Guide to Manually Filing a Transaction
This document will walk you step by step through the process of manually entering and submitting a policy transaction in the Broker Portal via the E-Filing Form.
Before beginning this process, be sure that you have been added as a Broker Portal user, and have filing permissions for the broker whose transactions you are filing.
How to File a Transaction using the E-Filing Form
You can begin a new filing in two ways. Either option will bring you to the Transaction Selection Screen, where you’ll begin the filing process.
Option 1: From the Dashboard
Navigate to the Dashboard.
In the Filings Summary panel, click Create a New Filing.
Option 2: From Manage Filings
Go to the Filings module.
Click on Manage Filings.
In the page header (top right), click New Filing.
If you need to file a Backout of an already Accepted filing submission, the procedure is different. See https://slaidaho.atlassian.net/wiki/spaces/SD/pages/edit-v2/154959875?draftShareId=09813536-d1d1-4d02-87be-36273e965f25 for instructions.
Step 1: Choose Transaction Type and Policy
Select Transaction Type
In the upper left corner of the screen, locate the Transaction Type dropdown.
Choose the type of transaction you want to file:
If you select New, click Next to continue to the Create a Draft Filing screen.
Select a Policy (if applicable)
You’ll now associate the transaction with a policy. To find an existing policy:
Begin typing the Policy Number in the search box at the top right of the screen. After you have typed 3 characters, a list of matching policies will appear in the grid and update as you continue typing.
Only policies with a broker account you are associated with will appear.
Once you find the policy in the grid, check the box in the leftmost column.
Click Next to proceed.
If the policy is not listed or you do not know or have access to the original policy:
Check the box labeled Other Policy / Not Found.
If you choose this option, then you will be prompted to provide an explanation as to why you were unable to select a policy. This information will be put into the “Filer Notes” for the SLA to reference.
Then click Next to proceed. The system will now open the New Filing screen.
Review Auto-Populated Fields
If you are filing a transaction other than “New”, the system will automatically fill in information from the most recent New or Renewal transaction.
For New transactions, only the Transaction Type will be pre-filled.
Step 2: Fill in the information for your transaction on the “New Filing” screen
Transaction Type: New
1. Select Broker Account
Choose the broker account you’re filing under. You’ll be able to select from any broker accounts you’re authorized to file under.
2. Enter Policy Number
Input the policy number into the Policy # field. Accepted characters: letters, numbers, and dashes.
Upon saving: If the system finds a matching policy number for the selected broker account, it will prompt you to file this as a Renewal or Endorsement instead. Review that you have entered the correct Broker Account and Policy Number.
3. Enter Insured Name
Input the Insured Name exactly as it appears on the Declaration Page (Dec Page).
4. Enter Effective Date
Enter the Effective Date as shown on the Declaration Page.
Transaction Types: Renewals, Endorsements
If you selected “Other Policy / Not Found” on the policy selection screen, please follow the steps in the section above for Transaction Type “New.” Otherwise, proceed below.
1. Verify the Broker Account
The broker account will be pre-populated from the original policy. If a different broker account is handling this transaction, select from a list of eligible broker accounts.
You will only be able to select a Broker Account for which you have filing permission. If the account you need to file under is not listed, contact your administrator or broker for assistance.
2. Review or Update Policy Number
The Policy # field will be pre-filled.
If filing a Renewal with a new policy number from the insurer, delete the current number and enter the new one.
For Endorsements, if the insurer has not issued a new number but you wish to track it separately, you may enter an Endorsement Number in the provided field.
3. Confirm or Update Insured Name
The Insured name will be pre-filled from the selected policy. If the Dec Page or Endorsement document reflects a different name, update the field to match the new documentation.
4. Enter Effective Date or Endorsement Date
If this is a Renewal, enter the Effective Date as shown on the Declaration Page. If it is an Endorsement, enter the Endorsement Date in the provided field as shown on the Endorsement document.
You have the option to create a draft version of a filing, or to begin entry and save your progress and return to it later once the information above has been entered. If you want to see an estimate of the Stamping Fee and Premium Tax, be sure to also enter the Premium and any Broker Fee or Other Fees that apply.
All Transaction Types
5. Enter Additional Transaction Information
If applicable, select a value from the 'Brokered By' field.
Mark the ECP (Exempt Commercial Purchaser) and RPG (Risk Purchasing Group)checkboxes if appropriate.
Enter the Expiration Date.
Enter the Broker Received Date (when the broker got documents from the insurer).
6. Enter Risk and Coverage Details
Enter the Mailing Address for the insured.
If the Location of Risk is the same address, check the 'Location same as mailing' box.
If different, enter the Location of Risk Address.
If this is a Multi-state Policy, mark the checkbox
Select the Line of Business from the dropdown and, if you wish enter a description of the risk in the provide field.
Select the Insurer. If there are multiple insurers, click 'Add Insurer' for each additional one.
Enter the Percentage of Risk for each insurer being sure that they total to 100%.
7. Enter Financial Details
Stamping Fee and Premium Tax are only calculated when the financial information and the effective date have been entered prior to saving. Changes to this information will result in the fee and tax being re-estimated with the next save, or when you Submit the filing.
Enter the Premium Amount.
Enter any Broker Fees.
Enter any Additional Fees.
8. Upload documents and Review information
Upload all necessary documents.
Select the correct Document Type for each uploaded file.
Required document types are based on the Transaction Type and marked with an asterisk in the Type list.
Use the Filer Notes box to any additional information for the SLA to review.
Ensure all data matches the Dec Page or Endorsement Document exactly.
If there are any discrepancies between the Dec Page or Endorsement Document and the electronic filing, the submission will be flagged and returned by the SLA for correction.
Step 3: Submit and Certify your filing
Click Submit to proceed.
If there are validation failures due to missing information or discrepancies between fields, they will be outlined and the issue displayed. Correct any identified items and click “Submit” again.
In the Certification Box, verify the Broker Name for the filing account is correct.
If correct, click 'Click to Certify.'
If not, click Cancel and update the broker information before resubmitting.
After certifying, the status of the filing changes to “Submitted”, and a Filing Number is assigned.
Quick Tips
Double-check dates and percentages.
Make sure required documents have been uploaded and the document types are correctly selected.
Only click “Certify” when you’re sure all information is accurate.