6
Plan 50-51 Indemnity Calculation ……………………………………………………..…... 21-7
Plan 55 Indemnity Calculation …………………………………………………………….. 21-8
Plan 90 Indemnity Calculation …………………………………………………………….. 21-9
22
Inventory Loss Detail Record – Type P22 …………………………………………………. 22-0
Plan 43 Indemnity Calculation …………………………………………………………….. 22-1
Plan 50 Indemnity Calculation …………………………………………………………….. 22-2
23–26 Reserved………………………………………………………………………… 23-0 Thru 26-0
27
Land Record – Type P27 ………………………………………………………………….. 27-0
Land Other Person Sharing Record – Type P27A ………………………………………….. 27A
28-47 Reserved………………………………………………………………………… 28-0 Thru 47-0
48
Record Type Delete – Type P48 …………………………………………………………… 48-0
49
Policy Delete Records – Type 49…………………………………………………………… 49-0
51
Conflict of Interest Record – Type P51 ……………………………………………………. 51-0
54
Employee Record – Type P54 ……………………………………………………………… 54-0
55
Insurance Agent Record – Type P55 ………………………………………………………. 55-0
Insurance Agent Agency – Type P55A …………………………………………………….. 55A
Insurance Agent Servicing State – Type P55B ……………………………………………... 55B
56
Adjuster Record – Type P56………………………………………………………………... 56-0
57
Quality Control Reporting Record – Type P57…………………………………………….. 57-0
March 2012
RMA-Appendix III
TC6
58
Notice of Loss Record – Type P58 …………………………………………………….…… 58-0
59
Reserved ………………………………………………………………………………….......59-0
60
Ineligible Producer Input Record – Type 60 ……………………………………………..… 60-0
Ineligible Transaction Flag Values Exhibit ……………………………………………..….. 60-1
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
Ineligible 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
Book of Business – Type P70……………………………………………………………… 70-0
71-80 Reserved…………………………………………………………………...……. 71-0 Thru 80-0
81
Policy Holder Tracking Experience Inquiry – Type P81 Output Format ………………... 81- 0
82-89 Reserved…………………………….……………………………..…………….. 82-0 Thru 89-0
90
Batch Summary Statistics – Type P90…………………………………..…….…………… 90-0
Batch Summary Record Counts – Type P90A ……………………………………………...90A
Batch Summary Rule Counts – Type P90B …………………………………………………90B
91
Duplicate Policy – Type P91 ………………………………………………………………..91-0
97
2012 Data Flow Diagram………….……………………………………………………..….97-0
98
Unknown Record Type – Type P98Z ……………………………………………………….98-0
99
Exception Record – Type P99Z ……………………………………………………………..99-0
99A
Commodity Type Exhibit – Type P99A …………………….………………………….... 99A-0
99D
Abbreviations – Type P99D ………..……………………………………………..…........ 99D-0
99E
FIPS State Code – Type P99E…..………………………………………………………… 99E-0
99F1 Insurance Plan Codes List – Type P99F1………………………………………………….99F1-0
March 2012
RMA-Appendix III
TC7
99F2 Insurance Plan Code List Conversion – Type P99F2..…………………………………...99F2-0
100
Weekly Transaction Cut-off Dates ……………………………………………………….. 100-1
101
Fund Cutoff and LRR Dates ……………………………………………………………… 101-1
102
Acronyms …………………………………………………………………………………..102-1
103
ICE File Crosswalk ………………………………………………………………………. . 103-0
104 – 109 Reserved
eDAS Exhibits
111
Adjuster…………………………………………………………………………………… . 111-0
112
Agent………………………………………………………………………………………. 112-0
113
Employee………………………………………………………………………………….. 113-0
116
Reviewer…………………………………………………………………………………… 114-0
118
Conflict…………………………………………………………………………………….. 115-0
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 ………………………………………………………………………………..131-0
135
LRP Premium……………………………………………………………………………… 135-0
LRP Premium Calculations…………………………………………………………………135-1
LRP Indemnity…………………………………………………………………………….. 135-2
LRP Indemnity Calculations………………………………………………………………. 135-3
March 2012
RMA-Appendix III
TC8
140
LGM Premium…………………………………………………………………………….. 140-0
LGM Premium Calculations………………………………………………………………. 140-1
LGM Indemnity……………………………………………………………………………. 140-2
LGM Indemnity Calculations……………………………………………………………… 140-3
150
Disbursement (of Loss Payment)………………………………………………………..…150-0
151
AGR/AGR-L Farm Report / Premium…………………………………………………..…151-0
AGR/AGR- L Liability/Premium Calculations………………………………………….... 151-1
AGR/AGR-L Indemnity ………………………………………………………………….. 151-2
AGR/AGR-L Indemnity Calculations……………………………………………………...151-3
March 2012
RMA-Appendix III
TC9
Part 1
1
General Information and Responsibilities
General Information
A. Purpose and Objective
RMA relies on information provided by the AIP, by third-party affiliates, and by policyholders when
making determinations relating to crop insurance, including determinations relating to the provision
of reinsurance, premium subsidy and A&O subsidy on eligible crop insurance contracts. Further, this
information submitted by the AIP is gathered at the policyholder level by third-parties, such as agents
and loss adjusters or other affiliates of the AIP, and is subject to regulations, policies and procedures
developed by RMA, USDA, and other Federal agencies.
This Appendix provides standards, procedure and instructions for reporting AIP data to RMA/FCIC.
The objectives include, but are not limited to:
providing a means of validating data to provide reasonable assurance that reimbursements are
made based on accurate and timely information.
maintaining detailed contract information at RMA
enhancing the quality and availability of data at all levels
B. Source of Authority
Federal programs enacted by Congress and the regulations and policies developed by RMA, USDA
and other Federal agencies with applicable regulatory control provide the:
Authority for program and administrative operations
Origin for RMA calculation of A&O subsidy, reinsurance and risk sharing.
March 2012
1
RMA Appendix III
Authority for managing the Policy Acceptance and Storage System and eDAS is authorized by:
Standard Reinsurance Agreement (SRA) and supporting Appendices
Livestock Price Reinsurance Agreement (LPRA)
RMA issued procedures
Regulations promulgated under the:
Federal Crop Insurance Act
System of Records Notice
Basic provisions and endorsements
Debt Collection and Improvement Act
C. Related Handbooks and Reference Materials
This table references related handbooks/reference materials and their relation/purpose.
Related Handbooks/
Reference Material
Relation/Purpose
Provides cession limits, maximum premium volume, states in
which the company is authorized to write business, and other
Appendix II to the SRA selected criteria required by the SRA .
Appendix IV to the SRA Provides requirements for monitoring the quality control
program
Crop Insurance
Provides procedures for reporting information from producers
Handbook
Document and
Provides standard forms and procedures for collecting
Supplemental
information from producers
Standards Handbook
Loss Adjustment
Standards Handbook
Provides collection and reporting procedures for claim
information
Written Agreement
Provides procedures for modifying terms and conditions of the
Handbook
ADM or other issued policy and procedure
March 2012
2
RMA Appendix III
Ineligible Handbook
Underwriting Guides
Bulletins
Other Program
Handbooks and
Standards
4-RM
Provides procedures for identification and tracking of ineligible
producers
All underwriting guides published on RMA‟s website
(www.rma.usda.gov)
Applicable bulletins and informational memorandum published
on RMA‟s website (www.rma.usda.gov)
All other program handbooks and standards published on
RMA‟s website (www.rma.usda.gov)
Provides procedures and guidance to FSA State and County
Offices, RMA, and Approved Insurance Providers for
improving Federal Crop Insurance Program compliance and
integrity as required by the Agricultural Risk Protection Act of
2000 (ARPA)
D. Issuances and Revisions
1. This appendix will be issued annually reflecting detailed reporting requirements for eligible crop
insurance contracts and other supporting information applicable to each Reinsurance Year in
accordance with the SRA/LPRA and Appendices. A DRAFT will be issued by May 10th
preceding the reinsurance year for comment, including general PASS requirements, proposed or
major processing enhancements, known policy and procedural changes, fund designation
requirements and LRR determination process. AIPs will have 21 days to comment to the draft.
The approved Appendix III will be issued by June 30, preceding the reinsurance year, and will be
approved quarterly, as needed.
2. Revisions to this appendix and to PASS 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:
March 2012
a.
Clarifications that do not change the format or values of the reporting requirements,
b.
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
c.
Corrections to the reporting requirements to meet the existing terms and conditions of the
Act, FCIC regulations, and/or procedures.
3
RMA Appendix III
3. Any new or proposed requirements revisions will be available for comment for a period of 14
calendar days. FCIC generally will work with the AIPs 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. Explanation will be provided stating the reason a particular change was
initiated, implemented or rejected.
a. Changes will be implemented after the accounting cut-off date following the 14 day
comment period, except in situations involving material monetary impact.
4. The SRA, except as provided therein, Act, regulations in 7 C.F.R. Chapter IV, regulations and
procedures listed in Section 1 B and C of this Appendix, and the applicable eligible crop
insurance contract and procedures take precedence over Appendix III for servicing requirements.
5. The appendix is maintained electronically via the RMA Home Page. The RMA Website address
is:
http://www.rma.usda.gov/data
Click on APPENDIX III, Data Reporting Requirements.
6. Provisions for approved and draft versions of the Appendix III for multiple reinsurance years are
available.
a. The approved version contains the current Appendix III that has been approved by FCIC.
b. The draft version contains proposed changes for review and comment.
A. Draft versions will be watermarked DRAFT and changes will be highlighted
when possible.
B. AIPs will be notified of changes to the DRAFT version on the PASS Status
Report and/or on the “Read me” page.
E. Implementing FISMA Information Security Standards and Guidelines
1. As required by SRA Section IV(a)(4), the company may utilize existing information technology,
audits and security approaches currently determined by and required of the company to demonstrate
that Protected Information and records are being secured and protected from non-disclosure. The
company must engage a process designed to achieve the minimum security requirements for FIPSMarch 2012
4
RMA Appendix III
199 moderate-impact security objectives for each of their systems that contain protected information
or interact with a Federal information system.
2. FIPS 200, Minimum Security Requirements for Federal Information and Information Systems, lists
the mandatory federal standards developed by NIST in response to FISMA. To comply with the
federal standard, the company must derive the information system impact level for a FIPS-199
moderate-impact security category, and then apply the appropriately tailored set of baseline security
controls in NIST Special Publication 800-53, Security Controls for Federal Information Systems and
Organizations. The Company may apply the baseline security controls in accordance with the
guidance provided in Special Publication 800-53, tailoring the relevant security control baseline so
that it most closely aligns with their mission and business requirements and environments of
operation.
3. An organizational assessment of risk must be conducted to validate the initial security control
selection and determine if any additional controls are needed to protect organizational operations
(including mission, functions, image, or reputation), organizational assets, individuals, other
organizations, or the Federal Crop Insurance program. The resulting set of security controls
establishes a level of security due diligence for the Company.
4. The company may utilize existing audits, assessments and security standards required of the company
to achieve equivalent security results as required in FIPS 200 and Special Publication 800-53.
F. Incident Reporting
Loss of Protected Information or Personally Identifiable Information, either suspected or confirmed
breached, shall be reported in writing (e-mail is acceptable) to the RMA Chief Information Security
System Office (ISSO) or the RMA Chief Information Officer (CIO), in accordance with SRA Section
IV.(a)(5). A telephone notification is also desired.
March 2012
5
RMA Appendix III
2
Responsibilities
The following table references the Entity, Function and Responsibilities related to submitting and
processing data through PASS.
Entity
RMA
Function
Waivers &
Revisions
Responsibilities
Responsible for ensuring the AIP has met all their responsibilities, and
approval or disapproval when requesting waiver of:
fund designation lockdown dates/modifications to fund designations
A&O subsidy reductions for LRR
RMA
RMA
Reporting
Reimbursement
Responsible for:
providing updates to FCIC reporting guidelines
performing duties and validations of AIP submitted data as outlined
in the “Formats/Edits” portion of this Handbook
determining data reporting requirements, validation edits, files and
standards
maintaining and administering databases and other storage media
used by PASS
maintaining and timely releasing to AIPs the Insurance Control
Elements (ICE) validation files referenced herein
preparing and providing error reports to the AIP designee containing
data not passing all edits and validations specified by FCIC
updating/maintaining reinsurance data in the policy and accounting
databases
providing technical assistance in error resolution
responding within 7 business days to a properly completed PASS
error report
generating reconciliation reports/data
generating accounting reports/data
processing premium due report data upon receipt of the certified
report/worksheet when received by the due date for monthly
reporting
generating revised monthly settlement reports after current
worksheets are updated by the AIP
Responsible for reimbursement of the following in accordance with Part
3 of this Appendix:
losses
administrative subsidies
gain sharing
interest
March 2012
6
RMA Appendix III
AIP
AIP
March 2012
Reporting
Accounting
and Reporting
Systems
Responsible for taking actions to ensure timely and accurate data
submission to FCIC, including but not limited to submission of:
accurate and detailed eligible crop insurance contract data and other
supporting information (e.g., CIMS, COI, Agency/Company
employee, etc.) to FCIC in the format prescribed in this Appendix
properly completed PASS error reports to DQB, after analysis or for
guidance in correcting rejected data that is present on the PASS error
listing
data corrections or reporting necessary to timely resolve
reconciliation differences both financial in nature or as required
under 4-RM and ARPA, as specified in Appendix IV
electronic loss data for escrow funding
certified hard copy or electronic monthly/annual settlement reports
(recap and worksheets), and all other supporting reports (e.g.,
premium due worksheets) by reinsurance year
producer premium payment information by the accounting cut-off
date for the calendar month after collection
Responsible for ensuring that program and accounting systems have
the capability to report information at a “point in time”, and the
ability to fall back to a previous point in time when necessary for
reporting purposes.
Responsible for assuring for proper and timely servicing of insured
producers accounts, including timely remittance of refunds, generally
within 30 days of the financial event that created a credit balance
7
RMA Appendix III
3
System Overview_______________________________________________________________
A.
PASS Overview
1. PASS and RAS are two integrated data processing systems. PASS receives and performs
validations on transmitted data. Data validated by PASS is loaded to RMA databases.
Together they provide RMA with a mechanism to provide reasonable assurance that data
received is accurate, that errors are corrected timely, that information contained on Monthly
Settlement Reports certified by the AIP are accurate for the validated data, and appropriate
accounting entries are made in RMA‟s Financial Accounting Systems. An overview of these
two systems follows.
a. Data supplied to FCIC for an AIP is processed through PASS. The data is checked for
proper reinsurance year format. All transmitted data that is accepted will replace
previously accepted data on a policy level.
b. Validations are performed on submitted transactions for data accuracy and compliance
with policy, procedure and processing requirements. The PASS performs required
edits on each transaction to the extent practical before rejecting a transaction. Upon
completion of editing, a 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 completes.
c. Error processing is the validation that occurs from the record submission process and
provides the AIPs a way to track and resolve errors that occur both within the file
submission process and within the records submitted.
d. As part of the PASS/RAS operations, an AIP will be required to reconcile data
contained within their systems with data submitted to and accepted by RMA. As a
means of assisting the AIPs in reconciling their systems with PASS, RMA will return
both AIP and RMA calculated values in rejected and accepted records for each batch
submitted.
e. The DQB provides operation support for the PASS and eDAS systems. All questions
regarding data distribution reporting and validation should be addressed to the AIP‟s
DQB representative.
March 2012
8
RMA Appendix III
See Exhibit 97 for a chart displaying the flow of data from AIPs to RMA
B. eDAS Overview
1. eDAS is a real time system operating in a web environment designed to edit transmitted data
from AIPs. AIPs will send data in Extensible Markup Language (XML) format to be
processed by eDAS or use RMA‟s web application to input required information to eDAS.
After performing a series of edits on the data, an SML transmission with all input data
received from the AIP and 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 return transmission.
2. eDAS will perform a series of edits on the current data. The type of data and edits performed
will be outlined later in Appendix III. Edits are done in a series of steps. If any step fails, no
other edits beyond the current step will be done.
a. First, basic edits are done. Some of these edits include a required check, optional
check, numeric check, alphabetic check and validity of codes check.
b. Next, conditional rules apply. These rules apply to Appendix III tags that will only be
present based on the value of other Appendix III tags.
c. 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.
d. Calculation validation edits are performed to determine if the AIPs calculated values
match RMA‟s calculated values.
e. Post processing Rules are performed as the final step, and include checking the
Underwriting Capacity Manager (UCM)
f. RAS will be used to generate accounting reports containing AIP data processed by
eDAS. Data will be taken directly from the database to feed RAS.
4-10 (Reserved)
March 2012
9
RMA Appendix III
Part 2
11
PASS Submission, Telecommunications and Processing Considerations
PASS Submission Requirements __
A. PASS Submission
1. Monthly submission of data is mandatory through annual settlement if any activity occurred
during the month. All data submitted will be processed through PASS 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 3,000,000 records will be automatically processed during
operations hours Monday through Friday. Operation hours for all reinsurance years are Monday
6:00 a.m. to 11:00 p.m., Tuesday through Thursday, 6:00 a.m. to 2:00 a.m. and Friday 6:00 a.m.
to 8:00 p.m. 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.
a. The Company is limited to submitting data through automated systems for 3 years
following the first annual settlement for the reinsurance year. Settlement of claims still in
litigation, arbitration, or any administrative proceeding more than 3 years after the first
annual settlement for such reinsurance year must be reported to FCIC and will be
processed manually following the resolution of such action
i. Unless otherwise permitted by FCIC in this Appendix, the Company may not
submit estimated data for the purpose of establishing premium, liability, or
indemnity.
b. “Transaction cutoff date” for weekly data reporting is 8:00 p.m. central time on Friday of
each calendar week as shown in Exhibit 100-1, Weekly Transaction Cutoff Dates. A
calendar week begins with Sunday and ends with Saturday. Any date that falls on a
Saturday will use the preceding Friday as the transaction cutoff day.
c. “Transaction cutoff date” for monthly data reporting is 8:00 p.m. central time on Friday
after the first Sunday of the month.
d. RMA may deviate from submission reporting requirements when necessary to ensure
accurate and timely data processing. Deviations from stated reporting requirements may
March 2012
10
RMA Appendix III
occur only in cases of material monetary discrepancies created by the processing of
inaccurate or untimely data.
2. 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 transaction cutoff date for monthly data reporting.
3. In order to correctly process files delivered by the AIPs to the FTP server, the file structure must
submit the 2 digit AIP Code, 4 digit reinsurance year, and 1 digit application code. For example:
AIP Code
Reinsurance Year
Application Code
Submit File Format
XX
2012
P
XX2012P.ZIP
The file formatting rule applies only to the file submitted to the FTP server. Each ZIP file must
contain only one file within it. There are no format rules for the name of the file contained within
the ZIP file. All data must be pipe-delimited, with no extra pipe at the end of the line. All fields
requiring a sign (+/-) will be noted with a leading “S” in the “Format” column. This sign will be
included in the Maximum Length field. Example: S9999.99
4. All files are immediately date/time stamped when they land on the FTP server. Once an AIP
submits a file to the individual “Upload” folder the FTP service performs the following checks:
FILE SUBMISSION CHECKS
Zip file is invalid
More than one file is inside Zip
Zip file name does not contain the correct
AIP code
If corrupt and cannot be opened, it is
moved to the common upload folder
with a dot-BADZIP extension
File is moved to the common upload
folder with a dot-BADZIP extension.
If the name of the Zip file does not
contain the AIP Code indicated in the
UserID, the file is moved to the
common upload folder and the name
of the file is modified to indicate that
the file is invalid with a dot-BADAIP
extension.
5. Upon completion of processing, output files are returned to the common download folder for the
AIP.
March 2012
11
RMA Appendix III
RETURN ZIP FILE
Return Zip File Name
RETURN ZIP FILE CONTENTS
Processed Records File Name
Exception Record File Name
Summary Record File Name
Duplicate Policy Record File Name
Unknown Record File Name
XX2012P0003.zip
XX2012P0003.txt
XX2012P0003Exception.txt
XX2012P0003Summary.txt
XX2012P0003Duplicate.txt
XX2012P0003Unknown.txt
a. The P98Z and P99Z Exception records are contained in the Exception output file. These
records contain codes to identify the reason for the exception.
P98Z (Unknown record) Unknown Reason Codes
Unknown record Unknown Reason Codes identify the reason why a record could
not be processed. A matching row for the P98Z will be found in the Unknown
output file.
Reinsurance Year does not match the
Unknown Reason Code 1
Reinsurance Year on the batch file
name
AIP Code does not match the AIP
Unknown Reason Code 2
Code on the batch file name
Record Type not in list of accepted
Unknown Reason Code 3
Record Type Codes (by Reinsurance
Year)
Record has too few delimiters for the
Unknown Reason Code 4
Record Type
Record has too many delimiters for
Unknown Reason Code 5
the Record Type
One or more record columns exceed
allowable maximum width. The
P98Z exception record contains a
field called “Overflow Columns” that
contains the index of all fields in the
input record that were too large to fit
into their associated staging table.
The index is 1-based, and indicates
Unknown Reason Code 6
the position in the current row where
the field was too large. If it has more
than 1m rows or any single row is
greater than 500 characters, it is
considered a malformed file and the
entire batch is dumped. The zip file
will contain a single P98Z record
which will have the name of the
March 2012
12
RMA Appendix III
submitted file as it exists in the AIPs
upload folder. If the number of
records exceeds the maximum
allowed the file is considered
malformed and the Malformed Batch
code contains a malformed file, “M”.
If any single row exceeds the
maximum allowed length the batch is
considered malformed and the
Malformed Batch Code contains a
Malformed Row, “R”.
Submission date of the record type is
outside of the valid submission start
date or end date.
Unknown Reason Code 7
P99Z (Exception record) Process Result Codes
Exception record Process Result Codes identify the status of the processing for
that record. When record level rules are validated, the field name and number
will be left blank and the Rule ID will contain the number of the record level error
that has occurred.
A
Accepted
Rejected, but with an established
K
LRR, or Escrow Fund recorded as
appropriate
M
Message
R
Rejected
W
Warning
S
Suspended
6. Upon successfully passing all edits, accepted data will be included in the Monthly Settlement
Reports generated by 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 Settlement and
Annual Settlement Reports. Data must be electronically transmitted successfully and completely
received by the transaction cutoff date to be included in that week‟s transactions. Monthly
Settlement Reports will be prepared based on data received and accepted by the transaction cutoff
date for monthly reporting.
7. Data must be submitted on a reinsurance year basis. The 2012 Reinsurance Year data would
include the following crop year data:
a. 2013Avocados
b. 2011 Raisins
c. 2013 Citrus (Arizona, California, Florida and Texas)
March 2012
13
RMA Appendix III
d. 2013 Florida Fruit Trees
e. 2013 Nursery
f. 2012 Texas Citrus Trees and all other crops
8. All data relating to each respective Reinsurance Year must be included in the same submission,
with separate submissions required for each reinsurance year.
9. The amount of premium submitted by the AIP cannot exceed the maximum premium limitation
approved by RSD. With each PASS edit, AIPs will receive the Year-to-Date accepted totals on
the .sum report. This report notifies the AIP of the summary statistics, including premium
accepted as of the report date. When the percentage has reached 100% of maximum premium
limitation approved by RSD, RMA will determine whether subsequent processing will be
suspended. Accounting reports will be generated based on data received prior to any suspension.
10. Eligible crop insurance contracts may be accepted any time up to the February monthly cutoff
date following the reinsurance year. Thereafter, policies will be rejected if they are originally
submitted after the February cutoff date. If a situation arises that causes the AIP to be unable to
meet this cutoff, justification may be submitted to the DQB representative for RMA review to
determine if a waiver is appropriate.
11. Fund Designation
b. AIPs may designate eligible crop insurance contracts with an accepted Type 9 record to
the Assigned Risk Fund by the fund designation cutoff date. AIPs may remove previously
assigned Assigned Risk Fund designations on eligible crop insurance contracts by the
fund cutoff date, as shown in Exhibit 101-1 Fund Cutoff and LRR Dates. All eligible
crop insurance contracts not designated to the Assigned Risk Fund will automatically be
placed in the Commercial Fund. Fund designation cutoff dates will be determined for
eligible crop insurance contracts as follows:
i. 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 PASS by
the weekly transaction cutoff date for the week including the 30th calendar day
after the sales closing date.
ii. 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 funds
are:
March 2012
14
RMA Appendix III
1. 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.
2. For carryover policies, the transaction cutoff date for the week containing
the 30th calendar day after the sales closing date.
iii. For written agreements requiring annual FCIC approval or for the initial year of an
eligible crop insurance contract associated with a written agreement only,
(excluding Written Agreement types GP, HR, NL, SP, UA), the Type 9 record
must be accepted by PASS by the weekly transaction cutoff date for the week
including the 30th calendar day after the RMA written agreement approval date
(Print Date.)
iv. 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 transaction cutoff date for the week including
the 30th calendar day after the applicable date.
v. If the actuarial documents or ADM have more than one sales closing date 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.
1. 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
transaction cutoff date for fund designation for the spring crop.
vi. If an “Added-county” block is used on applications and/or contract change forms
in accordance with the Document and Supplemental Standards and Crop Insurance
Handbooks, 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 provisions on the “insurance in force” record (Type 14.)
March 2012
15
RMA Appendix III
1. Subsequent counties established under the “Added-county” procedure and
transmitted to PASS 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.
2. Only category B crops (excluding Forage Production) qualify for addedcounty.
3. Subsequent counties can be added after Fund designation cutoff if an
insured does not have an interest in any other crop in the added county.
4. 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.
vii. High Risk Ground, or specialty types of soybeans and barley may be excluded
from a revenue plan of insurance and insured under a yield based plan of
insurance. Fund designations for policies excluded from a revenue plan of
insurance may be different than the primary/revenue plan fund designation.
viii. When RMA approves alternate crops, the Type 9 record must be accepted by
PASS by the weekly transaction cutoff date for the week including the 60th
calendar date after the RMA approval date.
c. AIPs are to notify their DQB representative via e-mail immediately of any problems or
issues that may impact previously accepted eligible crop insurance contract data or which
prevents timely acceptance of data.
d. Livestock price insurance contracts accepted by the UCM must be designated to the
Private Market Fund within two Federal business days of the acceptance date of the
contract by FCIC.
12. Determination of LRR Transaction Cutoff Date
a. Exhibit 101-1 contains a modified Sales Closing Date to accommodate sales closing dates
falling on a non-business day. It also contains an Extended Sales Closing Date if RMA
extends a sales period. If there is not a modified or extended sales closing date only the
sales closing date will be shown. PASS uses the latest Sales Closing Date to calculate
LRR and fund cutoff dates (this would be the latest possible date), as shown in exhibit
101-1 Fund Cutoff and LRR Dates.
March 2012
16
RMA Appendix III
ii. The Type 10 and 14 records identify data elements required for timely reporting of
an eligible crop insurance contract. The late change date field will reflect the date
of the batch where one or more of these elements were changed. If the company
resubmits the 14 record back to the data elements reported by the lockdown date,
PASS will reverse the reduction to the lockdown reduction percentage. The
company may request a manual change to a data element locked down by the
PASS system in error by emailing the requested change and all documentation to
their representative in the Data Quality Branch. The Data Quality representative
will review and research the request and provide the facts to the Data Quality
Branch Chief who will review the request and documentation and make a
recommendation. The recommendation will be sent to the Director of the
Reinsurance Services Division who will approve or deny them.
b. The LRR transaction cutoff date will be determined for eligible crop insurance contracts
in accordance with the SRA, except for those eligible crop insurance contracts meeting the
following conditions:
1. RMA approved written agreements excluded from LRR cutoff
determination under Section IV(b)(6) of the SRA
High Rate Area
Acreage not harvested or planted in prev.
year
Listing Reconsideration for Tobacco 2005
Small Grains Interplanted
Seed Potato acreage > 12%
Written Unit Agreements
Unrated Land
(HR)
(NB)
(TL)
(SG)
(SP)
(UA)
(UC)
iii. 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 LRR
determination as the designated primary county contract.
iv. 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
March 2012
17
RMA Appendix III
LRR transaction cutoff date, unless the type or practice is reported to indicate the
specific SCD.
B. eDAS Submission
1. 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. Appendix III
sections available in the operational hours listed above, are 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 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 12:00 p.m. to 1:00 a.m. for daily
maintenance. If at this time eDAS is in the middle of processing data, the data not processed will
be rejected.
2. eDAS requires the transmission of Appendix III sections in a certain order. This order by section
is as follows:
a. Agent,
b. Entity,
c. SBI,
d. Policy,
e. Fund (AGR/AGR-L),
f. Crop Policy,
g. Reviewer (if applicable)
h. Premium,
i. Fund (Livestock), and
j. Indemnity
i. 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.
3. 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. For example, 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.
March 2012
18
RMA Appendix III
4. AIPs will indicate the type of transaction currently being sent to eDAS using the Appendix III
fields process flag and change flag.
a. Process Flag indicates whether the transaction is an original, a modification, a deletion, a
validation, a quote, a retrieval, cancel or re-instate as defined below.
Transaction Type
Original
Modification
Deletion
Validation
Quote
Retrieval
Cancel
Reinstate
Function
First Time Entry. All edits will apply
Update to an existing record. Key fields and the updated
values are required. All other fields will be ignored.
Marks the currently accepted record as removed. Key fields
will be required for the delete. All other fields will be
ignored.
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.
Only performed on sections associated with corporate
calculation 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.
Indicates an AIP is requesting the information.
Indicates an AIP is requesting the information to be
canceled. Not applicable for AGR/AGR-L.
Indicates an AIP is requesting the information be reinstated
(reverse the use of cancel (flag 8)). Not applicable for
AGR/AGR-L.
b. Change flag of 1, 2 or 3 required on an update transaction only and indicates the level of
change authority associated with the record. Only fields with a level of change less than
or equal to the change flag may be modified. For a Change Flag of 3, the AIP must
submit a request to RSD for approval.
i. Only the latest eDAS transactions will be stored in the 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. 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.
ii. Quote or validation transactions will not be stored in the eDAS database or written
to the Web server.
March 2012
19
RMA Appendix III
5. eDAS Retrieval Process
a. There are two ways of retrieving data that has been posted to eDAS:
i. Process Flag 7 – 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.
1. 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 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:
a. insurance_provider,
b. reinsurance_year,
c. insurance_plan_cd (where applicable).
ii. Transaction Retrieval
1. Request a range of actual transactions submitted to eDAS. This method
reads the transactions off of the disk, and is slower than using the Process
Flag 7. 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 subsequent)
HTML POST/GET
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 (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 (Comma delimited list of character strings.)
March 2012
20
RMA Appendix III
Values may be Y, section required, or N meaning section not required
process_type (string that can be either “actual”, “validate” or “all”)
Designates what type of process flags to return.
Include_warnings (string that can be either yes (Y) or no (N))
Use Y to return XML with warnings, N to exclude XML with warnings.
Search Parameters
(returns transactions submitted in the last 90 days matching the following criteria
Method by which transaction was submitted to eDAS. Valid values are webservice,
transaction_method
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://online_livestock.rma.usda.gov/apps/edas_service/retrieve.aspx?start_dt=10/01/2010&end_dt=10/05/2010
§ion_name=agent,policy,crop_policy&transaction_method=webapp&reinsurance_year=2012&accepted_rej
ected-A,A,A§ion_required=Y,Y,Y&process_type=actual and include_warnings = Y
Will return accepted Agents and Policies with or without warnings from 10/01/2011 through 10/05/2011, where
the records were submitted using the web application and the reinsurance year was 2012. 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
https://online_livestock.rma.usda.gov/apps/edas_service/main.asmx
Retrieve transactions from any date, using the following method. Transaction getTransaction(DateTime
startDateTime, DateTime endDateTim, 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.
An Integer that represents the first trans_sequence_num you want to retrieve. 0 for
startTransNum
all.
An Integer that represents the last trans_sequence_num you want to retrieve. 0 for
endTransNum
all.
startRecNum
An Integer that represents the first record umber you want to retrieve. 0 for all.
March 2012
21
RMA Appendix III
endRecNum
sectionName
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
processType
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
An Integer that represents the first trans_sequence_num you want to retrieve. 0 for
startTransNum
all
An Integer that represents the last trans_sequence_num you want to retrieve. 0 for
endTransNum
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
An Array of characters representing whether sections in section name must be A –
acceptedRejected
accepted, or R – rejected. “B” for both.
sectionRequired
An Array of characters. Y meaning required, N meaning not required. Default is
N.
A string indicating the method by which the transactions desired were submitted to
transactionMethod
eDAS. Valid values are webservice, webapp or blank.
A string indicating what process flags to return. “Validate for validate only
processType
records, “actual” for actual records, or “all” for all records. Default is actual.
reinsuranceYear
An integer indicating the reinsurance year of the records desired
An integer indicating the Insurance Plan listed on the crop policies related to the
insurancePlanCd
records desired.
An integer indicating the company listed on the policies related to the records
company
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
An integer indicating the ID number of entity or SBI listed on policies related to the
idNumber
records desired
policyNumber
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
agentSSN
to the records desired
A Boolean indicating whether to include or exclude XML with warnings. Use
March 2012
22
RMA Appendix III
includeWarnings
“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.
iii. The three web methods to allow for eDAS offline processing are described below:
Allows an AIP to send XML offline. The trans_sequence_num is returned to
sendOfflineTransaction
the user
Allows an AIP to poll eDAS using the trans_sequence_num to determine if
eDAS has finished processing. A return value of “True” is returned if eDAS
getOfflineTransactionStatus is finished. A return value of “False” is returned if eDAS is still processing
the transaction.
An overload of getTransaction allows an AIP to retrieve XML using the
getofflineTransaction
trans_sequence_num as its only input parameter.
6. Report/submit the number of insurance contracts and indemnified contracts required by Appendix
IV to be reviewed. Flag contracts that are reviewed.
C. CIMS SUBMISSION
1. Companies may request insured producer data from 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.
2. 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 tax id(s) accepted for the policy and the state and county are used to match to the FSA
information. 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.
3. The AIP will be able to request information for an insurance policy;
a. producer information for the primary insureds, including spousal information
March 2012
23
RMA Appendix III
b. producer information for primary insureds and the reported SBIs
c. up to 5 years of acreage information for the primary insureds including spousal information.
12 Telecommunications_______________
A.
PASS Telecommunication Processing
1. 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 RMA to direct its
resources to error resolution and AIP processing support functions.
2. RMA‟s Insurance Provider Server (IP Server) is a system designed to provide data transmission
services for all AIPs and associated organizations which report to RMA. In addition to this, the
IP Server also supports connections to RMA‟s 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 IP Server.
3. All AIPs 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:
Dial-Up – Connectivity can be
achieved using
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.
VPN Connections – 2 Available Options
Connection must be encrypted with the following
parameters. 3DES Encryption Algorithm, SHA1,
Authentication Algorithm, and Pre-Shared Secret as
Authentication Mode
Checkpoint Secure Client
Client workstations use Checkpoint client which is a
free download from the Internet. RMA will provide
connectivity documentation for the initial setup and
connection. Technical support on the client‟s side
will be the responsibility of the AIP.
A permanent connection to the public Internet is
Checkpoint Site to Site VPN
required
Connection
An industry standard firewall capable of a Site to Site
VPN Tunnel over the public Internet. Technical
March 2012
24
RMA Appendix III
support on the client‟s side will be the responsibility
of the AIP.
4. 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.
5. Except for the maintenance periods, AIP may initiate the transmission at the AIP‟s discretion
during operational hours. This could include multiple daily submissions.
6. RMA 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 PASS.
A temporary stop in automatic edit processing should only occur in case of a PASS 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.
B. PASS 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.
2.
March 2012
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.
25
RMA Appendix III
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 816-926-7301 or via email
webteam@rma.usda.gov.
4.
URL’S
POST (SOAP)
Test
https://online-test.rma.usda.gov/apps/edas_service/main.asmx
Production
https://online-livestock.rma.usda.gov/apps/edas_service/main.asmx
POST (W/O SOAP)
Test
https://online-test.rma.usda.gov/apps/edas_service/index.aspx
Production
https://online-livestock.rma.usda.gov/apps/edas_service/index.aspx
13 Processing Considerations_______________________________________________________
A.
PASS Processing considerations
1.
RMA 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, AIP,
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.
RMA Internal use only and Filler record type fields will be initialized by RMA. AIP
transmitted data will be replaced with appropriate default value and may be overlaid with RMA
Internal values.
3.
Acceptable record types and specific handling considerations for PASS are as follows:
Type 5 Record
CIMS Request
March 2012
Type 5 records are used to request insured producer data from
CIMS. Type 5 records are not processed by PASS. 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
26
RMA Appendix III
Type 9 Record Fund
Designation
Type 10 Record,
10A, 10B Policy
Records
transferred from the secured 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 IP server returned to an AIP. The AIP may then extract the
CIMS information from the secured IP server.
Timely acceptance of the Type 9 record is required to establish the
eligible crop insurance contract into the Assigned Risk Fund. Any
eligible crop insurance contract not designated by the AIP to the
Assigned Risk Fund will be automatically designated to the
Commercial Fund. If an eligible crop insurance contract was
established into the Assigned Risk Fund, the policy can be
automatically established in the Commercial fund by deleting the
Assigned Risk Fund designation before the Fund Designation
transaction cutoff date for the eligible crop insurance contract. If a
Type 9 Assigned Risk 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.
Type 10 records are used to establish a policy and provide
information regarding the policyholder and entities with a SBI,
Spouse, Landlord and Transfer of right to indemnity.
For the 2012 and subsequent Reinsurance Years, the Approved
Insurance Providers (AIPs) will be required to utilize the Internal
Revenue Service (IRS) e-Services Taxpayer Identification Number
(TIN) matching applications to verify the TIN for all new or
transferred insurance policies. IRS e-Services users must register to
have access to web-based products that include TIN Matching
applications. To register for IRS e-Services, the AIP must visit the
IRS e-Services at the following link:
http://www.irs.gov/taxpros/article/0,,id=109646,00.html and follow
the directions on the website. The TIN Matching system is
accessible 24 hours a day, 7 days a week. Support services include
an on-line tutorial to assist customers with the registration,
application, and TIN Matching process. IRS e-Services customer
assistance is available toll-free at 1-866-255-0654, 7:30 a.m. to 7:00
p.m., EST, Monday through Friday.
A Type 10 record requires at least one Type 14 record to be
submitted with it. The Type 10 record identifies the data elements
March 2012
27
RMA Appendix III
required for the timely reporting of an eligible crop insurance
contract.
The PASS requires a Type 10 and 10A record. This is the
“primary” insured, and establishes the contract within the system.
If a Type 10 is not submitted, then all records for the contract will
be rejected. PASS will allow a Type 10 record for each crop year
covered under the policy number. All Type 10B records are
considered a Spouse, SBI, Landlord or Transfer of right to
indemnity entities with a SBI in the farming operations of the
primary insured. 10B Other Person 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 10-1).
Type 11 Record
Acreage
Type 12 Record
Payment
A Type 49 Delete record will remove the policy and all records for
the policy from RMA‟s Databases and Duplicate files.
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 27(if
required - See Exhibit 27-1) records have been accepted by the
PASS. 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 monthly cutoff preceding the date insurance attaches for
the insured commodity.
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 fee 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
March 2012
28
RMA Appendix III
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.
Type 13 Record
Inventory Value
Record
Type 14 Record
Insurance In Force
Record
March 2012
When reporting state subsidy use payment type code “04”, when
applicable.
When reporting Financial Assistance Program use payment type
code “06”, when applicable.
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 127 has been
accepted. A Type 13 record will not be accepted until after the
monthly cutoff preceding the date insurance attaches for the insured
commodity.
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. To avoid incurring LRR, an
Insurance In Force, "P14" with the following elements must be
accepted before the LRR Cutoff Date: AIP Code, Location State
Code, Policy Number, Commodity Code, Commodity Year,
Insurance Plan Code, Location County Code, Coverage Type Code,
Late Reported Reason Code, Dual Coverage Flag, Contract
Carryover Flag, Coverage Level Percent, Price Election Percent,
29
RMA Appendix III
Type 15, 15A
Records
Yield
Yield History
and Price Indicator Code.
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.
Type 20, 20A Type
21 and Type 22
Records
Loss Total
Loss Line Record
Inventory Loss
Record (Nursery &
Aquaculture)
A Yield "P15" record, must be accepted before a Yield History
"P15A" record, will be accepted.
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.
PASS 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 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 PASS 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
March 2012
30
RMA Appendix III
support of the Payable element in the Type 21 or 22 record. There
are multiple "buckets" which identify the breakdown of the
indemnity amount:
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)
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),PASS assumes the same AIP number as the eligible
crop insurance contract with the loss and will generate the loss
credit accordingly.
2
Type 27, 27A
Records
Land ID
March 2012
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 Listing." An example of this report is
found in Exhibit 1-10. This report will
be furnished to AIP with their Monthly Settlement report.
By the February accounting cutoff following the RY, each AIP is to
report 50% of the total additional coverage acreage for insurance
plans 01, 02, and 03, at the CLU level identified by the FSA farm,
tract and field. All acreage for the unit is to be reported on the Type
27 record with a land identifier type of “C”, (“CLU”) in field
number 11. Acreage that is accepted on the type 27 record with a
31
RMA Appendix III
land identifier type of “C” will count towards the 50% acreage
requirement. The total acreage used to calculate the 50% will be
determined using only those counties where RMA has provided
valid CLU data. Acreage covered by an accepted Written
Agreement must be reported at the CLU level if it requires the
insured to report acreage at the CLU level identified by the FSA
farm, tract, and field level.
Type 48 Records
Delete Records
Type 49 Records
Delete Records
Type 51 Records
Conflict of Interest
Policy Reporting
Record
The Land Other Person Sharing P27A contains information about
the Land Other Person Sharing relationships. Information contained
on this record includes the Key fields necessary to track and
identify the land being shared with the producer as well as
identifying the Person Sharing and the share in the production.
This record deletes the following record types: P51, P54, P55, P56,
P57 and P58.
The Type 49 Records are used to remove all records for the eligible
crop insurance contract from the data base(s) and the Dup process.
Only one Type 49 Record will be processed per eligible crop
insurance contract from the transaction file. Subsequent Type 49
Records for the same eligible crop insurance contract will be
rejected.
Type 49 records are processed independently after all other record
types have been processed for the eligible crop insurance contract.
Type 51 record is a record to report a COI respondent‟s potential
conflict with a policy.
Type 51 records are processed by the AIP for each policy and
acceptance of this record is dependent upon acceptance of
corresponding 54 or 55 or 56 records. Each record must provide a
response identifying a 54 Company Employee, 55 Agent or 56 Loss
Adjustor.
All Conflict of Interest questions are required to have an entry. The
information must be for the crop year of the crops reported under
the policy.
Type 54 Records
Agency/Company
Employee Data
March 2012
All Type 51 records reported in a batch will replace all previously
reported Type 51 records. The Type 49 delete record has no impact
on this Type 51 record.
Type 54 is a record for Agency/Company employee data.
Type 54 records require a tax identification number for all records.
This record also includes Conflict of Interest (COI) question
responses.
32
RMA Appendix III
Type 54 records must be reported for any Company Employee who
was required to complete a COI questionnaire under MGR-08-001
when their response to COI question #1 or #2 was “Yes”.
Type 55, 55A, 55B
Record Agent Data
A 54 record must be accepted for the AIP and Company Employee
ID before a corresponding 51 record will be accepted. All 54
records completely replace any previously submitted 54 records.
Type 54 records will not appear in the Policyholder Tracking
System.
The Type 55 Records are used to record/report agent information.
Record 55 includes fields related to Conflict of Interest
Questionnaire (COI) on the Type 51 record. The Type 55 record
must be accepted for the AIP and Agent ID before 51 records will
be accepted.
Type 55 records may be processed independently or with all other
PASS 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.
Multiple records can be submitted for each county serviced by the
agent to be used to facilitate access to the active agents and
alternative language agents available in the Agent Location
Directory. RMA provides agent information to sell crop insurance
or livestock insurance as a service to our customers.
The Agent Location Directory will not display information for
Inactive or Unlisted agents.
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.
55A Insurance Agent Agency identifies the Agency for an Agent.
55B Insurance Agent Servicing State identifies servicing area for
agent locator.
March 2012
33
RMA Appendix III
Type 56 Record
Loss Adjuster Data
The Type 56 Record is used to record/report loss adjuster
information.
Record 56 includes fields related to Conflict of Interest
Questionnaire (COI) on the Type 51 record. The Type 56 record
must be accepted for the AIP and Adjuster ID before the Type 51
records will be accepted.
Type 57 Record
Quality Control
Reporting
Type 58 Record
Notice of Loss
Reporting
Type 60 Ineligible
Producer Input
Record
March 2012
Type 56 records may be processed independently or with all other
PASS 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.
A type P57 record must be reported within 20 business days of
completing each review required to be performed by Appendix III
or IV.
Acceptance of the P57 record is not dependent upon acceptance of
any other policy record.
All Type 57 records reported in a batch will replace all previously
reported Type 57 records. The Type 49 delete record has no impact
on this Type 57 record.
Type 58 records are be used to provide damage estimates to USDA,
and keep RMA apprised of potential losses and occurrences by
cause, date, location and type (prevented planting, replant,
production loss, other) on a national level. This will be unverified
information. Notice of loss records must be submitted within five
business days of the date the AIP received the notice of loss for the
policy. Multiple Type 58 records must submitted for a crop/county
combination using different record numbers. Timely processed
Type 10 and Type 14 records are required before a Type 58 record
will be accepted. Type 58 records can be deleted using the Type 48
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
34
RMA Appendix III
Type 60E Ineligible
Producer Error
Record
Type 61 Ineligible
Producer Output
Record
Type 65 CAT Fee
Receivable Record
Type 70 Record
Type 71 Record
Type 81 Record
Policy Holder
Tracking
Experience Inquiry
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.
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).
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.
Type 65 records are submitted along with Type 60 (Ineligible
Producer) if the debt is all or partially due to unpaid CAT fees
Type 70 records are submitted monthly by AIPs for their SBOB to
reflect the current status of the AIP Database
Type 71 records are returned by RMA identifying any differences at
the state level from the SBOB data.
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, 21, 27 and 58 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.
March 2012
35
RMA Appendix III
B.
eDAS Processing Considerations
1.
RMA maintains all eDAS transactions in a database. Exception for new eDAS format, this will
be the most recently accepted transactions stored in the 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.
a. 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: .
4.
Acceptable sections and specific handling considerations are as follows:
Agent
Adjuster
Employee
March 2012
The AGENT section (Exhibit 112) is used to record/report agent
information. This data will be used by RMA to identify agents, provide
agent counts for AIP, facilitate the creation of the Agent Location
Directory and RMA 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 RMA approved
livestock and AGR/AGR-L products. Records will be rejected if the
individual agent is currently disbarred or suspended.
The ADJUSTER section (AGR/AGR-L, Exhibit 111) is used to
record/report loss adjuster information. Indemnity section (AGR/AGRL, 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.
The Employee section (Exhibit 113) is used to record/report employee
information. The company is required to report employee (other than
agent or adjuster) if the employee was required to complete a COI
Questionnaire under MGR098-001 when the response to COI question
#1 or #2 was „YES‟
36
RMA Appendix III
Reviewer
Conflict
Entity
SBI
Policy
Fund
Payment
March 2012
The REVIEWER section (Exhibit 116) is used to record/report
reviewer information. 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 RMA 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.
The Conflict section (Exhibit 118) is used to record/report COI
information. The company is required to report COI information if any
employee has indicated a conflict with a policy. An Agent, Adjuster or
Employee section must be accepted for the AIP and COI Respondent
Tax ID before a Conflict Section will be accepted.
The Entity section (Exhibit 121) is used to record/report the producer
information
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.
The Policy section (Exhibit 122) is used to record/report the policy
number
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,. If a crop/plan was established into the
Assigned Risk Fund the crop/plan can be timely removed and
automatically established in the Commercial Fund.
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”.
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.
37
RMA Appendix III
Crop Policy
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.
The PREMIUM section (Livestock, Exhibit 135-0 & 140-0 and
AGR/AGR-L, Exhibit 151-0) is used to record/report premium and
liability information.
Premium
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.
The DISBURSEMENT section (AGR/AGR-L, Exhibit 150) is used to
Disbursement record/report disbursement information
The INDEMNITY section (Livestock, Exhibit 135-2 & 140-2) and
AGR/AGR-L, Exhibit 151-2) is used to record/report indemnity
Indemnity
information. 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.
5. Following is an example of the XML_TEMPLATE for AGR/AGR-L:
A.
Example of new XML_TEMPLATE for AGR/AGR-L:
March 2012
38
RMA Appendix III
March 2012
39
RMA Appendix III
March 2012
40
RMA Appendix III
March 2012
41
RMA Appendix III
D. Example of XML_TEMPLATE for Livestock:
March 2012
42
RMA Appendix III
March 2012
43
RMA Appendix III
March 2012
44
RMA Appendix III
March 2012
45
RMA 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:
March 2012
46
RMA Appendix III
//Automatic deletion of Indemnity by eDAS
//Any other XML sent by company for this policy
March 2012
47
RMA 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:
March 2012
48
RMA Appendix III
C.
Ineligible Tracking System Processing Considerations
The PASS edit process accesses the ineligible tracking system database to validate policy records.
PASS 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. Consider the
following examples:
Prior Year Term
Date is the same as
the Sales Closing
Date
Single Sales Closing Date
Producer Became
Producer
Ineligible on 3/15/2011
Reported
A policy is submitted
as
for a crop with sales
Ineligible
closing date and prior
year termination date of
3/15/2011
March 2012
Prior Year Term
Date is the same as
the Sales Closing
Date
Producer
Reported
as
Ineligible
and has
Become
Eligible
Producer became
ineligible on 9/30/2009
Producer became
eligible on 3/16/2011
A policy is submitted
for a crop with a sales
closing date and prior
year term date of
3/15/2011
Prior Year Term
Date is the same as
the Sales Closing
Date
Producer
with more
than one
period of
ineligibility
Producer became
ineligible on
9/30/2009
Producer became
eligible on
12/01/2009
Producer became
ineligible on
2/01/2011
Producer became
eligible on
3/15/2011
A policy is
submitted with 3
crops:
o Crop 1 –
SCD =
49
Policy rejects for the 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.
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
3/15/2011, the crop policy
would have been accepted.
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.
RMA Appendix III
Prior Year Term
Date is later than the
Sales Closing Date
New Eligible crop
insurance contract
Continuing eligible
crop insurance
contract
Agent is
Reported as
Ineligible on
9/10/2011
Agent becomes
eligible on
9/10/2015
March 2012
10/31/2009
o Crop 2 –
SCD =
1/31/2011
o Crop 3 –
SCD =
2/28/2011
Producer became ineligible on
4/15/2011
A policy is submitted for a crop
with sales closing date of
3/15/2011 and prior year
termination date of 4/15/2011
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 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.
Multiple Sales Closing Dates
Producer
ineligible on
Producer eligible
Record for second SCD
first SCD
by second SCD
will be accepted
Producer
Record will be rejected because producer must
ineligible on 1st be eligible on the 1st sales closing date to be
SCD
eligible for the crop for the submitted year
Agent Eligibility
Eligible crop Insurance
Agent is eligible to write
Contract 1 – ll Record
Contract 1 because the agent
agent signature date =
signature date is prior to the
9/8/2011
ineligible date.
Eligible Crop
Agent is ineligible to write
Insurance Contract 2 –
Contract 2 because the agent
11 Record agent
signature date falls between the
signature date =
agent‟s eligible and ineligible
9/14/2011
dates. The 11 record would
reject.
Loss Adjuster Eligibility
50
RMA Appendix III
Loss adjuster
becomes
ineligible on
12/3/2011
Loss adjuster
becomes eligible
on 12/3/2014
D.
Loss 1 – Type 21
record loss adjuster
signature date =
12/08/2011
Loss 2 – Type 21
record loss adjuster
signature date =
11/30/2011
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.
Duplicate Edit Processing Considerations
1.
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 PASS
errors and are reported to companies weekly.
2.
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)), PASS will determine the owner IP based on signature date and transferred cancellation fields
on the Type 14 record.
3.
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.
4. Companies will be notified of Duplicate eligible crop insurance contracts on a batch transmission
basis through the PASS 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.
March 2012
51
RMA Appendix III
5. After the weekly cutoff, the RORYOWN and RORYDUP reports will be generated from the
duplicate eligible crop insurance contract information captured during PASS processing. RMA
will remove PASS determined duplicate crop/county eligible crop insurance contract records
(Type 14 records), in the RORYDUP report, from the Dup process and the Policy databases.
6. Once this weekend process is complete, the PASS determined 'owner' eligible crop insurance
contract will remain in the PASS 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 PASS.
14
PASS Reports
_________________________________________________________
PASS provides AIPs the following reports, transmission data files and reference files to assist error
resolution and status.
Reports
Summary Report Provides transactional, financial and error statistics on each transmission. The
(.sum)
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 Provides by crop, the dollar amount of premium and indemnity rejected by
Error Report (.rp2) error code combination. The number of records and eligible crop insurance
contracts are also listed.
Error Report (.rpt) 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.
Transmission Files
Duplicate Report
Files
March 2012
Weekly Reports/Files
Contain eligible crop insurance contracts identified by PASS as being a
duplicate. Issued on the IPSERVER every Monday at 12:00 p.m.
52
RMA Appendix III
IPRYSUM.TXT
Report file showing duplicate policy and owner policy summary information
for IP/RY
IPRYDUP.TXT
Data file containing duplicate policy identification along with owner policy
information for IP/RY
IPRYOWN.TXT Data file containing owner policy identification along with duplicate policy
information for IP/RY
Mini-40 Reports
Generated to the IP SERVER every Monday at 12:00 p.m. and on Tuesday
evening at 6:00 p.m. Lists of premium and indemnity by policy, with totals
accepted by PASS the previous week.
Written Agreement Generated to the IP SERVER every Monday at 12:00 p.m. Each IP will be
Reports
provided with two files. A file for their own written agreement policy data that
has been accepted through PASS. The second file for the written agreements
offered by the RMA Regional Office for that IP. Files are made available to
the IPs via the “ip server” and to the RO‟s via the RMKC00a system. The file
naming conventions are “ipyywaip.txt” (IP data) and “ipyywaro.txt” (RO data)
Reference Files
Insurance Control Validation files used by PASS.
Element (ICE) Files
SPOI ICE files will be released with the ADM and follow the same
process as ADM data.
PASS ICE files will be released with the Appendix III and changes to
PASS ICE will be communicated via the PASS STATUS REPORT,
which will have the same frequency and structure as the DAS status
report.
Following is the ICE File Master List. A crosswalk master list is included as
Exhibit 103
Common Land Unit Contains spatial data for the polygons of Common Land Unit areas designated
File
by a generic CLU Global Unique Identifier (GUID). Files will be released
quarterly.
15 – 20 Reserved
March 2012
53
RMA Appendix III
Part 3 Accounting
21
Accounting Processing Considerations_____________________________________________
A.
All reports submitted for reimbursement of any funds payable by FCIC under the SRA must be
certified by an authorized officer or authorized employee of the Company named in Section IV(a) of
Appendix II that the information in the report is correct and accurate. Certifications may be
provided either on hard copy reports or in an electronic method (e.g., signed PDF document
submitted via e-mail for 2012 and prior reinsurance years, or electronically via ITM requirements
beginning with the 2012 reinsurance year)
B.
Timing of Monthly Payments
1.
RMA will generate and remit payments due to the AIP in accordance with Section III.(c) of the
SRA, following RMA‟s receipt of both the detailed reinsurance contract data file, and the
certified (signed) monthly/annual settlement report.
a.
FCIC will pay the net amount due from FCIC to the AIP as reflected in the FCICgenerated report, reduced or increased where appropriate, for any differences between the
reports submitted and the data validated.
i.
ii.
iii.
b.
Except as provided in Section III(c)(1)(B) of the SRA, FCIC will net together for
payment purposes, multiple reinsurance year reports
FCIC will make payments to AIPs via Electronic Funds Transfer (EFT) through the
U.S. Treasury
FCIC will pay interest in accordance with the interest provisions of the Contract
Disputes At (41 U.S.C. 601 et seq.) on any payment which is not sent to the AIP by
the dates provided by the SRA.
RMA generated reports will be regenerated to contain AIP entries on the Premium Due
and Premium Due Without Payments Worksheets upon receipt of the certified
report/worksheet from the company if received by the due date for monthly reporting.
C. Reimbursement of Losses
1. 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. Beginning
with the October monthly settlement report for the reinsurance year (e.g., October 2011 will be
the first accounting report for the 2012 reinsurance year), the escrow funded amount, as of the
March 2012
54
RMA Appendix III
monthly transaction cutoff date will be reconciled with the escrow loss data accepted on the
monthly or annual report. Any escrow requests which have not been funded as of the monthly
transaction cutoff date will not be included in that month's report. Any difference in the escrow
funded amount and the losses validated by RMA will be refunded monthly by the AIP to FCIC.
2. Any AIP who elects not to utilize Escrow Funding will be reimbursed on the Monthly/Annual
Settlement Report for paid losses which have been validated and accepted in PASS as of the
monthly transaction cutoff date. Any loss will be considered paid by the AIP, when the
instrument or document issued as payment has cleared the AIP‟s bank account.
D. Administrative Expense Reimbursement
1. The FCIC will pay the AIP an A&O Subsidy as specified in the SRA beginning with the
October Monthly Settlement report for the reinsurance year for the 2012 reinsurance year, and
beginning with the October monthly settlement report following the end of the reinsurance year
for 2012 and succeeding reinsurance years.
a. All A&O Subsidy amounts paid are subject to correction at any time, and by the
Monthly/Annual Settlement Report following detection of the error.
b. Any rejected eligible crop insurance contract due solely to an identified PASS edit error, will
be fully compensated on that month‟s accounting report.
2. The A&O Subsidy applicable to the eligible crop insurance contract will be reduced whenever
the identified required LRR data has not been timely and accurately provided to RMA or such
information is revised after the LRR Transaction Cutoff Date.
If the required LRR data first passes acceptance edits after the LRR Transaction Cutoff Date
or is revised after the LRR Transaction Cutoff Date, the A&O Subsidy will be reduced as
defined in Section IV.(b)(7)(A) of the SRA.See Accounting Exhibit 5-1.
3. Reimbursement for CAT Loss Adjustment Expense will be calculated in accordance with the
SRA, and will be included on the Monthly/Annual Settlement Reports beginning with the same
monthly settlement report that contains initial A&O subsidy payments for a specific reinsurance
year (see paragraph C.1. above).
March 2012
55
RMA Appendix III
4. Any payment received under Section IV.(h) of the SRA, must be paid by the last business day of
the month for the Monthly/Annual Settlement Report cutoff following RMA‟s notification to the
AIP of the amount due.
E. Interest Calculations
1.
The AIP will be charged interest in the following cases: Late payments of the balance due on
Monthly/Annual Settlement 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%, as stated in Section IV.(c).
2. If the balance due FCIC on the Monthly/Annual Settlement 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 by Treasury (See Interest Calculation Exhibit 1-11).
3. 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 Exhibit 1-12 Example 2).
4. Increases in premium amounts for an eligible 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 (See Exhibit 6-5
Example 3).
5. 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 (See Exhibits 6-2 and 6-3).
6. All payments are subject to post audit by FCIC.
March 2012
56
RMA Appendix III
AIP Accounting
1. 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.
2. AIPs must 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 AIPs responsibility to deposit funds to cover any shortages.
3. Monthly Settlement Reports are required to be submitted through annual settlement time. Annual
Settlement Reports must continue to be submitted for any month that revised data are submitted.
Court action, compliance, audit or investigative related finds by the Government or the AIP after
the October Accounting cut-off following 5 years from the beginning of the reinsurance year
must be reported to RMA and will be processed manually. Settlement Reports must be received
by RMA by the last banking day of each month corresponding to the transaction cut-off date.
4. Uncollected premiums for each billing date must be reported by the AIP by the transaction cutoff
date for the Monthly Settlement 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 RMA by the last business day of the applicable monthly transaction cutoff date.
(See Exhibit 6-1)
a. 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.
5. 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 Settlement 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. RMA
does not determine the method of collection. If the Company chooses to use an alternative
method (e.g., ACH, Credit Card, Debit card, etc.) they may not pass on any additional fees
associated with that method, to the producer or to FCIC.
March 2012
57
RMA Appendix III
6. For the purpose of collecting CAT fees and accrued interest from insureds, there are
responsibilities that must be undertaken by the AIP and FCIC. 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. AIPs are responsible for calculating and collecting interest on CAT fees in accordance with 7
CFR 457.8 beginning 30 days after the premium billing date until the crop termination date.
b. 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 Federal debt and all collection efforts on the part of the
AIP shall cease.
c. AIPs are responsible for any questions that an insured may have regarding the validity of this
debt or payment 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.
7.
March 2012
i.
Records regarding an unsatisfied debt pertaining to a CAT policy must be retained
indefinitely in accordance with Section IV.G.6. of the SRA.
ii.
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 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.
iii.
RMA shall calculate interest in accordance with 7 CFR 457.8 on any unpaid CAT fees
reported to RMA beginning on the termination date until the debt is satisfied.
iv.
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.
v.
RMA shall take over all collection efforts of unpaid CAT fees upon termination date and
the submission of the type 60 and 65 records.
vi.
RMA may refer the Federal debt to Treasury for cross servicing.
Escrow funding and reported loss data will be reconciled on each monthly and annual
settlement report.
58
RMA Appendix III
8.
Any aggregate underwriting loss of the AIP will be paid to FCIC by the AIP with each
monthly settlement report as calculated by the reinsurance run report generated by RMA. Any
underwriting gain due the AIP will be paid at annual settlement.
9. The AIP must enter data into the appropriate columns on the Premium Due Without Payment
Worksheet to indicate any increase in premium and return a signed copy of the report/worksheet
along with the monthly settlement report, which must be received by RMA by the last business
day of the month corresponding to the transaction cutoff date (See Exhibit 6-4).
10. The new amount due FCIC as reflected in the Monthly or Annual Settlement 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 its 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 Settlement Reports, payments will be based on the RMA Settlement
Reports.
11. 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.
12. Annual Settlement Reports
March 2012
a.
The Annual Settlement Report (recap and worksheets) must be certified and received
by RMA by the company payment date for annual settlement for the reinsurance year
in accordance with Section I of the SRA. The report will follow the format as
provided in Exhibit 1-4 of this Appendix. All reinsurance transactions for the year
must be summarized and reported on the Annual Settlement Report.
b.
Corresponding data file transmissions for the Annual Settlement Report must be
successfully received in its entirety by the October monthly transaction cutoffs stated
in 12.a above. The amount due either FCIC or the AIP will be calculated based on
the PASS validation of the data, will be based on the RMA-generated Settlement
Report, and will follow the monthly reporting process.
59
RMA Appendix III
22
c.
The gain or loss of the AIP is calculated in the monthly Reinsurance Run Report
generated by RMA. Any underwriting gain will be paid on the Annual Settlement
Report. Underwriting loss will be calculated on the Monthly Settlement Report.
d.
All discrepancies, including items appearing on the Overpaids and loss credits
reported on the ADR003 and ADR 004 reports must be reconciled and eliminated
from the reports prior to the last automated cycle of the reinsurance year as defined in
Part 11.A.1.a. of this Appendix.
Accounting Reports___________________________________________________________
RMA provides AIPs the following reports:
P/CR Memo Reject
Listing (Exhibit 110)
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.
Reconciliation reports are 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 RMA'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 Settlement Report. Following
are the four reconciliation reports the AIP may receive:
Annual Reconciliation Reduction Worksheet
PASS Discrepancies of Premium by Policy
SBOB Discrepancies of Premium by Policy
SBOB Discrepancies of Losses by Policy
Reconciliation
Reports (Exhibit 4)
March 2012
The Discrepancy reports, are generated when a policy record that has been submitted
by an AIP does not agree with data accepted into the PASS.
60
RMA Appendix III
RAS Summary Reports
The RAS generates summary reports based on detailed reinsured contract data submitted by the AIPs each
month through PASS. Once data is received from AIPs electronically, the PASS processes the data through
RMA 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 Settlement Report which generates grand totals, and consists of the following:
Premium
Paid
Loss-Credit
Subsidy
Losses
Cost Share
March 2012
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.
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.
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.
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
Settlement Report.
RAS will generate the designated „P-Credit Memos‟ into the Loss-Credit column
of the Monthly Settlement Reports to eliminate out-of-balance conditions.
The sum of each loss deduction code for a policy should never be less than zero.
An overpaid amount may exist when an excessive amount of an insured‟s loss
was deducted from his policy.
The Subsidy grand total is the Total Premium minus the Producer Premium
submitted on the Premium Lines Record - Type 11.
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 "Loss-cr., Escrow, and Drafts" and
"Loss Deductions (F, R, O)" and FCIC will pay the lesser amount. RMA 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.
The total AGR or AGR-L Cost Share reported as additional subsidy.
61
RMA Appendix III
Monthly Settlement Report (Exhibit 1-1 or 1-1A for 2012 and subsequent)
This report 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 Settlement 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. Following is a description of each line item on the report. All line items represent
cumulative totals.
Net Expense
Reimbursement
Adjustment
Net Contingency
Fund
Less Premium
Collected
Escrow and Drafts
Loss Deductions
AIP Previous
Payment
FCIC Interest Paid
Adjustment due
Company
Administrative Fee
Adjustment
Reduction Due to
Reconciliation
Report Differences
FCIC
Interest/Penalty
Adjustment Due
FCIC
FCIC Previous
Payment
March 2012
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.
Late Reported Reduction (LRR) (Exhibit 5-1), Excess Premium Penalty,
Compliance Penalty and Agreement Termination Penalty
Insured's premium collected by the AIP.
Escrow is the lesser of the “previous Escrow Funded” or the amount of “Drafts
Issued (Escrow)” (See Items u, v)
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.
(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
The cumulative amount of other payments received by FCIC via electronic transfer
to Treasury by the AIP.
The cumulative total of all interest paid to AIPs by FCIC for late payments, etc.
Amount of reimbursement by FCIC to the company for litigation or other approved
expenses. This amount has to be reviewed and approved by RSD
Net fee due FCIC supported by supplemental administrative fee reports
(Exhibit 1-5).
Net reduction amount based on unreconciled differences from reconciliation reports
that have a negative financial impact to FCIC (Exhibit 4-1).
Represents interest or penalty assessed against the AIP
Any overpayments that FCIC has made to the AIP
Cumulative amount of all payments made to the AIP by FCIC for the current
reinsurance year
62
RMA Appendix III
Escrow Funded
Represents the escrow amount the AIP has been funded. The total is summed up to
the current cutoff date of the Monthly Settlement Report.
Paid Previous
Worksheets
Underwriting Loss
Subtotal
Total from Current
Worksheet
Balance Due AIP
(+),
FCIC (-)
Previous Escrow
Funded
Less Drafts Issued
(Escrow)
Escrow Balance
Amounts paid to FCIC on previous worksheets
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 (Exhibit 3-3).
Total of lines preceding this line from the FCIC Due/Paid Column on the report
Represents the combined total from the Premium Due and Premium Due Without
Payments Worksheets (Exhibit 6-1 and 6-4)
Total balance due the AIP or FCIC
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 Settlement Report
Represents the amount of checks issued to producers for losses, and is accumulated
from an “E” that was validated and accepted in PASS from the type 20 record
Represents the difference between the “Previous Escrow Funded” line and the “Less
Drafts Issued (Escrow)” line
Annual Settlement Report (Exhibit 1-4)
This report shows the grand totals of all insurance policies carried by each AIP and provides the balance due the
AIP or FCIC. The following provides a description of how each line item on the Annual Settlement Report is
calculated. All line items represent cumulative totals.
Represents administrative expense reimbursement based on a percentage of total
premium on all non-CAT crop policies less the reduction for Late Reported
Expense
Reductions. The CAT loss adjustment expense which is based on the total CAT
Reimbursement premium. The net installment adjustment is supported by the FCIC Installment report
Adjustment
(Exhibit 1-2).
Net
Late Reported Reduction (LRR) (Exhibit 5-1), Excess Premium Penalty, Compliance
Contingency
Penalty, and Agreement Termination Penalty
Fund
Less Premium
Collected
Total premium whether or not collected by the AIP
Loss-CR,
March 2012
Escrow is the lesser of the “Previous Escrow Funded” or the amount of “Drafts Issued
63
RMA Appendix III
Escrow and
Drafts
Loss
Deductions (F,
R, O)
State Subsidy
Subsidy
Additional
Subsidy
AIP Previous
Payment
FCIC Interest
Paid
Adjustments
Due Company
Net
Administrative
Fee
Adjustment
Less Reduction
Due to
Reconciliation
Report
Differences
FCIC
Interest/Penalty
Adjustments
due FCIC
FCIC Previous
Payment
Escrow Funded
Paid Previous
Worksheets
Underwriting
Gain/Loss
Subtotal
Total from
Current
Worksheet
March 2012
(Escrow)” (see items w, x).
Loss Credits (M, P)
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.
If applicable
Cumulative amount of all risk subsidy
If applicable
Cumulative amount of other payments received by FCIC via electronic transfer to the
Treasury by the AIP
Cumulative total of all interest paid to AIPs by FCIC for late payments, et.
Amount of reimbursement by FCIC to the company for litigation or other approved
expense. This amount has to be reviewed and approved by RSD
Net fee due FCIC supported by supplemental administrative fee reports (Exhibit 1-5).
Net reduction amount based on unreconciled differences from reconciliation reports
that have a negative financial impact to FCIC (Exhibit 4-1).
Represents interest or penalty assessed against the AIP
Overpayments that FCIC has made to the AIP
Cumulative amount of all payments made to the AIP by FCIC for the current
reinsurance year
Represents the escrow amount the AIP has been funded
Cumulative interest from any worksheets
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) level (Exhibit 3-3).
Total of lines preceding this line from the FCIC Due/Paid Column of the settlement
report
Normally, this item represents the total from the Premium Due Without Payments
Worksheet; 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 (Exhibit 6-1 and 64).
64
RMA Appendix III
Balance Due
AIP (+) or
FCIC (-)
Escrow Funded
Less Drafts
Issued
(Escrow)
Escrow
Balance
The total balance due the AIP or FCIC
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 “q” above.
Represents the amount of checks issued to producers for losses, and is accumulated
from an “E” validated and accepted in PASS from the Type 20 record
Represents the difference between the “Escrow Funded” line and the “Less Drafts
Issued (Escrow)” line
RAS Summary Reports Adjusted for Livestock (Exhibit 9)
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.
Livestock Detail Report
(LADR001)
Monthly Livestock
Settlement Report
(LRCP001)
Net A&O Subsidy
AIP Previous Payment
FCIC Interest Paid
Adjustments due
Company
FCIC Previous Payment
March 2012
Exhibit 9-2 shows detail policy-level information. It feeds information to the
Livestock Settlement Report, which generates grand totals, and will include
the following for Livestock:
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.
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
The Loss Grand Total is derived from the livestock Indemnity Data Identifier,
which consists of all losses reported by the AIP
Exhibit 9-1 shows the grand totals of all insurance policies carried by each
AIP and provides the balance due the AIP or FCIC. Following is a
description of how Livestock will be reflected on the Monthly Livestock
Settlement Report
Administrative and Operating Subsidy per the LPRA
Cumulative amount of other payments received by FCIC via electronic
transfer to Treasury by the AIP
Cumulative total of all interest paid to AIPs by FCIC for late payments
Litigation or other approved expense owed the AIP
Cumulative total of all “Balance Due Company” amounts from all prior
months reports
65
RMA Appendix III
FCIC Interest/Penalty
Interest or Penalty assessed against the AIP
Adjustments Due FCIC
Livestock Settlement
Balance Due
Company/FCIC
23.
Offline (manual) corrections by the AIPs for overpaid indemnities
Represents the livestock adjustments supported by the Livestock Settlement
Report (Exhibit 9-3).
Total balance due the AIP or FCIC
Escrow Reconciliation_________________________________________________________
A. AIP Escrow Account Reconciliation must include the following information on a monthly basis:
1. Bank Reconciliation consisting of reinsured company‟s name, address, bank account number,
escrow account ending balance, total amounts for items in-transit, outstanding, interest, and
overage/shortage. The bank reconciliation must be submitted in PDF format, certified and signed
by a company officer or other company designated management official. The bank reconciliation
must also be submitted in an Excel file format along with the other templates.
2. Data files in an Excel zip file format (templates attached) that provide detail for the bank
reconciliation, in-transit, outstanding checks, overage/shortage, voided checks, cleared checks,
check registers and interest checks.
3. Bank Statement of AIP‟s Loss-Clearing Account submitted in PDF format.
4. Bank Statement of RMA‟s Escrow Account submitted in PDF format.
B. The Excel zip file that is submitted to RMA must include the following eight tabs:
1. Bank Reconciliation – AIP‟s must provide a bank reconciliation that presents the balance per
statement, escrow request in-transit totals listed by reinsurance year, total debits, outstanding
checks total, interest payable to FCIC by month, total credits, and overage/shortage total.
March 2012
66
RMA Appendix III
2. In-transit – AIP‟s must provide a list of checks issued, but awaiting deposit of funds from RMA.
3. Outstanding checks – AIP‟s must provide a list of checks that have been issued, but have not been
presented for payment. AIP‟s must monitor their list of outstanding checks for stale-dated checks
over one year as follows:
a. Send a letter to insured whose outstanding indemnity check is greater than one year old and
offer to issue a replacement check.
b. If the insured requests a replacement check the AIP should process a new check.
c. If the insured does not request a replacement check within 45 days the AIP should take the
following action:
i.
Void the insured‟s check.
ii.
Submit to FCIC a listing for all voided checks that includes the related reinsurance
year, policy number, claim number, check number, and amount. This list will be
accompanied by a check reimbursing FCIC for the voided checks. No changes will
be made to the loss data submitted through DAS.
iii. In case the insured requests payment after the check has been voided, the AIP will
issue a new check to the insured and submit to FCIC a manual register with the policy,
claim, and check information. FCIC will manually fund the escrow account for the
reissued check amount.
4. Overage/shortage – AIP‟s must provide a list, review, and resolve all items listed as
overage/shortage on a monthly basis. The company will have 2 banking cycles to reconcile and
resolve any item listed as an overage or a shortage on the escrow reconciliation. AIP‟s must
provide a brief explanation of all items listed on the overage/shortage report. Any unsettled items
will be resolved with RMA and the AIP.
5. Voided checks – AIP‟s must provide a list of checks that were voided for the month of the
reconciliation.
6. Cleared checks – AIP‟s must provide a list of checks that have cleared the loss clearing account
for the month of the reconciliation.
March 2012
67
RMA Appendix III
7. Check register – AIP‟s must provide a list of checks that were issued for the month of the
reconciliation.
8. Interest checks - Remit interest checks on a monthly basis for interest amounts exceeding $10.00.
Interest accrued under $10 should wait until interest accrued exceeds $10.00 before
sending to RMA. The total for each month must be provided on the interest tab.
Outstanding interest must be submitted on a yearly basis with the August reconciliation,
even if the $10.00 threshold is not met.
C. The PDF zip file that is submitted to RMA must include the following data:
1. Bank Statement of AIP‟s Loss-Clearing Account.
2. Bank Statement of RMA‟s Escrow Account.
3. Bank Reconciliation certified and signed by a company officer or other company designated
management official.
D. All documents must be submitted electronically.
1. A naming convention consisting of the approved insurance provider code, BNKREC, calendar
year, calendar month, underscore, number one (if you have more than one account, you will used
number two for the second account) followed by .zip. If you have more than one account, RMA
will designate which account is number one and which account is number 2. Example:
XXBNKREC0907_1.ZIP (XXcompany, Bank Reconciliation, 2009, July, account 1).
2. Template formats provided on the attached sample reconciliation must be followed when
submitting the escrow bank reconciliation.
3. Connect to the kcsn204.fcic.usda.gov.You will put your files here. When the process runs to
collect the input file(s), it will then move he file from your home directory, perform a few tests on
it and then it will put a copy of it in both the correct directory on the rmkc00a and in the correct
upload directory on the kcsn204.
March 2012
68
RMA Appendix III
E. Failure to follow above procedures will result in RMA initiating a series of notification letters from
RMA to the AIPs.
1. The first letter notifying the AIP accounting staff of the issue.
2. The second letter will be notification to AIP management.
3. The third letter will result in a notification letter to RSD for appropriate sanctions.
Discuss closing the current account and establishing a new account.
F. Available tools:
1. RMA is providing a daily and weekly escrow file to AIP‟s on the RO Server. These files can be
used to assist AIP‟s in their reconciliation process.
2. When using the daily file, be aware that the information on the file will reflect the information
that has been submitted to RMA. The raw data file may reflect duplication due to voided and
reissued checks being submitted to RMA for a particular claim. One remedy to this situation is
deleting the claim on one day and resubmitting correct draft numbers for the following day.
24
Application of Paids and Loss Credits_____________________________________________
The application of paids and loss-credits is best demonstrated with the following examples:
A.
March 2012
The Loss Credit must initially be applied to the Policy and crop with the associated Claim
a)
First - Unpaid Finance Charge for the crop (i.e. Interest), then
b)
Unpaid Administrative Fee for the crop, then
c)
Unpaid Premium for the crop
69
RMA Appendix III
B.
After the Loss Credit has been applied to the Policy and Crop with the associated Claim then
proceed in the following manner:
1.
Apply to the same policy, any crop, starting with the earliest Premium Bill date –
a.
First - Unpaid Finance Charge (i.e. Interest) , then
(Note: if multiple crops have the same bill date, apply to interest on all crops before
proceeding)
b.
Unpaid Administrative Fee, then
(Note: if multiple crops have the same bill date, apply to administrative Fee on all crops
before proceeding)
c.
C.
After the Loss Credit has been applied to the same Policy and all Billed crops then a check for
the remaining loss amount must be submitted to the producer.
a.
Note: the only exception to this subsection will be if the company can provide
documentation stating the producer agreed to have the unbilled amounts offset
from the remaining amount of the loss.
1.
March 2012
Unpaid Premium
Apply to any related policy, any crop, starting with the earliest Premium Billed date –
a.
Unpaid Finance charge (i.e. Interest)
b.
Unpaid Bill Administrative Fee
c.
Unpaid Bill Premium
70
RMA Appendix III
Georgia Policy Example Below:
Example #1
07/15/09 - $180.00 Loss on Policy # 1 Wheat
Policy 1 – Wheat
Unpaid Interest
Unpaid Fees
Unpaid Premium
Bill Date
30.00
100.00
7/1/2009
Policy 1 – Oats
30.00
120.00
7/1/2009
Policy 2 – Wheat
Policy 3 - Corn
30.00
165.00
7/1/2009
30.00
230.00
10/1/2009
1.
Apply $30 to fees on Policy #1-Wheat, and $100 to Premium on Policy #1-Wheat
2.
Apply the remaining Loss Credit to Policy #1-Oats – $30 Fees, and $20 to Premium
Example #2
09/15/09 - $600.00 Loss on Policy # 1-Wheat
Unpaid Interest
Unpaid Fees
Unpaid Premium
Bill Date
Policy 1 – Wheat Policy 2- Oats
Policy 2 – Wheat Policy 3 – Corn
3.25
3.75
4.88
30.00
30.00
30.00
30.00
100.00
120.00
165.00
230.00
7/1/2009
7/1/2009
7/1/2009
10/1/2009
1.
Apply $3.25 to interest on Policy #1-Wheat, $30 to fees on Policy #1-Wheat, and $100 to
Premium on Policy #1-Wheat
2.
Apply the remaining Loss Credit to Policy #2-Oats – $3.75 Interest, and Policy #2 – Wheat $4.88 Interest (Note: if multiple crops have the same bill date, apply to interest on all crops
before proceeding)
3.
Apply the remaining Loss Credit to Policy #2--Oats - $30 Fee, and Policy #2 – Wheat $30 Fee
(Note: if multiple crops have the same bill date, apply to administrative fee on all crops before
proceeding)
March 2012
71
RMA Appendix III
4.
Apply the remaining Loss Credit to Policy #2 – Oats - $120 Premium and Policy #2 – Wheat $165 Premium.
5.
A check for the remaining $113.12 must be submitted to the producer. Unless the exception
under subsection 24 C. is met.
Note: Each example is independent of the other.
25
Recon Reduction on PASS-Calculated Values and Summary Book of Business Discrepancies
A. The recon reduction due will be calculated starting with the month following the first premium
bill date and continue until data processing has ceased for the respective reinsurance year. Policy
level PASS discrepancy reports will be prepared for premium through annual settlement of the
reinsurance year. Starting in the month after annual settlement, a State level book of business
will be submitted by the AIP‟s. The discrepancy reports will be prepared for both premium and
losses. The discrepancy reports will be used to calculate the recon reduction due on the
settlement reports for the negative financial impact to FCIC.
B. The policy level PASS discrepancy report will compare the accepted premium to the PASScalculated premium which includes accepted and flagged records. The recon reduction amount
will calculate the negative financial impact to FCIC for the associated producer premium due.
C. Starting the month following annual settlement for the respective reinsurance year, the AIP will
submit a book of business for premium by State level monthly as of accounting cutoff, until data
processing has ceased for the respective reinsurance year. PASS accepted premium data will be
compared to the book of business by State level. The recon reduction amount will calculate the
negative financial impact to FCIC for the associated producer premium due.
D. Starting the month following annual settlement for the respective reinsurance year, the AIP will
submit a book of business for losses by State level monthly as of accounting cutoff, until data
processing has ceased for the respective reinsurance year. PASS accepted loss data will be
compared to the book of business by State level. The recon reduction amount will calculate the
negative financial impact to FCIC for the losses.
E. The Reconciliation Reduction Worksheet will summarize the recon reduction amount due on the
settlement report for the negative financial impact to FCIC.
March 2012
72
RMA Appendix III
Example of PASS Process
by Policy Level:
Producer Premium
PASS Calculation
PASS Accepted
$1,000
$0
$800
$1,000
March 2012
Recon Reduction Impact
Premium Difference
Included in Recon
(Producer Premium Due) $1,000 Reduction
Non-CAT Policy
$0 No Impact
73
RMA Appendix III
Example of Book of
Business Process by State
Level:
Producer Premium
AIP Amount
(70 Record)
PASS Accepted
$4,000
$3,200
$3,200
$4,000
Recon Reduction Impact
Recon Reduction
Comments
Premium Difference
included in Recon
(Producer Premium Due) $800 Reduction
Non-CAT Policy
$0 No Impact
Loss
AIP Amount
(70 Record)
PASS Accepted
$2,000
$2,400
$2,400
$2,000
March 2012
Recon Reduction Impact
Recon Reduction
Comments
Loss Difference
included in Recon
$400 Reduction
$0 No Impact
74
RMA Appendix III
FCIC SETTLEMENT REPORT
RO XX
PAGE:
REINSURANCE YEAR - 2012
Reinsured Company Name
1
RCP001-C
MONTHLY
C/O MGA
CURRENT DATE: MM/DD/YYYY
HH.MM.SS
CUTOFF DATE: MM/DD/YYYY
===================================================================================================================================
PREMIUM
PAID
LOSS-CR
SUBSIDY
LOSSES
ADDT SUBSIDY
GROUP RISK
0
.00
0
0
0
0
REVENUE HARV. OPT.
0
.00
0
0
0
0
OTHER
0
.00
0
0
0
0
0
.00
0
0
0
0
TOTAL NON CAT
===================================================================================================================================
CAT
0
0
0
===================================================================================================================================
(L/R =
.0000 )
DUE COMPANY
a.NET EXPENSE REIMBURSEMENT
.00
b.NET CONTINGENCY FUND
c.PREMIUM COLLECTED
.00
.00
d.ESCROW AND DRAFTS
e.LOSS DEDUCTIONS (F,R,O)
.00
.00
.00
.00
.00
.00
.00
.00
f.STATE SUBSIDY
.00
g.COMPANY PREVIOUS PAYMENT
.00
h.FCIC INTEREST PAID
.00
March 2012
DUE FCIC
RMA-Appendix III
1-1
i.ADJUSTMENTS DUE COMPANY
.00
j.NET ADMINISTRATIVE FEE ADJUSTMENT
.00
k.REDUCTIONS DUE TO RECON REPORT DIFFERENCES
.00
l.FCIC INTEREST/PENALTY
.00
m.ADJUSTMENTS DUE FCIC
.00
n.FCIC PREVIOUS PAYMENT
.00
o.ESCROW FUNDED
.00
p.PAID PREVIOUS WORKSHEETS
.00
.00
q.UNDERWRITING LOSS
.00
.00
r.SUBTOTAL
.00
.00
s.TOTAL FROM CURRENT WORKSHEET
.00
.00
t.BALANCE DUE COMPANY/FCIC
.00
===================================================================================================================================
ESCROW REIMBURSEMENT
===================================================================================================================================
u.PREVIOUS ESCROW FUNDED
.00
v.LESS DRAFTS ISSUED (ESCROW)
.00
w.ESCROW BALANCE
.00
===================================================================================================================================
CERTIFIED CORRECT
______________________________
NAME
NOTE:
_______________________________
TITLE
______________________________
DATE
ANY FALSE CERTIFICATION MADE TO THE CORPORATION MAY SUBJECT THE MAKER TO CRIMINAL AND CIVIL PENALTIES AS PROVIDED
IN 18 U.S.C. 287,1001; 31 U.S.C. 3729 AND 3730
March 2012
RMA-Appendix III
1-2
FCIC SETTLEMENT REPORT
RO XX
PAGE:
REINSURANCE YEAR - 2012
Reinsured Company Name
1
RCP001-C
MONTHLY
C/O MGA
CURRENT DATE: MM/DD/YYYY
HH.MM.SS
CUTOFF DATE: MM/DD/YYYY
===================================================================================================================================
PREMIUM
PAID
LOSS-CR
SUBSIDY
LOSSES
ADDT SUBSIDY
GROUP RISK
0
.00
0
0
0
0
REVENUE HARV. OPT.
0
.00
0
0
0
0
OTHER
0
.00
0
0
0
0
0
.00
0
0
0
0
TOTAL NON CAT
===================================================================================================================================
CAT
0
0
0
===================================================================================================================================
(L/R =
.0000 )
DUE COMPANY
a.NET EXPENSE REIMBURSEMENT
.00
b.NET CONTINGENCY FUND
c.PREMIUM COLLECTED
.00
.00
d.ESCROW AND DRAFTS
e.LOSS DEDUCTIONS (F,R,O)
.00
.00
.00
.00
.00
.00
.00
.00
f.STATE SUBSIDY
.00
g.COMPANY PREVIOUS PAYMENT
.00
h.FCIC INTEREST PAID
.00
March 2012
DUE FCIC
RMA-Appendix III
1 - 1A
i.ADJUSTMENTS DUE COMPANY
.00
j.NET ADMINISTRATIVE FEE ADJUSTMENT
.00
k.REDUCTIONS DUE TO RECON REPORT DIFFERENCES
.00
l.FCIC INTEREST/PENALTY
.00
m.ADJUSTMENTS DUE FCIC
.00
n.FCIC PREVIOUS PAYMENT
.00
o.ESCROW FUNDED
.00
p.PAID PREVIOUS WORKSHEETS
.00
.00
q.UNDERWRITING LOSS
.00
.00
r.SUBTOTAL
.00
.00
s.TOTAL FROM CURRENT WORKSHEET
.00
.00
t.BALANCE DUE COMPANY/FCIC AS OF MM YYYY
.00
.00
===================================================================================================================================
EXPENSE REIMBURSEMENT DUE IN OCTOBER YYYY
.00
===================================================================================================================================
ESCROW REIMBURSEMENT
===================================================================================================================================
u.PREVIOUS ESCROW FUNDED
.00
v.LESS DRAFTS ISSUED (ESCROW)
.00
w.ESCROW BALANCE
.00
===================================================================================================================================
CERTIFIED CORRECT
______________________________
March 2012
_______________________________
______________________________
RMA-Appendix III
1 - 2A
NAME
NOTE:
TITLE
DATE
ANY FALSE CERTIFICATION MADE TO THE CORPORATION MAY SUBJECT THE MAKER TO CRIMINAL AND CIVIL PENALTIES AS PROVIDED
IN 18 U.S.C. 287,1001; 31 U.S.C. 3729 AND 3730
March 2012
RMA-Appendix III
1 - 3A
FCIC INSTALLMENT REPORT
RO XX
PAGE:
REINSURANCE YEAR - YYYY
1
INS001
Reinsured Company Name
C/O MGA
CURRENT DATE: MM/DD/YYYY HH.MM.SS
CUTOFF DATE: MM/DD/YYYY
===================================================================================================================================
PREMIUM
PAID
LOSS-CR
SUBSIDY
LOSSES
ADDT SUBSIDY
GROUP RISK
0
.00
0
0
0
0
REVENUE HARV. OPT.
0
.00
0
0
0
0
OTHER
0
.00
0
0
0
0
0
.00
0
0
0
0
TOTAL NON CAT
===================================================================================================================================
CAT
0
0
0
===================================================================================================================================
DUE COMPANY
ADMINISTRATIVE AND OPERATING SUBSIDY
GROUP RISK
GRP/GRIP
(SRA REIMB RATE 12.0%) - 75% COVERAGE LEVEL
9,999,999
.00
(SRA REIMB RATE 12.0%) - 80% COVERAGE LEVEL
9,999,999
.00
(SRA REIMB RATE 12.0%) - 85% COVERAGE LEVEL
9,999,999
.00
PRF
March 2012
RMA-Appendix III
1-2
(SRA REIMB RATE 20.1%) -<80% COVERAGE LEVEL
9,999,999
.00
(SRA REIMB RATE 17.8%) - 80% COVERAGE LEVEL
9,999,999
.00
(SRA REIMB RATE 17.1%) - 85% COVERAGE LEVEL
9,999,999
.00
TOTAL GROUP RISK
.00
REVENUE HARV. OPT.
(SRA REIMB RATE 18.5%) - 75% COVERAGE LEVEL
9,999,999
.00
(SRA REIMB RATE 16.4%) - 80% COVERAGE LEVEL
9,999,999
.00
(SRA REIMB RATE 15.8%) - 85% COVERAGE LEVEL
9,999,999
.00
TOTAL REVENUE
.00
OTHER
(SRA REIMB RATE 21.9%) - 75% COVERAGE LEVEL
9,999,999
.00
(SRA REIMB RATE 19.4%) - 80% COVERAGE LEVEL
9,999,999
.00
(SRA REIMB RATE 18.7%) - 85% COVERAGE LEVEL
9,999,999
.00
TOTAL OTHER
.00
ADMINISTRATIVE AND OPERATING SUBSIDY
.00
ADMINISTRATIVE AND OPERATING SUSIDY ADDITIONAL LOSS REIMBURSEMENT
.00
ADMINISTRATIVE AND OPERATING SUBSIDY LIMITATION
.00
CAT LOSS ADJUSTMENT
March 2012
(6.0%)
9,999,999
RMA-Appendix III
.00
1-3
NET EXPENSE REIMBURSEMENT
.00
============================================================================================================================================
March 2012
RMA-Appendix III
1-4
RO XX
FCIC STATE REIMBURSEMENT REPORT
Reinsured Company Name
REINSURANCE YEAR - YYYY
PAGE:
1
INS002
C/O MGA
CURRENT DATE: MM/DD/YYYY HH.MM.SS
CUTOFF DATE: MM/DD/YYYY
===================================================================================================================================
ST
RATE
PLAN
INS
COV
REIMBURSE
TOTAL
REIMBURSEMENT
CHG
GROUP
PLAN
LVL
RATE
PREMIUM
AMOUNT
===================================================================================================================================
AL
Y
CAT
41
.5000
.06000
999,999
9,999.99
86
.5000
.06000
999,999
9,999.99
90
.5000
.06000
999,999
9,999.99
GRP
73
.9000
.12000
999,999
9,999.99
OTH
41
.5000
.23050
999,999
9,999.99
86
.5000
.23050
999,999
9,999.99
.7500
.23050
999,999
9,999.99
.5000
.23050
999,999
9,999.99
.7500
.23050
999,999
9,999.99
.8500
.19850
999,999
9,999.99
.5000
.19650
999,999
9,999.99
.7000
.19650
999,999
9,999.99
.7500
.19650
999,999
9,999.99
90
REV
March 2012
44
RMA-Appendix III
1-5
*TOTAL STATE AL
WY
N
CAT
9,999,999
99,999.99
41
.5000
.06000
999,999
9,999.99
86
.5000
.06000
999,999
9,999.99
90
.5000
.06000
999,999
9,999.99
GRP
73
.9000
.12000
999,999
9,999.99
OTH
41
.5000
.21900
999,999
9,999.99
86
.5000
.21900
999,999
9,999.99
.7500
.19400
999,999
9,999.99
.5000
.21900
999,999
9,999.99
.7500
.19400
999,999
9,999.99
.8500
.18700
999,999
9,999.99
.5000
.18500
999,999
9,999.99
.8000
.16400
999,999
9,999.99
.9000
.15800
999,999
9,999.99
9,999,999
99,999.99
90
REV
*TOTAL STATE WY
44
TOTAL ADMINISTRATIVE AND OPERATING SUSIDY ADDITIONAL LOSS REIMBURSEMENT
March 2012
RMA-Appendix III
99,999,999
1-6
FCIC SETTLEMENT REPORT
RO XX
PAGE:
REINSURANCE YEAR - YYYY
Reinsured Company Name
1
RCP002-C
ANNUAL
C/O MGA
CURRENT DATE: MM/DD/YYYY
HH.MM.SS
CUTOFF DATE: MM/DD/YYYY
===================================================================================================================================
PREMIUM
PAID
LOSS-CR
SUBSIDY
LOSSES
ADDT SUBSIDY
GROUP RISK
0
.00
0
0
0
0
REVENUE HARV. OPT.
0
.00
0
0
0
0
OTHER
0
.00
0
0
0
0
0
.00
0
0
0
0
TOTAL NON CAT
===================================================================================================================================
CAT
0
0
0
===================================================================================================================================
(L/R =
.0000 )
DUE COMPANY
a.NET EXPENSE REIMBURSEMENT ADJUSTMENT
.00
b.NET CONTINGENCY FUND
.00
c.PREMIUM COLLECTED
.00
d.LOSS-CR, ESCROW, AND DRAFTS
.00
.00
.00
.00
e.LOSS DEDUCTIONS (F,R,O)
.00
.00
.00
.00
.00
f.STATE SUBSIDY
.00
g.SUBSIDY
.00
h.ADDITIONAL SUBSIDY
.00
March 2012
DUE FCIC
RMA-Appendix III
1-7
i.COMPANY PREVIOUS PAYMENT
.00
j.FCIC INTEREST PAID
.00
k.ADJUSTMENTS DUE COMPANY
.00
l.NET ADMINISTRATIVE FEE ADJUSTMENT
.00
m.REDUCTIONS DUE TO RECON REPORT DIFFERENCES
.00
n.FCIC INTEREST/PENALTY
.00
o.ADJUSTMENTS DUE FCIC
.00
p.FCIC PREVIOUS PAYMENT
.00
q.ESCROW FUNDED
.00
r.PAID PREVIOUS WORKSHEETS
.00
.00
s.UNDERWRITING GAIN/LOSS
.00
.00
t.SUBTOTAL
.00
.00
u.TOTAL FROM CURRENT WORKSHEET
.00
.00
v.BALANCE DUE COMPANY/FCIC
.00
.00
===================================================================================================================================
ESCROW REIMBURSEMENT
===================================================================================================================================
w.PREVIOUS ESCROW FUNDED
.00
x.LESS DRAFTS ISSUED (ESCROW)
.00
y.ESCROW BALANCE
.00
===================================================================================================================================
CERTIFIED CORRECT
______________________________
March 2012
_______________________________
______________________________
RMA-Appendix III
1-8
NAME
NOTE:
TITLE
DATE
ANY FALSE CERTIFICATION MADE TO THE CORPORATION MAY SUBJECT THE MAKER TO CRIMINAL AND CIVIL PENALTIES AS PROVIDED
IN 18 U.S.C. 287,1001; 31 U.S.C. 3729 AND 3730
March 2012
RMA-Appendix III
1-9
FCIC ADMINISTRATIVE FEE REPORT
RO XX
REINSURANCE YEAR YYYY
REINSURANCE COMPANY NAME
FEE002
(MONTHLY)
C/O MGA
CURRENT DATE: MM/DD/YYYY
HH.MM.SS
CUTOFF DATE: MM/DD/YYYY
===================================================================================================================================
CAT FEES DUE FCIC
9,999.00
ADDITIONAL COVERAGE FEES COLLECTED
9,999.00
LESS COMPANY CAT FEES REDUCTION
9,999.99
ADMINISTATIVE FEES DUE FCIC
March 2012
9,999.99
RMA-Appendix III
1 - 10
FCIC ACCOUNTING DETAIL REPORT (EXCLUDING CAT)
RO XX
ADR001
REINSURANCE YEAR YYYY
REINSURANCE COMPANY NAME
MONTHLY
C/0 MGA
CURRENT DATE: MM/DD/YYYY
HH.MM.SS
CUTOFF DATE: MM/DD/YYYY
===================================================================================================================================
CLEARED
ST
CO
POL
#
YR
NAME
(NOTES)
PREMIUM
PAID
LOSS-CR
SUBSIDY
LOSSES
ADDT
SUBSIDY
===================================================================================================================================
XX
999
999999
YYYY
DOE, JOHN
*
9,999
9,999
999
9,999
999
99
XX
999
999999
YYYY
DOE, JOHN
*
9,999
9,999
999
9,999
999
99
XX
999
999999
YYYY
DOE, JOHN
*
9,999
9,999
999
9,999
999
99
XX
999
999999
YYYY
DOE, JOHN
*
9,999
9,999
999
9,999
999
99
XX
999
999999
YYYY
DOE, JOHN
*
9,999
9,999
999
9,999
999
99
XX
999
999999
YYYY
DOE, JOHN
*
9,999
9,999
999
9,999
999
99
XX
999
999999
YYYY
DOE, JANE
*
9,999
9,999
999
9,999
999
99
XX
999
999999
YYYY
DOE, JANE
*
9,999
9,999
999
9,999
999
99
XX
999
999999
YYYY
DOE, JANE
*
9,999
9,999
999
9,999
999
99
XX
999
999999
YYYY
DOE, JANE
*
9,999
9,999
999
9,999
999
99
XX
999
999999
YYYY
DOE, JANE
*
9,999
9,999
999
9,999
999
99
XX
999
999999
YYYY
DOE, JANE
*
9,999
9,999
999
9,999
999
99
March 2012
RMA-Appendix III
1 - 11
TOTAL
9,999
9,999
999
9,999
9,999
99
*** NOTES ***
(*) – ASSIGNED RISK FUND
(P) - PAYMENT CR MEMO
March 2012
(V) - OVERPAID
(E) - ESCROW
RMA-Appendix III
1 - 12
FCIC ACCOUNTING DETAIL REPORT (EXCLUDING CAT
RO XX
ADR002
REINSURANCE YEAR YYYY
REINSURANCE COMPANY NAME
STATE TOTALS
C/O MGA
CURRENT DATE: MM/DD/YYYY
HH.MM.SS
CUTOFF DATE: MM/DD/YYYY
===================================================================================================================================
ST
PREMIUM
PAIDS
LOSS-CR
SUBSIDY
CLEARED
ADDT
LOSSES
SUBSIDY
===================================================================================================================================
CO
99,999
0.00
0
99,999
0
0
KS
99,999
0.00
0
99,999
0
0
NE
99,999
0.00
0
99,999
0
0
TX
99,999
0.00
0
99,999
0
0
999,999
0.00
0
999,999
0
0
TOTAL
March 2012
RMA-Appendix III
1 - 13
FCIC DETAIL REPORT (EXCLUDING CAT)
RO XX
ADR003
REINSURANCE YEAR - YYYY
REINSURANCE COMPANY NAME
GRAND TOTALS
C/O MGA
CURRENT DATE: MM/DD/YYYY
HH.MM.SS
CUTOFF DATE: MM/DD/YYYY
===================================================================================================================================
CROP YR
PREMIUM
PAID S
LOSS-CR
SUBSIDY
CLEARED
ADDT
LOSSES
SUBSIDY
===================================================================================================================================
YYYY (-1)
YYYY
YYYY (+1)
TOTALS
9,999,999
99,999.99
0
9,999,999
99,999,999
999,999.99
0
99,999,999
99,999
9.99
0
99,999
99,999,999
999,999.99
0
999.99
0
999,999.99
0
OVERPAIDS
GRAND TOTALS LESS OVERPAIDS 99,999,999
March 2012
0
0
99,999,999
0
0
99,999,999
0
0
RMA-Appendix III
1 - 14
March 2012
PMEMO
999,999
MMEMO
999,999
PLCR
999,999
RMA-Appendix III
1 - 15
FCIC DETAIL OVERPAIDS REPORT (EXCLUDING CAT)
RO XX
ADR004
REINSURANCE YEAR - YYYY
REINSURANCE COMPANY NAME
OVERPAID POLICIES
C/O MGA
CURRENT DATE: MM/DD/YYYY
HH.MM.SS
CUTOFF DATE : MM/DD/YYYY
==============================================================================================================================================
CROP
ST
CO
POLICY
YR
PREMIUM
PAIDS
LOSS CR
SUBSIDY
CLEARED
ADDT
OVER
OVER
LOSSES
SUBSIDY
PAID
LOSS-CR
==============================================================================================================================================
AL
999
9999999
YYYY
9,999
9,999.99
999.99
999.99
999.99
9.99
99.99
9.99
9,999
9,999.99
999.99
999.99
999.99
9.99
99.99
9.99
9,999
9,999.99
999.99
999.99
999.99
9.99
99.99
9.99
*TOTAL STATE AR
9,999
9,999.99
999.99
999.99
999.99
9.99
99.99
9.99
TOTAL
9,999
9,999.00
999.99
999.99
999.99
9.99
99.99
9.99
*TOTAL STATE AL
AR
999
9999999
March 2012
YYYY
RMA-Appendix III
1 - 16
P/CR MEMO REJECT LISTING
RO XX
PCR001
REINSURANCE YEAR - YYYY
REINSURANCE COMPANY NAME
C/O MGA
CURRENT DATE:
MM/DD/YYYY
CUTOFF DATE: MM/DD/YYYY
===================================================================================================================================
MEMO
MEMO
MEMO
RO
LOC ST CNO
MEMO
POLICY NO
PMEMO
CROP YR
SOURCE
SOURCE
RO
ST
AMOUNT
SOURCE SOURCE
CNO
POLICY NO
===================================================================================================================================
XX
NE
999
999999
YYYY
999.00
XX
31
999
9999999
PE
999
999999
YYYY
9,999.00
XX
42
999
9999999
PE
999
999999
YYYY
9,999.00
XX
42
999
9999999
999999
YYYY
99.00
XX
19
999
9999999
999999
YYYY
9,999.00
XX
42
999
9999999
TOTAL
99,999.00
March 2012
RMA-Appendix III
1 - 17
EXAMPLE 1:
INTEREST CALCULATIONS ON LATE ACCOUNTING REPORT PAYMENTS
REPORT REPORT
AMOUNT
DATE
DUE
DAYS
RECEIVED
INTEREST
LATE
RATE
NOTE
AMOUNT
REF.
05/08/YYYY
05/29/YYYY
$100,000
4
15%
$164.38
1
11/06/YYYY
11/30/YYYY
$1,000,000
7
15%
$2,876.71
2
1.
Payment of the $100,000 balance due FCIC on the 05/08/YYYY report, due on
05/29/YYYY, the last banking day of the month, is received on 06/02/YYYY.
2.
Payment of the $1,000,000 balance due FCIC on the 11/06/YYYY report, due on
11/30/YYYY, the last banking day in the month, is received on 12/07/YYYY.
March 2012
RMA-Appendix III
1 - 18
EXAMPLE 2:
INTEREST CALCULATIONS ON OVERPAID INDEMNITIES/UNDERSTATED PREMIUM CASES IDENTIFIED THROUGH REVIEW
FINAL FINDINGS
OVERPAYMENT
DATE OF
APPEAL
ACCOUNTING
INTEREST
LETTER
AMOUNT
APPEAL
LETTER DATE
REPORT DATE
DAYS
RATE
INTEREST
DUE
NOTE
REF
1/20/YYYY
$10,000
N/A
N/A
02/09/YYYY
26
15%
0.00
1
1/20/YYYY
$15,000
N/A
N/A
04/09/YYYY
100
15%
$616.44
2
1/20/YYYY
$20,000
11/28/YYYY
12/11/YYYY
345
15%
$2,835.62
3
2/15/YYYY
1.
The Company is notified of an overpayment in a Final Findings by the Regional Compliance Offices letter dated January 20, YYYY.
report containing the correction was filed timely. Since the report was corrected within 30 days, interest does not attach.
2.
The Company is notified of an overpayment amount in a Final Findings by the Regional Compliance Offices letter dated January 20, YYYY. The amount is
to be corrected on the February 9, YYYY report. No appeal is filed. No corrections are made until the April 9, YYYY report. Interest is calculated
starting with the day after the Final Findings by the Regional Compliance Offices letter which is January 21, YYYY through the due date of the
certified report containing the corrections is submitted, which is April 30, YYYY.
3.
Interest begins accruing based on the date of the Final Findings by the Regional Compliance Offices letter. Appeals have no affect on delaying the
interest computation date. In this example, the company is notified of an overpayment in a Final Findings by the Regional Compliance Offices letter
dated January 20, YYYY. The company files an appeal on February 15, YYYY. The appeal is heard and FCIC receives a favorable decision. Had the
company received a favorable decision, no interest is due. The Company is notified by an Appeal Determination letter on November 28, YYYY of the
amount due FCIC. Interest is calculated starting with the day after the Final Findings by the Regional Compliance Offices letter, which is
January 21, YYYY through the due date of the certified report containing the correction is submitted, which is December 31, YYYY.
March 2012
RMA-Appendix III
The February 9, YYYY
1 - 19
March 2012
RMA-Appendix III
1 - 20
CAT COVERAGE FEES (EXCLUDING BUY-UPS)
RO XX
CFE001
REINSURED COMPANY DETAIL REPORT
REINSURANCE COMPANY NAME
REINSURANCE YEAR YYYY
C/O MGA
MONTHLY
CURRENT DATE: MM/DD/YYYY
HH.MM.SS
CUTOFF DATE: MM/DD/YYYY
=================================================================================================================================
ID NUMBER
ST
CO
POLICY
CROP
LOC
CROP
PRAC A
ADM
NUMBER
YEAR
CNTY
CODE
TYPE CODE R
FEE
PREMIUM
LOSSES
FEES
FEES
FEES
AMOUNT
COLLECTED
WAIVED
=================================================================================================================================
999999999
CA
999
999999
YYYY 999
0037
999
999
C
999
300
999999999
IL
999
999999
YYYY 999
0011
997
999
C
999
300
999999999
MO
999
999999
YYYY 999
0011
997
998
C
999
300
999999999
MN
999
999999
YYYY 999
0033
997
998
C
9,999
300
999999999
KS
999
999999
YYYY 999
0011
997
998
C
999
300
999999999
MN
999
999999
YYYY 999
0033
997
998
C
999
300
999999999
IL
999
999999
YYYY 999
0011
997
998
C
99
300
999999999
IL
999
999999
YYYY 999
0011
997
998
C
9,999
300
999999999
IL
999
999999
YYYY 999
0011
997
998
C
99
300
March 2012
RMA-Appendix III
2-1
999999999
OH
999
999999
YYYY 999
0011
997
998
A
99
300
999999999
IL
999
999999
YYYY 999
0011
997
998
C
999
300
999999999
IL
999
999999
YYYY 999
0011
997
998
A
999
300
999999999
IN
999
999999
YYYY 999
0011
997
998
C
99
300
999999999
IL
999
999999
YYYY 999
0011
997
998
A
999
300
999999999
IL
999
999999
YYYY 999
0011
997
998
C
999
300
999999999
IL
999
999999
YYYY 999
0011
997
998
C
999
300
9,999
4,600
TOTAL
*** NOTES ***
YYYY Catastrophic Coverage Fees
The CAT Fee amount for all crops will be $300.
March 2012
RMA-Appendix III
2-2
CAT COVERAGE FEES
RO XX
CFE002
REINSURED COMPANY DETAIL REPORT
REINSURANCE COMPANY NAME
REINSURANCE YEAR YYYY
C/O MGA
DATE: MM/DD/YYYY
HH.MM.SS
CUTOFF DATE: MM/DD/YYYY
ST
PREMIUM
AL
999,999
AR
FEES COLLECTED
FEES WAIVED
99,999
999
999
999,999
99,999
999
999
AZ
999,999
99,999
999
999
CA
999,999
99,999
999
999
CO
999,999
99,999
999
999
CT
999,999
99,999
999
999
MO
999,999
99,999
999
999
MS
999,999
99,999
999
999
MT
999,999
99,999
999
999
NC
999,999
99,999
999
999
ND
999,999
99,999
999
999
NE
999,999
99,999
999
999
NJ
999,999
99,999
999
999
NM
999,999
99,999
999
999
March 2012
LOSSES
FEE AMOUNT
RMA-Appendix III
2-3
NY
999,999
99,999
999
999
OH
999,999
99,999
999
999
OK
999,999
99,999
999
999
OR
999,999
99,999
999
999
PA
999,999
99,999
999
999
SC
999,999
99,999
999
999
YYYY (-1)
999,999
0
99,999
999
999
99,999,999
0
99,999
99,999
9,999
9,999,999
0
99,999
9,999
999
999,999,999
0
999,999
99,999
99,999
YYYY
YYYY (+1)
TOTAL
March 2012
RMA-Appendix III
2-4
CFE003
CAT COVERAGE FEES
RO XX
RECEIVABLE REPORT
REINSURANCE COMPANY NAME
REINSURANCE YEAR – YYYY
C/O MGA
CURRENT DATE/TIME:
MM/DD/YYYY
HH:MM:SS
CUTOFF DATE:
MM/DD/YYYY
===================================================================================================================================
TAX
ID
ID
POLICY CROP CROP WRT COLL
TYP PIC ST CNTY
NBR
YEAR CODE OFF
ID
FEE
ADJ
RET CHK
INT/PEN
COLLECT
BALANCE
CO CAT FEE
AMT
AMT
AMT
AMT
AMT
DUE
REDUCT AMT
===================================================================================================================================
999999999
9
TOTAL
March 2012
999 99
999 9999999 YYYY 9999
300.00
.00
.00
.00
.00
300.00
300.00
300.00
.00
.00
.00
.00
300.00
300.00
RMA-Appendix III
2-5
ADDITIONAL COVERAGE ADMINISTRATIVE FEE SUMMARY REPORT
RO XX
REINSURANCE YEAR -
REINSURANCE COMPANY NAME
YYYY
PAGE
1
ACA001
MONTHLY
C/O MGA
CURRENT DATE/TIME: MM/DD/YYYY
HH:MM:SS
CUTOFF DATE: MM/DD/YYYY
=============================================================================================
STATE
YYYY
YYYY
YYYY
YYYY
YYYY
APR
MAY
JUN
JUL
AUG
PRE
PAID
TOTAL
==============================================================================================
AR
0
0
0
0
0
0
0
GA
0
0
0
0
0
0
0
IA
0
0
0
0
0
0
0
ID
0
0
0
0
0
0
0
IL
0
0
0
0
0
0
0
IN
0
0
0
0
0
0
0
KS
0
0
0
0
0
0
0
MI
0
0
0
0
0
0
0
MN
0
0
0
0
0
0
0
MO
0
0
0
0
0
0
0
ND
0
0
0
0
0
0
0
NM
0
0
0
0
0
0
0
March 2012
RMA-Appendix III
2-6
OH
0
0
0
0
0
0
0
SD
0
0
0
0
0
0
0
TX
0
0
0
0
0
0
0
TOTAL
0
0
0
0
0
0
0
--------------------------------------------------------------------------------------------TOTAL
0
0
0
0
0
0
0
WAIVED
0
0
0
0
0
0
0
GRAND
0
0
0
0
0
0
0
March 2012
RMA-Appendix III
2-7
RO XX
FCIC REINSURANCE RUN
REINSURANCE COMPANY NAME
PAGE
REINSURANCE YEAR YYYY
1
REIPRT01
C/O MGA
CURRENT DATE: MM/DD/YYYY
STATE
HH.MM.SS
CUTOFF DATE: MM/DD/YYYY
POOL
%
LIABILITY
PREMIUMS
LOSSES
AR
RATIO
COMMERCIAL
999,999
999,999
99,999
ASSIGNED RISK
999,999
999,999
999,999
SUBTOTAL 1
999,999
999,999
99,999
9.9
999,999
999,999
99,999
9.9
COMMERCIAL
9.9
Min. 25
9.9
ASSIGNED RISK
999,999
REVISED SUBTOTAL 1
COMMERCIAL
9.9
ASSIGNED RISK
COMMERCIAL
Min. 35
ASSIGNED RISK
RETAINED SUBTOTAL 3
9.9
999,999
9.9
999,999
999,999
999,999
99,999
9.9
999,999
999,999
99,999
9.9
999,999
999,999
999,999
999,999
99,999
9.9
999,999
999,999
99,999
9.9
999,999
999,999
999,999
999,999
999,999
99,999
999,999
RETAINED SUBTOTAL 2
March 2012
LOSS
RMA-Appendix III
3-1
9.9
COMMERCIAL
9.9
999,999
99,999
ASSIGNED RISK
999,999
999,999
SUBTOTAL 4
999,999
99,999
COMMERCIAL GAIN/LOSS
999,999
(9,999)
ASSIGNED RISK
999,999
999,999
STATE GAIN/LOSS
999,999
999,999
(9,999)
(CONTINUED)
March 2012
RMA-Appendix III
3-2
9.9
9.9
RO XX
FCIC REINSURANCE RUN
PAGE
2
REINSURANCE COMPANY NAME
REINSURANCE YEAR YYYY
REIPRT01
C/O MGA
CURRENT DATE: MM/DD/YYYY
RO RECAP
HH.MM.SS
CUTOFF DATE: MM/DD/YYYY
POOL
%
LIABILITY
PREMIUMS
LOSSES
LOSS
RATIO
COMMERCIAL
9.9
999,999
999,999
99,999
9.9
ASSIGNED RISK
9.9
999,999
999,999
99,999
9.9
999,999
999,999
99,999
9.9
SUBTOTAL 1
COMMERCIAL
9.9
999,999
999,999
99,999
9.9
ASSIGNED RISK
9.9
999,999
999,999
99,999
9.9
999,999
999,999
99,999
9.9
REVISED SUBTOTAL 1
COMMERCIAL
9.9
999,999
999,999
99,999
9.9
ASSIGNED RISK
9.9
999,999
999,999
99,999
9.9
999,999
999,999
99,999
9.9
RETAINED SUBTOTAL 2
COMMERCIAL
9.9
999,999
999,999
99,999
9.9
ASSIGNED RISK
9.9
999,999
999,999
99,999
9.9
999,999
999,999
99,999
9.9
RETAINED SUBTOTAL 3
March 2012
RMA-Appendix III
3-3
COMMERCIAL
9.9
999,999
99,999
9.9
ASSIGNED RISK
9.9
999,999
99,999
9.9
999,999
99,999
9.9
SUBTOTAL 4
March 2012
RMA-Appendix III
3-4
RO XX
FCIC REINSURANCE RUN
PAGE
23
Reinsurance Company Name
REINSURANCE YEAR YYYY
REIPRT01
C/O MGA
CURRENT DATE: MM/DD/YYYY
RO RECAP
HH.MM.SS
CUTOFF DATE: MM/DD/YYYY
POOL
%
LIABILITY
PREMIUMS
LOSSES
LOSS
RATIO
COMMERCIAL GAIN/LOSS
9,999,999
(999,999)
ASSIGNED RISK GAIN/LOSS
9,999,999
(999,999)
GROSS GAIN/LOSS
99,999,999
(9,999,999)
LESS QUOTA SHARE
9,999,999
(99,999)
99,999,999
(9,999,999)
9,999,999
(9,999,999)
999,999,999
(99,999,999)
GAIN/LOSS AFTER QUOTA SHARE
PAYOUT QUOTA SHARE
GAIN/LOSS
March 2012
RMA-Appendix III
3-5
RO XX
RECONCILIATION REDUCTION WORKSHEET
Page: 1
REINSURANCE YEAR YYYY
REC001
Reinsurance Company Name
C/O MGA
CURRENT
MM/DD/YYYY
SETTLEMENT REPORT
DATE:
Premium
Difference
Recon
Reduction
PASS Premium Discrepancy by Policy Level
999,999,999.99
999,999,999.99
Book of Business by State Level
999,999,999.99
999,999,999.99
TOTAL PREMIUM RECON REDUCTION
Loss
999,999,999.99
TOTAL LOSS RECON REDUCTION
March 2012
HH.MM.SS
999,999,999.99
Difference
Book of Business by State Level
MM/DD/YYYY
Recon
Reduction
999,999,999.99
999,999,999.99
RMA-Appendix III
4-1
CUTOFF DATE:
Total
TOTAL LOSS RECON REDUCTION
March 2012
999,999,999.99
RMA-Appendix III
4-2
RO XX
RECONCILIATION REDUCTION WORKSHEET
Page: 1
REINSURANCE YEAR YYYY
REC002
Reinsurance Company Name
C/O MGA
PASS PREMIUM DISCREPANCY BY POLICY
CURRENT DATE: MM/DD/YYYY
HH.MM.SS
STATE
CO
CUTOFF DATE: MM/DD/YYYY
POLICY
CY
CROP COVERAGE
CODE
FLAG
PASS
ACCEPTED
PRODUCER
PREMUIM
PASS
CALCULATED
PRODUCER
PREMIUM
DIFFERENCE
Recon
Reduction
XX 999 9999999 9999
9999
A
999,999,999.99 999,999,999.99 999,999,999.99 999,999,999.99
XX 999 9999999 9999
9999
A
999,999,999.99 999,999,999.99 999,999,999.99 999,999,999.99
PASS PREMIUM DISCREPANCY BY POLICY LEVEL FOR NON-CAT 999,999,999.99 999,999,999.99
March 2012
XX 999 9999999 9999
9999
C
999,999,999.99 999,999,999.99 999,999,999.99 999,999,999.99
XX 999 9999999 9999
9999
C
999,999,999.99 999,999,999.99 999,999,999.99 999,999,999.99
RMA-Appendix III
4-3
PASS PREMIUM DISCREPANCY BY POLICY LEVEL FOR CAT 999,999,999.99 999,999,999.99
TOTAL PREMIUM DISCREPANCY BY POLICY LEVEL 999,999,999.99 999,999,999.99
March 2012
RMA-Appendix III
4-4
RO XX
STATE
COVERAGE
FLAG
RECONCILIATION REDUCTION WORKSHEET
PASS ACCEPTED
PREMIUM
AIP 70 RECORD
SUBMITTED
PREMIUM
Reinsurance Company Name
March 2012
AIP 70 RECORD
SUBMITTED
SUBSIDY
PASS ACCEPTED
PRODUCER
PREMUIM
AIP PRODUCER
PREMIUM
REINSURANCE YEAR YYYY
C/O MGA
CURRENT DATE: MM/DD/YYYY
PASS ACCEPTED
SUBSIDY
Page: 1
DIFFERENCE
REC003
BOOK OF BUSINESS BY STATE LEVEL PREMIUM DISCREPANCY
HH.MM.SS
CUTOFF DATE: MM/DD/YYYY
RMA-Appendix III
4-5
RECON
REDUCTION
XX
A
999,999,999.99
999,999,999.99
999,999,999.99
999,999,999.99
999,999,999.99
999,999,999.99
999,999,999.99
999,999,999.99
XX
A
999,999,999.99
999,999,999.99
999,999,999.99
999,999,999.99
999,999,999.99
999,999,999.99
999,999,999.99
999,999,999.99
XX
A
999,999,999.99
999,999,999.99
999,999,999.99
999,999,999.99
999,999,999.99
999,999,999.99
999,999,999.99
999,999,999.99
XX
A
999,999,999.99
999,999,999.99
999,999,999.99
999,999,999.99
999,999,999.99
999,999,999.99
999,999,999.99
999,999,999.99
PREMIUM DISCREPANCY FOR NON-CAT
999,999,999.99
999,999,999.99
XX
C
999,999,999.99
999,999,999.99
999,999,999.99
999,999,999.99
999,999,999.99
999,999,999.99
999,999,999.99
XX
C
999,999,999.99
999,999,999.99
999,999,999.99
999,999,999.99
999,999,999.99
999,999,999.99
999,999,999.99
XX
C
999,999,999.99
999,999,999.99
999,999,999.99
999,999,999.99
999,999,999.99
999,999,999.99
999,999,999.99
XX
C
999,999,999.99
999,999,999.99
999,999,999.99
999,999,999.99
999,999,999.99
999,999,999.99
999,999,999.99
PEMIUM DISCREPANCY FOR CAT
999,999,999.99
TOTAL PREMIUM DISCREPANCY BY STATE LEVEL
999,999,999.99
March 2012
RMA-Appendix III
4-6
999,999,999.99
RO XX
RECONCILIATION REDUCTION WORKSHEET
Page: 1
Reinsurance Company Name
REINSURANCE YEAR YYYY
REC004
C/O MGA
BOOK OF BUSINESS BY STATE LEVEL LOSS DISCREPANCY
CURRENT DATE: MM/DD/YYYY
CUTOFF DATE: MM/DD/YYYY
PASS ACCEPTED
LOSS
STATE
March 2012
HH.MM.SS
PASS CALCULATED LOSS
DIFFERENCE
Recon
Reduction
XX
999,999,999.99
999,999,999.99
999,999,999.99
999,999,999.99
XX
999,999,999.99
999,999,999.99
999,999,999.99
999,999,999.99
TOTAL LOSS DISCREPANCY BY STATE LEVEL
999,999,999.99
999,999,999.99
RMA-Appendix III
4-7
FCIC ADMINISTRATIVE REDUCTION REPORT
RO XX
PAGE: 1
FOR LATE REPORTED REDUCTION (LRR)
Reinsured Company Name
REINSURANCE YEAR - YYYY
LRR002
C/O MGA
CURRENT DATE: MM/DD/YYYY
HH:MM:SS
CUTOFF DATE: MM/DD/YYYY
=================================================================================================================================
RO
ST
NET BOOK
TOTAL
PREMIUM
REDUCTION
=================================================================================================================================
XX
XX
999,999
999,999.99
XX
999,999
999,999.99
XX
999,999
999,999.99
XX
999,999
999,999.99
--------------------------------------------------------------------------------------------------------------------------------GRAND TOTALS
9,999,999
999,999.99
---------------------------------------------------------------------------------------------------------------------------------
TOTAL
1.0%
March 2012
9,999.99
RMA-Appendix III
5-1
TOTAL
3.0%
9,999.99
TOTAL
6.0%
99,999.99
------------------
GRAND TOTAL
March 2012
99,999.99
RMA-Appendix III
5-2
RO XX
Reinsured Company Name
FCIC ACCOUNTING REPORT
PAGE: 1
PREMIUM DUE WORKSHEET
PDW001-C
REINSURANCE YEAR - YYYY
C/O MGA
CURRENT DATE: MM/DD/YYYY
HH.MM.SS
CUTOFF DATE: MM/DD/YYYY
===================================================================================================================================
(A)
(B)
(C)
(D)
(E)
(F)
INSURED
PREM PAID
PREM
PREV
NBR DAYS
INTEREST
TOTAL OF
PREM DUE
BY CO.
UNPAID
MONTH
INTEREST
DUE
WORKSHEET
MONTH
(A-B)
UNPAID
(%)*(D)*(E)
(G)
(-B-F)
===================================================================================================================================
APRIL
YYYY
99,999
99,999
999
99
99
99.99
999.99
MAY
YYYY
9,999
99,999
99
99
99
99.99
999.99
JUNE
YYYY
_
JULY
YYYY
_
March 2012
____
__
____
__
_
__
_________
___________
RMA-Appendix III
6- 1
AUGUST
YYYY
TOTAL
March 2012
_
____
__
___________
999,999
9,999.99
RMA-Appendix III
6- 2
PREMIUM DUE WORKSHEET - AUGUST PREMIUM PAID BY COMPANY
PREMIUM
REPORT
DATE
(A)
(B)
(C)
(D)
(E)
(F)
(G)
PREVIOUS
DAYS
INTEREST
TOTAL OF
PAYMENT
INS'DS
PREM
PREMIUM
DUE
PREMIUM
PAID
UNPAID
MONTH
(365 DAY
DUE
WORKSHEET
DATE
DUE
BY CO.
(A-B)
UNPAID
YEAR)
(%*D*E)
(-B-F)
REF
NOTE
09/DD/YYYY
AUGUST/YYYY
3,000,000
3,000,000
0
0
0
0
-3,000,000
1
10/DD/YYYY
AUGUST/YYYY
-2,000,000
-2,000,000
0
0
0
0
2,000,000
2
11/DD/YYYY
AUGUST/YYYY
-500,000
-500,000
0
0
0
0
500,000
3
10/DD/YYYY(+1)
AUGUST/YYYY
4
1.
PREMIUM WITH AUGUST BILLING IS PAID BY COMPANY ON THE 09/DD/YYYY SETTLEMENT REPORT.
2.
COMPANY HAS MADE COLLECTIONS OF AUGUST PREMIUM WHICH ARE REFLECTED IN THE PAIDS ON THE SETTLEMENT
REPORT.
THIS RESULTS IN A NEGATIVE PREMIUM DUE (COLUMN A).
3.
COMPANY HAS MADE ADDITIONAL COLLECTIONS OF AUGUST PREMIUM.
4.
FIRST ANNUAL SETTLEMENT REPORT.
March 2012
All PREMIUM DUE EVEN IF NOT COLLECTED BY THE COMPANY.
RMA-Appendix III
6- 3
IF NO DEFERRALS, THERE WILL BE NO PREMIUM DUE WORKSHEET NECESSARY.
March 2012
RMA-Appendix III
6- 4
PREMIUM DUE WORKSHEET – AUGUST PREMIUM DEFERRED
REPORT
DATE
(EXAMPLE SHOWING FLOW THROUGH 4 SETTLEMENT REPORTS)
PREMIUM
(A)
(B)
(C)
(D)
(E)
(F)
(G)
PAYMENT
INS'DS
PREM
PREMIUM
PREVIOUS
DAYS
INTEREST
TOTAL OF
DUE
WORKSHEET
NOTE
(%*D*E)
(-B-F)
REF
DUE
DATE
PREMIUMPAID UNPAID
DUE
BY CO.
MONTH
(A-B)
(365 DAY
UNPAID
YEAR)
09/DD/YYYY
AUGUST/YYYY
$3,000,000
$0
$3,000,000
$0
0
$000
$0.00
1
10/DD/YYYY
AUGUST/YYYY
$2,200,000
$0
$2,200,000
$3,000,000
61
$75,205.48
$75,205.48
2
11/DD/YYYY
AUGUST/YYYY
$1,500,000
$0
$1,500,000
$2,200,000
30
$27,123.29
$27,123.29
3
12/DD/YYYY
AUGUST/YYYY
$750,000
$0
$750,000
$1,500,000
31
$19,109.59
$19,109.59
4
1.
Premium with an August billing date is deferred.
No interest is due on this report.
2.
Interest is charged on the $3,000,000 of premium deferred the previous month (Column D at an
annual rate of 15% for the period 09/01/YYYY through 10/31/YYYY.
March 2012
RMA-Appendix III
6- 5
3.
Interest is charged on the $2,200,000 of premium deferred the previous month (Column D) at an
annual rate of 15% for the period 11/01/YYYY through 11/30/YYYY.
4.
Interest is charged on the $1,500,000 of premium deferred the previous month (Column D) at
an annual rate of 15% for the period 12/01/YYYY through 12/31/YYYY.
Note: Once annual settlement is reached premium can no longer be deferred, all premium is due FCIC even if it remains uncollected.
March 2012
RMA-Appendix III
6- 6
FCIC SUMMARY REPORT (MONTHLY)
PREMIUM DUE WITHOUT PAYMENTS WORKSHEET
PDW002
REINSURANCE YEAR - YYYY
RO XX
Reinsured Company Name
C/O MGA
CURRENT DATE: MM/DD/YYYY
HH.MM.SS
CUTOFF DATE: MM/DD/YYYY
=====================================================================================================================================
MONTH
(A)
(B)
(C)
(D)
(E)
(F)
(G)
CURRENT
PREVIOUS
RPT DATE
INC OF PREM
NBR DAYS
INTEREST
TOTAL OF
OF PEAK
DUE WO PAYM
INTEREST
REPORT
PEAK
DUE
INTEREST
====================================================================================================================================
APRIL
YYYY
999
999
MM/DD/YYY
99
99
99.99
99.99
MAY
YYYY
999
999
MM/DD/YYY
99
99
99.99
99.99
JUNE
YYYY
March 2012
RMA-Appendix III
6- 7
JULY
YYYY
AUGUST
YYYY
__
TOTAL
March 2012
999.99
RMA-Appendix III
6- 8
EXAMPLE 3:
PREMIUM DUE WITHOUT (W/O) PAYMENTS
PREMIUM
AMOUNT OF
PAYMENT
INCREASES IN
DAYS
DUE
REPORT
TOTAL PREMIUM
PREMIUM FROM
(365 DAY YR.)
INTEREST
INTEREST
NOTE
DATE
DATE
DUE W/O PMT.
PREVIOUS PEAK
(EXACT DAYS)
RATE
AMOUNT
REF.
08/15/YYYY
09/10/YYYY
$1,000,000
$0
0
0
08/15/YYYY
10/31/YYYY
$1,200,000
$200,000
61
08/15/YYYY
11/09/YYYY
$1,300,000
$100,000
08/15/YYYY
01/08/YYYY(+1) $1,100,000
08/15/YYYY
02/12/YYYY(+1) $1,400,000
$0.00
1
15%
$5,013.70
2
91
15%
$3,739.73
3
$0
0
15%
$0.00
4
$100,000
179
15%
$7,356.16
5
1.
Total premium with an August billing date is due to FCIC on September 30.
2.
Total premium with an August billing date due to FCIC September 30 has increased by $200,000.
The premium should have been reported on the September report.
March 2012
The company is charged for two
RMA-Appendix III
6- 9
full month's interest on the October report.
3.
Total premium with an August billing date due to FCIC September 30 has increased by $100,000
during November.
The premium should have been reported on the September report.
The company is charged three full month's interest on the November report.
4.
The total premium reported did not increase during the month.
5.
Total premium with an August billing date due to FCIC September 30 has further increased during
the month by another $100,000.
The premium should have been reported on the September report.
The company is charged six month's interest.
March 2012
RMA-Appendix III
6- 10
INSTRUCTION GUIDE FOR FUNDS TRANSFER
DEPOSIT MESSAGES TO TREASURY
All Government agencies must provide specific information to their depositors so that a funds
transfer deposit message can be transmitted to the Department of the Treasury (Treasury). Likewise,
the depositors must communicate this information to the bank sending the funds transfer. The funds
transfer deposit message format is included within this appendix. A narrative description of each
field on the funds transfer deposit message follows:
Field
Content
1
RECEIVER-DFI# - The Treasury Department's ABA number for deposit-messages is 021030004.
be entered by the sending bank for all deposit messages sent to the Treasury.
2
TYPE-SUBTYPE-CD - The type and subtype code will be provided by the sending bank.
3
SENDER-DFI# - This number will be provided by the sending bank.
4
SENDER-REF# - The sixteen character reference number is inserted by the sending bank at its option.
5
AMOUNT - The transfer amount must be punctuated with commas and decimal point; use of the "$" is optional.
This item will be provided by the depositor.
6
SENDER-DFI-NAME - This information is automatically inserted by the Federal Reserve Bank.
7
RECEIVER-DFI-NAME - The Treasury Department's name for deposit messages is "TREAS NYC."
name should be entered by the sending bank.
8
PRODUCT CODE - A product code of "CTR" for customer transfer should be the first data in the
RECEIVER-TEXT field. Other values may be entered, if appropriate, using the ABA's options. A
slash must be entered after the product code.
9
AGENCY LOCATION CODE - THIS ITEM IS OF CRITICAL IMPORTANCE. IT MUST APPEAR ON THE FUNDS
TRANSFER DEPOSIT MESSAGE IN THE PRECISE MANNER AS STATED TO ALLOW FOR THE AUTOMATED PROCESSING
AND CLASSIFICATION OF THE FUNDS TRANSFER MESSAGE TO THE AGENCY LOCATION CODE OF THE APPROPRIATE
AGENCY. The agency location code (ALC) refers to three-, four-, or eight-digit numeric symbols
used to identify Government departments and agencies (e.g., accounting stations, disbursing and
collecting offices). The agency's unique code must be specified in the funds transfer message
in order for the funds to be correctly classified to the respective agency. The ALC
March 2012
RMA-Appendix III
This number should
This
identification sequence includes the beneficiary code field tag, BNF-, and identifier code,/AC-,
followed by the appropriate ALC number. These three components must be in the following format:
BNF-/AC-nnn
3-digit ALC
-OR-
BNF-/AC-nnnn
4-digit ALC
-OR-
BNF-/AC-nnnnnnnn
8-digit ALC
The ALC identification sequence can, if necessary, begin on one line and end on the next line; however, the field
tag "BNF-" must be one line and cannot contain any spaces.
March 2012
RMA-Appendix III
10
THIRD-PARTY INFORMATION - The appropriate information to identify the reason for the funds
transfer should be provided by the agency to the depositor. The originator to Beneficiary
Information field tag "OBI-" is used to signify the beginning of the free-form third-party text.
The field tag "OBI-" must be on the same line and cannot contain any spaces. The field tag is
placed following the ALC identification sequence and preceded by a space. An example of this
data line using the 8-digit ALC would be as follows:
BNF-/AC-nnnnnnnn OBI
It is important to note that the length of the third-party text depends on how close you can
place the ALC identification sequence (Field 9) to the PRODUCT CODE (Field 8). Under the
Federal Reserve System's Structured Third-Party Format, financial institutions have the ability
to place additional information fields for their own use between field 8 and field 9. Agencies
should instruct their depositors and financial institutions to limit the use of these additional
fields, and attempt to adhere to the optimum format for fields 7, 8, 9, and 10. This format
using an 8-digit ALC is as follows:
TREAS NYC/CTR/BNF-/AC-nnnnnnnn OBI-
The optimum format, shown above will allow 219 character positions of information following the
"OBI-" indicator. The information that is constant for all agencies is shown in the Funds
Transfer Deposit Message Format within this appendix. This includes the RECEIVER-DFI# (FIELD
1), the RECEIVER-DFI-NAME (FIELD 7) and the PRODUCT CODE (FIELD 8). In addition to these
constant fields, the agency must provide fields 9 and 10 to their depositors and the depositor
must provide field 5 to the sending financial institution.
The depositor should inform the financial institution that sends the funds transfers to Treasury
to use due care and ensure that all information is provided in the prescribed format. Failure
to provide the information in the prescribed format may cause a delay in the notification of the
funds transfer to the agency.
A sample of a funds transfer deposit message to Treasury is included within this appendix.
021030004
(3)
(2)
(4)
(5)
(6)
/
March 2012
(7)
(8)
RMA-Appendix III
TREAS
NYC/CTR/
(9)
BNF-/AC-nnnnnnnn
OBI(10)
March 2012
RMA-Appendix III
ESCROW REGISTER
REINSURED COMPANY NAME
ESCROW ACCOUNT #99999
01/01/XXXX HH:MM
Total Requested Amount
21,000.00
Previous Requested Amount
.00
Receivable Amount
.00
Payment Amount
21,000.00
Policy
State
Issuing
Policy
Company
Number
Name
Claim
Requested
Previous
Payable
Number
Amount
Amount
Amount
02
500
123456
Producer 1
1111
1,000.00
0.00
1,000.00
02
500
234567
Producer 2
2222
2,000.00
0.00
2,000.00
02
500
345678
Producer 3
3333
3,000.00
0.00
3,000.00
02
500
456789
Producer 4
4444
4,000.00
0.00
4,000.00
02
500
678901
Producer 5
5555
5,000.00
0.00
5,000.00
02
500
456789
Producer 6
6666
Previous Y-T-D YYYY Total
74,000.00
Reinsurance Year YYYY Total
15,000.00
Cumulative Y-T-D Total
89,000.00
6,000.00
0.00
Previous Y-T-D YYYY(+1)Total10,000.00
March 2012
RMA-Appendix III
6,000.00
Reinsurance Year YYYY(+1)Total
Cumulative Y-T-D Total
March 2012
RMA-Appendix III
6,000.00
16,000.00
ESCROW REGISTER
REINSURED COMPANY NAME
ESCROW ACCOUNT #99999
MM/DD/YYYY HH:MM
Total Requested Amount
Previous Requested Amount
.00
Receivable Amount
.00
Payment Amount
21,000.00
Previous Y-T-D Total
74,000.00
Reinsurance Year YYYY Total
15,000.00
Cumulative Y-T-D Total
89,000.00
Previous Y-T-D Total
10,000.00
Reinsurance Year YYYY(+1)Total
Cumulative Y-T-D Total
March 2012
21,000.00
RMA-Appendix III
6,000.00
16,000.00
March 2012
RMA-Appendix III
FCIC LIVESTOCK SETTLEMENT REPORT
RO XX
PAGE: 1
REINSURANCE YEAR - YYYY
Reinsurance Company Name
LRCP001-C
MONTHLY
C/O MGA
CURRENT DATE: MM/DD/YYYY
HH.MM.SS
CUTOFF DATE: MM/DD/YYYY
===================================================================================================================================
PREMIUM
LIVESTOCK
9,999,999
SUBSIDY
999,999
LOSSES
999,999
===================================================================================================================================
DUE COMPANY
NET A & O SUBSIDY (99.9%)
999,999.99
COMPANY PREVIOUS PAYMENT
999,999.99
FCIC INTEREST PAID
999,999.99
March 2012
DUE FCIC
RMA-Appendix III
9-1
ADJUSTMENTS DUE COMPANY
999,999.99
FCIC PREVIOUS PAYMENT
999,999.99
FCIC INTEREST /PENALTY
999,999.99
ADJUSTMENTS DUE FCIC
999,999.99
LIVESTOCK SETTLEMENT
999,999.99
999,999.99
SUBTOTAL
999,999.99
999,999.99
BALANCE DUE COMPANY/FCIC
999,999.99
999,999.99
===================================================================================================================================
CERTIFIED CORRECT
______________________________
_______________________________
______________________________
NAME
TITLE
DATE
NOTE:
ANY FALSE CERTIFICATION MADE TO THE CORPORATION MAY SUBJECT THE MAKER TO CRIMINAL AND CIVIL PENALTIES AS PROVIDED
IN 18 U.S.C. 287,1001; 31 U.S.C. 3729 AND 3730
March 2012
RMA-Appendix III
9-2
FCIC LIVESTOCK DETAIL REPORT
REINSURANCE YEAR - YYYY
XX
Reinsurance Company Name
PAGE:1
LADR001
RO
MONTHLY
C/O MGA.
CURRENT DATE: MM/DD/YYYY
HH.MM.SS
CUTOFF DATE: MM/DD/YYYY
==================================================================================================================================
CROP
ST
CO
POLICY
YR
NAME
PREMIUM
SUBSIDY
LOSSES
==================================================================================================================================
XX
999
999999
YYYY
DOE, J
6,613
3,637
0
XX
999
999999
YYYY
DOE, JO
13,092
7,725
0
XX
999
999999
YYYY
DOE, JON
3,394
2,002
0
XX
999
999999
YYYY
DOE, JOHN
8,626
5,089
0
XX
999
999999
YYYY
DOE, JESS
1,008
554
0
XX
999
999999
YYYY
DOE, SALLY
4,270
2,518
0
XX
999
999999
YYYY
DOE, JAN
1,762
1,040
0
XX
999
999999
YYYY
DOE, JANE
3,304
1,949
0
XX
999
999999
YYYY
DOE, JODY
2,664
1,572
0
XX
999
999999
YYYY
DOE, RICH
2,121
1,251
0
XX
999
999999
YYYY
DOE, JACK
707
417
0
XX
999
999999
YYYY
DOE, BOB
8,354
4,930
0
55,915
32,684
0
TOTAL
March 2012
RMA-Appendix III
9-3
LIVESTOCK SETTLEMENT REPORT
REINSURANCE YEAR YYYY
RO XX
Reinsurance Company Name
C/O MGA
CURRENT DATE: MM/DD/YYYY
FUND
HH.MM.SS
PAGE
1
LIVPRT01
CUTOFF DATE: MM/DD/YYYY
TOTAL
PREMIUM
PRODUCER
PREMIUM
SUBSIDY
LOSSES
LOSS
RATIO
GAIN
LOSS
COMMERCIAL LRP
9,999,999
9,999,999
999,999
999,999
41.1
COMMERCIAL LGM
.0
PRIVATE MARKET LRP
.0
PRIVATE MARKET LGM
.0
********************************************************************************************************************************
NET BOOK TOTALS
9,999,999
9,999,999
999,999
999,999
41.1
COMMERCIAL
9,999,999
9,999,999
999,999
999,999
41.1
PRIVATE MARKET
.0
********************************************************************************************************************************
RETAINED TOTALS
9,999,999
9,999,999
999,999
999,999
41.1
COMMERCIAL
9,999,999
9,999,999
999,999
999,999
41.1
PRIVATE MARKET
.0
********************************************************************************************************************************
COMPANY SHARE AFTER STOP LOSS
9,999,999
9,999,999
999,999
999,999
41.1
999,999
COMMERCIAL
9,999,999
9,999,999
999,999
999,999
41.1
PRIVATE MARKET
.0
********************************************************************************************************************************
FCIC SHARE
9,999,999
9,999,999
999,999
999,999
41.1
March 2012
RMA-Appendix III
9-4
DUE COMPANY
DUE FCIC
SUBSIDY
999,999
LOSSES DUE FROM FCIC
999
PREMIUM DUE FCIC
9,999
REINSURANCE PREMIUM DUE FCIC
99,999
********************************************************************************************************************************
SUBTOTAL
999,999
99,999
********************************************************************************************************************************
LIVESTOCK ADJUSTMENT
March 2012
999,999
RMA-Appendix III
9-5
FCIC STATE LIVESTOCK REIMBURSEMENT REPORT
REINSURANCE YEAR YYYY
RO XX
Reinsurance Company Name
C/O MGA
CURRENT DATE: MM/DD/YYYY
HH.MM.SS
PAGE
1
LINS002
CUTOFF DATE: MM/DD/YYYY
===================================================================================================================================
RATE
REIMBURSE
TOTAL
REIMBURSEMENT
ST
CHG
RATE
PREMIUM
AMOUNT
===================================================================================================================================
XX
XX
XX
XX
XX
XX
XX
XX
XX
XX
XX
XX
XX
TOTAL
March 2012
.9999
.9999
.9999
.9999
.9999
.9999
.9999
.9999
.9999
.9999
.9999
.9999
.9999
999,999
999,999
999,999
999,999
999,999
999,999
999,999
999,999
999,999
999,999
999,999
999,999
999,999
99,999.99
99,999.99
99,999.99
99,999.99
99,999.99
99,999.99
99,999.99
99,999.99
99,999.99
99,999.99
99,999.99
99,999.99
99,999.99
9,999,999
999,999.99
RMA-Appendix III
9-6
March 2012
RMA-Appendix III
| File Type | application/pdf |
| Author | virgil.ireland |
| File Modified | 2012-03-06 |
| File Created | 2012-03-06 |