Utah Admin. Code R590-220-6 - Filing Submission Requirements
(1) General Filing Requirements.
(a) A filing shall be submitted:
(i) electronically through SERFF;
and
(ii) using the NAIC Product
Coding Matrix, including the:
(A) TOI;
and
(B)
sub-TOI.
(b) A
filing may not include more than one:
(i)
TOI; or
(ii)
insurer.
(c) A cover
letter may not be submitted with a filing.
(2) SERFF Filing.
(a) Filing Description. The filing
description on the general information tab shall contain the following
information, in the sequence listed.
(i)
Provide a description of the filing, including:
(A) the intent of the filing; and
(B) the purpose of each document within the
filing.
(ii) Indicate if
the filing:
(A) is a first-time
filing;
(B) is a new form revising
an existing form;
(C) is a new form
that is substantially similar to an existing form;
(D) is a resubmission that includes a summary
of the changes made and the previous filing's Utah filed date or SERFF tracking
number;
(E) includes informational
documents, referencing the Utah filed date or SERFF tracking number;
or
(F) does not include the policy,
and if so, provide the Utah filed date or SERFF tracking number of the policy
and each amendment, summarizing the effect on the policy.
(iii) Identify any provision that is unusual,
innovative, controversial, or that was previously objected to or prohibited,
and explain why the provision is included in the filing.
(iv) List the range of minimum and maximum
ages for which the policy will be issued.
(v) If any of the information required under
Subsection (2)(a) is not available, provide a detailed explanation of why the
information is not available.
(b) Filing Certification.
(i) The insurer shall certify that a filing
and all related documents are complaint.
(ii) The following statement shall be
included in the filing description: "BY SUBMITTING THIS FILING I CERTIFY THAT
THE ATTACHED FILING HAS BEEN COMPLETED IN ACCORDANCE WITH UTAH ADMINISTRATIVE
RULE R590-220 AND IS COMPLIANT WITH APPLICABLE UTAH LAW."
(iii)
(a)
The Utah Accident and Health Insurance Filing Certification shall be fully
completed and attached to the supporting documentation tab.
(b) If an item on the Utah Accident and
Health Insurance Filing Certification does not apply to the filing being
submitted, mark the item as not applicable.
(iv) A filing may be rejected if the filing
certification is false, missing, or incomplete.
(v) A false certification may subject the
insurer to administrative action.
(c) Domiciliary Approval and Filing Status
Information. A filing for a foreign insurer shall include on the supporting
documentation tab:
(i) filing status
information, including:
(A) a list of states
where a similar filing is submitted;
(B) the date of submission; and
(C) the disposition status or exemption;
or
(ii) if the filing is
specific to Utah and only filed in Utah, include:
(A) the phrase "NO SIMILAR FILING HAS BEEN
SUBMITTED TO ANY OTHER STATE"; and
(B) the reason the filing is only filed in
Utah.
(d) Group
Questionnaire or Authorization Letter. A group filing shall attach to the
supporting documentation tab:
(i) a complete
Utah Accident and Health Insurance Group questionnaire;
(ii) a copy of the discretionary group
authorization letter; or
(iii) a
copy of the bona fide employer association group authorization
letter.
(e) Letter of
Authorization.
(i) A filing submitted by a
third party shall have a letter of authorization from the insurer attached to
the supporting documentation tab.
(ii) The insurer is responsible for the
filing being complaint.
(f) Variable Data.
(i)
(A)
Variable data is denoted by brackets and is defined either by embedding the
variable data in the form or in a separate form with a unique form number and
an edition date.
(B) Variable data
submitted as a separate form shall be in a manner that follows the construction
of the form, by page and paragraph, or page and footnote.
(ii) A certification statement of variability
shall be attached to the supporting documentation tab and shall certify that:
(A) the final form will not contain
brackets;
(B) the use of variable
data is administered in a uniform and non-discriminatory manner that will not
result in unfair discrimination;
(C) the variable data is used on the
referenced forms; and
(D) any
changes to variable data shall be filed before
implementation.
(iii) Any
variation of the variable data shall be disclosed, for example "Deductible is
$(xxx.xx) in $(xxx.xx) increments."
(iv) Variable data shall be reasonable,
appropriate, and compliant.
(v) The
use of unfiled variable data is prohibited.
(g) Items Submitted for Filing.
(i) A form shall be attached to the form
schedule tab.
(ii) All rating
documentation, including actuarial memoranda and rate schedules, shall be
attached to the rate/rule schedule tab.
(h) A report is exempt from a filing
submission requirement under:
(i) Subsections
(2)(a)(ii) through (2)(a)(v);
(ii)
Subsection (2)(c);
(iii) Subsection
(2)(d); and
(iv) Subsection
(2)(f).
(i) Underlining
and Strike through. A resubmission or a new form revising an existing form
shall include an underline and strike through version of the form and the final
form on the form schedule tab.
Notes
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