FILING Review

Related Information

Filing Frequently Asked Questions

 

1609-PR

  1. My producer affidavit keeps getting returned to me for the producer number not being valid. How do I find the correct license number?
  2. Why can’t we use a P.O. Box for a location of risk?

1620 Monthly Report

  1. When is the 1620 Monthly Report due?
  2. Why was my 1620 Monthly Report returned?
  3. Do I submit a 1620 Monthly Report for each surplus lines licensee in our office or do I submit one 1620 Monthly Report for the Agency?
  4. I just received a notice that I am missing a 1620 Monthly Report. I know I submitted my report in EFS. Why is the 1620 Monthly Report missing?
  5. I selected the incorrect month when I submitted my 1620 Monthly Report. How do I revise the monthly report I submitted incorrectly?
  6. Do my Grand Totals for the 1620 Monthly Report have to be on the report image when I have listed the totals in EFS?

Reconciliation

  1. Why does the licensee receive a copy of the discrepancy emails?
  2. Why am I receiving a discrepancy email regarding Transactions/1620 Monthly Report?
  3. Do I need to file a 1620 Monthly Report if no business was transacted during the month?

 

Examination

  1. I received a discrepancy notice on a 1609-B filing. How do I make the filing compliant?
  2. I received a discrepancy notice on a 1609-B filing that states “a previous policy term is missing in EFS” If I add the missing filing, will I be charged a late fee?
  3. I received a discrepancy notice on a 1609-B filing that states there may be a missing filing. How do I resolve the discrepancy if our Agency was not the licensee of record for the missing policy term?
  4. I received a discrepancy notice for a 1610-A filing and, after review, I agree that it does not meet the requirements. What filing type should I use?
  5. Is a diligent search required for a 1610-A filing type?
  6. I received a discrepancy notice on a tax exempt filing. How do I determine the tax exempt status for an insured?
  7. Does the carrier have to be consistent for 3 years for the filing to be eligible to use a 1609-B affidavit?

 

1609-PR Frequently Asked Questions

 

1. My Producer affidavit keeps getting returned to me because the individual producer license number is not valid. How do I find the correct license number?

  • Use the Licensed Producer Search on the Pennsylvania Insurance Department website and Search by License Type.
  • Enter the last name, select the state, click the button labeled "Search for Licenses", and review the Search Results to find the correct individual Producer License Number.

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2. Why can’t we use a P.O. Box for a location of risk?

  • The 1609-SLL affidavit and 1609-PR producer affidavit must have a valid physical Pennsylvania address (street, city, and zip code) for the insured’s location in Pennsylvania. The utilization of a Post Office Box is not viewed by the Pennsylvania Insurance Department as a valid physical location of risk.
  • If more than one Pennsylvania location exists for a specified policy please provide the address of the Pennsylvania location with the most exposure.

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1620 Monthly Report Frequently Asked Questions

 

1. When is the 1620 Monthly Report due?

  • Per Section 1620 of the Pennsylvania Surplus Lines Law, “Within thirty (30) days following the end of each month, each surplus lines licensee shall file with the department, on forms prescribed by the department, a verified report in duplicate of all surplus lines insurance transacted during the preceding month.”
  • Refer to the chapter titled, “1620 Monthly Report” in the Procedures and Electronic Filing User Manual for more information.

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2. Why was my 1620 Monthly Report returned?

  • Please review the email that was sent to you. The email will identify the Report ID number, month and year of the Report being returned. The return reason will be listed beneath that information.
  • If you View or Revise the returned 1620 Monthly Report, a link to the returned email is near the top of the page.

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3. Do I submit a 1620 Monthly Report for each surplus lines licensee in our office or do I submit one 1620 Monthly Report for the Agency?

  • Individual surplus lines licensees that belong to the same agency and share the same PSLA Customer ID number must consolidate their business activity on the same report.
  • Refer to the chapter titled, “1620 Monthly Report” in the Procedures and Electronic Filing User Manual for more information.

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4. I just received a notice that I am missing a 1620 Monthly Report. I know I submitted my report in EFS. Why is the 1620 Monthly Report missing?

  • After you click the "Validate" button, you must click the "Submit" button to submit the report. The report is not saved in EFS until after it has been successfully submitted.
  • Use "Search for 1620 Report" to confirm a report has been successfully submitted.

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5. I selected the incorrect month when I submitted my 1620 Monthly Report. How do I revise the 1620 Monthly Report I submitted incorrectly?

  • You cannot revise the "month" and "year" of a submitted report.
  • If you mistakenly selected a month or year you may revise the totals and upload a revised image. To do so create an image that states this report was a mistake, revise the totals to $0, and upload the new image. Click here for a sample image.
  • And, submit the report under the correct month and year.

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6. Do my Grand Totals for the 1620 Monthly Report have to be on the report image when I have listed the totals in EFS?

  • Yes. There is one Grand Total line on the 1620 Monthly Report form. Each total for Non-Taxable Premium, Taxable Premium and Premium Tax should be listed on that Grand Total line. The three amounts on that line must match the totals entered in EFS. PSLA reviews the 1620 Monthly Report data entered in EFS against the uploaded 1620 Monthly Report image.

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Reconciliation Frequently Asked Questions

 

1. Why does the licensee receive a copy of the discrepancy emails?

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2. Why am I receiving a discrepancy email regarding Transactions/1620 Monthly Report?

  • Per the 1620 Monthly Report section in the Procedures and Electronic Filing User Manual, the Report must contain all surplus lines insurance premium activity with a Revenue Recognition Date during the said month.
  • PSLA identified a difference between the total reported on the 1620 Monthly Report and the total of transactions with a Revenue Recognition Date for said month.
  • The notice is to inform you of the potential discrepancy. It is your responsibility to confirm your 1620 Monthly Report includes all surplus lines insurance transacted during the month.

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3. Do I need to file a 1620 Monthly Report if no business was transacted during the month?

  • PSLA requires a 1620 Monthly Report every month from each Customer ID number, resident and non-resident. If there was no business transacted for a given month, PSLA still recommends a report be submitted with $0 entered for Property Limit, Casualty Limit, and Tax. It should be noted that the twelve monthly reports are to be included with the annual tax form, RCT-123 filed with the Department of Revenue.

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Examination Frequently Asked Questions

 

1. I received a discrepancy notice on a 1609-B filing. How do I make the filing compliant?

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2. I received a discrepancy notice on a 1609-B filing that states “a previous policy term is missing in EFS” If I add the missing filing, will I be charged a late fee?

  • Per the 10/26/2007 Bulletin, the stamping fee for a filing received after 45 days of the effective date of the placement will carry an additional $25.00 late stamping fee per filing.

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3. I received a discrepancy notice on a 1609-B filing that states there may be a missing filing. How do I resolve the discrepancy if our agency was not the licensee of record for the missing policy term?

  • Per Section 1609(b) of the Pennsylvania Surplus Lines Law, Subsection (a) shall not apply to any insurance which has been placed continuously with an eligible surplus lines insurer for a period of at least three (3) consecutive years immediately preceding the current placement.
  • The surplus lines licensee is responsible for having the backup information to ensure compliance. Otherwise the ability to declare the information required becomes problematic.

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4. I received a discrepancy notice for a 1610-A filing and, after review, I agree that it does not meet the requirements. What filing type should I use?

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5. Is a diligent search required for a 1610-A filing type?

  • Refer to Section 1610(a.1) to determine when the diligent search requirements are not applicable.

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6. I received a discrepancy notice on a tax exempt filing. How do I determine the tax exempt status for an insured?

  • Refer to the Department of Revenue website for a description of Surplus Lines Agent Tax and the political subdivisions that are exempt from the tax.

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7. Does the carrier have to be consistent for 3 years for the filing to be eligible to use a 1609-B affidavit?

  • The carrier does not have to be the same for the prior 3 years for the filing to be eligible for a 1609-B affidavit. The previous carriers do have to be on the Eligible Surplus Lines Insurer List referenced on the Pennsylvania Insurance Department’s website.