Financial Exam Electronic Tracking System (FEETS)

Financial Exam Electronic Tracking System (FEETS)

The Financial Exam Electronic Tracking System (FEETS) allows regulators to call, update, and view individual and group financial examinations for companies. FEETS is a central repository of financial examinations.

 

Tutorials on FEETS can be found in StateNet under the Financial Examination link or by using the link on the FEETS homepage. You may also go directly to the tutorials at https://i-site.naic.org/cgi-bin/statenet/financial_exam.htm

There are then 2 ways to access the Exam Tracking System:

1. Click the Financial Exam Electronic Tracking System link under the Applications tab. 

OR

2. Perform a Company/Firm search.

Place a check mark in the box next to the entity/entities you are searching for and click the Company/Firm Reports button.

The Financial Exam Electronic Tracking System is located under the Financial Analysis/Examination section.

The following options are provided on the FEETS home page:

Individual Exams

  • Call

  • Update

  • View

Group Exams

  • Call

  • Update

  • View

Reports and PICS

  • Exam Summary Report

  • Group Exam Report

  • PICS Home

 

Individual Exam

Calling Individual Exams

You can call an individual exam through selecting the Call option under Individual Exam.

NOTE: Only regulators with the appropriate role from the state of domicile can call an exam on a company within the Financial Exam Electronic Tracking System.  If you don't have access and believe that you should, contact the NAIC help desk.

 Steps to calling an Individual Exam: 

1.     Click the Call option under Individual Exam.

2.     Enter a Cocode.

3.  If you do not know the Cocode, you may select the Cocode Search Assistance link.

Cocode Search Assistance

The Cocode Search Assistance link will generate a dialog box from which you can enter criteria and the system will provide Cocodes for those companies matching the selection criteria. Clicking on the criteria field name will provide information on that field.

Criteria fields which can be entered are as follows:

  • Year - Enter the required year. This field is required.

  • Statement Type - Select the line of business from the annual filing submitted by an insurance company for the selected data year.

  • Company Name - Enter the company name. You may enter a full or partial name to search on.

  • NAIC Code - Enter the five digit Cocode.

  • Company Type - Select the legal organizational structure of the company.

  • Company Sub-Type - Select the sub-type of the legal organizational structure of the company.

  • Business Type - Select the line of business under which the company is licensed in its state of domicile.

  • Business Sub-Type - Select the sub-type of line of business under which the company is licensed in its state of domicile.

  • State of Domicile - Select the state in which an insurance company has its principal legal residence.

  •  Group Name - Enter the group name. You may enter a full or partial name to search on.

  •  Group Code - Enter the code assigned by the NAIC to identify companies that are part of a holding company structure.

  • FEIN(s) - Enter the Federal Employer Identification Number. Multiple FEINs must be separated by commas.

  

After entering search criteria, click the Search button to generate a list of companies which meet the criteria provided. The Reset button will reset all criteria fields to null values.

The results of the search may be sorted by Name or Cocode. Within the search results, click on the company for which you would like to call an exam and click the Select button.

 

4.     Once you have entered a Cocode, click the Proceed button.

5.     A screen will appear allowing you to enter examination information.

 

Enter the following criteria. Note that required fields are denoted with red asterisks.

 

Exam Information section

 

Exam Scope (select from the two available options):

  • Full Scope - Typically, most of the exams will be Full Scope.

  • Limited Scope - If Limited Scope is selected, you will be provided with a required comment field in which to enter an explanation for the Limited Scope exam. Within this field, you will type in the reason for calling a Limited Scope Exam. The comment field is limited to 100 characters.

 

Date Information section

 

Exam Period:

  • Beginning Date/Ending Date - Clicking in one of these fields will provide a listing of months and years to select from. The exam period is defined as the financial period that is under review by the state examiner.

  • Anticipated Start Date - Clicking in the field will provide a calendar to select a date from. This is the anticipated state date of the field work.

  • Premium Year - Clicking in the field will provide a listing of years to select from.  This field is going to determine the other states that will be invited on the exam.  All states in which the company is licensed or writing business during the premium year will be invited to participate in the exam.

 

Primary Contact Information section

  • First Name - Enter the primary contact's first name.

  • Last Name - Enter the primary contact's last name.

  • Role - Enter the primary contact’s role.

  • State - Enter the state of the primary contact.

  • Phone - Enter the phone number of the primary contact.

  • Ext - Enter the phone extension, if applicable.

  • Email - Enter the email of the primary contact.

  • Contract Firm - If applicable, enter the name of the contract firm that will conduct the examination. Contract examiners that work exclusively for one state should not be entered in this field.

 

Exam Location Information section

  • Description - Enter a description of the address where the examiners will be performing the exam. For example, Headquarters, Main Office, etc.

  • Address - Enter the address of the exam location.

  • City - Enter the city of the exam location.

  • State - Enter the state of the exam location.

  •  Zip - Enter the zip code of the exam location.

  • Phone number - Enter the phone number associated with the exam location.

  • Ext - Enter the phone extension, if applicable.

  • Comments - This field can be used to provide information about the location, such as noting that it is the primary location where work will be performed.

 

You can click the Add Additional Exam Locations button to add more locations.

 

General Examination Comments section

 

Comments - You may enter comments as needed regarding the exam. A limit of 1,000 characters is set. The examiner should provide a general description of the exam, including information regarding staffing, timing, and the use of specialists in this section.  Comments entered in this section will be distributed in the initial notification to chief examiners.

 

6.     After entering the required data, click the Proceed button.

7.     A review page will be generated where you can review the page for accuracy.

8.     A link entitled Premium Report may be available.

 

The Premium Report link will generate a report providing a listing of states, grouped by zone, the following data is provided:

  • Zone

  • State

  • Company Status

  • Premium Dollars

  • Premium Percent

Dollar amounts and percentages are provided for individual states and zones.

9.     To edit the displayed data, select the Edit button.

10.  To accept the displayed data, select the Proceed button.

11.  If a company has been invited to a group exam, a page will be displayed providing the option to link to a group exam. This page will not appear if the company has not been invited to a group exam.

On the Group Exam listing, you may click on the Group Exam number to view the group exam.

You may then select from one of two buttons:

  • The Link button will link the exam being created to a group exam.

  •  The Proceed w/o joining group exam button will continue the process of creating an exam without linking it to a group exam.

 

12.  A screen will be provided allowing you to enter information related to exam notifications.

 

Notification to Interested State(s) section

A notification will be sent to the chief examiner of each state in which the company is licensed or writing business.

Email address field - You may also notify additional recipients by adding their email addresses (separated by semicolons).

 

Notification to Coordinating State section

 

Notification to Coordinating State comment field - You may enter comments directed to the coordinating state.  This section will only appear if the company is part of a group.

If the company is part of a group, a second notification will be sent to the Coordinating State of the group to determine whether or not a group exam should be called.

 

13.  After any necessary data is entered, you should click the Finalize button.

A confirmation screen displaying the individual exam number will be generated. Exam Number: Cocode - Calling State - Exam Period End - Number. Ex:10000-MO-2010-1

Notifications will be sent to the invited state(s) and the Coordinating State at the end of the week.

Updating Individual Exams

You can update an individual exam by selecting the Update option under Individual Exams.

You must be from the state of domicile and have the appropriate role to update an exam.

Steps to updating an Individual Exam:

 

1.     Search for the Exam to Update.

 

Search by field - select from the options listed.

  • Exam Number

  • Cocode

After selecting the Search by criteria enter the associated field's data.

Exam Number - Enter the Exam Number.

Cocode - Enter the Cocode.

If you do not know the Cocode, you can select the Cocode Search Assistance link (details are listed above).

 

2.     Once you have entered an individual exam number or cocode, click the Proceed button.

3.     If a Cocode was selected, you you will need to click on the desired exam in the Individual Exam # column. Clicking the New Search button will allow you to return to the previous screen.

 

A screen will be generated allowing you to edit the following fields:

Exam Information section

  • Linked Group Exam # - If the company has been invited to a group exam but has not yet linked to it, you can click the Link button. A list of group exams to which this exam has been invited will then be provided. Selecting the Link button beside a group exam will link the individual exam to the group exam.

  •  Exam Status - You may use the down arrow in this field to select from the following options:

  • Open

  • Closed

  • Closed with Order

  • Cancelled - If Cancelled is selected, you will be prompted to enter an explanation for cancellation.

 

  • Exam Scope - You may select from the following options:

  • Full Scope

  • Limited Scope - If Limited Scope is selected, you will be provided with a comment field in which to enter an explanation for Limited Scope. The comment field is limited to 100 characters.

 

Date Information section

  • Exam Period Beginning Date - Update the exam period's beginning date.

  • Exam Period Ending Date - Update the exam period's ending date.

  • Anticipated Start Date - Update the anticipated start date.

  • Premium Year - Update the premium year.

 

Primary Contact Information section

  • First Name - Update the primary contact's first name.

  • Last Name - Update the primary contact's last name.

  • Role - Update the primary contact's role.

  • State - Update the primary contact's state.

  • Phone - Update the phone number of the primary contact.

  • Ext - Update the phone extension, if applicable.

  • Email - Update the primary contact's email address.

  • Contract Firm - If applicable, you should enter the name of the contract firm that will conduct the examination. Contract examiners that work exclusively for one state should not be entered here.

 

Exam Location Information section

  • Description - Update the exam location's description.

  • Address - Update the exam location's address.

  • City - Update the exam location's city.

  • State - Update the exam location's state.

  • Zip - Update the exam location's zip code.

  • Phone Number - Update the exam location's phone number.

  • Ext - Update the phone extension, if applicable.

  • Comments - Update any comments regarding the exam location.

Clicking the Add Additional Exam Location button will allow you to add more locations.

 

General Examination Comments section

  • General Examination Comments - A general description of the exam, including information regarding staffing, timing, and the use of specialists should be provided in this box. Information about coordination efforts may also be provided here.

4.     Click the Update Information button when done.

A screen will appear informing you that changes have been made. A link will be provided to allow you to view the changes.

If you selected an Exam Status of Closed, a page will be generated requiring the following information:

  • Report Completion Date (Last Day of Fieldwork)

  • Date Adoption Order Signed - The date the exam report was signed/adopted by the commissioner.

  • Estimated Period End of Next Exam

  • Upload Report button - This button will bring up a page allowing you to upload to the server the examination and any additional associated documents. A browse option is provided. All documents must be 5 MB or less.

  • Close Exam button - This button will complete closing the exam.

Viewing Individual Exams

 You can view an individual exam by selecting the View option under Individual Exams.

Steps to viewing an Individual Exam:

1.     Click the View option under Individual Exam.

2.     Search for the Exam.

Search by field - select from the options listed.

  • Exam Number

  • Cocode

After selecting the Search by criteria, enter the associated field’s data.

Exam Number - Enter the Exam Number.

Cocode - Enter the Cocode.

If you do not know the Cocode, select the Cocode Search Assistance link (details are listed above) to find the desired exam.

3.     Click the Proceed button

4.     If a Cocode was selected, then you will need to click on the desired exam in the Individual Exam # column. The New Search button will allow you to return to the previous screen.

5.     The examination will be displayed.

6.     A link entitled Premium Report may be available.

The Premium Report link will generate a report providing a listing of states, grouped by zone.  The following data is provided:

  • Zone

  • State

  • Company Status

  • Premium Dollars

  • Premium Percent

Dollar amounts and percentages are provided for individual states and zones.

7.     The Home button will return you to the FEETS home page.

Group Exam

Calling group exams

A Group Exam is called when companies in a group wish to coordinate examination efforts.

NOTE Only the Coordinating State can call a Group Exam.  The Coordinating State and the Exam Facilitator will be able to update a Group Exam. A list of Coordinating States is located in StateNet.

Call - You can call a group exam by selecting the Call option under Group Exam.

Steps to calling a Group Exam:

 

1.     Click the Call option under Group Exam.

2.     Enter the following fields:

  • Group Code

  • Premium Year - Selecting the field’s down arrow will allow you to select from a list of years.

  • Statement Type - You can select one or multiple options from the list provided: A Select All button is provided that will place checkmarks in front of all options.

o    Frat

o    Health

o    Life

o    P&C

o    Title

3.     If you do not know the Group Code, you may select the Group Code Search Assistance link.

 

Group Code Search Assistance

The Group Code Search Assistance link will generate a dialog box in which you can enter criteria and the system will provide Group Codes matching the selection criteria.

Search criteria which can be entered are as follows:

  • Group Name

  • Group Code(s)

  • Coordinating State

  • Company Name(s)

  • NAIC Code(s)

After entering search criteria, click the Search button to generate a list of Group Codes which meet the criteria provided. The Reset button will reset all criteria fields to null values.

The results of the search may be sorted by Name or Group Code.

Click on the desired Group Code and click the Select button.

4.     After the required fields have been entered, click the Proceed button.

5.     A listing of companies to be invited to the group exam will be displayed. By default, all companies in the selected group will have a checkmark in front of them. You may then deselect companies by removing checkmarks as needed.

Columns will be provided for the following data:

  • Company Name

  • Cocode

  • State of Domicile

  • Statement Type

  • Total Direct Premiums

  • Date of Last Full-Scope Exam

The Update Statement Type Search button will generate a new list of companies based on any change made to the Statement Types selected.

6.     After you have selected companies to invite to the group exam, click the Proceed button to continue. The New Search button will return you to the previous screen.

7.     A screen will be provided allowing you to enter examination information.

 

Enter the following criteria. Note that required fields are denoted with red asterisks.

Exam Information section

Exam Facilitator - select a state.

Exam Scope (select from the two available options):

  • Full Scope

  • Limited Scope - if Limited Scope is selected, you will be provided with a comment field in which to enter an explanation for the Limited Scope exam. The comment field is limited to 100 characters.

 

Date Information section

Exam Period To - Clicking in the field will provide a list of months and years to select from. This is the as of date of the Exam.

Anticipated Start Date - Clicking in the field will provide a calendar from which to select a date.

 

Primary Contact Information section

This is the main contact for the Group Exam, for example a Chief Examiner or EIC.

  • First Name - Enter the first name of the primary contact.

  • Last Name - Enter the last name of the primary contact.

  • Role - Enter the role of the primary contact.

  • State - Enter the state of the primary contact.

  • Phone - Enter the phone number of the primary contact.

  • Ext - Enter the phone extension, if applicable.

  • Email - Enter the email address of the primary contact.

You may enter additional primary contacts by clicking the Add Additional Contacts button.

 

Exam Location Information section

  • Description - Enter the description of the exam location.

  • Address - Enter the address of the exam location.

  • City - Enter the city of the exam location.

  • State - Enter the state of the exam location.

  •  Zip - Enter the zip code of the exam location.

  • Phone number - Enter the phone number of the exam location.

  • Ext - Enter the phone extension, if applicable

  • Comments - Enter any pertinent comments regarding the location of the exam.

Clicking the Add additional exam location button will allow you to add more locations.

 

General Examination Comments section

Comments - You may enter comments as needed regarding the exam. A limit of 1,000 characters is set. In this section, a general description of the exam, including information regarding staffing, timing, and the use of specialists should be provided. Information about coordination efforts including why specific companies were invited may also be provided. This comment box is updatable as long as the Exam is open.

8.     After the necessary information has been entered, select the Proceed button.

9.     A review page will display where the information can be reviewed for accuracy.

10.  To edit the displayed data, select the Edit button.

11.  To accept the displayed data, select the Proceed button.

12.  After clicking the Proceed button, a screen will confirm that the exam was called and display the Group Exam code.

13.  A notification will be sent at the end of the week to the state(s) where a domestic insurer was invited to participate. The notification will be sent to the company's state of domicile based on the companies selected.

14.  You can then call an individual exam to link to this group exam by selecting the Yes button.

15.  To return to the FEETS home page you can select the No, return to FEETS home button.

Updating Group Exams

You can update a group exam through selecting the Update option under Group Exam. You must be from the coordinating state or the Exam Facilitator's state and have the correct role.

Steps to updating a Group Exam:

1.     Select the Update option under Group Exam.

2.     Search by field - select from the options listed.

  • Group Exam Number

  • Group Code

After selecting the Search by criteria, enter the associated field’s data.

Group Exam Number - Enter the Group Exam Number.

Group Code - Enter the Group Code.

If you do not know the Group Code, select the Group Code Search Assistance link (details are listed above).

3.     Click the Proceed button

4.     If you searched by Group Code, then you will need to click on the desired exam in the Group Exam # column. The New Search button will allow you to return to the previous screen.

A screen will be generated allowing you to edit the fields.

An Invited and Linked Companies section will allow you to delete invited or linked companies and to invite additional companies. You are allowed to invite companies outside of the group.

5.     After all necessary changes have been made, you may then select the Update Information button.

Viewing Group Exams

View - You can view a group exam by selecting the View option under Group Exam.

Steps to viewing a Group Exam:

1.     Click the View option under Group Exam.

2.     Search for the Exam.

Search by field - select from the options listed.

  • Group Exam Number

  • Group Code

After selecting the Search by criteria, enter the associated field's data.

Group Exam Number - Enter the Group Exam Number.

Group Code - Enter the Group Code.

If the Group Code is unknown to you, then select the Group Code Search Assistance link (details are listed above) and use its search criteria to find the desired Group Exam.

3.     Click the Proceed button.

4.     A page will appear listing all Group Exams which met the criteria. You will then click on the Group Exam desired.

The New Search button will return you to the previous page.

5.     A page will be generated providing Group Exam data.

6.     To return to the FEETS menu page, click the Home button.

Reports and PICS

Exam Summary Report

You may generate an Exam Summary Report. To run the report, follow these steps:

1.     Select Exam Summary Report under Reports and PICS on the FEETS home page and on the Summary Page.

2.     Enter data in the criteria fields you wish to utilize (at least one field must be utilized):

  • State of Domicile - Select a state from the list provided.

  • Cocode - Enter a company cocode.

  • Insurer Type - Select either Single State or Multi State.

  • Exam Scope - Select either Full Scope or Limited Scope.

  • Exam Status - Select Cancelled, Closed, or Open.

  • Date Exam Entered From - Enter a date that the exams were entered on or from.

  • Date Exam Entered To -  Enter a date that the exams were entered up to.

  • Exam Period To - Enter the as-of date of an exam.

 

3.     Select a Report Options Format - select either an HTML or Excel format.

The Reset button will remove any criteria data entered.

4.     After criteria have been entered, select the Report button.

A report will be generated providing the following columns of data:

  • Group Code

  • Group Name

  • Group Exam Number

  • Coordinating State

  • Cocode

  • Company Name

  • State of Domicile

  • Insurer Type

  • Individual Exam Number - Selecting a value will open the Exam in View mode.

  • Exam Scope

  •  Exam Status

  • Date Exam Entered

  •  Exam Period From

  • Exam Period To

  •  Anticipated Start Date

  • Premium Year

  • Date Exam Closed/Cancelled

  •  Approx. Months Elapsed

  •  Report Completion Date

  • Date Adoption Order Signed

  • Next Anticipated Exam Period To Date

 

Selecting the arrows icon next to the column header will sort the results on that column's values. Clicking the icon will alternate between sorting in ascending and descending order.

 

Resting the mouse on any column header will result in a down arrow icon appearing in the upper right corner of the column header box. Selecting this icon will provide four options:

  • Sort Ascending - Sort the results in ascending order based on the column values.

  • Sort Descending - Sort the results in descending order based on the column values.

  • Group by this Column - Group the results by the values in the selected column. After selecting this value it is replaced on the list by a Disable Grouping option which would remove the grouping.

  • Columns -  Resting the mouse on this option will display a list of all available columns. You may then select or deselect the columns using the checkbox in front of each.

 

The FEETS Home link above the results will return you to the FEETS home page.

Group Exam Report

 You may generate Group Exam Report. To run the report, follow these steps:

1.     Select Group Exam Report under Reports and PICS on the FEETS home page and the Summary Page.

2.     Enter data in the one of the following criteria fields:

  • Group Code - Enter the Group Code.

  • Group Exam # - Enter the Group Exam number.

  • Coordinating State - Select the Coordinating State.

  • Cocode - Enter the company Cocode.

  • State of Domicile - Select the State of Domicile.

 

3.     Select a Report Options Format - select either an HTML or Excel format.

The Reset button will remove any criteria data entered.

4.     After data has been entered, select the Report button.

A report will be generated providing the following columns of data:

  • Group Name/Company Name

  • Group/Cocode

  •  Group Coord St/St of Dom

  • Stmt Type

  • Group Exam # - You may select a value in this column to open the group exam in View mode.

  • Coordinating State

  • Group Exam Status

  • Indv Exam #

  •  Indv Exam Status

  • Exam Period To

  • Premiums

  •  % of Total

  •  Next Anticipated Exam Period to Date