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The Uniform Certificate of Authority
Application (UCAA) allows insurers to electronically file copies of the same application
for admission in numerous states. Each state that accepts the UCAA is designated as a
uniform state. While each uniform state still performs its own independent review of each
application, the need to file different applications, in different formats, has been
eliminated for all states that accept the uniform application.
There are several types of UCAA filings that can be reviewed and approved with
iSite+.
The Expansion Application is used by companies in good standing in their state of domicile
that wish to expand their business into other uniform states.
Regulators in those states where a company is applying for
admission can use the UCAA utility to review the company's application online, download an
entire filing or individual forms, and indicate the status of the application in that
state. Regulators in the company's state of domicile can use the UCAA utility to complete
the Certificate of Compliance and Certificate of Deposit forms.
The Corporate Amendments Application is designed for use
by an existing insurer for requesting amendments to its Certificate of
Authority. The Uniform Certificate of Authority Corporate Amendments
Application can be used to file more than one change in the same
submission.
The online version of UCAA Corporate Amendments takes
the uniformity of the paper version and transfers it into the ease of an
online application. The electronic application
includes features that are information based and not form based. These
features minimize duplicate data entry and are user friendly.
In an electronic UCAA application there are three
participants: company, state of domicile, and participating state(s). Once
the company has submitted the filing electronically, the state of domicile
will then receive an email notification that the application has been
completed and requires certifications. The state of domicile may then
login to UCAA through iSite+ and complete the Certificate of Compliance
(Form 6). When completed, an email notification is sent to all the
participating state(s) specified in the application. The application will be accepted or closed for
each state. An email notification, for each state, is automatically sent
back to the submitting company once a determination is made.
Stand-alone applications for a mailing address or contact information
change (Form 14) and updates to the uniform consent to service of process
(Form 12) can also be filed electronically.
NOTE: An application in "amended" status, (meaning the company
has re-opened a previously submitted application and is currently making
modifications/corrections) is not accessible/viewable until the company
has resubmitted the application.
Click the links below for information on using the
various functions of the UCAA utility.
Access UCAA
To access UCAA from the iSite+ Login Page
- Enter
your login ID & Password, then click the Uniform Certificate of
Authority link under the Tools tab.
- Highlight
a Company Code from the drop list and click Proceed.
- Choose
a tracking number from the drop list and click Expansion or Corp.
Amendments.
To access UCAA using the Financial Reports Page
- Search
for an entity or entities by performing a Company/Firm Search.
- Highlight
which entity/entities you want reports on,
found in the Company List box.
- Click
the Uniform Certificate of Authority link from the Categories Frame.
View/Print UCAA Forms
To review the forms for an application online:
- Access UCAA
- From the UCAA Application Selection page you can view either an
Expansion, Corporate Amendments application, Form 14 notification or a
Form 12 notification by clicking the
appropriate link.
- There may be several application types filed for each Cocode.
- Choose a tracking number listed under the application type.
- The Main Menu will display.
- The View/Print/Download UCAA Forms options will allow you to look at
the UCAA forms and then print them, if you choose to do so or select the
link to. "Download the entire application in a single archive" link will
allow you to download the entire application as a zip file.
View Application Status
This function allows you to view the current status of an application for
all states. To view the status of an application:
- Access UCAA
- Choose View Application Status from the Main Menu.
- To update a status, from the Main Menu, select the appropriate state
link and enter the date for each status.
- To return to the UCAA Main Menu, click the Main Menu.
Complete
Certifications (State of Domicile Only)
This function allows the applicant company's state of domicile to complete
the Certificate of Compliance and Certificate of Deposit forms in one
step. This form certifies that the applicant
company is authorized to write specified lines of business in the state of
domicile and that the
applicant company has sufficient securities on deposit with the state of
domicile to satisfy any claims or debts:
- Access UCAA.
- From the Main Menu, select Complete Certifications.
The Certificates can be completed
separately in the application and will validate the page, complete the
checklist and update the
status separately, although both appear on the same page.
Use the Attachment button for any additional information.
There is no limit on the number of attachments per attachment
button.
All states involved with the filing will be able to see the change in
status.
To return to the UCAA Main Menu, click the Main Menu.
Update
Application Status (For
Corporate Amendments and Expansion Applications)
This function allows you to change the status. To change the status of an application:
- Access UCAA.
- Choose the appropriate status from the following on the Main Menu:
a) Filing Fees Received
b) Third Party Investigative Report Received
c) Accepted for Completeness
d) Approved for Admission
e) Application Closed
- Click the option to change the
status. Confirm your request. Then enter the date of the
status change.
- Notifications will be sent to the expansion states identified for the filing and the new status
will be posted to the application status screen.
- To return to the UCAA Main Menu, click the Main Menu.
UCAA Summary
Report
This report lists UCAA applications that have been submitted
for either licensure expansion, corporate amendments Form 14
or updated Consent to Service of Process, Form 12as an option. The
Uniform Certificate of Authority Application process is designed to allow
insurers to file copies of the same application for admission in numerous
states.
-
At
the iSite+ Log-In page enter your iSite+ User Name and Password in the
appropriate fields.
- Click
the Summary Reports link or if you are already logged in, click the
Summary Reports link in the categories section of the Company/Firm
search page or from the common links at the top of many pages within
iSite+. The
Summary Reports page will display.
- Click
the UCAA Summary option listed under Licensing.
- The
UCAA Summary report options will display. The following report
options are available for customizing your report results:
STATE: Select a state. Filings that specify the
state you select will be listed in the report. Click "All" under
the state option to return filings from all NAIC member jurisdiction.
STATUS: This option allows you to focus on filings of a
particular status. To limit the list of filings specify the status
you would like.
Select ALL to return all statuses.
APPLICATION TYPE: This option allows you to limit your
report list the type of filing you specify. Select ALL to return all types.
The status column includes the type of change for Corporate Amendments
filings.
DATE: Specify the time period. Filings are limited to
the date range indicated based on the filings Submission Date.
Enter Date Range: This option becomes active when the Enter Date:
mm/dd/yyyy option is selected for the DATE option above. This
allows you to limit your report list to the date range specified.
A beginning date and an ending date must be specified.
Primary Sort: The
Primary Sort dropdown allows the search results to be sorted by Cocode,
Company Name, Status, Tracking Number or Submission Date.
ENTER COCODE:
This optional field will allow the user to specify a company they wish
to have data returned for
Enter Tracking Number:
This optional field will allow the user to specify a particular filing
for a company.
Report Format: Allows the User to select HTML or CSV
format for exporting results.
- Click the Submit button to generate the report.
- The search results
then display the following fields based upon you search criteria:
CoCode, company name, amendment number, tracking number, date of
submission, filing status, application type, state, domiciled
(Yes/No),
and the application status.
NOTE: The tracking
number for filings listed with your state may appear as hyperlinks.
These links will take you from the report listing to the application
filed online. Filings that have not been submitted yet or are
being amended will not have their tracking number display as a
hyperlink.
Summary Report Column Headings
| COCODE |
NAIC Company Code Number |
| COMPANY NAME |
Company Name |
| AMEND NUM |
Filing Amendment Number |
| TRACK NUM |
Filing Tracking Number |
| SUBMIT DATE |
Filing Submission Date |
| STATUS |
Filing Submission Status |
| APPL TYPE |
Type of Application - Expansion or
Corporate Amendment |
| ST |
Filing to State |
| DOM |
State of Domicile, Yes or No |
| STATUS APPLICATION |
Processing / Approval Status
|
Summary Report Abbreviations
|
Submitted Await Dom St |
Submitted, awaiting approval by domicile state |
|
Submitted View by All |
Submitted, Viewable by all States |
|
Initial Appl in Progress |
Initial application in progress |
|
Corp Amend |
Corporate Amendment |
|
F14 |
Change of Address/Contact Notification |
| F12 |
Uniform Consent to Service of
Process |
|
Add LOB |
Add
Lines of Business |
|
Delete LOB |
Delete Lines of Business |
|
Chg Name |
Name
Change |
|
Redom |
Redomestication of a Foreign Insurer |
|
Chg City |
Change of City of Domicile within Domestic State |
|
Merger |
Merger of Two or More Foreign Insurers |
|
Chg Control |
Change of Control of a Foreign Insurer |
|
Amend Bylaws |
Amended Bylaws |
|
Amend Articles |
Amended Articles of Incorporation |
UCAA Forms for Expansion
Applications
Select Lines of Business (3)
This form shows the lines of business that the applicant company is authorized to
transact, is currently transacting or is applying for authorization to transact in an
expansion state. To view Form E-3 for a different state, select the state from the drop
down list at the top of the page and click the Submit button to the right.
Company Contact Information (2E)
This form shows contact information for the applicant company. This information includes
addresses and phone numbers for the following:
- Home Office
- Administrative Office
- Mailing Address
- Premium Tax Statement
- Producer Licensing
- Rate and Form Filing
- Consumer Affairs
General Company Information (2E)
This form provides general information about the applicant company, including:
- Date Incorporated
- Form of Organization
- State or Country of Domicile
- Date Organized
- Date of Last Amendment
- Date of Last Financial Examination
- Date of Last Market Regulation Examination
- Par Value of Issued Stock
- Surplus as Regards Policyholders
- Certificate of Deposit (Home State)
- Ultimate Owner/Holding Company
- Information on whether the company has been refused admission prior to this application
Company Authorized Representative (2E)
This form provides the name and contact information for the person authorized to represent
the application before the Insurance Department in the expansion state.
Pending Applications
(2E)
This form provides a listing of all other applications
filed by the applicant, or any of its affiliates, which are pending before the Insurance
Department in a specific expansion state. To
view Form E-2D for a different state, select the state from the drop down list at the top
of the page and click the Submit button to the right.
Officer Information (2E)
This form provides the names and signatures of the applicant company's officers.
Certificate of Compliance (6)
This form certifies that the applicant company is authorized to write specified lines of
business in the state of domicile. This form is completed by the applicant company's state
of domicile.
Questionnaire (8)
This form provides an extensive questionnaire regarding the business practices of the
applicant company.
Biographical Affidavit (11)
This form provides background information regarding the officers of the applicant company.
To view Form A-11 for a different officer, select the name from the drop down list at the
top of the page and click the Submit button to the right.
Certificate of Deposit (7)
This form certifies that the applicant company has sufficient securities on deposit with
the state of domicile to satisfy any claims or debts. This form is completed by the
applicant company's state of domicile.
UCAA Forms for Corporate Amendments
Applications will depend on the type of change selected. Refer to the UCAA
Corporate Amendment Instructions for a list of appropriate/required forms
for each change type.
Certificate of Compliance Form (6)
This form certifies that the applicant company is authorized to write specified lines of
business in the state of domicile. This form is completed by the applicant company's state
of domicile.
Application for Corporate changes (2C)
This form will identify who the participating states are, and what types
of changes are to be made.
Consent to Service of Process (12)
The Uniform Consent to Service of Process (Form 12C) identifies the state
regulatory officer, resident agent and/or insurer representative to be
served with Service of Process in the event of a lawsuit against the
insurer. This form also requires the insurer's forwarding information in
the event the state regulatory officer or resident agent receives initial
service
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