Audit Trail

Audit Trail

The Audit Trail application provides access to all changes that have been made to a company's financial data and demographics information housed in the NAIC databases. This application provides detailed information about why, when and who made the edit, insert or delete to the database. It allows you to reference the history of changes that were made to the financial or company demographics data, eliminating the need to contact NAIC staff. In addition, this data can be used to trigger an event that sends a message via the Personalized Information Capture System (PICS) regarding data changes.

Audit Trail reports are available for the 1999 data year for "small" business types: HMO, HMDI, Fraternal and Title. These reports are also available for Property and Life business types for 2000 data and forward.

To View Audit Trail reports using the iSite+ Reports Page  

Search for an entity or entities by performing a Company/Firm Search.

1. Highlight which entity/entities you want reports on, found in the Company List box.

2. Look under Compliance in the Categories Frame to find the Audit Trail link.

3. Click on the Audit Trail Link.

The “Entity – Audit Trail” options screen will appear. In the header section of the Audit Trail page the following information about the selected company is displayed. (NOTE: See the Glossary for definitions of unfamiliar terms)

- Company name - click the blue link to view company demographic information
- NAIC Company Code (Cocode)
- Federal Employer Identification Number (FEIN)
- Year
- Status
- Statement Type
- Group Code
- Group Name
- Date
- Domicile
- Nationally Significant
- Risk-Based Capital (RBC) Ratio

4. Below the header section are eight fields for selecting, sorting and displaying data.

5. “View Audit Trail Entries for” has two fields from which to select criteria. 

6. The first field options are: 

- Financial Data
- Company Demographics

7. The second field options are: 

- Statement Type (annual statement)
- RBC (Risk Based Capital)

8. The “Restrict Entries To” field’s options will allow you to specify company or financial tables to select from.

9. The “Made On or After” field will allow you to enter a date manually or select one from a calendar. The calendar is generated via the “select new date” hyperlink.

10. The “Sort Entries by” field will allow you to sort the results by Table Name, Column Name, Change Date or Line Number. (NOTE: Line Number is only available if Financial Data is selected)  

11. Checkbox options will allow you to display the Changed By, Changed Date, and Changed Reason fields.

12. Click the "Submit" button after all field selections have been made.

13. To print or save the Audit Trail information, select the appropriate command from the File menu.

14. To close the Audit Trail application, click the close (X) button in the upper right corner of the report window or select the Close option from the File menu at the top of the window.