Utah Admin. Code R590-220-6 - Filing Submission Requirements

(1) All filings must be submitted as an electronic filing.
(2) A filing must be submitted by market type and type of insurance.
(3) A filing may not include more than one type of insurance, or request filing for more than one licensee.
(a) Filing Description. Do not submit a cover letter. On the General Information tab, complete the Filing Description section with the following information, presented in the order shown below.
(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 new;
(B) is replacing or modifying a previous submission; if so, describe the changes made, if previously rejected the reasons for rejection, and the previous filing's Utah Filed Date or SERFF tracking number;
(C) includes documents for informational purposes; if so, provide the Utah Filed Date or SERFF tracking number; or
(D) does not include the base policy; if so, provide the Utah Filed Date or SERFF tracking number for the base policy and all amendments and describe the effect on the base policy.
(iii) Identify if any of the provisions are unusual, controversial, or have been previously objected to, or prohibited, and explain why the provision is included in the filing.
(iv) Explain any change in benefits or premiums that may occur while the contract is in force.
(v) List the issue ages, which means the range of minimum and maximum ages for which a policy will be issued.
(b) Certification. The filer must certify that a filing has been properly completed AND is in compliance with Utah laws and rules. The Utah Accident and Health Insurance Filing Certification must be properly completed, signed, and attached to the Supporting Documentation tab. A false certification may subject the licensee to administrative action.
(c) Domiciliary Approval and Filing Status Information. All filings for a foreign licensee must include on the Supporting Documentation tab:
(i) copy of domicile approval for the exact same filing;
(ii) filing status information which includes:
(A) a list of the states to which the filing was submitted;
(B) the date submitted; and
(C) summary of the states' actions and their responses; or
(iii) if the filing is specific to Utah and only filed in Utah, then state, "UTAH SPECIFIC - NOT SUBMITTED TO ANY OTHER STATE."
(d) Group Questionnaire, Utah Bona Fide Employer Association Group Questionnaire, or Discretionary Group Authorization Letter. A group filing must have attached to the Supporting Documentation tab either a:
(i) signed and fully completed Utah Accident and Health Insurance Group Questionnaire;
(ii) copy of the Utah Accident and Health Insurance Discretionary Group Authorization letter; or
(iii) signed and fully completed Utah Bona Fide Employer Association Group Questionnaire.
(e) Letter of Authorization.
(i) When the filer is not the licensee, a letter of authorization from the licensee must be attached to the Supporting Documentation tab.
(ii) The licensee remains responsible for the filing being in compliance with Utah laws and rules.
(f) Variable data.
(i) A statement of variability must be attached to the Supporting Documentation tab and certify:
(A) the final form will not contain brackets denoting variable data;
(B) the use of variable data will be administered in a uniform and non-discriminatory manner and will not result in unfair discrimination;
(C) the variable data included in this statement will be used on the referenced forms;
(D) any changes to variable data will be submitted prior to implementation; and
(E) all possible variations of the variable data are shown in the statement, such as "Deductible is $ (x-xxxx ) in $xx increments."
(ii) Variable data are denoted in brackets and are defined, either by imbedding in the form, or by a separate form identified by its own form number and edition date. Variable data submitted as a separate form must be in a manner that follows the construction of the form, by page and paragraph, or page and footnote.
(iii) Variable data must be reasonable, appropriate and compliant.
(iv) Use of unauthorized variable data is prohibited.
(g) Items being submitted for filing.
(i) All forms must be attached to the Form Schedule tab.
(ii) All rating documentation, including actuarial memorandums and rate schedules, must be attached to the Rate/Rule Schedule tab.
(h) Reports are exempt from the filing submission requirement listed in Subsections R590-220-6(4)(c), (d), and (f).
(i) Underline and Strikethrough Version. A filing submitted for a correction, modification, or replacement of existing language shall have an underline and strikethrough version of the form included with the corrected, modified, or replacement form on the Form Schedule tab.
(5) Refer to each applicable section of this rule for additional procedures on how to submit forms, rates, and reports.
(6) All filings must be submitted in SERFF correctly utilizing the NAIC Uniform Life, Accident and Health, Annuity, and Credit Product Coding Matrix .


Utah Admin. Code R590-220-6
Amended by Utah State Bulletin Number 2015-20, effective 9/23/2015

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