The Examination Tracking System (ETS) allows market regulation to communicate examination schedules and results. ETS includes functions for calling market regulation examinations, reporting dates and easy access to full information about the people involved in the examination of a specific entity. ETS can also be used to view or update examination information for a specific entity. An Exam Summary Report  provides a history of examinations that match specified criteria (e.g. all financial examinations called in a specified state for a specified date range).

As of July, 2010 Combined examinations will no longer be permitted. However, existing Combined examinations may be updated and viewed.

To access ETS (after initial I-SITE login using your Oracle User ID and Password):

There are then 3 ways to access the Exam Tracking System

  1. At the I-SITE home page click the Exam Tracking System link.
  2. From the Market Firm Search page, search for the desired company. Then click one of the date links below the ETS column header. You can also search for exams from the Market Firm Search page by entering exam numbers in the Exam Numbers field.  (NOTE: The date link displayed will be the most current date last modified.)

OR if company/firm search already selected:

  1. From the Categories page, click the Exam Tracking link under Market Analysis.

ETS Company Search

The ETS Company Search page is the first step to Call, Update, or View an examination.

How to use the ETS Company Search page:

  1. Select the type of examination radio button under the Select Exam Type heading. 
  2. In the next section there are two column headings, Field and Input.  The Field column consists of a drop down list of possible field names to search by.  Available fields are:

·         Firm Name

·         FEIN

·         NAIC Company Code

·         Entity Number 

·         Group Code

·         Exam Number

  1. The Input column is where you enter the criteria to search by.
  2. After selecting a Field and entering Input criteria, click the Search button.  The companies meeting the criteria you entered will be displayed in the Company Search Results section.  

Note about search results:  If NAIC Company Code was used under Field, you will receive one Cocode per Field search. For an Entity Number search, only the companies that have been submitted by your state will be displayed in the results.

To add additional companies

  • Return to the search section.  Notice that another search criteria line was added.  Enter the desired Field and Input.  After clicking the search button the entities will be added to the Company Search Results section.

Removing Companies

If you have returned a company in the Company Search Results section that you do not wish to call an exam for, place a check in the checkbox next to that company and click the Remove Companies button. Then click OK to confirm the request to delete the company.

Reset

To start the search process over from the beginning click the Reset button.  This will clear out the Company Search Results section.  

Viewing Current / Closed Examinations

In the Company Search Results section the company name is displayed after completing a search.  To view current and closed exams click the company name link.  This will display all exams for that company.  These exams can be viewed by clicking the radio button of the desired exam and clicking the View button.  Exams with associated documentation have a paperclip in the attachements column.  Note:  The exams displayed in this list are determined by what Exam Type radio button is selected.  If the Market radio button is selected clicking the company name link will display MARKET exams for that company.  To view a Financial exam select the radio button and you will be directed to FEETS.  To view a Combined exam select that radio button and then click the company name link.

Calling a New Examination

ETS is used to call Market Regulation examinations. 

  • A Market Regulation exam reviews a company's market regulation practices, such as claims handling or sales and marketing. 

Navigating the ETS System

There will be several buttons located throughout the system that will be used for navigation.

  • Next - This button will take you to the next phase in the process of calling an exam.

  • Back - This button will take you to the previous phase in the process of calling an exam.

  • Exit Exam - This button will return you to the initial search screen.  All data entered in the exam will be lost.

  • Help - A link to I-SITE ETS help pages.

  • Company Demographics - Once in the ETS system the Primary Company selected will be displayed in the upper left corner.  The company name will be a link that you can click to view company demographics on the Primary Company.

NOTE: Not all I-SITE users have access to call an exam. If you do not have access, the New button will not display on the ETS Exam Search Results page.  

  1. Follow the steps for a Company Search and select the company(s) for the exam.
  2. Select the company(s) that the exam will be called on by clicking the checkbox next to the company name(s).
  3. Click the New Exam button.
  4. In the Companies Under Exam box select the Primary Company by clicking the appropriate radio button.
  5. The State Involvement box allows the person calling the exam to select the states participating in the exam and also their Status in the exam.  Even though a state is calling an exam they do not have to be the Lead state. State status's are:

·         Lead

·         Active

·         Passive

·         Not Involved

  1. Click the Update button to add more lines to the State Involvement boxes. Three more lines will be added but you do not have to fill in all lines however.  Click the Next button to continue.

New Exam Information

  1. The Exam Information page requires several pieces of information to be given in order to call the exam. NOTE:  You may select multiple triggers using the standard shift-click and/or ctrl-click windows functions. They are:
  • Type of Examination
  • Exam Trigger
  • Exam Status
  • Line of Business
  • Specialized Exam

Type of Examinations – NOTE: Only those types of exams that are applicable will be listed on the Exam Information page. See the Glossary for definitions of unfamiliar terms.

    Comprehensive 
    Target
    Desk 
    Multi-state/Collaborative
    Re-examinations 

Exam Conductor – who is conducting the exam:
When the user calls an exam, they can identify if a Department of Insurance employee or a Contractor will perform the exam.

Trigger(s) – the reason(s) for calling an exam:

    SRR - Statutory examination requirements
    ICA  -  Internal complaint analysis
    CSR - Compliance with statutes & regulations (producer licensing also)
    RFR - Rate and form review
    MSA - Market share analysis
    COS - Information from the Commissioner of another jurisdiction
    CCE - Changes in control environment  
    FIA   - Financial Analysis and IRIS ratios
    IES   - Information from other external sources
    PAD - Pre-admission
    MAS - Market Conduct Annual Statement
    EXF  - Exam Findings
    EFM - Exam findings from previous Market Conduct Exams              
    NAS - NAIC systems information
     
Status  

   Anticipated Exam

   Called Not Begun

   In Progress

   Exam Work Concluded

   In Settlement

   Cancelled

   Closed

   Closed - Order

   Closed - Order and Fine

   Suspended

 Line of Business

 Line of Business the exam is reviewing.

   Bail Bonds Individual Accident and Health
   Commercial Auto Individual Annuity
   Commercial Liability Individual Life
   Commercial Property Long Term Care
   Credit Medical Malpractice
   Fidelity and Surety Medicare Supplement
   Group Accident and Health Other
   Group Annuity Private Passenger
   Group Life Title
   Homeowner Workers Comp

  NOTE:  You may select multiple lines of business using the standard shift-click and/or ctrl-click windows functions.

Specialized Exam  
   Managed Care Statistical Agent
   Managed Care Health Maintenance Organizations (HMO) Surplus Lines Broker
   Managed Care Limited Health Service Organization (LHSO) Third Party Administrator (TPA)
   Managed Care Organization (MCO) Title Insurance Company and Title Insurance Agent
   Managed Care Preferred Provider Organizations (PPO) Viatical Settlement Provider
   Premium Finance Company

  1. Once the Exam Information is completed click the Next button to proceed.

The Exam Dates Page

The Exam Dates page allows you to enter all the pertinent dates dealing with the exam. The Date Entered date is filled in according to the date you are filling out the exam information.  

 Note:  To get a description of dates and there definitions, mouse over the field title.

Exam Dates

  1. The Anticipated Call Date is defined as the date that the examining state will send the letter to the company indicating the exam will take place.  Although this is not a required field, the asterisk lets you know that in order to receive a PICS notification reminding the Chief Examiner to update the examination, date information, and the location information, it must be filled in. This message will be sent 15 days prior to the tentative examination date that has been indicated in this field.
  2. The Actual Examination Call Date is defined as the actual date the examining state sends the letter to the company indicating the exam will take place.
  3. Estimated Start Date is defined as the date that the examining state has designated as a possible date the field work will begin.
  4. Estimated End Date is defined as the date that the examining state has designated as a possible date the field work will end.
  5. The Examination Period Under Review dates are From and To dates designate what period the exam will review. These dates are not mandatory.  
  6. Once all necessary date information has been entered, click the Next button.

The Exam People Page

The Exam People page shows each person that has been designated as a potential participant in the exam and there zone. Only the Chief Examiners from each state that was selected earlier in the process, and the person calling the exam will be displayed on this page. The Chief Examiner of the calling state will have an asterisk next to his or her name. 

There is a checkbox next to the e-mail address, which allows participants to communicate about issues regarding the exam. To send an e-mail message, click the box next to the person's e-mail address and then click the e-mail button. 

Each person’s name is an individual link, which shows basic demographic information such as address, phone number, there zone, and e-mail address. These fields are for viewing purpose only.

 

  1. Click the Next button.

  Note:  There is a link to the form for updating contact information to the NAIC on this page.  Follow instructions in the document to change contact information.

The Exam Locations Information Page   

The Exam Locations Information page provides the necessary addresses for the field exam work. 

  1. Click the Add New Location button. Complete the information on this page regarding the site(s) at which field examination work is to be performed. Information should be completed for each site where the field work is to be performed. There is a checkbox at the bottom of the screen that allows the address you have entered to be used for all Companies that are part of the exam.
  2. Click the Update button to add the location and return to the Exam Locations page.
  3. If work is to be performed at more than one physical location, add these locations by clicking the Add New Location button at the bottom of the page.
  4. There is an Edit Location button that allows changes to be made to the information entered.
  5. There is also a Remove Location button that allows the removal of a location entered.
  6. When all locations information has been filled in click the Next button.

Market Findings Page  

fcThe Market Findings Report - Displays areas of possible scrutiny in the upcoming examination.  Areas of scrutiny are determined by the Line of Business selected on the Exam Information page.

  1. If this is a multiple entity exam, select the desired company.  Please make sure you select the appropriate entity that will correspond to its specific scrutiny(s)/violation(s) and LOBs.
  2. Select the desired Line of Business type in the dropdown list under the Line Of Business field.  If this is a multiple LOB exam, please be sure to select the appropriate scrutiny(s)/violation(s) for each LOB.
  3. Click the checkbox for each area of the company's market practices that are being scrutinized. Each checkbox refers to a specific area of market practice listed along the left of the page.  Clicking the check box for Scrutiny beside a parent group selects all items under that parent group title. Individual items can be selected/deselected at any time.
    Note: Once the exam is completed, the areas where violations were found can be updated by checking the appropriate box.
  4. If there is more than one company, click the drop down arrow next to the company name. Select the next company, then make your selections in the findings checkboxes for that company.

  5. Click the Next button at the bottom of the page.

Exam Summary Page

The Exam Summary page shows all the information that has been entered in reference to the particular exam you have entered.  All exam information you just entered is listed below.  Links are available under the Section heading that will jump you on the page to that heading.  

Click the Modify button to the right of the listed category of information to modify any of the existing information previously entered. Once the modifications are completed, click the View Summary button to return to the Exam Summary page.   

Note:   To add companies to the exam click the Modify button next to the Exam Information section.  Once at the Exam Information section click the back button to return to the Exam Companies and State Involvement page. Then click the back button to return to the Company Search page.  Search for desired company, check the check box next to the company, and click the new exam button.  The company will be added to the exam and all information will still be filled in.  Click the next button until a View Summary button is available to return to the Exam Summary page.  

Call the Exam 

  1. Once the information has been completed, click the Finalize Exam button below the category information section.  

  2. The Exam Mail Form will display that shows the mail message that is to be sent to all appropriate people.

  3. At this point, you can add additional recipients and additional comments to the message.

  4. Click the Call Exam button to complete this process.  Email notifications are automatically sent to the domiciliary state chief examiner when an examination is called/anticipated on a company. A message will display indicating that the examination has been called successfully. This message will also contain the examination number.

A message will display indicating that the examination has been called successfully. This message will also contain the examination number.  Click the Market Analysis Profile button to access the Market Analysis Profile Reports to start preparing for the exam.  Note:  The Market Analysis Profile reports will be based upon the NAIC company code for the primary company in the exam.

Updating Examination Information

 The process of updating an exam may involve revising several pages within the Exam Tracking System and most often; each exam will be updated more than once. Depending on the exam type, these are the possible areas that will need to be revised: Exam Dates, the People Page, Market Findings, and the Exam Information (Exam Status). Update privileges are dependent upon your User ID and the state that called the exam. Please refer to the ETS Security table located in this Help section.

To Access The Exam Tracking System:

  1. Access ETS by following the Company Search instructions above.
  2. On the ETS Company Search page, select the company you wish to update by clicking the company name link.
  3. Once in the search results there is a drop list to jump between Market and Combined exams for that company.  Search results are displayed newest exams first.
  4. Click the radio button next to the exam you want to update, and click the Update button. The Exam Information page will display. (Note: As of June 2011, Financial exams can no longer be called or updated within ETS. You will be directed to FEETS when the Update button is clicked for a selected Financial exam.
  5. Click the Go To drop down arrow for the areas where changes are needed. For example, to enter a completion date for the exam, select the Dates page and enter the dates in the appropriate field.  Select List Exams to go back to the Exam Search Results page.
  6. Click the History Report button to get the Exam History Report that displays all past exams for the company
  7. When all changes have been made to a particular page, click the Update Exam button to save the changes. To make changes to a different page, select the appropriate information from the drop down box in Go To.

Update the Exam Information Page

  1. Choose the Information page from the Go To drop down box. The Exam Information page will display.
  2. You can use the Exam Information Page to change the Exam Status, Exam Trigger, Type of Examination and/or Specialized Exam selections.

Update the Exam Dates

  1. Choose the Dates page from the Go To drop down box. The Exam Dates Information page will display.
  2. Update the remaining date fields. Remember to use two-digit months, two digit days and four digit years (i.e.-01/05/2011)
  3. Once all necessary date information has been entered, click the Update button. The updated Exam Dates page will display.  

Complete the Market Findings Page

  1. Choose the Market Findings page from the Go To drop down box. The Market Findings information page will display.
  2. Complete the assessed fine amount by selecting the subsequent action from the dropdown list of available choices. Subsequent actions include Monitoring, Check Agencies, Re-Examine, Self Reporting or Other.
  3. Click the checkbox under the scrutiny column for each area of the company's market practices to indicate areas to scrutinize during the exam.

    Areas of scrutiny and market findings are dependent on line of business (LOB).  NOTE: Once the exam is completed, the areas where violations were found can be updated by checking the appropriate box under the violation column.

    Select All Feature: Clicking the check box for Scrutiny and/or Violation beside a parent group selects all items under that parent group title. Individual items can be selected/deselected at any time.

    When multiple companies are involved in an exam there will be a Company drop down list with all companies.  Select the desired company and check appropriate market practices box.  Then select next company and select market practices for that company.  All check boxes selected will be saved.
  4. The Comments region is entered by clicking on the comments button and is available for remarks related to the discrepancy, or other pertinent information.
  5. Click the Update button at the bottom of the page. The updated Market Findings page will display.
  6. Click the Send RIRS Action To NAIC button to complete a Regulatory Action on the exam. A RIRS action can be completed only if the exam has a closed status NOTE: States are highly encouraged to communicate internally so as to not replicate a RIRS transaction.. 

Update the Exam Status

  1. After the exam has been selected and the Update button has been chosen, the Exam Information Page will be displayed.
  2. Select the appropriate status in the Exam Status drop down list: Anticipated Exam, Called Not Begun, In Progress, Exam Work Concluded, In Settlement, Cancelled, Closed, Closed-Order, Closed-Order and Fine, or Suspended.
  3. Click the Update button at the bottom of the page. The updated Exam Status page will be displayed.

Status Options

·        Anticipated Exam
State intends to call an exam.

·        New
This status is no longer active, please use Called Not Begun.

·        Called Not Begun
Exam has been called and the exam notice has been sent to the company.

·        Open
This status is no longer active, please refer to:  In Progress, Exam Work Concluded, and In Settlement.

·        In Progress
Actual examination work has begun.  Examiners are on site, if field exam.  Files/data are being reviewed, if desk exam.

·        Exam Work Concluded
Exam work is concluded and report is being drafted.

·        In Settlement
Draft report has been sent to the examined entity.  Wordsmithing or negotiations are taking place.

·        Cancelled
Exam has been cancelled.  (An exam may be cancelled at any time.)

·        Closed
Exam has been completed without any additional information.

·        Closed - Order
Exam has been completed and, during the course of the exam, an order is issued without a fine.

·        Closed - Order and Fine
Exam has been completed and, during the course of the exam, an order is issued with a fine.

·        Suspended
Exam has been suspended and resources have been temporally redirected.  (An exam may be suspended at any time.)

Sending RIRS Actions To NAIC

  1. After a closed exam has been selected and the Update button has been chosen, choose the Market Findings page from the Go To drop down box. The Market Findings information page will display.

  2. Click the Send RIRS Action To the NAIC button.

  3. You must select at least one item from the Reasons for Regulatory Action list menu. Up to 20 items can be chosen. Multiple selections can be made by using the shift-click and ctrl-click windows functions.

  4. You must select at least one item from the Action Taken list menu. Up to 4 items can be chosen. Multiple selections can be made by using the shift-click and ctrl-click windows functions.

  5. Fine Amounts can be entered by typing in an amount of the Fine levied.

  6. Fields with the date the order was signed, as well as the date the order is effective, are filled with the current date. These dates can be changed by typing over the current date entry. 

  7. A field with the Length of Suspension/Probation can be entered.

  8. Once all information is entered correctly, click the Submit button.

  9. A notice that a RIRS action has been queued for processing, along with a disclaimer that a duplicate action may be entered if your state files RIRS actions electronically, will be received. Click ok and close the exam.

  10. Additional Fines and Subsequent Actions can be entered at a later time from the Market Findings link.

Submitting Exam Information to the ETS File Repository

Select the Repository Submit option to upload any exam document any time after an exam is called (for example, a call letter).

Details of closed exams can be sent to the ETS File Repository by choosing the Repository Submit selection from the Go To drop down box.  

  • Enter the name of the file to submit in the File to Submit field. Include the path of the file from your local system (for example c:\files\myfile.doc) OR click the Browse button to the right of the field to locate the file to submit from your local system. You can submit .doc, .pdf, and zip file types only. Also, file size is up to 10 megabytes.  
  • The exam number should be part of the file name that is submitted. NOTE: Because Netscape users cannot download files that contain spaces in the name, all spaces will be stripped out before saving the file in the repository. In addition, because the repository stores file names in lower case, two files cannot have the same name with different cases.
  • The Submitter's Name and Submitter's Phone fields will be automatically populated.

Repository Search

Displays all files submitted to the repository associated with the filing.  You can search the ETS Repository by clicking the Repository Search link from the Go To drop down if a file has been submitted with the exam number as part of the file name.

Viewing Examination Information

 ETS can be used to view detailed information about a specific examination.

To view exam information:

  1. Access ETS by following the Company Search instructions above.
  2. On the ETS Company Search page, select the company you wish to update by clicking the company name link. The ETS Exam Search Results page is opened.
  3. The Type of Exam that you choose will affect the search results. Exams will only be shown that are the Type of Exam selected.  Once in the search results there is a drop list to jump between All, Combined, Financial, and Market exams. When the View button is clicked with the Financial Exam radio button selected you will be taken to FEETS to view the exam. (See the FEETS help page for steps on viewing an Financial Exam)
  4. Click the radio button next to the exam you want to view, then click the View button. The Exam Summary Detail Report page will display.
  5. There is also a New button that takes you back to the Search page.
  6. As of June 2011, new Financial exams can no longer be called within ETS. You will be directed to the Financial Exam Electronic Tracking System (FEETS) if the New Exam button is clicked when the Financial Exam radio button is selected.

Company Demographics for the Primary Company in the exam can be view by clicking the company name at the top left of the screen.  Information shown here includes:

NOTE: For definitions of unfamiliar terms, see the Glossary.

·         Entity Name

·         Entity Number

·         NAIC Company Code

·         Group Number

·         FEIN

·         Alien Number

The view summary page has 4 sections; People, Detailed Summary, Repository Search and List Exams.  These sections are accessible by changing the Go To drop down list in the upper left corner.

  1. People - This section displays all examiners associated with the examination.  e-mails can be sent by using the e-mail functionality.
  2. Detailed Report - Displays all information regarding the exam including:

·         Exam Info

·         Date Info

·         Location Info

·         People Info

·         Market Findings Info (Market Regulation Exams)

·         Zone Premium Info (Financial Exams)

  1. Repository Search - Displays any files submitted to the repository associated with the exam.
  2. List Exams - Takes you back to the Market Exam Search Results page.

Exam Tracking Summary Report
The Exam Summary report provides a history of examinations that match specified criteria, such as all financial examinations called in a specified state for a specified date range.

To generate the Exam Tracking Summary report:

  1. Click the Summary Reports link on the I-SITE home page or click the Summary Reports link at the top of the search pages within I-SITE. The Summary Reports page will display.
  2. Select the ETS Summary Report option within the Market Regulation area of the page. Note:  Mouse over a report name for a brief definition of a selected report.
  3. The Exam Tracking Summary Report page will display. On this page, enter the selection criteria to generate the desired report. NOTE: Although no fields are required to generate the Exam Summary report, at least one criteria must be entered.

Calendar buttons are available for all date fields.
For definitions of unfamiliar terms, see the Glossary.

Selection criteria for this report are as follows:

Multi-State checkbox
     - If unchecked, any type of exam (single/multi-state) will be returned for the all state(s)
     - If checked, only multi-state exams called by the selected state(s) will be returned.

Calling State
Exam Type
Exam Status
Exam Category
Exam Trigger
Site State
Domicile State
Note:  Use shift-click or control-click to select multiple or all selections in the above search criteria fields.

Entered Date From
Entered Date To
Anticipated Call Date From
Anticipated Call Date To

  1. Select the number of exams you wish displayed on the report from the drop down list at the bottom of the page. You may choose to display 50, 100, 150, 200 or 250 records. The default is to display 250 entity records within the initial record. If your report should contain more than 250 entity records, a message will be displayed asking you to narrow the search criteria.
  2. Select the report format:  HTML or Excel.  Select HTML to view the report in a browser window.  Select Excel to download as CSV for use in Excel.
  3. Click the Submit button.

At the top of the report, a summary of the selection criteria on which the report is based will be displayed, along with the report date and the number of examinations returned. The remainder of the report contains a summary of each examination that matches the search criteria specified. This information includes the following. NOTE: See the Glossary for definitions of any unfamiliar terms.
Exam Number
Calling State
Involved States
Start Date
Closed Date
Company Name
NAIC Company Code
Group Code

To save as an Excel file, download the report as a CSV file and open it with Excel.  Then do a "Save As"  to rename the file and change the file format to Worksheet...

To save the Exam Summary Report page as a plain text file or print the page as it appears, select the appropriate option from your browser's file menu. NOTE: You cannot save or print the data page using the secondary (right) click menu options used for Financial Reports.

To return to the Exam Summary Report page to enter different search criteria, click the Back button at the bottom of the page or the Back button on the browser. If you wish to return to the main Summary Reports page, click the Summary Reports link at the top of the page or click the Back button on the browser twice.

To perform another search or navigate to a different application within I-SITE, select the appropriate link at the top of the page.

Exam Tracking Snapshot Report
The Exam Snapshot report provides information similar to that found in the Exam Summary report.  The report format varies slightly depending on which Exam Type is selected from the report criteria page.  You may choose either Financial and Combined or Market Regulation and Combined.  The following columns are presented in the Financial version of the Exam Snapshot report:
    Exam Type
    Cocode
    Exam #
    State
    Company Name
    Group Code
    Exam Area
    Coordinated Exam
    'As of' Date
    Current Status
    Date Exam Closed
    Approx. Months Elapsed

The Exam Snapshot report contains the following column headings for the Market Regulation version of the report:
    Exam Type
    Cocode
    Exam #
    State
    Company Name
    Group Code
    Exam Area
    Date Exam was Entered
    Current Status
    Date Exam Closed
    Days Elapsed

Most of the column headings are self-explanatory.  Selected column headings are described below.

STATE
The state that called the exam.

'AS OF' DATE (Financial)
This is the "To Date" of the company's financial period under review, as in "From X date To Y date."

DATE EXAM WAS ENTERED (Market)
This is the date the exam was entered into the Exam Tracking System (ETS). 

APPROX. MONTHS ELAPSED (Financial)
The ending date of the financial period being reviewed until the current date or the exam closed date, depending on the current status of the exam.

DAYS ELAPSED (Market)
The Date Elapsed displays in two different ways as determined by the current exam status.  For Closed Exams: the Date Elapsed is the number of days from Date Entered to Date Closed.  For Open Exams: the Date Elapsed is the number of days from the Date Entered to the Current date (today).  

The end of the report (bottom) gives a total count of exams entered for the period and the number of exams closed for the period.

SEARCH CRITERIA

Calendar buttons are available for all date fields.
Use shift-click or control-click to select multiple or all selections in the Calling State, Exam Type and Status fields.

Calling State
Multi-State check box
Exam Type
Status
Entered Date From
Entered Date To
Sort Order Options

CALLING STATE
When this field is left blank, exams for all states are returned.  When a state is specified here, only exams called by the state specified are returned.

MULTI-STATE check box
  - If unchecked, any type of exam (single/multi-state) will be returned for the all state(s)
 - If checked, only multi-state exams called by the selected state(s) will be returned.

EXAM TYPE
There are two choices here, Financial and Combined or Market Regulation and Combined.  This option distinguishes the two versions of the Exam Snapshot report as described above.

STATUS
A single or multiple selections for exam status can be selected from the following:

Anticipate Exam Exam Work Concluded
Called Not Begun In Progress
Cancelled In Settlement
Closed New
Closed-Order Open
Closed-Order and Fine Suspended

DATE ENTERED FROM
This is the date the exam was entered into the Exam Tracking System (ETS)

DATE ENTERED TO
This again is the date the exam was entered into the Exam Tracking System (ETS).  This field completes the date range to search on the search criteria page.

SORT ORDER OPTIONS
 The sort option allows you to sort the report results by selected columns of  the Exam Snapshot report.  This is a "single sort" option and does not provide a secondary or sub-sort option.  

The bottom of the report will give you a count of the total number of exams entered for the date range specified and the total number of closed exams for the date range specified.

Exam Tracking Scrutiny Report

The ET Scrutiny Report is available to review a list of company exams based on business practices reviewed during the exam.  The report allows for searching by domiciliary state, exam type, entered date, exam status, and exam category or scrutiny type and additionally displays the company name, cocode and line of business.

To generate the ETS Scrutiny Report:

  1. Click the Summary Reports link on the I-SITE home page or click the Summary Reports link at the top of the search pages within I-SITE. The Summary Reports page will display.
  2. Select the ETS Scrutiny Report option within the Market Regulation area of the page. Note:  Mouse over a report name for a brief definition of a selected report.
  3. The Exam Tracking Scrutiny Report page will display. On this page, enter the selection criteria to generate the desired report. NOTE: Although no fields are required to generate the Scrutiny report, at least one criteria must be entered.  If the search is too broad, you will be asked to narrow your search criteria.

Calendar buttons are available for all date fields.
For definitions of unfamiliar terms, see the Glossary.

Selection criteria for this report are as follows:

Multi-State checkbox
     - If unchecked, any type of exam (single/multi-state) will be returned for the all state(s)
     - If checked, only multi-state exams called by the selected state(s) will be returned.

Calling State
Exam Category
Exam Type
Exam Status
Scrutiny Type(s)
Domicile State
Note:  Use shift-click or control-click to select multiple or all selections in the above search criteria fields.

Entered Date From
Entered Date To

  1. Select Sort Options:
    Sort Field Options and Sort Order after Scrutiny Type can be selected.
  2. Select the report format:  HTML or Excel.  Select HTML to view the report in a browser window.  Select Excel to download as CSV for use in Excel.
  3. Select the number of exams you wish displayed on the report from the drop down list at the bottom of the page. You may choose to display 50, 100, 150, 200 or 250 records. The default is to display 250 entity records within the initial record. If your report should contain more than 250 entity records, a message will be displayed asking you to narrow the search criteria.
  4. Click the Submit button.

Exam Tracking Participating State Report

The Exam Tracking Participating State report lists by state/territory the number of open and closed examinations, the most recent entry date of each type of examination and the total number of exams. Open and closed examination counts for Market Conduct and Combined examination counts are retrieved from the Exam Tracking System (ETS). Counts for Financial examinations are retrieved from the Financial Exam Electronic Tracking System (FEETS), This report is useful in determining which states/territories are actively using ETS and FEETS to alert NAIC members of their exam calls

Open Examinations counts include all examinations with a status of Called Not Begun, In Progress, Exam Work Concluded, In Settlement and Anticipated Exam. Closed Examination counts include all examinations with a status of Closed, Closed – Order, Closed - Order and Fine.  Excluded from the counts are all examinations with a status of Cancelled or Suspended.

To access the Exam Tracking Participating State report:

  1. Click the Utilities link at the top of many pages within I-SITE. The I-SITE Utilities page will display listing the available utilities and their descriptions.
  2. To access the Exam Participating State report, click the Exam Participating State Report link in the Utilities section on the left side of the table near the bottom of the page.
  3. The most current report information page will display. The page is presented in table format and lists the state name, most recent market exam date, number of market exams, most recent combined exam date, number of combined exams, most recent financial exam date and number of financial exams. The total number of examinations is provided at the top of the report. The date the data was last updated appears at the bottom of the report.
  4. To change how the report is sorted.  Go to the bottom of the page and select from the available radio buttons.  (State Name, State Abbreviation, Most Recent Market Exam Date, Most Recent Combined Exam Date, Most Recent Financial Exam Date, Largest Number of Exams) Then click on the sort button at the bottom of the page
  5. To print and/or save the report data, select the appropriate options from your browser's File menu.
  6. To return to the I-SITE Utilities page, click the Back button at the bottom of the report or use the Back button on your browser. To navigate to other areas of I-SITE, use the links at the top of the Utilities page.