Appendix III PASS

United States
Department of
Agriculture

Federal Crop
Insurance
Corporation

Risk Management
Agency

RISK MANAGEMENT
AGENCY Appendix III to the
Standard Reinsurance
Agreement and the Livestock
Price Reinsurance Agreement
2011 REINSURANCE YEAR

Product Analysis
and Accounting
Division
APPENDIX III
June 30, 2010

RISK MANAGEMENT AGENCY
KANSAS CITY, MO

TITLE: RISK MANAGEMENT AGENCY
Appendix III to the Standard Reinsurance
Agreement and the Livestock Price
Reinsurance Agreement
EFFECTIVE DATE: July 1, 2010
SUBJECT:

NUMBER: APPENDIX III TO THE
STANDARD REINSURANCE AGREEMENT

Provides the standards, instructions and
information for reporting Approved
Insurance Provider (AIP) data to the Risk
Management Agency/Federal Crop Insurance
Corporation

APPROVED: June 30, 2010

ISSUE DATE: June 30, 2010
OPI: Product Analysis and Accounting Division

Deputy Administrator, Product Management

Reason for Issuance
This Appendix is being issued to provide standards, instructions and information for electronic data
reporting of policyholder, commodity and other information submitted by AIPs as required by the
Standard Reinsurance Agreement, Livestock Price Reinsurance Agreement or other Risk Management
Agency (RMA) policy and procedures.

TABLE OF CONTENTS
Page No.
Part 1

General Information and Responsibilities

1

General Information ......................................................................................................................1

2

Responsibilities .............................................................................................................................3

3

System Overview..………………………………………………………………………………4

4-10 (Reserved)
Part 2

PASS Submission, Telecommunications and Processing Considerations

11

PASS Submission Requirements ..................................................................................................7

12

Telecommunications ...................................................................................................................20

13

Processing Considerations ..........................................................................................................22

14

PASS Reports ………………………………………………………………………………..40

15-20 (Reserved)
Part 3 Accounting
21

Accounting Processing Considerations.......................................................................................42

22

Accounting Reports ....................................................................................................................47

23

Escrow Reconciliation… ……………………………………………………………………..52

24

Application of Paids and Loss Credits…………………………………………………………55

25

Book of Business
Reconciliation…………………………………………………………………………….……….56

26-30 (Reserved)
Exhibits
1

FCIC Settlement Reports
Monthly Settlement Report………………………………………………1-1
Monthly Settlement Report (2012 and subsequent) ………………………………1-1A
FCIC Installment Report……………………………………………….……............1-2
FCIC State Reimbursement Report……………………………………………….…1-3
Annual Settlement Report……………………………………………….1-4
FCIC Fee Report……………………………………………….……........................1-5
FCIC Accounting Detail Report (Excluding CAT) …………………………………1-6

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2

3
4

FCIC Accounting State Total Report (Excluding CAT) ……………………………1-7
FCIC Accounting Grand Total Report (Excluding CAT) ……………………………1-8
FCIC Accounting Detail Overpaid Report (Excluding CAT) ………………………1-9
P/CR Memo Reject Report……………………………………………….…….........1-10
Interest Calculation Examples……………………………………………….….1-11 & 12
Detail Accounting and Administrative Fee Reports
CAT Coverage Fees Reports……………………………………………….……..… 2-1
CAT Coverage Fees Report by State……………………………………………….…2-2
CAT Coverage Fees Receivable Report………………………………………………2-3
Additional Coverage Administrative Fee Summary Report……….……………........ 2-4
Reinsurance Run State Recap Reports FCIC Reinsurance Run……
3-1
Reinsurance Run RO Recap Reports FCIC Reinsurance…………………………3-2 & 3
Reconciliation Reports
Annual Reconciliation Reduction Worksheet……………………………..……........ 4-1
PASS Discrepancies of Premium by Policy……………………………………..… -4-2
SBOB Discrepancies of Premium by Policy…………………………………………4-3
SBOB Discrepancies of Losses by Policy…………………………………………... 4-4

5
6

7
2
8
9

FCIC Administrative Reduction Reports
Administrative Reduction Report – Late Reported Reduction……………………… 5-1
Premium Due Worksheets
Premium Due Worksheet……………………………….…………………………..…6-1
Premium Due Worksheet Example……………………………………………….……6-2
Premium Due Worksheet – Deferred Example………………………………………6-3
Premium Due Without Payments Worksheet…………………………………………6-4
Premium Due Without Payments Worksheet Example………………………………6-5
Instruction Guide for Funds Transfer, Deposit, Message to Treasury………………………7-1 &
Escrow Register……………………………………………………………….……………… 8-1
Escrow Register YTD Summary……………………………………………….……...............8-2
RAS Summary Reports – Adjustments for Livestock
Monthly Livestock Settlement Report…………………………………………….…9-1
FCIC Livestock Detail Report……………………………………………….……..9-2
Livestock Settlement Report……………………………..………………………..... 9-3
State Livestock Reimbursement Report………………………………………………9-4

PASS Record Descriptors (Note PASS Record Descriptors available with this release of Appendix
III are on the RMA public website and serve as a baseline for further ITM development. Record
descriptors contained on the ITM extranet site can be accessed by AIP ITM team members as
needed and provide the most up-to-date decisions/modifications being made during development
and testing of the record descriptors in accordance with the timelines set forth in the ITM project
plan.)
05
09

CIMS Request Record – Type 5………………………………………………………......…
CIMS Status Codes Exhibit………………………………………………………….……...
Fund Designation Record – Type 9…………………………..……………………………...
Fund Designation Guidelines Exhibit……………………………………………….……....

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5-0
5-1
9-0
9-1

Policy Record – Type 10………………………………………….……………………..….. 10-0
Entity and ID Type Table………………………………..……………………………….…. 10-1
11
Acreage Record – Type 11…………………………………………………………….…... 11-0
Guarantee Reduction Percents………………………………………………..………..….. 11-1
Malting Barley PASS Edit Requirements………………………………………….…..…….11-1
DAS `ZERO Acreage Reporting Requirements……………………………..………..…... 11-1
First Crop Processing (Planted Acreage)…………………………………………….…..…..11-1
2010 Rate Class………………………………………………………………………..……. 11-2
2010 Map Area…………………………………………………………………………..….. 11-3
Dollar Amount of Insurance……………………………………………………………..….. 11-4
Guaranteed Reduction Factors for Cherries……………………………………….……..…..11-5
Sheller Warehouse Codes For Peanuts…………………………..……………………....….. 11-5
Insurance Plan Codes…………………………………………………………………….…. 11-6
Crops Eligible for BU……………………………………………………………….….…… 11-7
Written Agreement Edits and PASS Validations………………………………….………... 11-8
2010 Filing Year Option Codes……………….…………………………………….………. 11-9
Crops Requiring Zeros for Date Planted………..………………………………………....…11-10
Type: 11 Calculations………………..……………………………………………………….11-11
Yield Requirements / Edit……………………………………………………….……....…..11-12
Unit Premium Adjustment Factor and Producer Premium Percentage Table….……………11-13
Codes for FCIC Approved Supplemental and Reinsured Policies……………………….….11-14
12
Payment Record – Type 12………………….………....…………………………….………12-0
13
Inventory Value Record – Type 13…………………..….. .........................……..…….…… 13-0
14
Insurance in Force Record – Type 14…….………………………………………………..…14-0
Crops Which Allow Multiple Type 14….……………………………………..…….…….…14-1
Reserved…………………………………………………………………………..…... ...
14-2
Duplicate Edits………………………………………………………………..……. .......
14-3
Reserved………………………………………………………………………..…... .......
14-4
Crops Where CAT Coverage Is Not Available……………………………………….....
14-5
15
Yield Record – Type 15…………………………………………………………..…… ..
15-0
Yield Type Edits…………………………………………………………………..…... ..
15-1
Yield Limitations Edits……………………………………………………………….……. 15-2
Maximum Yield Allowed……………………………………………………………..….… 15-3
Crop Requiring A Type 15 (Yield) Record…………………………………………….….. 15-4
Indexed Income Protection Yields…………………………………………………………..15-5
APH Crops That No Longer Have Capped Yields………………………………………... 15-6
16
Reserved………………………………………………......................................................... 16-0
17
Land Identifier Record – Type 17…………….…………………………………………..… 17-0
Crop /Plan Codes Not Requiring A 17 Record…………………………………………….. 17-1
Legal Land ID Validation………………………………………………………………….. 17-2
Latitude/Longitude……………………………………………………………………….… 17-3
18 – 19 Reserved………………………………………………………………………… 18-0 Thru 19-0
20
Loss Total Record – Type 20………………………………………………………………. 20-0
Record 20 Exhibit………………………………………………………………………….. 20-1
21
Loss Line Record – Type 21……………………………………………………………….. 21-0
First Crop Processing (Planted Acreage)…………………………………………………... 21-1
Cause of Loss Codes by Code………………………………………………...…………... 21-2
Cause of Loss Codes……………………………………………………………………….. 21-3
Stage Code Definitions………………………………………………………………..…… 21-4
10

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22

23–24
25
26
28-47
49
51
54
55
56
57
58
59
60
60e
61
62–64
65
66-69
70
71
72-80
81
82-96
97
98
99a
99b
99c
99d
99e
99f
100
101

Stage Code by Crop………………………………………………………………… ……. 21-5
Simplified Claims Processing…………...……………………………………………….... 21-6
Self- Certified Replant Claims……………..…………………………………………..…….21-6
Prevented Plating Guarantee Percentage Table………………………………………..…… 21-6
Replant Maximum / Minimum Table…...………………………………………………..... 21-7
Stage Percent, Price Percent and Price Election Factors………………………………....… 21-8
Reserved…………………………………..……………………………………………....….21-9
Type 21: Calculations….…………………………………………………………..………...21-10
Inventory Loss Record - Type 22………..…………………………………………….….… 22-0
Type 22: Nursery Calculations …………..……………………………………………….… 22-0
Type 22: Cultivated Claims Calculations………………………………………….………. 22-1
Nursery Optional Unit Plant Type Code…...……………………………………………….. 22-2
Cause of Loss Codes by Crop………………………………………………………………..22 - 3
Reserved……………………………………………………………………………23-0 Thru 24-0
Settlement / Arbitration Record – Type 25…………………………………………….. ....... 25-0
Reserved………………………………………………………………………………... ....... 26-0
Reserved………………………………………………………………………… . 28-0 Thru 48-0
Delete Records – Type 49……………………………………………………………… ....... 49-0
Conflict of Interest Policy Reporting Record………………………………………….. ....... 51-0
Agency / Company Employee Data Record…………………………………………… ....... 54-0
Agent Data – Type 55………………………………………………………………….. ....... 55-0
Loss Adjuster Data – Type 56………………………………………………………….. ...... 56-0
Quality Control Reporting Record – Type 57…………………………………………......... 57-0
Notice of Loss Record………………………………………………………………….. ...... 58-0
Reserved………………………………………………………………………………… ...... 59-0
Ineligible Producer Input Record – Type 60……………………………………………....... 60-0
Ineligible Transaction Flag Values……………………………………………………… ..... 60-1
Ineligible Producer Error Record – Type 60e……………………………………….…. ..... 60e-0
Ineligible Tracking System Error Codes………………………………………………....... 60e-1
Ineligible Producer Output Record – Type 61…………………………………………. ....... 61-0
Ineligible Status Flag Values…………………………………………………………… ...... 61-1
Reserved……………………………………………………………………… .... 62–0 Thru 64-0
CAT Fee Receivable Record……………………………………………………………... ... 65-0
Reserved……………………………………………………………………… .... 66–0 Thru 69-0
Reverse 70 Detail Record – Type 70…………………………………………………… ...... 70-0
Reverse 71 Trailer Record – Type 71…………………………………………………... ...... 71-0
Reserved………………………………………………………………………… . 72-0 Thru 80-0
Policy Holder Tracking Experience Inquiry – Type 81 Output Format………………… .... 81- 0
Reserved…………………………………………………………………………..82-0 Thru 96-0
2010 Flow Chart………………………………………………………………………… ..... 97-0
Reserved
FCIC Crops (by Crop Code /Alphabetical)……………………………………………... ... 99a-0
Rounding Rules…………………………………………………………………………. .... 99b-0
Removed from Appendix III – Information available in Crop Ins. Handbook………… .... 99c-0
Field Definitions………………………………………………………………………... .... 99d-0
FIPS State Code……………………………………………………………………….. ...... 99e-0
Insurance Plan Codes…………………………………………………………………. ........ 99f-0
Weekly Transaction Cut-off Dates .................................................................................. 100-1
Fund Cutoff and LRR Dates ............................................................................................ 101-1

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102
Acronyms ........................................................................................................................
103 – 109 Reserved

162-1

eDAS Exhibits
111 Adjuster…………………………………………………………………………. .... 111-0
112 Agent……………………………………………………………………………. .... 112-0
113 Employee………………………………………………………………………... ... 113-0
116 Reviewer………………………………………………………………………… ... 114-0
118 Conflict………………………………………………………………………….. ... 115-0
119 Livestock Crop Policy……………………………………………………………... 119-0
121 Entity…………………………………………………………………………….. ... 121-0
Entity /SBI ID Type Table……………………………………………………….. .. 121-1
122 Policy…………………………………………………………………………….. .. 122-0
123 AGR/AGR-L Crop Policy………………………………………………………..... 123-0
Coverage Level Eligibility……………………………………………………….. .. 123-1
124 Payment…………………………………………………………………………..... 124-0
126 SBI……………………………………………………………………………….. .. 126-0
130 Livestock Fund…………………………………………………………………...... 130-0
131 AGR/AGR-L ……………………………………………………………………. ... 131-0
135 LRP Premium…………………………………………………………………….... 135-0
LRP Premium Calculations………………………………………………………... 135-1
LRP Indemnity…………………………………………………………………… .. 135-2
LRP Indemnity Calculations……………………………………………………… . 135-3
140 LGM Premium……………………………………………………………………. . 140-0
LGM Premium Calculations……………………………………………………… . 140-1
LGM Indemnity………………………………………………………………….. .. 140-2
LGM Indemnity Calculations…………………………………………………….. . 140-3
150 Disbursement (of Loss Payment)…………………………………………………. . 150-0
151 AGR/AGR-L Farm Report / Premium……………………………………………. . 151-0
AGR/AGR- L Liability/Premium Calculations…………………………………… 151-1
AGR/AGR-L Indemnity ………………………………………………………….. 151-2
AGR/AGR-L Indemnity Calculations………………………………... . ………….151-3

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Part 1
1

General Information and Responsibilities

General Information
A. Purpose and Objective
RMA relies on information provided by the AIP, by third-party affiliates, and by policyholders when
making determinations relating to crop insurance, including determinations relating to the provision
of reinsurance, premium subsidy and A&O subsidy on eligible crop insurance contracts. Further, this
information submitted by the AIP is gathered at the policyholder level by third-parties, such as agents
and loss adjusters or other affiliates of the AIP, and is subject to regulations, policies and procedures
developed by RMA, USDA, and other Federal agencies.
This Appendix provides standards, procedure and instructions for reporting AIP data to RMA/FCIC.
The objectives include, but are not limited to:
providing a means of validating data to provide reasonable assurance that reimbursements are
made based on accurate and timely information.
maintaining detailed contract information at RMA
enhancing the quality and availability of data at all levels
B. Source of Authority
Federal programs enacted by Congress and the regulations and policies developed by RMA, USDA
and other Federal agencies with applicable regulatory control provide the:
Authority for program and administrative operations
Origin for RMA calculation of A&O subsidy, reinsurance and risk sharing.
Authority for managing the Policy Acceptance and Storage System and eDAS is authorized by:
Standard Reinsurance Agreement (SRA) and supporting Appendices
Livestock Price Reinsurance Agreement (LPRA)
RMA issued procedures
Regulations promulgated under the:
Federal Crop Insurance Act
System of Records Notice
Basic provisions and endorsements

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1

Debt Collection and Improvement Act
C. Related Handbooks and Reference Materials
This table references related handbooks/reference materials and their relation/purpose.
Related Handbooks/
Reference Material

Appendix II to the SRA
Appendix IV to the SRA
Crop Insurance Handbook
Document and
Supplemental
Standards Handbook
Loss Adjustment
Standards Handbook
Written Agreement
Handbook
Ineligible Handbook
Underwriting Guides
Bulletins
Other Program Handbooks
and Standards
4-RM

Relation/Purpose
Provides cession limits, maximum premium volume, states in
which the company is authorized to write business, and other
selected criteria required by the SRA .
Provides requirements for monitoring the quality control program
Provides procedures for reporting information from producers
Provides standard forms and procedures for collecting information
from producers

Provides collection and reporting procedures for claim information
Provides procedures for modifying terms and conditions of the ADM
or other issued policy and procedure
Provides procedures for identification and tracking of ineligible
producers
All underwriting guides published on RMA‟s website
(www.rma.usda.gov)
Applicable bulletins and informational memorandum published on
RMA‟s website (www.rma.usda.gov)
All other program handbooks and standards published on RMA‟s
website (www.rma.usda.gov)
Provides procedures and guidance to FSA State and County Offices,
RMA, and Approved Insurance Providers for improving Federal Crop
Insurance Program compliance and integrity as required by the
Agricultural Risk Protection Act of 2000 (ARPA)

D. Issuances and Revisions
1. This appendix will be issued annually reflecting detailed reporting requirements for eligible crop
insurance contracts and other supporting information applicable to each Reinsurance Year in
accordance with the SRA/LPRA and Appendices. A DRAFT will be issued by May 10th
preceding the reinsurance year for comment, including general PASS requirements, proposed or
major processing enhancements, known policy and procedural changes, fund designation
requirements and LRR determination process. AIPs will have 21 days to comment to the draft.
The approved Appendix III will be issued by June 30, preceding the reinsurance year, and will be
approved quarterly, as needed.
2. Revisions to this appendix and to PASS may become necessary after the annual release to ensure
that data reported complies with the SRA, actuarial requirements, Federal regulations, crop policy
June 2010

RMA-Appendix III

2

provisions, and procedural changes that could not be anticipated when the annual update was
released. Revisions to Appendix III will include:
a.

Clarifications that do not change the format or values of the reporting requirements,

b.

New reporting requirements to meet the terms and conditions of the Act, FCIC regulations,
and/or procedures enacted after the initial release of Appendix III

c.

Corrections to the reporting requirements to meet the existing terms and conditions of the
Act, FCIC regulations, and/or procedures.

3. Any new or proposed requirements revisions will be available for comment for a period of 14
calendar days. FCIC generally will work with the AIPs in an attempt to reach consensus in
determining the most efficient means of implementing revisions both prior to and subsequent to
the initial release. Revisions after the initial release will be highlighted and a summary by date
will be maintained. Explanation will be provided stating the reason a particular change was
initiated, implemented or rejected.
a. Changes will be implemented after the accounting cut-off date following the 14 day
comment period, except in situations involving material monetary impact.
4. The SRA, except as provided therein, Act, regulations in 7 C.F.R. Chapter IV, regulations and
procedures listed in Section 1 B and C of this Appendix, and the applicable eligible crop
insurance contract and procedures take precedence over Appendix III for servicing requirements.
5. The appendix is maintained electronically via the RMA Home Page. The RMA Website address
is:
http://www.rma.usda.gov/data
Click on APPENDIX III, Data Reporting Requirements.
6. Provisions for approved and draft versions of the Appendix III for multiple reinsurance years are
available.
a. The approved version contains the current Appendix III that has been approved by FCIC.
b. The draft version contains proposed changes for review and comment.
A. Draft versions will be watermarked DRAFT and changes will be highlighted
when possible.
B. AIPs will be notified of changes to the DRAFT version on the PASS Status
Report and/or on the “Read me” page.

E. Implementing FISMA Information Security Standards and Guidelines
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3

1. As required by SRA Section IV(a)(4), the company may utilize existing information technology,
audits and security approaches currently determined by and required of the company to demonstrate
that Protected Information and records are being secured and protected from non-disclosure. The
company must engage a process designed to achieve the minimum security requirements for FIPS199 moderate-impact security objectives for each of their systems that contain protected information
or interact with a Federal information system.
2. FIPS 200, Minimum Security Requirements for Federal Information and Information Systems, lists
the mandatory federal standards developed by NIST in response to FISMA. To comply with the
federal standard, the company must derive the information system impact level for a FIPS-199
moderate-impact security category, and then apply the appropriately tailored set of baseline security
controls in NIST Special Publication 800-53, Security Controls for Federal Information Systems and
Organizations. The Company may apply the baseline security controls in accordance with the
guidance provided in Special Publication 800-53, tailoring the relevant security control baseline so
that it most closely aligns with their mission and business requirements and environments of
operation.
3. An organizational assessment of risk must be conducted to validate the initial security control
selection and determine if any additional controls are needed to protect organizational operations
(including mission, functions, image, or reputation), organizational assets, individuals, other
organizations, or the Federal Crop Insurance program. The resulting set of security controls
establishes a level of security due diligence for the Company.
4. The company may utilize existing audits, assessments and security standards required of the company
to achieve equivalent security results as required in FIPS 200 and Special Publication 800-53.
F. Incident Reporting
Loss of Protected Information or Personally Identifiable Information, either suspected or confirmed
breached, shall be reported in writing (e-mail is acceptable) to the RMA Chief Information Security
System Office (ISSO) or the RMA Chief Information Officer (CIO), in accordance with SRA Section
IV.(a)(5). A telephone notification is also desired.

2

Responsibilities
The following table references the Entity, Function and Responsibilities related to submitting and
processing data through PASS.

Entity
RMA

Function
Waivers &
Revisions

Responsibilities
Responsible for ensuring the AIP has met all their responsibilities, and approval
or disapproval when requesting waiver of:
fund designation lockdown dates/modifications to fund designations
A&O subsidy reductions for LRR

RMA

June 2010

Reporting

Responsible for:

RMA-Appendix III

4

RMA

AIP

AIP

June 2010

Reimbursement

Reporting

Accounting and
Reporting
Systems

providing updates to FCIC reporting guidelines
performing duties and validations of AIP submitted data as outlined in the
“Formats/Edits” portion of this Handbook
determining data reporting requirements, validation edits, files and
standards
maintaining and administering databases and other storage media used by
PASS
maintaining and timely releasing to AIPs the Insurance Control Elements
(ICE) validation files referenced herein
preparing and providing error reports to the AIP designee containing data
not passing all edits and validations specified by FCIC
updating/maintaining reinsurance data in the policy and accounting
databases
providing technical assistance in error resolution
responding within 7 business days to a properly completed PASS error
report
generating reconciliation reports/data
generating accounting reports/data
processing premium due report data upon receipt of the certified
report/worksheet when received by the due date for monthly reporting
generating revised monthly settlement reports after current worksheets are
updated by the AIP
Responsible for reimbursement of the following in accordance with Part 3 of
this Appendix:
losses
administrative subsidies
gain sharing
interest
Responsible for taking actions to ensure timely and accurate data submission to
FCIC, including but not limited to submission of:
accurate and detailed eligible crop insurance contract data and other
supporting information (e.g., CIMS, COI, Agency/Company employee,
etc.) to FCIC in the format prescribed in this Appendix
properly completed PASS error reports to DQS, after analysis or for
guidance in correcting rejected data that is present on the PASS error listing
data corrections or reporting necessary to timely resolve reconciliation
differences both financial in nature or as required under 4-RM and ARPA,
as specified in Appendix IV
electronic loss data for escrow funding
certified hard copy or electronic monthly/annual settlement reports (recap
and worksheets), and all other supporting reports (e.g., premium due
worksheets) by reinsurance year
producer premium payment information by the accounting cut-off date for
the calendar month after collection
Responsible for ensuring that program and accounting systems have the
capability to report information at a “point in time”, and the ability to fall
back to a previous point in time when necessary for reporting purposes.
Responsible for assuring for proper and timely servicing of insured

RMA-Appendix III

5

producers accounts, including timely remittance of refunds, generally
within 30 days of the financial event that created a credit balance

3

System Overview_______________________________________________________________
A.

PASS Overview
1. PASS and RAS are two integrated data processing systems. PASS receives and performs
validations on transmitted data. Data validated by PASS is loaded to RMA databases.
Together they provide RMA with a mechanism to provide reasonable assurance that data
received is accurate, that errors are corrected timely, that information contained on Monthly
Settlement Reports certified by the AIP are accurate for the validated data, and appropriate
accounting entries are made in RMA‟s Financial Accounting Systems. An overview of these
two systems follows.
a. Data supplied to FCIC for an AIP is processed through PASS. The data is checked for
proper reinsurance year format. All transmitted data that is accepted will replace
previously accepted data on a policy level.
b. Validations are performed on submitted transactions for data accuracy and compliance
with policy, procedure and processing requirements. The PASS performs required
edits on each transaction to the extent practical before rejecting a transaction. Upon
completion of editing, a report is generated which summarizes the acceptance,
rejection and suspension by record type and liability, premium and indemnity amounts
from the transaction. Records which were found in error are system-generated output
that is sent to an AIP after each edit completes.
c. Error processing is the validation that occurs from the record submission process and
provides the AIPs a way to track and resolve errors that occur both within the file
submission process and within the records submitted.
d. As part of the PASS/RAS operations, an AIP will be required to reconcile data
contained within their systems with data submitted to and accepted by RMA. As a
means of assisting the AIPs in reconciling their systems with PASS, RMA will return
both AIP and RMA calculated values in rejected and accepted records for each batch
submitted.
e. The DQS provides operation support for the PASS and eDAS systems. All questions
regarding data distribution reporting, and validation should be addressed to the AIP‟s
DQS representative.
See Exhibit 97 for a chart displaying the flow of data from AIPs to RMA
B. eDAS Overview

June 2010

1. eDAS is a real time system operating in a web environment designed to edit transmitted data
from AIPs. AIPs will send data in Extensible Markup Language (XML) format to be
processed by eDAS or use RMA‟s web application to input required information to eDAS.
RMA-Appendix III
6

After performing a series of edits on the data, an SML transmission with all input data
received from the AIP and output data defined by RMA will be sent back to the AIP in the
same order they are processed. The transmission will also notify the AIP of its acceptance or
rejection, and if rejected, errors will be included in the return transmission.
2. eDAS will perform a series of edits on the current data. The type of data and edits performed
will be outlined later in Appendix III. Edits are done in a series of steps. If any step fails, no
other edits beyond the current step will be done.
a. First, basic edits are done. Some of these edits include a required check, optional
check, numeric check, alphabetic check and validity of codes check.
b. Next, conditional rules apply. These rules apply to Appendix III tags that will only be
present based on the value of other Appendix III tags.
c. Advanced rules include ADM cross reference checks and inter-field comparisons. If
needed for the current Appendix III section, the corporate calculation modules are run
to determine premium or indemnity.
d. Calculation validation edits are performed to determine if the AIPs calculated values
match RMA‟s calculated values.
e. Post processing Rules are performed as the final step, and include checking the
Underwriting Capacity Manager (UCM)
f. RAS will be used to generate accounting reports containing AIP data processed by
eDAS. Data will be taken directly from the database to feed RAS.

4-10 (Reserved)

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7

Part 2
11

PASS Submission, Telecommunications and Processing Considerations

PASS Submission Requirements __
A. PASS Submission
1. Monthly submission of data is mandatory through annual settlement if any activity occurred
during the month. All data submitted will be processed through PASS as soon as possible.
Occasionally, the system will be unavailable during normal operation hours due to scheduled or
emergency maintenance. Companies will be notified as soon as possible in these cases.
Transmission files between 2 and 1,000,000 records will be automatically processed during
operations hours Monday through Friday. Operation hours for all reinsurance years are Monday
6:00 a.m. to 11:00 p.m., Tuesday through Thursday, 6:00 a.m. to 2:00 a.m. and Friday 6:00 a.m.
to 8:00 p.m. Any transmission received after cutoff or a file that is too large to be completed
during the operation hours will be processed in the next operation period.
a. The Company is limited to submitting data through automated systems for 3 years
following the first annual settlement for the reinsurance year. Settlement of claims still in
litigation, arbitration, or any administrative proceeding more than 3 years after the first
annual settlement for such reinsurance year must be reported to FCIC and will be
processed manually following the resolution of such action
i. Unless otherwise permitted by FCIC in this Appendix, the Company may not
submit estimated data for the purpose of establishing premium, liability, or
indemnity.
b. “Transaction cutoff date” for weekly data reporting is 8:00 p.m. central time on Friday of
each calendar week as shown in exhibit 100-1, Weekly Transaction Cutoff Dates. A
calendar week begins with Sunday and ends with Saturday. Any date that falls on a
Saturday will use the preceding Friday as the transaction cutoff day.
c. “Transaction cutoff date” for monthly data reporting is 8:00 p.m. central time on Friday
after the first Sunday of the month.
d. RMA may deviate from submission reporting requirements when necessary to ensure
accurate and timely data processing. Deviations from stated reporting requirements may
occur only in cases of material monetary discrepancies created by the processing of
inaccurate or untimely data.
2. Companies must contact RMA prior to submitting transmission files over 1,000,000 records.
RMA will schedule these files to be processed based on the availability of the operating system.
This is required for validation purposes and to allow time for correction and resubmission of
rejected transactions to FCIC before the transaction cutoff date for monthly data reporting.
3. In order to correctly process files delivered by the AIPs to the FTP server, the file structure must
submit the 2 digit AIP Code, 4 digit reinsurance year, and 1 digit application code. For example:

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8

AIP Code
Reinsurance Year
Application Code
Submit File Format

XX
2011
P
XX2011P.ZIP

The file formatting rule applies only to the file submitted to the FTP server. Each ZIP file must
contain only one file within it. There are no format rules for the name of the file contained within
the ZIP file. All data must be pipe-delimited, with no extra pipe at the end of the line. All fields
requiring a sign (+/-) will be noted with a leading “S” in the “Format” column. This sign will be
included in the Maximum Length field. Example: S9999.99
4. All files are immediately date/time stamped when they land on the FTP server. Once an AIP
submits a file to the individual “Upload” folder the FTP service performs the following checks:
FILE SUBMISSION CHECKS
Zip file is invalid
More than one file is inside Zip

Zip file name does not contain the correct
AIP code

If corrupt and cannot be opened, it is
moved to the common upload folder with
a dot-BADZIP extension
File is moved to the common upload
folder with a dot-BADZIP extension.
If the name of the Zip file does not
contain the AIP Code indicated in the
UserID, the file is moved to the common
upload folder and the name of the file is
modified to indicate that the file is
invalid with a dot-BADAIP extension.

5. Upon completion of processing, output files are returned to the common download folder for the
AIP.
RETURN ZIP FILE
Return Zip File Name
RETURN ZIP FILE CONTENTS
Processed Records File Name
Exception Record File Name
Summary Record File Name
Duplicate Policy Record File Name
Unknown Record File Name

XX2011P0003.zip
XX2011P0003.txt
XX2011P0003Exception.txt
XX2011P0003Summary.txt
XX2011P0003Duplicate.txt
XX2011P0003Unknown.txt

a. The P98Z and P99Z Exception records are contained in the Exception output file. These
records contain codes to identify the reason for the exception.
P98Z (Unknown record) Unknown Reason Codes
Unknown record Unknown Reason Codes identify the reason why a record could not be
processed. A matching row for the P98Z will be found in the Unknown output file.
Reinsurance Year does not match the
Unknown Reason Code 1
Reinsurance Year on the batch file name
AIP Code does not match the AIP Code
Unknown Reason Code 2
on the batch file name

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9

Unknown Reason Code 3
Unknown Reason Code 4
Unknown Reason Code 5

Unknown Reason Code 6

Unknown Reason Code 7

Record Type not in list of accepted
Record Type Codes (by Reinsurance
Year)
Record has too few delimiters for the
Record Type
Record has too many delimiters for the
Record Type
One or more record columns exceed
allowable maximum width. The P98Z
exception record contains a field called
“Overflow Columns” that contains the
index of all fields in the input record that
were too large to fit into their associated
staging table. The index is 1-based, and
indicates the position in the current row
where the field was too large. If it has
more than 1m rows or any single row is
greater than 500 characters, it is
considered a malformed file and the
entire batch is dumped. The zip file will
contain a single P98Z record which will
have the name of the submitted file as it
exists in the AIPs upload folder. If the
number of records exceeds the maximum
allowed the file is considered malformed
and the Malformed Batch code contains
a malformed file, “M”. If any single row
exceeds the maximum allowed length the
batch is considered malformed and the
Malformed Batch Code contains a
Malformed Row, “R”.
Submission date of the record type is
outside of the valid submission start date
or end date.

P99Z (Exception record) Process Result Codes
Exception record Process Result Codes identify the status of the processing for that
record. When record level rules are validated, the field name and number will be left
blank and the Rule ID will contain the number of the record level error that has occurred.
A
Accepted
Rejected, but with an established LRR,
K
or Escrow Fund recorded as appropriate
M
Message
R
Rejected
W
Warning
S
Suspended

6. Upon successfully passing all edits, accepted data will be included in the Monthly Settlement
Reports generated by RAS. Failure of data to pass all reporting and edit requirements in this
Appendix may result in such data not being accepted for payment on the Monthly Settlement and
Annual Settlement Reports. Data must be electronically transmitted successfully and completely
June 2010

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10

received by the transaction cutoff date to be included in that week‟s transactions. Monthly
Settlement Reports will be prepared based on data received and accepted by the transaction cutoff
date for monthly reporting.
7. Data must be submitted on a reinsurance year basis. The 2011 Reinsurance Year data would
include the following crop year data:
a.
b.
c.
d.
e.
f.
g.
h.

2012 Avocados
2010 Raisins
2012 Avocados
2010 Raisins
2012 Citrus (Arizona, California, Florida and Texas)
2012 Florida Fruit Trees
2012 Nursery
2011 Texas Citrus Trees and all other crops

8. All data relating to each respective Reinsurance Year must be included in the same submission,
with separate submissions required for each reinsurance year.
9. The amount of premium submitted by the AIP cannot exceed the maximum premium limitation
approved by RSD. With each PASS edit, AIPs will receive the Year-to-Date accepted totals on
the .sum report. This report notifies the AIP of the summary statistics, including premium
accepted as of the report date. When the percentage has reached 100% of maximum premium
limitation approved by RSD, RMA will determine whether subsequent processing will be
suspended. Accounting reports will be generated based on data received prior to any suspension.
10. Eligible crop insurance contracts may be accepted any time up to the February monthly cutoff
date following the reinsurance year. Thereafter, policies will be rejected if they are originally
submitted after the February cutoff date. If a situation arises that causes the AIP to be unable to
meet this cutoff, justification may be submitted to the DQS representative for RMA review to
determine if a waiver is appropriate.
11. Fund Designation
b. AIPs may designate eligible crop insurance contracts with an accepted Type 9 record to
the Assigned Risk Fund by the fund designation cutoff date. AIPs may remove previously
assigned Assigned Risk Fund designations on eligible crop insurance contracts by the
fund cutoff date, as shown in exhibit 101-1 Fund Cutoff and LRR Dates. All eligible
crop insurance contracts not designated to the Assigned Risk Fund will automatically be
placed in the Commercial Fund. Fund designation cutoff dates will be determined for
eligible crop insurance contracts as follows:
i. For an eligible crop insurance contract associated with an agricultural commodity
with a fixed sales closing date, (including those with multi-year Written
Agreements after the initial year), the Type 9 record must be accepted by PASS by
the weekly transaction cutoff date for the week including the 30th calendar day
after the sales closing date.
June 2010

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11

ii. For eligible crop insurance contracts with extended sales periods (i.e., sales are
permitted beyond the sales closing date shown in the special provisions), the
transaction cutoff dates for the designation of policies to the Assigned Risk funds
are:
1. For new policies, the later of the transaction cutoff date for the week
containing the 30th calendar day after the eligible producer signature date
or the transaction cutoff date for the week containing the 30th calendar day
after the sales closing date.
2. For carryover policies, the transaction cutoff date for the week containing
the 30th calendar day after the sales closing date.
iii. For written agreements requiring annual FCIC approval or for the initial year of an
eligible crop insurance contract associated with a written agreement only,
(excluding Written Agreement types GP, HR, NL, SP, UA), the Type 9 record
must be accepted by PASS by the weekly transaction cutoff date for the week
including the 30th calendar day after the RMA written agreement approval date
(Print Date.)
iv. For AGR-Lite the sales closing date of 3/15 will be used for new insureds. For
Carryover AGR-Lite insureds the cancellation date of 1/31 will be used. For
AGR, the sales closing date of 1/31 will be used for all insureds. The Fund must
be accepted by eDAS by the weekly transaction cutoff date for the week including
the 30th calendar day after the applicable date.
v. If the actuarial documents or ADM have more than one sales closing date for the
eligible crop insurance contract, the earliest SCD will be used to determine the
fund designation cutoff date, unless the type or practice is reported to indicate the
specific SCD.
1. For crops in counties with both Fall and Spring Sales Closing Dates, if the
fall crop is not planted and a zero acreage record is accepted for the fall
crop, the fund designation for the spring crop may be changed up to the
transaction cutoff date for fund designation for the spring crop.
vi. If an “Added-county” block is used on applications and/or contract change forms
in accordance with the Document and Supplemental Standards and Crop Insurance
Handbooks, they may timely indicate the primary (designated) county for fund
designation by entering the appropriate field value in the multi-added-county flag
field for the location state, policy number, crop year and crop code. The primary
county for fund designation does not have to match the primary county used for
the additional county provisions on the “insurance in force” record (Type 14.)

June 2010

1. Subsequent counties established under the “Added-county” procedure and
transmitted to PASS after the fund designation deadlines, must be placed in
the same fund as the primary (designated) county. Subsequent counties are
indicated by placing the appropriate value in the Added-county flag field.
RMA-Appendix III
12

2. Only category B crops (excluding Forage Production) qualify for addedcounty.
3. Subsequent counties can be added after Fund designation cutoff if an
insured does not have an interest in any other crop in the added county.
4. Companies must also identify the primary (designated) county policy key
(location state/county, AIP number, policy number, crop year, crop code
and type code) in the added-county reference policy key fields.
vii. High Risk Ground, or specialty types of soybeans and barley may be excluded
from a revenue plan of insurance and insured under a yield based plan of
insurance. Fund designations for policies excluded from a revenue plan of
insurance may be different than the primary/revenue plan fund designation.
viii. When RMA approves alternate crops, the Type 9 record must be accepted by
PASS by the weekly transaction cutoff date for the week including the 60th
calendar date after the RMA approval date.
c. AIPs are to notify their DQS representative via e-mail immediately of any problems or
issues that may impact previously accepted eligible crop insurance contract data or which
prevents timely acceptance of data.
d. Livestock price insurance contracts accepted by the UCM must be designated to the
Private Market Fund within two Federal business days of the acceptance date of the
contract by FCIC.
12. Determination of LRR Transaction Cutoff Date
a. Exhibit 101-1 contains a modified Sales Closing Date to accommodate sales closing dates
falling on a non-business day. It also contains an Extended Sales Closing Date if RMA
extends a sales period. If there is not a modified or extended sales closing date only the
sales closing date will be shown. PASS uses the latest Sales Closing Date to calculate
LRR and fund cutoff dates (this would be the latest possible date), as shown in exhibit
101-1 Fund Cutoff and LRR Dates.
ii. The Type 10 and 14 records identify data elements required for timely reporting of
an eligible crop insurance contract. The late change date field will reflect the date
of the batch where one or more of these elements were changed. If the company
resubmits the 14 record back to the data elements reported by the lockdown date,
PASS will reverse the reduction to the lockdown reduction percentage.
b. The LRR transaction cutoff date will be determined for eligible crop insurance contracts
in accordance with the SRA, except for those eligible crop insurance contracts meeting the
following conditions:

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13

1. RMA approved written agreements excluded from LRR cutoff
determination under Section IV(b)(6) of the SRA
High Rate Area
Acreage not harvested or planted in prev. year
Listing Reconsideration for Tobacco 2005
Small Grains Interplanted
Seed Potato acreage > 12%
Written Unit Agreements
Unrated Land

(HR)
(NB)
(TL)
(SG)
(SP)
(UA)
(UC)

iii. Additional County Application
If the eligible crop insurance contract was sold under the additional county
provision, any subsequent counties will be accepted with the same LRR
determination as the designated primary county contract.
iv. Multiple Sales Closing Dates
If the eligible crop insurance contract has more than one sales closing date for the
eligible crop insurance contract, the earliest SCD will be used to determine the
LRR transaction cutoff date, unless the type or practice is reported to indicate the
specific SCD.

B. eDAS Submission
1. Data will be processed through eDAS in real time. eDAS will be operational 24 hours a day and
7 days a week for certain Appendix III sections with exceptions for maintenance. Appendix III
sections available in the operational hours listed above, are Agent, Entity, SBI, Policy, Fund,
Crop Policy, Adjuster (if applicable), and Reviewer (if applicable). The insurance plan will
determine the availability of eDAS for the Premium and Indemnity sections. For example, the
Livestock Risk Protection plan will fail any premium or indemnity records sent during certain
hours of the day due to ADM data unavailability. If maintenance is required, eDAS will be
temporarily shut down, fixes will be migrated into eDAS, and eDAS will be turned on again.
eDAS will be unavailable for processing data daily from 12:00 p.m. to 1:00 a.m. for daily
maintenance. If at this time eDAS is in the middle of processing data, the data not processed will
be rejected.
2. eDAS requires the transmission of Appendix III sections in a certain order. This order by section
is as follows:
a. Agent,
b. Entity,
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14

c.
d.
e.
f.
g.
h.
i.
j.

SBI,
Policy,
Fund (AGR/AGR-L),
Crop Policy,
Reviewer (if applicable)
Premium,
Fund (Livestock), and
Indemnity
i. If data is sent out of order, eDAS will send an error back to the AIP in its XML
output for the current transaction. For example, Crop Policy data with an Agent
ID code must have an accepted Agent section for that Agent ID code.

3. eDAS does not require the bundling of an entire set of sections for a policy. For example, once
the Agent data has been accepted by eDAS, it never will have to be sent to eDAS again unless the
AIP wishes to update it. Agent data is not required each time Policy or Premium data is sent.
This also applies to the SBI data. For example, if five SBI records are required for the Entity, one
may be sent today while two more may be sent next week and the remaining two may be sent in
two months from now.
4. AIPs will indicate the type of transaction currently being sent to eDAS using the Appendix III
fields process flag and change flag.
a. Process Flag indicates whether the transaction is an original, a modification, a deletion, a
validation, a quote, a retrieval, cancel or re-instate as defined below.
Transaction Type
Original
Modification
Deletion

Validation

Quote
Retrieval
Cancel
Reinstate

Function
First Time Entry. All edits will apply
Update to an existing record. Key fields and the updated values
are required. All other fields will be ignored.
Marks the currently accepted record as removed. Key fields will
be required for the delete. All other fields will be ignored.
Will not consider the current transaction as real, but only as a test.
All Appendix III edits will apply and errors will be returned to the
AIP.
Only performed on sections associated with corporate calculation
modules. Only values necessary to perform the quote will be
required as input. A quote will not be treated as a real transaction
but will return errors on required fields and corporate calculation
results to the AIP.
Indicates an AIP is requesting the information.
Indicates an AIP is requesting the information to be canceled.
Not applicable for AGR/AGR-L.
Indicates an AIP is requesting the information be reinstated
(reverse the use of cancel (flag 8)). Not applicable for
AGR/AGR-L.

b. Change flag of 1, 2 or 3 required on an update transaction only and indicates the level of
change authority associated with the record. Only fields with a level of change less than
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15

or equal to the change flag may be modified. For a Change Flag of 3, the AIP must
submit a request to RSD for approval.
i. Only the latest eDAS transactions will be stored in the eDAS database. Input and
output data will be stored when an original, update, delete, or cancel takes place.
Each of these transactions will also be kept on the web server for a period of time
for companies to download. Once an original update, delete, or cancel passes all
edits and therefore was accepted by eDAS, it will be copied to the policy database.
This will be done frequently during the day.
ii. Quote or validation transactions will not be stored in the eDAS database or written
to the Web server.
5. eDAS Retrieval Process
a. There are two ways of retrieving data that has been posted to eDAS:
i. Process Flag 7 – preferred method for reconciling data between eDAS and
other systems, since it returns only what has been accepted directly from the
eDAS database, and is therefore, much faster than Transaction Retrieval.
1. Submit a transaction to eDAS with no more than one of each of the records
that are desired. On each record, set the process flag to 7. This instructs
eDAS to look for the record in the database, and return records that match
the criteria sent in. As much or as little of the record may be sent in,
depending on how specific the request is. The only required fields are:
a. insurance_provider,
b. reinsurance_year,
c. insurance_plan_cd (where applicable).
ii. Transaction Retrieval
1. Request a range of actual transactions submitted to eDAS. This method
reads the transactions off of the disk, and is slower than using the Process
Flag 7. Following is a description of the retrieval processes, as well as
parameters that may be used to determine what should be returned.
AGR/AGR Lite and Livestock (2005 and subsequent)

HTML POST/GET

June 2010

https://online-livestock.rma.usda.gov/apps/edas_service/retrieve.aspx

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16

Filtering Parameters

start_dt (format mm/dd/yyyy)
end_dt (format mm/dd/yyyy)
start_tm (format hh:mm:ss 24 hour clock)
end_tm (format hh:mm:ss 24 hour clock)
section_name (comma delimited list of sections desired)
start_trans_num (Transaction Sequence Number of first section to be returned)
end_trans_num (Transaction Sequence Number of last section to be returned)
accepted_rejected (Comma delimited list of character strings.)
Values may be A for accepted only, R for rejected only, and B for both accepted
and rejected.
section_required (Comma delimited list of character strings.)
Values may be Y, section required, or N meaning section not required
process_type (string that can be either “actual”, “validate” or “all”)
Designates what type of process flags to return.
Include_warnings (string that can be either yes (Y) or no (N))
Use Y to return XML with warnings, N to exclude XML with warnings.

Search Parameters
(returns transactions submitted in the last 90 days matching the following criteria
Method by which transaction was submitted to eDAS. Valid values are webservice,
transaction_method
webapp or blank.
reinsurance_year
Reinsurance year of the records desired
company
Company listed on the policies related to the records desired
insurance_plan_cd
Insurance plan listed on the crop policies related to the records desired.
policy_number
Policy number of policies related to the records desired.
id_number
ID number of entity or SBI listed on policies related to the records desired
location_state
State listed on policies related to the records desired
location_county
County listed on policies related to the records desired.
agent_ssn
Agent SSN listed on crop policies and premiums related to the records desired.
Example:
https://online_livestock.rma.usda.gov/apps/edas_service/retrieve.aspx?start_dt=10/01/2010&end_dt=10/05/2010§ion_
name=agent,policy,crop_policy&transaction_method=webapp&reinsurance_year=2011&accepted_rejectedA,A,A§ion_required=Y,Y,Y&process_type=actual and include_warnings = Y
Will return accepted Agents and Policies with or without warnings from 10/01/2010 through 10/05/2010, where the
records were submitted using the web application and the reinsurance year was 2011. Additionally, only policies with at
least one accepted crop policy record will be returned. This search will not return any validate only records (process_flag
of 4&5).
SOAP

https://online_livestock.rma.usda.gov/apps/edas_service/main.asmx

Retrieve transactions from any date, using the following method. Transaction getTransaction(DateTime startDateTime,
DateTime endDateTim, int startTransNum, int endTransNum, int startRecNum, int endRecNum, string[] sectionName,
string processType)
startDateTime
A DateTime object representing the start date and time that you want to retrieve.
endDateTime
A DateTime object representing the end date and time that you want to retrieve.

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17

An Integer that represents the first trans_sequence_num you want to retrieve. 0 for all.
startTransNum
An Integer that represents the last trans_sequence_num you want to retrieve. 0 for all.
endTransNum
startRecNum
endRecNum
sectionName

An Integer that represents the first record umber you want to retrieve. 0 for all.
An Integer that represents the last record number you want to retrieve. 0 for all.
An Array of strings representing the sections you want to retrieve.
A String representing what process flags to return. “All” to return validates and actual
processType
records.
To search transactions within the last 90 days, use the following method. Transaction getTransaction(DateTime
startDateTime, DateTime endDateTime, int startTransNum, int endTransNum, int startRecNum, int endRecNum, string[]
sectionName, string[] acceptedRejected, string[] sectionRequired, string transactionMethod, string processType, int
reinsuranceYear, int insurancePlanCd, int company, int locationState, int locationCounty, int idNumber, int policyNumber,
int agentSSN)
startDateTime
A DateTime object representing the start date and time that you want to retrieve
endDateTime
A DateTime object representing the end date and time that you want to retrieve
An Integer that represents the first trans_sequence_num you want to retrieve. 0 for all
startTransNum
An Integer that represents the last trans_sequence_num you want to retrieve. 0 for all.
endTransNum
startRecNum
An Integer that represents the first record number you want to retrieve. 0 for all
endRecNum
An Integer that represents the last record number you want to retrieve. 0 for all
sectionName
An Array of strings representing the sections you want to retrieve
An Array of characters representing whether sections in section name must be A –
acceptedRejected
accepted, or R – rejected. “B” for both.
sectionRequired
An Array of characters. Y meaning required, N meaning not required. Default is N.
A string indicating the method by which the transactions desired were submitted to eDAS.
transactionMethod
Valid values are webservice, webapp or blank.
A string indicating what process flags to return. “Validate for validate only records,
processType
“actual” for actual records, or “all” for all records. Default is actual.
reinsuranceYear
An integer indicating the reinsurance year of the records desired
An integer indicating the Insurance Plan listed on the crop policies related to the records
insurancePlanCd
desired.
An integer indicating the company listed on the policies related to the records desired.
company
locationState
An integer indicating the state listed on policies related to the records desired
locationCounty
An integer indicating the county listed on policies related to the records desired
An integer indicating the ID number of entity or SBI listed on policies related to the
idNumber
records desired
policyNumber
An integer indicating the Policy number of policies related to the records desired
An Integer indicating the Agent SSN listed on crop policies and premiums related to the
agentSSN
records desired
A Boolean indicating whether to include or exclude XML with warnings. Use “true” to
includeWarnings
include warning and “false” to exclude warnings.

June 2010

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18

Note: the second web method is an overload of getTransaction with more parameters. In the SOAP packet, it will be
shown as searchTransaction instead of getTransaction. This will not affect Microsoft.Net developers who can continue to
use getTransaction in their code.

iii. The three web methods to allow for eDAS offline processing are described below:
Allows an AIP to send XML offline. The trans_sequence_num is returned to the
sendOfflineTransaction
user
Allows an AIP to poll eDAS using the trans_sequence_num to determine if eDAS
has finished processing. A return value of “True” is returned if eDAS is finished.
getOfflineTransactionStatus A return value of “False” is returned if eDAS is still processing the transaction.
An overload of getTransaction allows an AIP to retrieve XML using the
getofflineTransaction
trans_sequence_num as its only input parameter.

6. Report/submit the number of insurance contracts and indemnified contracts required by
Appendix IV to be reviewed. Flag contracts that are reviewed.
C. CIMS SUBMISSION
1. Companies may request insured producer data from CIMS. Before CIMS will return any data to
an AIP for a requested insurance policy, the producer‟s policy must have been previously
accepted by RMA and loaded into the CIMS database.
2. AIPs may request CIMS information by submission of a CIMS Request, Type 05 Record. The
request record will contain fields for the RMA policy key and the FSA administrative state and
county (if needed) and will be used to retrieve FSA producer and/or crop acreage information.
The tax id(s) accepted for the policy and the state and county are used to match to the FSA
information. There may be cases where the request must be made based on the FSA
administrative state and county. In these situations, the AIP will submit the FSA administrative
state and county on the request record and the process will use these values and not the RMA
location state and county. If the AIP request indicates that a statewide application exists, the
returned acreage information will be based on the RMA location state matching to the FSA
location state or matching to the FSA administrative state if the FSA administrative state is
submitted with the request.
3. The AIP will be able to request information for an insurance policy;
a. producer information for the primary insureds, including spousal information
b. producer information for primary insureds and the reported SBIs
c. up to 5 years of acreage information for the primary insureds including spousal information.

12 Telecommunications_______________
June 2010

RMA-Appendix III

19

A.

PASS Telecommunication Processing
1. Electronic transmission is mandatory for submission of data and dissemination of reports.
Electronic transmission provides faster processing turnaround, and more automated processing of
data submissions and report handling. This method of processing allows RMA to direct its
resources to error resolution and AIP processing support functions.
2. RMA‟s Insurance Provider Server (IP Server) is a system designed to provide data transmission
services for all AIPs and associated organizations which report to RMA. In addition to this, the
IP Server also supports connections to RMA‟s system. Each AIP is responsible for obtaining
telecommunications services from any common carrier of their choosing. The IP Server supports
VPN and Dial-up connections to the IP Server.
3. All AIPs will need to complete security form FCIC-586 before a connection ID can be provided.
Once that ID is provided, connection details are as follows:
Dial-Up – Connectivity can be
achieved using

ITU V.90 industry standard modem speeds up to 56 KBPS
Modems should be configured with no parity, 8 data bits,
1 stop bit and full duplex.
VPN Connections – 2 Available Options
Connection must be encrypted with the following
parameters. 3DES Encryption Algorithm, SHA1,
Authentication Algorithm, and Pre-Shared Secret as
Authentication Mode
Checkpoint Secure Client
Client workstations use Checkpoint client which is a free
download from the Internet. RMA will provide
connectivity documentation for the initial setup and
connection. Technical support on the client‟s side will be
the responsibility of the AIP.
A permanent connection to the public Internet is required
Checkpoint Site to Site VPN
An industry standard firewall capable of a Site to Site
Connection
VPN Tunnel over the public Internet. Technical support
on the client‟s side will be the responsibility of the AIP.

4. The IP Server can be reached at 1-800-847-3834. This is a toll free call available from anywhere
in the continental United States. It currently operates forty-six (46) on ISDN-PRI (Digital)
service configured as one access group. Any AIP who chooses may establish a dedicated access
to the IP Server via the above mentioned Site to Site VPN connection. Those AIPs who wish to
have dedicated access would be required to provide the compatible equipment as listed above.
AIPs considering a dedicated connection to the IP Server should contact the System
Administration Section before making any purchases.
5. Except for the maintenance periods, AIP may initiate the transmission at the AIP‟s discretion
during operational hours. This could include multiple daily submissions.
6. RMA will retain the option to stop automatic edit processing, at its discretion. AIPs will still be
allowed to continue transmitting data, although it is not immediately processed through the PASS.
June 2010
RMA-Appendix III
20

A temporary stop in automatic edit processing should only occur in case of a PASS processing
problem, maintenance, or when the timing of edit revisions must coincide with a particular point in
time of the submission cycle. In the event that automatic edit processing is stopped for more than
one hour, the AIPs will be notified when processing has resumed. All submissions sent during this
period will be processed separately in the order they are received.
B. PASS Report Handling
All reports, error listings and operations reports will be made available to the AIP for downloading
via the Web Server.
C. eDAS Telecommunications/Security
1. All eDAS transactions will take place on a web server. A user id and password are required to
use eDAS. These items will be given to each AIP by RMA upon request. XML data transfer
will take place along a 128-bit SSL link. Performing a HTTP XML post to eDAS may be done
with many languages including Perl, Java, or Windows Server Com objects XMLDOM and
XMLHTTP.
2.

AIP must submit a FCI-586 to RMA Security for approval. Upon approval RMA Web Team
will establish a Virtual Host on the Web Server and assign a VPN account. RMA Security will
assign a Web App account.

3.

There are two versions of the web app, Admin and Sales. In both cases, the web app is secured
by 128-bit SSL. The Sales web app is not restricted to IP address since an agent could log in
from somewhere other than the AIP office. The Admin web app is secured by the AIP ID and
password provided by RMA (changed every 6 months). The AIP controls the ID and password
of their agents to be used for the Sales web app. Agents can log into the Sales web app using
the ID and password that is submitted via the agent section. If an AIP does not provide an ID
and password for an agent, that agent will not have access to the Sales web app. For problems
related to ID or password contact RMA Web Team at 816-926-7301 or via email
[email protected].
URL’S
POST (SOAP)
Test
https://online-test.rma.usda.gov/apps/edas_service/main.asmx
Production
https://online-livestock.rma.usda.gov/apps/edas_service/main.asmx
POST (W/O SOAP)
Test
https://online-test.rma.usda.gov/apps/edas_service/index.aspx
Production
https://online-livestock.rma.usda.gov/apps/edas_service/index.aspx

13 Processing Considerations_______________________________________________________
A.

PASS Processing considerations
1.

June 2010

RMA will maintain Policy Databases which contain the current net cumulative effect of all
transactions for an eligible crop insurance contract and required supporting data. An eligible
crop insurance contract is identified in the policy database, based on the following fields, AIP,
RMA-Appendix III

21

Location State, Policy number and Crop Year. All transmitted records accepted for a policy
fully replaces all previously accepted data for the eligible crop insurance contract.
2.

RMA Internal use only and Filler record type fields will be initialized by RMA. AIP
transmitted data will be replaced with appropriate default value and may be overlaid with RMA
Internal values.

3.

Acceptable record types and specific handling considerations for PASS are as follows:
Type 5 Record CIMS
Request

Type 9 Record Fund
Designation

Type 10 Record, 10A,
10B Policy Records

June 2010

Type 5 records are used to request insured producer data from
CIMS. Type 5 records are not processed by PASS. The Type 5
record will be used to retrieve approved FSA producer and/or crop
acreage information from the CIMS. The Type 5 records will be
transferred from the secured IP Server to the CIMS for processing.
The request information, along with the original request record and
status codes outlining success/failure in the process, will be placed
on the IP server returned to an AIP. The AIP may then extract the
CIMS information from the secured IP server.
Timely acceptance of the Type 9 record is required to establish the
eligible crop insurance contract into the Assigned Risk Fund. Any
eligible crop insurance contract not designated by the AIP to the
Assigned Risk Fund will be automatically designated to the
Commercial Fund. If an eligible crop insurance contract was
established into the Assigned Risk Fund, the policy can be
automatically established in the Commercial fund by deleting the
Assigned Risk Fund designation before the Fund Designation
transaction cutoff date for the eligible crop insurance contract. If a
Type 9 Assigned Risk record is not accepted for an eligible crop
insurance contract, it will be designated as commercial. The type
code and practice code may be required for crops with more than
one sales closing date to determine fund designation based on the
sales closing date. Type 9 records are submitted for the eligible
crop insurance contract on location state and location county basis.
Once a record has been accepted it does not need to be resubmitted.
RMA may accept fund designations records after the ADM
Records have been released for the crop. Refer to Fund
Designation Guidelines in Exhibit 9-1.
Type 10 records are used to establish a policy and provide
information regarding the policyholder and entities with a SBI,
Spouse, Landlord and Transfer of right to indemnity. A Type 10
record requires at least one Type 14 record to be submitted with it.
The Type 10 record identifies the data elements required for the
timely reporting of an eligible crop insurance contract.
The PASS requires a Type 10 and 10A record. This is the
“primary” insured, and establishes the contract within the system.
If a Type 10 is not submitted, then all records for the contract will
be rejected. PASS will allow a Type 10 record for each crop year
RMA-Appendix III
22

covered under the policy number. All Type 10B records are
considered a Spouse, SBI, Landlord or Transfer of right to
indemnity entities with a SBI in the farming operations of the
primary insured. 10B Other Person SBI records are required for
the determination of the timely reporting of an eligible crop
insurance contract. If any Type 10 record is rejected, then all
records for the contract will be rejected. SBI record requirement is
based on the entity type on the primary Type 10 record (See
Exhibit 10-1).

Type 11 Record
Acreage

Type 12 Record
Payment

A Type 49 Delete record will remove the policy and all records for
the policy from RMA‟s Databases and Duplicate files.
Type 11 records are used to establish premium and liability for each
acreage line. The record also identifies the land location and allows
reporting of common USDA information. Legal descriptions in a
section that has a high risk area designation will receive a warning
for partial sections and be rejected for sections completely within a
high risk area designation.
A Type 11 record will not be accepted until corresponding Type 10,
Type 14, Type 15 (if required - See Exhibit 15-4), and Type 27(if
required - See Exhibit 27-1) records have been accepted by the
PASS. A Type 11 zero acreage record must be submitted for zero
acres, uninsured acres, no history acres (no APH records) and units
not planted, on the eligible crop insurance contract. To modify data
previously accepted, all current and valid records for the policy
must be resubmitted. A Type 11 record will not be accepted until
after the monthly cutoff preceding the date insurance attaches for
the insured commodity.
Type 12 records are used to record/report payments by producers
for each eligible crop insurance contract. Only one Type 12 record
per payment type code will be accepted for the contract. Type 12
transactions may be removed by resubmitting all applicable records
for the crop insurance contract or via the Type 49 delete record with
the exception of payment type „02‟ or „03‟.
When reporting CAT fee payments (either money or loss credit)
using the Type 12 record, use the payment type “02”. A CAT fee
receivable must exist before a CAT fee payment is accepted, and
the paid amount for CAT fees cannot exceed the total receivable
amount reported on the Type 65 record. The paid amount for CAT
fees is cumulative. The paid date also must be greater than the debt
delinquency date reported on the Type 65 record. Error conditions
will occur for any of the following: duplicate Type 12 records, a
paid date less than or equal to the debt delinquency date, no match
to a receivable, and a paid amount with a $0 value.

June 2010

When reporting CAT fee payment reversals using the Type 12
RMA-Appendix III
23

record, use the payment type “03”. The paid amount for reversals
must equal the paid amount reported using payment type “02”. The
paid date must be the same as the paid date reported on the payment
type “02”.
The “03” payment type code is the only way to reverse a CAT fee
payment. Error conditions will occur for any of the following:
duplicate Type 12 records, and the paid amount and/or paid date do
not match the previous “02” payment. The Type 49 delete record
cannot be used to remove a CAT fee payment. Only the “03”
payment type can be used to remove a CAT fee payment.
When reporting state subsidy use payment type code “04”, when
applicable.
When reporting Financial Assistance Program use payment type
code “06”, when applicable.
Type 13 Record
Type 13 records are used to establish premium and insurance values
Inventory Value
for Nursery (0073) and Aquaculture (0116). A Type 13 record will
Record
not be accepted until corresponding Type 10 and Type 14 records
have been accepted. In addition, a Type 13 record for Aquaculture
(Clams) will not be accepted until corresponding Type 17 has been
accepted. A Type 13 record will not be accepted until after the
monthly cutoff preceding the date insurance attaches for the insured
commodity.
Type 14 Record
The Type 14 record establishes the crop, county, plan code and
Insurance In Force
reports the eligible crop insurance contract data determined at Sales
Record
Closing. The Type 14 record identifies the data elements required
for timely reporting of eligible crop insurance contracts. The type
code and practice code may be required for crops with more than
one sales closing date to determine eligibility based on the sales
closing date. Refer to Exhibit 14-1.
Type 15 Record Yield The Type 15 records are used to record/report APH yield
information for designated crops.
A warning message will be issued to companies when the yield year
is less than 1970.

Type 20, 20A Type
21 and Type 22
Records
Loss Total
Loss Line Record
Inventory Loss
Record (Nursery &
Aquaculture)

June 2010

If a Type 15 record(s) is rejected, the corresponding Type 11 record
will be rejected.
The Type 21 and 22 Records establish the loss amounts for a given
eligible crop insurance contract and the Type 20 Record identifies
the application or disbursement of loss payments.
AIPs must transmit denied claim records to RMA with all
applicable fields recorded for any claim for indemnity inspected by
a loss adjuster and denied by the AIP thus resulting in no indemnity
payment.
RMA-Appendix III

24

PASS will not automatically accept loss records if the price, coverage
level, or market price indicators are accepted or modified after the
notice of loss, producer signature date or loss adjuster signature date
on the loss records.
Type 20 records are linked by Claim Number to corresponding Type
21/22 records. Therefore, all Type 20 and 21/22 records for an eligible
crop insurance contract from the transaction file will replace all Type
20 and 21/22 records for the eligible crop insurance contract on the
Policy database.
If a Type 20, 21 or 22 record is rejected, all Type 20, 21 and 22 records
for the Claim Number will be rejected. If a Type 11 or 13 record is
rejected, the corresponding Type 21/22 records for the crop are
rejected, also all other Type 21/22 records for the Claim Number(s) of
the rejected crop, along with all applicable Type 20 records for the
Claim Numbers of the rejected Type 21/22s.
Optional: An AIP can submit Type 20 losses with loss total code of
„D‟, Unfunded Escrow, to ensure records clear PASS edits before
sending an „E‟, Escrow Funded. All loss total codes from the Type 20
will need to be sent every time because the sum of the loss totals
should equal the indemnity amount on the Type 21/22 records.
Type 20, 21 and 22 Processing: The Type 20 record is submitted in
support of the Payable element in the Type 21 or 22 record. There are
multiple "buckets" which identify the breakdown of the indemnity
amount:
premium on the policy for current year with the loss (M),
premium on another policy for current year(P),
administrative fees (F),
other (O),
recovery of a prior or subsequent reinsurance year premium or loss
(R)
The total of any loss application code must be greater than zero.

One Type 21/22 record is submitted for each loss line. More than one
Type 20 record may be submitted, if needed, to support the 21/22
record(s).
If any of the "Total" fields on the Type 20 Record contain a "P", the
corresponding "P/CR Memo State" and "P/CR Memo Policy Number"
fields must contain the Location State and Policy Number for current
year to which the "P" amount will be applied. The RAS will show the
generated "P" amounts in the loss credit column of the summary report
on the designated crop insurance contract.
June 2010

RMA-Appendix III

25

Type 27, 27A
Records
Land ID

1

If part of the loss is to be applied to an eligible crop insurance
contract under a different AIP number than the eligible crop
insurance contract with the loss, the "P/CR Memo Company"
field must also be entered. If "P/CR Memo Company" is not
entered (value of 000),PASS assumes the same AIP number as
the eligible crop insurance contract with the loss and will
generate the loss credit accordingly.

2

Rejected P/CR Memo Posting

If the P/CR Memo Policy does not exist in the database or the
P/CR Memo Policy has zero premium, then the P/CR Memo
posting is rejected. Generated P/CR Memo amounts will not
be allowed to create an overpayment on a eligible crop
insurance contract. Such rejected postings are printed on a
RAS error report titled "P/CR memo Reject Listing." An
example of this report is found in Exhibit 1-10. This report will
be furnished to AIP with their Monthly Settlement report.
Each AIP is to report on the Type 27 record, XX% (% will be
determined from the 5 year plan and will be inserted upon release of
the plan) of their Type 11 acreage for those counties contained in the
CIMS files. When computing the total acres, RMA will include only
acreage for insurance plans 01, 02 and 03, for those counties where
RMA has provided valid CLU data. However, all Type 27 records
reported will apply toward the minimum reporting requirement.
Companies may chose which units to submit Type 27 records for, but
the FSA Farm, Tract and Field numbers must be reported on
corresponding Type 27 records for all acreage in the unit.
The Land Other Person Sharing P27A contains information about the
Land Other Person Sharing relationships. Information contained on this
record includes the Key fields necessary to track and identify the land
being shared with the producer as well as identifying the Person
Sharing and the share in the production.

Type 48 Records
Delete Records
Type 49 Records
Delete Records

Type 51 Records
Conflict of Interest
Policy Reporting
Record

June 2010

This record deletes the following record types: (Note: a final decision on the
effects of this record within PASS is pending RMA proposal under ITM)

The Type 49 Records are used to remove all records for the eligible
crop insurance contract from the data base(s) and the Dup process.
Only one Type 49 Record will be processed per eligible crop insurance
contract from the transaction file. Subsequent Type 49 Records for the
same eligible crop insurance contract will be rejected.
Type 49 records are processed independently after all other record
types have been processed for the eligible crop insurance contract.
Type 51 record is a record to report a COI respondent‟s potential
conflict with a policy.
Type 51 records are processed by the AIP for each policy and
RMA-Appendix III
26

acceptance of this record is dependent upon acceptance of
corresponding 54 or 55 or 56 records. Each record must provide a
response identifying eithera 54 Company Employee, 55 Agent or 56
Loss Adjustor.
All Conflict of Interest questions are required to have an entry. The
information must be for the crop year of the crops reported under the
policy.

Type 54 Records
Agency/Company
Employee Data

All Type 51 records reported in a batch will replace all previously
reported Type 51 records. The Type 49 delete record has no impact on
this Type 51 record.
Type 54 is a record for Agency/Company employee data.
Type 54 records require a tax identification number for all records.
This record also includes Conflict of Interest (COI) question
responses.
Type 54 records must be reported for any Company Employee who
was required to complete a COI questionnaire under MGR-08-001
when their response to COI question #1 or #2 was “Yes”.

Type 55, 55A, 55B
Record Agent Data

A 54 record must be accepted for the AIP and Company Employee
ID before a corresponding 51 record will be accepted. All 54
records completely replace any previously submitted 54 records.
Type 54 records will not appear in the Policyholder Tracking
System.
The Type 55 Records are used to record/report agent information.
Record 55 includes fields related to Conflict of Interest Questionnaire
(COI) on the Type 51 record. The Type 55 record must be accepted
for the AIP and Agent ID before 51 records will be accepted.
Type 55 records may be processed independently or with all other
PASS records. This data will be collected by AIP and will be stored in
order to identify agents, provide agent counts for AIP, and facilitate the
creation of the Agent Location Directory. The agent records on the
database are maintained by the AIPs. The acceptance of Type 11, 13
and 14 acreage records is dependent on acceptance of a valid agent
SSN on a Type 55 record.
Multiple records can be submitted for each county serviced by the
agent to be used to facilitate access to the active agents and
alternative language agents available in the Agent Location
Directory. RMA provides agent information to sell crop insurance
or livestock insurance as a service to our customers.

June 2010

The Agent Location Directory will not display information for
RMA-Appendix III
27

Inactive or Unlisted agents.
Each submission must include the AIP‟s cumulative agent file for the
reinsurance year in its entirety. AIPs are to only report licensed and/or
certified agents who are actively participating in the delivery of FCIC
approved products. The accepted agent records from each submission
will replace all previously submitted agent records. Records will be
rejected if the individual agent is currently disbarred or suspended.
55A Insurance Agent Agency identifies the Agency for an Agent.

Type 56 Record
Loss Adjuster Data

55B Insurance Agent Servicing State identifies servicing area for agent
locator.
The Type 56 Record is used to record/report loss adjuster information.
Record 56 includes fields related to Conflict of Interest Questionnaire
(COI) on the Type 51 record. The Type 56 record must be accepted for
the AIP and Adjuster ID before the Type 51 records will be accepted.

Type 57 Record
Quality Control
Reporting

Type 58 Record
Notice of Loss
Reporting

Type 60 Ineligible
Producer Input

June 2010

Type 56 records may be processed independently or with all other
PASS records. This data will be collected by AIP and will be stored in
order to identify loss adjusters, provide loss adjuster counts and
facilitate compliance analysis. Each submission must include the AIP‟s
cumulative adjuster file for the reinsurance year in its entirety. The
accepted adjuster records from each submission will replace all
previously submitted adjuster records. The acceptance of Type 21 and
22 loss records is dependent on acceptance of a valid loss adjuster SSN
on a Type 56 record. Records will be rejected if the individual adjuster
is currently disbarred or suspended.
Record 57 includes an additional response related to #19 – Conflict of
Interest Review. An “R” can be reported for “conflict no longer exists”
in place of “Y” or “N”.
The 57 records are to be submitted annually by April 30 following the
crop year for all reviews required to be performed by Appendix IV.
Type 58 records are be used to provide damage estimates to USDA,
and keep RMA apprised of potential losses and occurrences by
cause, date, location and type (prevented planting, replant,
production loss, other) on a national level. This will be unverified
information. Notice of loss records must be submitted within five
business days of the date the AIP received the notice of loss for the
policy. Multiple Type 58 records must submitted for a crop/county
combination using different record numbers. Timely processed
Type 10 and Type 14 records are required before a Type 58 record
will be accepted. Type 58 records can be deleted using the Type 49
record.
Type 60 records are used to submit information regarding a
RMA-Appendix III

28

Record

Type 60E Ineligible
Producer Error
Record

Type 61 Ineligible
Producer Output
Record

Type 65 CAT Fee
Receivable Record
Type 70 Record
Type 71 Record
Type 81 Record
Policy Holder
Tracking Experience
Inquiry

producer‟s ineligibility status for participation in the crop insurance
program. These records must be submitted in a separate file from
all other record types and placed in the IT Input directory that has
been established for each transmitting AIP on the IP server. Once
per day a process collects all files transmitted, validates the data
submitted and outputs 3 types of files to the IT Output directory on
the IP server : 1) .acp - accepted transactions, 2) .rej - rejected
transactions and 3) .err - error codes. The accepted transactions are
loaded to the Ineligible Tracking System database and notification
letters are generated and distributed to the ineligible producers upon
their initial entry into the system for a period of ineligibility.
Type 60E records are generated during the Ineligible Tracking edit
process. They will contain all errors for each Type 60 record that is
rejected during the edit process. The file containing these records is
placed in the submitting companies‟ IT Output directory on the IP
server (.err).
Type 61 records are generated from the Ineligible Tracking System
database and output to the IT Output directory on the IP server for
all companies. This file is an accumulation created daily after each
ITS load of ALL producers that have been reported as ineligible,
their period(s) of ineligibility and their current eligibility status.
This also includes persons reported by the Risk Management
Agency for suspension/disqualification/debarment.
Type 65 records are submitted along with Type 60 (Ineligible Producer) if
the debt is all or partially due to unpaid CAT fees

Type 70 records are submitted monthly by AIPs for their SBOB to
reflect the current status of the AIP Database
Type 71 records are returned by RMA identifying any differences at
the state level from the SBOB data.
Type 81 records are output records that are initiated by the setting of
the Experience Inquiry flag on the Type 14 record (position 92) for an
eligible crop insurance contract.
If the Experience Inquiry flag is a „Y‟ only the previous year
information will be accessed.
If the Experience Inquiry flag is a „F‟ the previous five years of
information will be accessed

June 2010

Both the one-year and five year inquiries are based on the ID Number
from the associated Type 10 record (position 82) to perform a search
against the data to locate all information for the producer and any
SBI‟s for the crop/state/county contained in the requesting 14 record.
The data retrieved is imbedded in the “body” of the Type 81 record
(positions 21 - 331) in the same field order and format as that specific
in the record type. All Type 10, 11, 14, 15 and 21 records found are
returned to the requesting AIP. The Type 14 record that requested the
inquiry is imbedded in the Type 81 record when: 1) the value of the
RMA-Appendix III
29

Experience Inquiry flag is an invalid value, 2) no prior year records
were found for the producer, or 3) when the producer‟s prior year
insurance was with the requesting AIP. RMA may limit repeated
Policy holder tracking requests.

B.

eDAS Processing Considerations
1.

RMA maintains all eDAS transactions in a database. Exception for new eDAS format, this will
be the most recently accepted transactions stored in the database. Once an original, modify,
delete, or cancel passes all edits and therefore is accepted by eDAS, it will be copied to the
Policy database.

2.

eDAS does not require the bundling of an entire set of sections for a policy. Once the data is
accepted only the „KEY‟ and data being modified will need to be resent.
a. Note - under the new eDAS format on an update, only the key fields that define the sections
are required plus any changed fields or new sections.

3.

Change flag will default to 2 and process flag will default to 1 unless otherwise indicated. A
section will inherit the change flag and/or process flag of the parent section unless set by that
section. Example: .

4.

Acceptable sections and specific handling considerations are as follows:

Agent

Adjuster

Employee

June 2010

The AGENT section (Exhibit 112) is used to record/report agent
information. This data will be used by RMA to identify agents, provide
agent counts for AIP, facilitate the creation of the Agent Location
Directory and RMA planning purposes. eDAS will separate agencies for
an agent by using the DETAIL_NUM, listed on the APPENDIX III
AGENT section in the DETAIL section. Each DETAIL_NUM represents
a separate agency (i.e. Agent ID Code). Use „comma delimited‟ to list
multiple directory counties for an agent (Example:
1,2,215). The
acceptance of PRODUCER and PREMIUM are dependent on the
acceptance of a valid agent SSN. Only report licensed and/or certified
agents who are actively participating in the delivery of RMA approved
livestock and AGR/AGR-L products. Records will be rejected if the
individual agent is currently disbarred or suspended.
The ADJUSTER section (AGR/AGR-L, Exhibit 111) is used to
record/report loss adjuster information. Indemnity section (AGR/AGR-L,
Exhibit 151-2) is dependent on acceptance of a valid loss adjuster SSN.
Data will be rejected if the individual adjuster is currently disbarred or
suspended.
The Employee section (Exhibit 113) is used to record/report employee
information. The company is required to report employee (other than agent or
adjuster) if the employee was required to complete a COI Questionnaire under
MGR098-001 when the response to COI question #1 or #2 was „YES‟

RMA-Appendix III

30

Reviewer

Conflict
Entity

SBI
Policy

The REVIEWER section (Exhibit 116) is used to record/report
reviewer information. For Livestock the AIP is required to review a
minimum of 5 percent of the insurance contracts and 5 percent of
indemnified contracts. This data will be used by RMA to facilitate
compliance analysis. Premium and indemnity that have been reviewed
(flagged) are dependent on eDAS acceptance of a reviewer. Reviewer
SSN reported on premium and indemnity will be verified against the
reviewer database.
The Conflict section (Exhibit 118) is used to record/report COI
information. The company is required to report COI information if any
employee has indicated a conflict with a policy. An Agent, Adjuster or
Employee section must be accepted for the AIP and COI Respondent
Tax ID before a Conflict Section will be accepted.
The Entity section (Exhibit 121) is used to record/report the producer
information

The SBI section(Exhibit 126) is used to record/report substantial
business interests information related to the entity. The company is
required to collect and report all entities with significant business
interests. This data will include SSN, EIN, and share of the SBIs.
The Policy section (Exhibit 122) is used to record/report the policy number

The FUND section (Livestock, Exhibit 130 and AGR/AGR-L, Exhibit
131) is used to record/report fund designation information. Livestock eDAS will generate initial fund data with fund designation flag set to
„C‟ (Commercial Fund) when premium is accepted AIP may designate
to Private Market Fund by resubmitting fund data with flag set to „P‟
within two Federal workdays after the acceptance date of premium
(fund lockdown date). Example: premium accepted by eDAS/UCM
Monday, lockdown will be Wednesday at midnight. If change flag
equals 3, AIP must submit a request to Reinsurance Services Division
(RSD) for approval.
Fund

AGR/AGR-L - The Fund section will be used to designate for the
crop/plan Assigned Risk,. If a crop/plan was established into the
Assigned Risk Fund the crop/plan can be timely removed and
automatically established in the Commercial Fund.

Payment

The PAYMENT section (AGR/AGR-L, Exhibit 124) is used to
record/report payments by producers for each policy. Only one
payment section per payment type code will be accepted for the policy.
When reporting state subsidy use payment type code “4”.
The Crop Policy section (Livestock, Exhibit 119 and AGR/AGR-L,
Exhibit 123) is used to record/report the crop, insurance plan, and
location county.
A policy cannot be active for both livestock products (LGM and LRP)
for a commodity at the same time within the same reinsurance year and
location state. The existing policy can be cancelled if the coverage

June 2010

RMA-Appendix III

31

period has ended and the producer wants to insure another livestock
product. Example: Product 1 was purchased for 90 days of coverage.
At the end of that coverage the insured can cancel product 1 and
purchase product 2 during the next sales period.
Crop Policy

For AGR/AGR-L, only 1 crop policy per Tax-ID (Entity) nationwide is
allowed. Cannot have both insurance plans.
The PREMIUM section (Livestock, Exhibit 135-0 & 140-0 and
AGR/AGR-L, Exhibit 151-0) is used to record/report premium and
liability information.
Insurance plan will determine the availability of eDAS and type of data
necessary in submission of premium. Premium is dependent on eDAS
acceptance of agent, entity, SBI (if applicable) and reviewer (if
applicable) and the acceptance by the UCM. Coverage may not be
available if the UCM has been expended. When premium is accepted
eDAS will assign an approval number. If change flag equals 3, AIP
must submit a request to Reinsurance Services Division (RSD) for
approval.

Premium
Disbursement

Indemnity

For AGR/AGR-L, all detail information must be submitted each time
any information is updated. The detail section contains information
that‟s used in the validation and determination of premium.
The DISBURSEMENT section (AGR/AGR-L, Exhibit 150) is used to
record/report disbursement information

The INDEMNITY section (Livestock, Exhibit 135-2 & 140-2) and
AGR/AGR-L, Exhibit 151-2) is used to record/report indemnity
information. Indemnity is dependent on eDAS acceptance of agent,
entity, SBI (if applicable), premium, reviewer (if applicable), and
adjuster (if applicable). AIP is responsible for determining if an
indemnity is due and submission of data to eDAS for validation and
acceptance. If change flag equals 3, AIP must submit a request to
Reinsurance Services Division (RSD) for approval.

5. Following is an example of the XML_TEMPLATE for AGR/AGR-L:
A.

Example of new XML_TEMPLATE for AGR/AGR-L:

June 2010

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32

June 2010

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33

June 2010

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34

D. Example of XML_TEMPLATE for Livestock:

June 2010

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35

June 2010

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36

E. Example of XML error layout:

F. Example of XML warning layout:

G. Example of XML Disbursement with process flag 1, 2, or 3 where an Indemnity already exists. Automatic
deletion of Indemnity is required:

//Automatic deletion of Indemnity by eDAS

//Any other XML sent by company for this policy

June 2010

RMA-Appendix III

37

H. Example of XML Indemnity with process flag of 3 (delete) causing Disbursements to be set to warnings automatically by eDAS.

//eDAS automatically does an update on Disbursement(s) and sets them to have warnings.

I. Example of XML message layout:

C.

Ineligible Tracking System Processing Considerations
The PASS edit process accesses the ineligible tracking system database to validate policy records.
PASS will reject eligible crop insurance contracts for a producer if the applicable sales closing
date/termination date for the crop in the county falls during a period of ineligibility. Consider the
following examples:
Single Sales Closing Date

June 2010

Prior Year Term Date
is the same as the
Sales Closing Date

Producer
Reported as
Ineligible

Producer Became
Ineligible on 3/15/2010
A policy is submitted
for a crop with sales
closing date and prior
year termination date of
3/15/2010

Prior Year Term Date
is the same as the
Sales Closing Date

Producer
Reported as
Ineligible
and has
Become
Eligible

Producer became
ineligible on 9/30/2009
Producer became
eligible on 3/16/2010
A policy is submitted
for a crop with a sales
closing date and prior
year term date of
3/15/2010

Prior Year Term Date
is the same as the

Producer
with more

Producer became
ineligible on

RMA-Appendix III

Policy rejects for the crop
since the sales closing date is
greater than or equal to the
date of the ineligibility. If
the sales closing date had
been prior to the date of
ineligibility, the crop policy
would have been accepted.
The policy would be rejected
for that crop since the sales
closing date falls within the
period of ineligibility. If the
eligible date had been
3/15/2010, the crop policy
would have been accepted.

The policies for Crop 1 and
Crop 3 would be rejected

38

Sales Closing Date

Prior Year Term Date
is later than the Sales
Closing Date

New Eligible crop
insurance contract
Continuing eligible
crop insurance
contract
Agent is Reported
as Ineligible on
9/10/2010
Agent becomes

June 2010

than one
period of
ineligibility

9/30/2009
Producer became
eligible on
12/01/2009
Producer became
ineligible on
2/01/2010
Producer became
eligible on 3/15/2010
A policy is submitted
with 3 crops:
o Crop 1 –
SCD =
10/31/2009
o Crop 2 –
SCD =
1/31/2010
o Crop 3 –
SCD =
2/28/2010
Producer became ineligible on
4/15/2010
A policy is submitted for a crop with
sales closing date of 3/15/2010 and
prior year termination date of
4/15/2010

since the sales closing dates
fall within the period of
ineligibility.
The policy for Crop 2 would
be accepted since the sales
closing date for that crop
falls within a period of time
that the producer is eligible.

The policy would be rejected
for that crop since the prior
year termination date is the
same as the ineligible date.
The prior year termination
date is used to determine
eligibility in this situation
because the producer would
unfairly be allowed a policy
for the next crop year if the
sales closing date had been
used. If the sales closing
date had been used to
determine eligibility, the
producer would have no
penalty for not paying for the
prior year policy
premium/CAT fees by the
term date.

Multiple Sales Closing Dates
Producer
ineligible on first Producer eligible by Record for second SCD will
SCD
second SCD
be accepted
Producer
Record will be rejected because producer must be
ineligible on 1st
eligible on the 1st sales closing date to be eligible for
SCD
the crop for the submitted year
Agent Eligibility
Eligible crop Insurance
Agent is eligible to write Contract 1
Contract 1 – ll Record
because the agent signature date is
agent signature date =
prior to the ineligible date.
9/8/2010
Agent is ineligible to write Contract

RMA-Appendix III

39

eligible on
9/10/2015

Loss adjuster
becomes
ineligible on
12/3/2010
Loss adjuster
becomes eligible
on 12/3/2014

D.

2 because the agent signature date
Eligible Crop Insurance
falls between the agent‟s eligible
Contract 2 – 11 Record
and ineligible dates. The 11 record
agent signature date =
would reject.
9/14/2010
Loss Adjuster Eligibility
Loss 1 – Type 21 record
The loss adjuster is ineligible for
loss adjuster signature
Loss 1 because the loss adjuster
date = 12/08/2010
signature date falls between the loss
adjuster‟s ineligible and eligible
Loss 2 – Type 21 record
dates.
loss adjuster signature
date = 11/30/2010
The loss adjuster is eligible for Loss
2 because the loss adjuster signature
date is before the loss adjuster
became ineligible.

Duplicate Edit Processing Considerations
1.

The duplicate edit process is designed to reject duplicate eligible crop insurance contracts or
identify possible duplicate eligible crop insurance contracts reported to RMA. The process
determines the ownership of an eligible crop insurance contract and is based on the definition of a
duplicate eligible crop insurance contract and a possible duplicate eligible crop insurance contract
key. Duplicate or possible duplicate eligible crop insurance contracts are identified by PASS
errors and are reported to companies weekly.

2.

In the case of Duplicate eligible crop insurance contracts (i.e. same tax id number, tax id type, entity
type, location state, location county, crop code, and type code (grapes only crop code 0052 and
0053)), PASS will determine the owner IP based on signature date and transferred cancellation fields
on the Type 14 record.

3.

If any of the duplicate eligible crop insurance contracts are indicated as a „Transfer and Cancellation‟
eligible crop insurance contract on the 14 record, the Dup process will use the earliest signature date
for the current sales period to determine ownership. The „sales period‟ starts the day following the
earliest sales closing date for the previous crop year and continues through the latest sales closing
date for the current crop year. If none of the duplicate eligible crop insurance contracts are indicated
as being a „Transfer and Cancellation‟ eligible crop insurance contract, then ownership will be
determined by earliest signature date without regard to the sales period.
4. Companies will be notified of Duplicate eligible crop insurance contracts on a batch transmission
basis through the PASS edit process. In addition, on the first business day following the transaction
cutoff date for weekly data reporting, companies will be provided a summary report identifying the
count of duplicate policies with another AIP and the number of ownership eligible crop insurance
contracts where another AIP has a duplicate eligible crop insurance contract.
5. After the weekly cutoff, the RORYOWN and RORYDUP reports will be generated from the
duplicate eligible crop insurance contract information captured during PASS processing. RMA
will remove PASS determined duplicate crop/county eligible crop insurance contract records
(Type 14 records), in the RORYDUP report, from the Dup process and the Policy databases.

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RMA-Appendix III

40

6. Once this weekend process is complete, the PASS determined 'owner' eligible crop insurance
contract will remain in the PASS System and should not receive a duplicate error when retransmitted. AIPs must take action to ensure that duplicate eligible crop insurance contracts listed
in the RORYDUP report are NOT re-transmitted to PASS.
14

PASS Reports

_________________________________________________________

PASS provides AIPs the following reports, transmission data files and reference files to assist error
resolution and status.
Reports
Summary Report
(.sum)

Provides transactional, financial and error statistics on each transmission. The
report identifies the input file name, the run date and time, and the received
date and time. The transactional statistical section provides counts by record
type of: submitted; accepted; rejected; and suspended records. The financial
statistical section provides the associated dollar amount of: submitted, (if a
type 97 record is included in the transmission); accepted; rejected; and
suspended records. The error statistics sections lists the error code and
message received and the number of records in error.

Premium and Loss
Error Report (.rp2)

Provides by crop, the dollar amount of premium and indemnity rejected by error code
combination. The number of records and eligible crop insurance contracts are also
listed.
A formatted report by eligible crop insurance contract listing the record(s) and field(s)
in error. It identifies the data in error and what is expected in the field.
Transmission Files

Error Report (.rpt)

Duplicate Report
Files
IPRYSUM.TXT
IPRYDUP.TXT
IPRYOWN.TXT
Mini-40 Reports

Written Agreement
Reports

Insurance Control
Element (ICE) Files

June 2010

Weekly Reports/Files
Contain eligible crop insurance contracts identified by PASS as being a duplicate.
Issued on the IPSERVER every Monday at 12:00 p.m.
Report file showing duplicate policy and owner policy summary information for
IP/RY
Data file containing duplicate policy identification along with owner policy
information for IP/RY
Data file containing owner policy identification along with duplicate policy
information for IP/RY
Generated to the IP SERVER every Monday at 12:00 p.m. and on Tuesday evening at
6:00 p.m. Lists of premium and indemnity by policy, with totals accepted by PASS
the previous week.
Generated to the IP SERVER every Monday at 12:00 p.m. Each IP will be provided
with two files. A file for their own written agreement policy data that has been
accepted through PASS. The second file for the written agreements offered by the
RMA Regional Office for that IP. Files are made available to the IPs via the “ip
server” and to the RO‟s via the RMKC00a system. The file naming conventions are
“ipyywaip.txt” (IP data) and “ipyywaro.txt” (RO data)
Reference Files
Validation files used by PASS.
SPOI ICE files will be released with the ADM and follow the same process as

RMA-Appendix III

41

ADM data.
PASS ICE files will be released with the Appendix III and changes to PASS
ICE will be communicated via the PASS STATUS REPORT, which will have
the same frequency and structure as the DAS status report.
Following is the ICE File Master List. A crosswalk master list is included as Exhibit
XXX.

June 2010

ICE DATA Record Name

ICE DATA
Record Code

Process Result
Added County Indicator
Relationship Type
Tax ID Type
Late Reported Reason
Price Election Percent
Fund
Duplicate Policy
Additional Language
Entity Type
Dispute Settlement
LRR
COI Question
Coverage Type
Unknown Reason
LRR Fund Cutoff
ID Type Entity Type Primary Combination
ID Type Entity Type Primary SBI Combination
Perennial Commodity
Delete Reason
Administrative Fee Waiver
Producer History
Yield Indicator
Price Indicator
Yield Limitation
Skip Row
Skip Row
Skip row
Yield Type Limit
Yield Type
Delete Record Type
Perennial Special Case
LRR Transaction Code
Commodity Category
Zero Acreage

D00002
D00003
D00004
D00005
D00006
D00007
D00009
D00010
D00011
D00012
D00013
D00014
D00015
D00016
D00017
D00018
D00019
D00020
D00023
D00029
D00030
D00031
D00033
D00034
D00035
D00039
D00039
D00039
D00040
D00042
D00044
D00045
D00046
D00047
D00050

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42

Common Land Unit
File

Guarantee Adjustment Type
D00051
Modified Acreage
D00052
Contract Commodity
D00053
Coverage Level
D00054
Planted Date Exclusion
D00055
Commodity Status
D00056
Seed Company
D00057
Private Policy
D00059
Payment Type
D00060
Land IDentifier Type
D00061
Legal Description
D00062
Multiple Cropping
D00063
Yield Conversion
D00064
Warehouse
D00065
FSA Intended Use
D00067
Guarantee Adjustment
D00068
Disbursement Loss
D00070
Claim Process
D00071
Stage Commodity
D00074
Damage Cause Commodity
D00077
Gleaned Acreage Commodity
D00078
Insurance In Force Error
D00081
Review Result
D00082
Review Result
D00082
Revised Report
D00083
Survival Percent Source
D00084
Percent Limitation
D00088
Commodity Reference Price
D00089
CLU
D00094
Unit Structure
D00095
APH Procedural Exception
D00096
WA Number
D00097
Settlement
D00099
Zero Value
DXXXXX
Eligibility Code
DXXXXX
Contains special data for the polygons of Common Land Unit areas designated by a
generic CLU Global Unique Identifier (GUID). Files will be released quarterly.

15 – 20 Reserved

June 2010

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43

Part 3 Accounting
21

Accounting Processing Considerations_____________________________________________
A.

All reports submitted for reimbursement of any funds payable by FCIC under the SRA must be
certified by an authorized officer or authorized employee of the Company named in Section IV(a) of
Appendix II that the information in the report is correct and accurate. Certifications may be
provided either on hard copy reports or in an electronic method (e.g., signed PDF document
submitted via e-mail for 2011 and prior reinsurance years, or electronically via ITM requirements
beginning with the 2012 reinsurance year)

B.

Timing of Monthly Payments
1.

RMA will generate and remit payments due to the AIP in accordance with Section III.(c) of the
SRA, following RMA‟s receipt of both the detailed reinsurance contract data file, and the
certified (signed) monthly/annual settlement report.
a.

FCIC will pay the net amount due from FCIC to the AIP as reflected in the FCICgenerated report, reduced or increased where appropriate, for any differences between the
reports submitted and the data validated.
i.
ii.
iii.

b.

Except as provided in Section III(c)(1)(B) of the SRA, FCIC will net together for
payment purposes, multiple reinsurance year reports
FCIC will make payments to AIPs via Electronic Funds Transfer (EFT) through the
U.S. Treasury
FCIC will pay interest in accordance with the interest provisions of the Contract
Disputes At (41 U.S.C. 601 et seq.) on any payment which is not sent to the AIP by
the dates provided by the SRA.

RMA generated reports will be regenerated to contain AIP entries on the Premium Due
and Premium Due Without Payments Worksheets upon receipt of the certified
report/worksheet from the company if received by the due date for monthly reporting.

C. Reimbursement of Losses
1. For any AIP that elects to use escrow funding: FCIC will fund the escrow account within three
(3) business days after the loss transactions are accepted in FCIC‟S Escrow System. Beginning
with the October monthly settlement report for the reinsurance year (e.g., October 2010 will be
the first accounting report for the 2011 reinsurance year), the escrow funded amount, as of the
monthly transaction cutoff date will be reconciled with the escrow loss data accepted on the
monthly or annual report. Any escrow requests which have not been funded as of the monthly
transaction cutoff date will not be included in that month's report. Any difference in the escrow
funded amount and the losses validated by RMA will be refunded monthly by the AIP to FCIC.

June 2010

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44

2. Any AIP who elects not to utilize Escrow Funding will be reimbursed on the Monthly/Annual
Settlement Report for paid losses which have been validated and accepted in PASS as of the
monthly transaction cutoff date. Any loss will be considered paid by the AIP, when the
instrument or document issued as payment has cleared the AIP‟s bank account.
D. Administrative Expense Reimbursement
1. The FCIC will pay the AIP an A&O Subsidy as specified in the SRA beginning with the
October Monthly Settlement report for the reinsurance year for the 2011 reinsurance year, and
beginning with the October monthly settlement report following the end of the reinsurance year
for 2012 and succeeding reinsurance years.
a. All A&O Subsidy amounts paid are subject to correction at any time, and by the
Monthly/Annual Settlement Report following detection of the error.
b. Any rejected eligible crop insurance contract due solely to an identified PASS edit error, will
be fully compensated on that month‟s accounting report.
2. The A&O Subsidy applicable to the eligible crop insurance contract will be reduced whenever
the identified required LRR data has not been timely and accurately provided to RMA or such
information is revised after the LRR Transaction Cutoff Date.
If the required LRR data first passes acceptance edits after the LRR Transaction Cutoff Date
or is revised after the LRR Transaction Cutoff Date, the A&O Subsidy will be reduced as
defined in Section IV.(b)(7)(A) of the SRA.See Accounting Exhibit 5-1.

June 2010

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45

3. Reimbursement for CAT Loss Adjustment Expense will be calculated in accordance with the
SRA, and will be included on the Monthly/Annual Settlement Reports beginning with the same
monthly settlement report that contains initial A&O subsidy payments for a specific reinsurance
year (see paragraph C.1. above).
4. Any payment received under Section IV.(h) of the SRA, must be paid by the last business day of
the month for the Monthly/Annual Settlement Report cutoff following RMA‟s notification to the
AIP of the amount due.
E. Interest Calculations
1.

The AIP will be charged interest in the following cases: Late payments of the balance due on
Monthly/Annual Settlement Reports, overpayment by FCIC of losses or expense reimbursements,
increases in the Premium Due Without Payments Report, and on Premium Variations and on
uncollected premiums not paid which are reported on the Premium Due Worksheet. The AIP will
pay FCIC interest at the annual fixed rate of 15%, as stated in Section IV.(c).

2. If the balance due FCIC on the Monthly/Annual Settlement Report is not received by the last
banking day of the month, via electronic transfer to FCIC‟s account at Treasury, interest will
attach from the day following the last banking day of the month and will be charged through the
day funds are received by Treasury (See Interest Calculation Exhibit 1-11).
3. The AIP will repay, with interest, any amount paid to the AIP by FCIC which is subsequently
determined by FCIC or the AIP, to have been not due to the AIP, such as overpaid indemnities
or excessive expense reimbursements. Interest begins accruing based on the date of the Final
Determination letter. (See Interest Calculation Exhibit 1-12 Example 2).
4. Increases in premium amounts for an eligible crop contract which occur after a billing date are
reported on the Premium Due Without Payments Report. Interest on these increased amounts
will accrue from the first of the month following the AIP Payment Date, and will accrue through
the end of the month for the monthly report on which the increase was included (See Exhibit 6-5
Example 3).
5. The AIP will pay interest on any uncollected premiums if the uncollected premiums are not paid
to FCIC by the month following the month of the billing date. Interest will attach on any
uncollected premiums from the first of the month following the month of the billing date. A full
month‟s interest will be charged for any month or portion of a month that the uncollected
premiums are not paid to FCIC (See Exhibits 6-2 and 6-3).
6. All payments are subject to post audit by FCIC.
F. AIP Accounting

June 2010

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46

1. All accounting reports must be downloaded by the AIPs via telecommunications processing.
These reports will be made available on a monthly basis. AIPs may query the
telecommunications facility any time to see if the accounting reports are ready to be downloaded.
2. AIPs must monitor the escrow account balance and maintain sufficient collateral coverage to
insure timely funding of all loss data. If there is a shortfall of funds in the escrow account, it is
the AIPs responsibility to deposit funds to cover any shortages.
3. Monthly Settlement Reports are required to be submitted through annual settlement time. Annual
Settlement Reports must continue to be submitted for any month that revised data are submitted.
Court action, compliance, audit or investigative related finds by the Government or the AIP after
the October Accounting cut-off following 5 years from the beginning of the reinsurance year
must be reported to RMA and will be processed manually. Settlement Reports must be received
by RMA by the last banking day of each month corresponding to the transaction cut-off date.
4. Uncollected premiums for each billing date must be reported by the AIP by the transaction cutoff
date for the Monthly Settlement Report following the month of the billing date. Interest will be
charged on all uncollected premiums not paid to FCIC by the AIP payment date from the first of
the month following the billing date at the rate of 15% per annum. The AIP must enter data into
the appropriate columns on the Premium Due Worksheet to indicate their intent whether to pay
uncollected premiums and return a signed copy of the report/worksheet along with the report, to
be received by RMA by the last business day of the applicable monthly transaction cutoff date.
(See Exhibit 6-1)
a. The insured's premium due is calculated by subtracting the paids and loss-credits from the
producer premium amount for each policy and billing date. The total due is then summarized
by billing date.
5. When producer premiums are collected by the AIP before the billing date, any premium
collected during a calendar month must be reported on the Monthly Settlement Report submitted
during the next calendar month and payment made by the AIP Payment Date. All premiums not
collected must be paid to FCIC at annual settlement whether or not they are collected from
insured. RMA does not determine the method of collection. If the Company chooses to use an
alternative method (e.g., ACH, Credit Card, Debit card, etc.) they may not pass on any additional
fees associated with that method, to the producer or to FCIC.
6. For the purpose of collecting CAT fees and accrued interest from insureds, there are
responsibilities that must be undertaken by the AIP and FCIC. These responsibilities shall be in
accordance with 7CFR 457.8, which states “Interest will accrue at a rate of 1.25 percent simple
interest per calendar month, or any portion thereof, on any unpaid amount owed to us or on any
unpaid administrative fees owed to FCIC.”
a. AIPs are responsible for calculating and collecting interest on CAT fees in accordance with 7
CFR 457.8 beginning 30 days after the premium billing date until the crop termination date.
b. AIPs shall transmit a 60 and 65 record through the Ineligible Tracking System for the
principle amount only, for unpaid CAT fees within 7 to 21 days after the crop termination
date. At this time these fees become Federal debt and all collection efforts on the part of the
AIP shall cease.
June 2010

RMA-Appendix III

47

c. AIPs are responsible for any questions that an insured may have regarding the validity of this
debt or payment made prior to the crop termination date. After the crop termination date, all
questions regarding amounts due including interest accrued, shall be referred to RMA.
i.

Records regarding an unsatisfied debt pertaining to a CAT policy must be retained
indefinitely in accordance with Section IV.G.6. of the SRA.

ii.

If an AIP receives payment for a Federal debt, they are to transmit a type 12 record with a
payment type code of “02” for the entire amount received within 7 days of the receipt of
the payment. (Timing is critical since the debt may be referred by RMA to Treasury for
cross servicing and any amounts due the insured from any Federal agency will be reduced
by the Federal debt that includes CAT fees and accrued interest.

iii.

RMA shall calculate interest in accordance with 7 CFR 457.8 on any unpaid CAT fees
reported to RMA beginning on the termination date until the debt is satisfied.

iv.

RMA will answer any questions regarding the amount of the Federal debt or any
payments made after crop termination since subsequent interest may have accrued.

v.

RMA shall take over all collection efforts of unpaid CAT fees upon termination date and
the submission of the type 60 and 65 records.

vi.

RMA may refer the Federal debt to Treasury for cross servicing.

7.

Escrow funding and reported loss data will be reconciled on each monthly and annual
settlement report.

8.

Any aggregate underwriting loss of the AIP will be paid to FCIC by the AIP with each
monthly settlement report as calculated by the reinsurance run report generated by RMA. Any
underwriting gain due the AIP will be paid at annual settlement.

9. The AIP must enter data into the appropriate columns on the Premium Due Without Payment
Worksheet to indicate any increase in premium and return a signed copy of the report/worksheet
along with the monthly settlement report, which must be received by RMA by the last business
day of the month corresponding to the transaction cutoff date (See Exhibit 6-4).

10. The new amount due FCIC as reflected in the Monthly or Annual Settlement Report, must be
paid by EFT by the later of, 10 calendar days of being issued by RMA or last business day of
each month corresponding to the transaction cutoff date for that month. When payment is
submitted to FCIC based on a report generated by the AIP or its reporting agent and supporting
data is subsequently rejected, the AIP must remit the difference by EFT within seven (7)
calendar days of the date the AIP was notified of the discrepancies. In instances where an AIP
generated report differs from RMA generated Settlement Reports, payments will be based on the
RMA Settlement Reports.
11. All payments due to FCIC must be deposited directly into the Corporation's account in the U.S.
Treasury by EFT. An instruction guide for funds transfer deposit messages to the Treasury is
June 2010

RMA-Appendix III

48

provided in Exhibit 7. Information, such as agency codes, and beneficiary codes will be
provided under separate cover.
12. Annual Settlement Reports
a.

The Annual Settlement Report (recap and worksheets) must be certified and received
by RMA by the company payment date for annual settlement for the reinsurance year
in accordance with Section I of the SRA. The report will follow the format as
provided in Exhibit 1-4 of this Appendix. All reinsurance transactions for the year
must be summarized and reported on the Annual Settlement Report.

b.

Corresponding data file transmissions for the Annual Settlement Report must be
successfully received in its entirety by the October monthly transaction cutoffs stated
in 12.a above. The amount due either FCIC or the AIP will be calculated based on
the PASS validation of the data, will be based on the RMA-generated Settlement
Report, and will follow the monthly reporting process.

c.

The gain or loss of the AIP is calculated in the monthly Reinsurance Run Report
generated by RMA. Any underwriting gain will be paid on the Annual Settlement
Report. Underwriting loss will be calculated on the Monthly Settlement Report.
All discrepancies, including items appearing on the Overpaids and loss credits
reported on the ADR003 and ADR 004 reports must be reconciled and eliminated
from the reports prior to the last automated cycle of the reinsurance year as defined in
Part 11.A.1.a. of this Appendix.

d.

22

Accounting Reports___________________________________________________________

RMA provides AIPs the following reports:
P/CR Memo Reject
Listing (Exhibit 1-10)

This report lists all policy record amounts that contain generated P/CR Memo
amounts which were not posted. P/CR Memo amounts are rejected when the P/CR
Memo policy does not exist or when the P/CR Memo policy has zero premium.
Reconciliation reports are generated in addition to the various error reports whenever
there are unusual circumstances concerning a policy or record type submitted. The
purpose of these reports is to perform a verification or validation of data on RMA's
database to the most current data received from the AIP. The AIP should research
data appearing on the reconciliation reports and determine what action needs to be
taken to correct the discrepancies (i.e., delete, correct, in order to resubmit the
records correctly). The amount of negative financial impact to FCIC will be
determined and deducted from the Monthly/Annual Settlement Report. Following
are the four reconciliation reports the AIP may receive:
Annual Reconciliation Reduction Worksheet
PASS Discrepancies of Premium by Policy
SBOB Discrepancies of Premium by Policy
SBOB Discrepancies of Losses by Policy

June 2010

RMA-Appendix III

49

Reconciliation
Reports (Exhibit 4)

The Discrepancy reports, are generated when a policy record that has been submitted
by an AIP does not agree with data accepted into the PASS.

RAS Summary Reports
The RAS generates summary reports based on detailed reinsured contract data submitted by the AIPs each
month through PASS. Once data is received from AIPs electronically, the PASS processes the data through
RMA edits/validations and RAS produces the summary reports. The reports are used to calculate the balance
which is due the AIP or FCIC. The FCIC Detailed Policy Report shows detail policy-level information. It feeds
information to the Settlement Report which generates grand totals, and consists of the following:

Premium

The Premium grand total is developed from the Premium Lines Record - Type 11
and 13, and is reported as summarized policy detail for all lines and all crops
associated with a policy. Premium is totaled by Crop Year.
The Paid grand total is developed from the Payment Record - Type 12 (Payment
Type 00) and the RAS currently shows policy detail for the net paid amount. The
paid amount should not include administrative fees and must be ≥ zero.
The net paid represents the premium collected by the AIP from the producer
(insured). An overpaid amount may exist when a producer overpaid his premium.

Paid

Loss-Credit

Subsidy

June 2010

The Loss-Credit grand total is derived from the Loss Total Record Type 20,
which consists of M-Memos and P-Credit Memos. M-Memos are premium
amounts due (by producer) that have been deducted from a loss payment by the
producer from losses received on the same policy. P-Credit Memos occur when
premium due on another policy (in same reinsurance year) is designated with a
"P" in the Type 20 record which enables the amount to be deducted from a loss
payment on the policy incurring a loss.
All other amounts designated in the "1st - 4th Total Amounts" on the Type 20
record appear as a single line item entitled "Loss Deductions (F, R, O)" on the
Settlement Report.
RAS will generate the designated „P-Credit Memos‟ into the Loss-Credit column
of the Monthly Settlement Reports to eliminate out-of-balance conditions.
The sum of each loss deduction code for a policy should never be less than zero.
An overpaid amount may exist when an excessive amount of an insured‟s loss
was deducted from his policy.
The Subsidy grand total is the Total Premium minus the Producer Premium
submitted on the Premium Lines Record - Type 11.
The Loss grand total is derived from the Loss Line Record - Type 21 or 22, which
consists of all losses reported by the AIP. The losses are reimbursed to the AIP
through the automated escrow process. On a monthly/annual basis, the total of
Total Losses will be compared to the sum of "Loss-cr., Escrow, and Drafts" and
"Loss Deductions (F, R, O)" and FCIC will pay the lesser amount. RMA will also
adjust the amount of "Drafts Issued (Escrow)" included in the Monthly/Annual
Summary Report on the line for "Loss-CR, Escrow and Drafts" to the lesser amount
of "Previous Escrow Funded" or "Less Drafts Issued (Escrow)." This will avoid any
potential overpayments by FCIC on the Monthly/Annual Summary Reports.
RMA-Appendix III

50

Losses
Cost Share

The total AGR or AGR-L Cost Share reported as additional subsidy.

Monthly Settlement Report (Exhibit 1-1 or 1-1A for 2012 and subsequent)
This report shows the grand totals of all insurance policies carried by each AIP and provides the balance due the
AIP or FCIC. The remainder of the entries on the Settlement Report are calculated from entries which the AIP
has made on the Premium Due and Premium Due Without Payments Worksheets or derived from other reports
generated by RAS. Following is a description of each line item on the report. All line items represent
cumulative totals.
Net Expense
Reimbursement
Adjustment
Net Contingency
Fund
Less Premium
Collected

Escrow and Drafts

Loss Deductions
AIP Previous
Payment
FCIC Interest Paid
Adjustment due
Company
Administrative Fee
Adjustment
Reduction Due to
Reconciliation Report
Differences

This item represents administrative expense reimbursement based on a percentage
of total premium on all non-CAT crop policies. This item also includes the CAT
loss adjustment expense based on the total CAT premium. The net installment
adjustment is supported by the FCIC Installment report. Exhibit 1-2.
Late Reported Reduction (LRR) (Exhibit 5-1), Excess Premium Penalty,
Compliance Penalty and Agreement Termination Penalty
Insured's premium collected by the AIP.
Escrow is the lesser of the “previous Escrow Funded” or the amount of “Drafts Issued
(Escrow)” (See Items u, v)
Drafts represents the amount paid by the AIP for losses paid to producers if the AIP is
not participating in Escrow. It is determined from Type 20 records which contain a “D”
for drafts.

(F, R, O) - Amounts reimbursed by the FCIC to the AIP for administrative fees
(F), recovery of previous or subsequent year premium (R), or other (O) to include
interest deduction amounts, which the AIP deducted from their loss
reimbursement request
The cumulative amount of other payments received by FCIC via electronic transfer
to Treasury by the AIP.
The cumulative total of all interest paid to AIPs by FCIC for late payments, etc.
Amount of reimbursement by FCIC to the company for litigation or other approved
expenses. This amount has to be reviewed and approved by RSD
Net fee due FCIC supported by supplemental administrative fee reports (Exhibit 1-5).

Net reduction amount based on unreconciled differences from reconciliation reports that
have a negative financial impact to FCIC (Exhibit 4-1).
FCIC Interest/Penalty
Represents interest or penalty assessed against the AIP
Adjustment Due
FCIC
FCIC Previous
Payment
Escrow Funded

June 2010

Any overpayments that FCIC has made to the AIP
Cumulative amount of all payments made to the AIP by FCIC for the current reinsurance
year
Represents the escrow amount the AIP has been funded. The total is summed up to the
current cutoff date of the Monthly Settlement Report.

RMA-Appendix III

51

Paid Previous
Worksheets

Amounts paid to FCIC on previous worksheets

Underwriting Loss
Subtotal
Total from Current
Worksheet

Represents the loss taken from the "Reinsurance Run" report. This amount is a
calculation of the AIP‟s loss based on entries made in the Appendix II, together with
the Standard Reinsurance Agreement applicable to each respective Reinsurance
Year. The report is a summation of reinsured data displayed the fund, state and
national (grand total) levels (Exhibit 3-3).
Total of lines preceding this line from the FCIC Due/Paid Column on the report
Represents the combined total from the Premium Due and Premium Due Without Payments
Worksheets (Exhibit 6-1 and 6-4)

Balance Due AIP (+),
FCIC (-)
Total balance due the AIP or FCIC

Represents the amount of escrow the AIP has been funded, and is reported here
when FCIC issues the funds to the AIP. The total is summed up to the current cutoff
date of the Monthly Settlement Report

Previous Escrow
Funded
Less Drafts Issued
(Escrow)
Escrow Balance

Represents the amount of checks issued to producers for losses, and is accumulated from an
“E” that was validated and accepted in PASS from the type 20 record
Represents the difference between the “Previous Escrow Funded” line and the “Less Drafts
Issued (Escrow)” line

Annual Settlement Report (Exhibit 1-4)
This report shows the grand totals of all insurance policies carried by each AIP and provides the balance due the
AIP or FCIC. The following provides a description of how each line item on the Annual Settlement Report is
calculated. All line items represent cumulative totals.
Represents administrative expense reimbursement based on a percentage of total
premium on all non-CAT crop policies less the reduction for Late Reported
Expense
Reductions. The CAT loss adjustment expense which is based on the total CAT
Reimbursement premium. The net installment adjustment is supported by the FCIC Installment report
Adjustment
(Exhibit 1-2).
Net
Contingency
Fund
Less Premium
Collected

Late Reported Reduction (LRR) (Exhibit 5-1), Excess Premium Penalty, Compliance Penalty,
and Agreement Termination Penalty

Loss-CR,
Escrow and
Drafts

Escrow is the lesser of the “Previous Escrow Funded” or the amount of “Drafts Issued
(Escrow)” (see items w, x).
Loss Credits (M, P)
Amounts reimbursed by the FCIC to the AIP for administrative fees (F), recovery of previous
or subsequent year premium (R), or other “O” to include interest deduction amounts, which the
AIP deducted from their loss reimbursement request.

Loss
Deductions (F,
R, O)
State Subsidy
Subsidy

June 2010

Total premium whether or not collected by the AIP

If applicable
Cumulative amount of all risk subsidy

RMA-Appendix III

52

Additional
Subsidy
AIP Previous
Payment
FCIC Interest
Paid
Adjustments
Due Company
Net
Administrative
Fee
Adjustment
Less Reduction
Due to
Reconciliation
Report
Differences
FCIC
Interest/Penalty
Adjustments
due FCIC
FCIC Previous
Payment
Escrow Funded
Paid Previous
Worksheets

Underwriting
Gain/Loss

If applicable
Cumulative amount of other payments received by FCIC via electronic transfer to the Treasury
by the AIP
Cumulative total of all interest paid to AIPs by FCIC for late payments, et.
Amount of reimbursement by FCIC to the company for litigation or other approved expense.
This amount has to be reviewed and approved by RSD

Net fee due FCIC supported by supplemental administrative fee reports (Exhibit 1-5).

Net reduction amount based on unreconciled differences from reconciliation reports that have a
negative financial impact to FCIC (Exhibit 4-1).
Represents interest or penalty assessed against the AIP
Overpayments that FCIC has made to the AIP
Cumulative amount of all payments made to the AIP by FCIC for the current reinsurance year
Represents the escrow amount the AIP has been funded
Cumulative interest from any worksheets

Represents the gain/loss taken from the "Reinsurance Run" report. This amount is a
calculation of the AIP‟s gain/loss based on entries made in the Appendix II, together
with the Standard Reinsurance Agreement applicable to each respective Reinsurance
Year. The report is a summation of reinsured data displayed at fund, state and national
(grand total) level (Exhibit 3-3).
Total of lines preceding this line from the FCIC Due/Paid Column of the settlement report

Subtotal
Total from
Current
Worksheet
Balance Due
AIP (+) or
FCIC (-)
Escrow Funded
Less Drafts
Issued
(Escrow)
Escrow
Balance

Normally, this item represents the total from the Premium Due Without Payments Worksheet;
however, there is an exception for those companies which had deferred premium. For those
companies, on the 1st annual report only, a Premium Due Worksheet calculating interest should
also be included in this total (Exhibit 6-1 and 6-4).

The total balance due the AIP or FCIC
Represents the amount of escrow the AIP has been funded, and is reported here when FCIC
issues the funds to the AIP. The total is same as “q” above.
Represents the amount of checks issued to producers for losses, and is accumulated from an
“E” validated and accepted in PASS from the Type 20 record
Represents the difference between the “Escrow Funded” line and the “Less Drafts Issued
(Escrow)” line

RAS Summary Reports Adjusted for Livestock (Exhibit 9)
June 2010

RMA-Appendix III

53

Summary reports are generated based on detailed reinsured contract data submitted by the AIPs each month
through eDAS. The reports are used to calculate the balance which is due the AIP or FCIC.

Livestock Detail Report
(LADR001)

Monthly Livestock
Settlement Report
(LRCP001)
Net A&O Subsidy
AIP Previous Payment
FCIC Interest Paid
Adjustments due
Company
FCIC Previous Payment

Exhibit 9-2 shows detail policy-level information. It feeds information to the
Livestock Settlement Report, which generates grand totals, and will include the
following for Livestock:
The Premium Grand Total is developed from the Livestock Premium Data Identifier
and is reported as summarized policy detail for all lines associated with a policy.
The Subsidy Grand Total is developed from the subsidy information submitted on
the Livestock Premium Data Identifier and is reported as summarized policy detail
for all lines associated with a policy
The Loss Grand Total is derived from the livestock Indemnity Data Identifier, which
consists of all losses reported by the AIP
Exhibit 9-1 shows the grand totals of all insurance policies carried by each AIP and
provides the balance due the AIP or FCIC. Following is a description of how
Livestock will be reflected on the Monthly Livestock Settlement Report
Administrative and Operating Subsidy per the LPRA
Cumulative amount of other payments received by FCIC via electronic transfer to
Treasury by the AIP
Cumulative total of all interest paid to AIPs by FCIC for late payments
Litigation or other approved expense owed the AIP
Cumulative total of all “Balance Due Company” amounts from all prior months
reports

FCIC Interest/Penalty
Interest or Penalty assessed against the AIP
Adjustments Due FCIC
Livestock Settlement
Balance Due
Company/FCIC

23.

Offline (manual) corrections by the AIPs for overpaid indemnities
Represents the livestock adjustments supported by the Livestock Settlement Report
(Exhibit 9-3).
Total balance due the AIP or FCIC

Escrow Reconciliation_________________________________________________________
A. AIP Escrow Account Reconciliation must include the following information on a monthly basis:
1. Bank Reconciliation consisting of reinsured company‟s name, address, bank account number,
escrow account ending balance, total amounts for items in-transit, outstanding, interest, and
overage/shortage. The bank reconciliation must be submitted in PDF format, certified and signed
by a company officer or other company designated management official. The bank reconciliation
must also be submitted in an Excel file format along with the other templates.
2. Data files in an Excel zip file format (templates attached) that provide detail for the bank
reconciliation, in-transit, outstanding checks, overage/shortage, voided checks, cleared checks,
check registers and interest checks.
3. Bank Statement of AIP‟s Loss-Clearing Account submitted in PDF format.

June 2010

RMA-Appendix III

54

4. Bank Statement of RMA‟s Escrow Account submitted in PDF format.
B. The Excel zip file that is submitted to RMA must include the following eight tabs:
1. Bank Reconciliation – AIP‟s must provide a bank reconciliation that presents the balance per
statement, escrow request in-transit totals listed by reinsurance year, total debits, outstanding
checks total, interest payable to FCIC by month, total credits, and overage/shortage total.
2. In-transit – AIP‟s must provide a list of checks issued, but awaiting deposit of funds from RMA.
3. Outstanding checks – AIP‟s must provide a list of checks that have been issued, but have not been

presented for payment. AIP‟s must monitor their list of outstanding checks for stale-dated checks
over one year as follows:
a. Send a letter to insured whose outstanding indemnity check is greater than one year old and
offer to issue a replacement check.
b. If the insured requests a replacement check the AIP should process a new check.
c. If the insured does not request a replacement check within 45 days the AIP should take the
following action:
i.
Void the insured‟s check.
ii.
Submit to FCIC a listing for all voided checks that includes the related reinsurance
year, policy number, claim number, check number, and amount. This list will be
accompanied by a check reimbursing FCIC for the voided checks. No changes will
be made to the loss data submitted through DAS.
iii. In case the insured requests payment after the check has been voided, the AIP will
issue a new check to the insured and submit to FCIC a manual register with the policy,
claim, and check information. FCIC will manually fund the escrow account for the
reissued check amount.
4. Overage/shortage – AIP‟s must provide a list, review, and resolve all items listed as
overage/shortage on a monthly basis. The company will have 2 banking cycles to reconcile and
resolve any item listed as an overage or a shortage on the escrow reconciliation. AIP‟s must
provide a brief explanation of all items listed on the overage/shortage report. Any unsettled items
will be resolved with RMA and the AIP.
5. Voided checks – AIP‟s must provide a list of checks that were voided for the month of the
reconciliation.
6. Cleared checks – AIP‟s must provide a list of checks that have cleared the loss clearing account
for the month of the reconciliation.
7. Check register – AIP‟s must provide a list of checks that were issued for the month of the
reconciliation.
8. Interest checks - Remit interest checks on a monthly basis for interest amounts exceeding $10.00.
June 2010

RMA-Appendix III

55

Interest accrued under $10 should wait until interest accrued exceeds $10.00 before
sending to RMA. The total for each month must be provided on the interest tab.
Outstanding interest must be submitted on a yearly basis with the August reconciliation,
even if the $10.00 threshold is not met.
C. The PDF zip file that is submitted to RMA must include the following data:
1. Bank Statement of AIP‟s Loss-Clearing Account.
2. Bank Statement of RMA‟s Escrow Account.
3. Bank Reconciliation certified and signed by a company officer or other company designated
management official.
D. All documents must be submitted electronically.
1. A naming convention consisting of the approved insurance provider code, BNKREC, calendar
year, calendar month, underscore, number one (if you have more than one account, you will used
number two for the second account) followed by .zip. If you have more than one account, RMA
will designate which account is number one and which account is number 2. Example:
XXBNKREC0907_1.ZIP (XXcompany, Bank Reconciliation, 2009, July, account 1).
2. Template formats provided on the attached sample reconciliation must be followed when
submitting the escrow bank reconciliation.
3. Connect to the kcsn204.fcic.usda.gov.You will put your files here. When the process runs to
collect the input file(s), it will then move he file from your home directory, perform a few tests on
it and then it will put a copy of it in both the correct directory on the rmkc00a and in the correct
upload directory on the kcsn204.
E. Failure to follow above procedures will result in RMA initiating a series of notification letters from
RMA to the AIPs.
1. The first letter notifying the AIP accounting staff of the issue.
2. The second letter will be notification to AIP management.
3. The third letter will result in a notification letter to RSD for appropriate sanctions.
Discuss closing the current account and establishing a new account.
F. Available tools:
1. RMA is providing a daily and weekly escrow file to AIP‟s on the RO Server. These files can be
used to assist AIP‟s in their reconciliation process.
2. When using the daily file, be aware that the information on the file will reflect the information
that has been submitted to RMA. The raw data file may reflect duplication due to voided and

June 2010

RMA-Appendix III

56

reissued checks being submitted to RMA for a particular claim. One remedy to this situation is
deleting the claim on one day and resubmitting correct draft numbers for the following day.

24

Application of Paids and Loss Credits_____________________________________________
The application of paids and loss-credits is best demonstrated with the following examples:
A.

B.

The Loss Credit must initially be applied to the Policy and crop with the associated Claim
a)

First - Unpaid Finance Charge for the crop (i.e. Interest), then

b)

Unpaid Administrative Fee for the crop, then

c)

Unpaid Premium for the crop

After the Loss Credit has been applied to the Policy and Crop with the associated Claim then
proceed in the following manner:
1.

Apply to the same policy, any crop, starting with the earliest Premium Bill date –
a.
First - Unpaid Finance Charge (i.e. Interest) , then
(Note: if multiple crops have the same bill date, apply to interest on all crops before
proceeding)
b.
Unpaid Administrative Fee, then
(Note: if multiple crops have the same bill date, apply to administrative Fee on all crops
before proceeding)
c.

C.

After the Loss Credit has been applied to the same Policy and all Billed crops then a check for
the remaining loss amount must be submitted to the producer.
a.
Note: the only exception to this subsection will be if the company can provide
documentation stating the producer agreed to have the unbilled amounts offset
from the remaining amount of the loss.
1.

June 2010

Unpaid Premium

Apply to any related policy, any crop, starting with the earliest Premium Billed date –
a.

Unpaid Finance charge (i.e. Interest)

b.

Unpaid Bill Administrative Fee

c.

Unpaid Bill Premium

RMA-Appendix III

57

Georgia Policy Example Below:
Example #1
07/15/09 - $180.00 Loss on Policy # 1 Wheat
Policy 1 – Wheat
Unpaid Interest
Unpaid Fees
Unpaid Premium
Bill Date

1.
2.

Policy 1 – Oats

30.00
100.00
7/1/2009

30.00
120.00
7/1/2009

Policy 2 – Wheat

Policy 3 - Corn

30.00
165.00
7/1/2009

30.00
230.00
10/1/2009

Apply $30 to fees on Policy #1-Wheat, and $100 to Premium on Policy #1-Wheat
Apply the remaining Loss Credit to Policy #1-Oats – $30 Fees, and $20 to Premium

Example #2
09/15/09 - $600.00 Loss on Policy # 1-Wheat

Unpaid Interest
Unpaid Fees
Unpaid Premium
Bill Date

1.
2.

3.

4.
5.

Policy 1 – Wheat
Policy 2- Oats
Policy 2 – Wheat
Policy 3 – Corn
3.25
3.75
4.88
30.00
30.00
30.00
30.00
100.00
120.00
165.00
230.00
7/1/2009
7/1/2009
7/1/2009
10/1/2009

Apply $3.25 to interest on Policy #1-Wheat, $30 to fees on Policy #1-Wheat, and $100 to
Premium on Policy #1-Wheat
Apply the remaining Loss Credit to Policy #2-Oats – $3.75 Interest, and Policy #2 – Wheat $4.88 Interest (Note: if multiple crops have the same bill date, apply to interest on all crops
before proceeding)
Apply the remaining Loss Credit to Policy #2--Oats - $30 Fee, and Policy #2 – Wheat $30 Fee
(Note: if multiple crops have the same bill date, apply to administrative fee on all crops before
proceeding)
Apply the remaining Loss Credit to Policy #2 – Oats - $120 Premium and Policy #2 – Wheat $165 Premium.
A check for the remaining $113.12 must be submitted to the producer. Unless the exception
under subsection 24 C. is met.

Note: Each example is independent of the other.
25

Recon Reduction on PASS-Calculated Values and Summary Book of Business Discrepancies
A. The recon reduction due will be calculated starting with the month following the first premium
bill date and continue until data processing has ceased for the respective reinsurance year. Policy
level PASS discrepancy reports will be prepared for premium through annual settlement of the
reinsurance year. Starting in the month after annual settlement, a State level book of business
will be submitted by the AIP‟s. The discrepancy reports will be prepared for both premium and
losses. The discrepancy reports will be used to calculate the recon reduction due on the
settlement reports for the negative financial impact to FCIC.

June 2010

RMA-Appendix III

58

B. The policy level PASS discrepancy report will compare the accepted premium to the PASScalculated premium which includes accepted and flagged records. The recon reduction amount
will calculate the negative financial impact to FCIC for the associated producer premium due.
C. Starting the month following annual settlement for the respective reinsurance year, the AIP will
submit a book of business for premium by State level monthly as of accounting cutoff, until data
processing has ceased for the respective reinsurance year. PASS accepted premium data will be
compared to the book of business by State level. The recon reduction amount will calculate the
negative financial impact to FCIC for the associated producer premium due.
D. Starting the month following annual settlement for the respective reinsurance year, the AIP will
submit a book of business for losses by State level monthly as of accounting cutoff, until data
processing has ceased for the respective reinsurance year. PASS accepted loss data will be
compared to the book of business by State level. The recon reduction amount will calculate the
negative financial impact to FCIC for the losses.
E. The Reconciliation Reduction Worksheet will summarize the recon reduction amount due on the
settlement report for the negative financial impact to FCIC.

Example of PASS Process
by Policy Level:
Producer Premium
PASS PASS Calculation
Accepted
$1,000

$800

June 2010

Recon Reduction Impact

Premium Difference
$0 Non-CAT Policy
Included in Recon
(Producer Premium Due) $1,000 Reduction
$1,000

$0 No Impact

RMA-Appendix III

59

Example of Book of
Business Process by State
Level:
Producer Premium
AIP Amount
PASS (70 Record)
Accepted
$4,000

$3,200
Loss
AIP Amount
(70 Record)

$2,000
$2,400

June 2010

Recon Reduction
Recon Reduction Impact
Comments
Premium Difference
$3,200 Non-CAT Policy
included in Recon
(Producer Premium Due) $800 Reduction
$4,000

PASS Accepted

$0 No Impact

Recon Reduction
Comments
Loss Difference
included in Recon
$400 Reduction
$0 No Impact

Recon Reduction Impact

$2,400
$2,000

RMA-Appendix III

60

RO XX
Reinsured Company Name
C/O MGA

FCIC SETTLEMENT REPORT
REINSURANCE YEAR - 2011
MONTHLY

PAGE:
RCP001-C

1

CURRENT DATE: MM/DD/YYYY HH.MM.SS
CUTOFF DATE: MM/DD/YYYY
===================================================================================================================================
PREMIUM
PAID
LOSS-CR
SUBSIDY
LOSSES
ADDT SUBSIDY
GROUP RISK
0
.00
0
0
0
0
REVENUE HARV. OPT.
0
.00
0
0
0
0
OTHER
0
.00
0
0
0
0
TOTAL NON CAT
0
.00
0
0
0
0
===================================================================================================================================
CAT
0
0
0
===================================================================================================================================
(L/R =
.0000 )
DUE COMPANY
DUE FCIC
a.NET EXPENSE REIMBURSEMENT
.00
b.NET CONTINGENCY FUND
.00
c.PREMIUM COLLECTED
.00
.00
d.ESCROW AND DRAFTS
.00
.00
.00
e.LOSS DEDUCTIONS (F,R,O)
.00
.00
.00
.00
f.STATE SUBSIDY
.00
g.COMPANY PREVIOUS PAYMENT
.00
h.FCIC INTEREST PAID
.00
i.ADJUSTMENTS DUE COMPANY
.00
j.NET ADMINISTRATIVE FEE ADJUSTMENT
.00
k.REDUCTIONS DUE TO RECON REPORT DIFFERENCES
.00
l.FCIC INTEREST/PENALTY
.00
m.ADJUSTMENTS DUE FCIC
.00
n.FCIC PREVIOUS PAYMENT
.00
o.ESCROW FUNDED
.00
p.PAID PREVIOUS WORKSHEETS
.00
.00
q.UNDERWRITING LOSS
.00
.00
r.SUBTOTAL
.00
.00
s.TOTAL FROM CURRENT WORKSHEET
.00
.00
t.BALANCE DUE COMPANY/FCIC
.00
===================================================================================================================================
ESCROW REIMBURSEMENT
===================================================================================================================================
u.PREVIOUS ESCROW FUNDED
.00
v.LESS DRAFTS ISSUED (ESCROW)
.00
w.ESCROW BALANCE
.00
===================================================================================================================================
CERTIFIED CORRECT
______________________________
_______________________________
______________________________
NAME
TITLE
DATE
NOTE: ANY FALSE CERTIFICATION MADE TO THE CORPORATION MAY SUBJECT THE MAKER TO CRIMINAL AND CIVIL PENALTIES AS PROVIDED
IN 18 U.S.C. 287,1001; 31 U.S.C. 3729 AND 3730

June 2010

RMA-Appendix III

1-1

RO XX
Reinsured Company Name
C/O MGA

FCIC SETTLEMENT REPORT
REINSURANCE YEAR - 2012
MONTHLY

PAGE:
RCP001-C

1

CURRENT DATE: MM/DD/YYYY HH.MM.SS
CUTOFF DATE: MM/DD/YYYY
===================================================================================================================================
PREMIUM
PAID
LOSS-CR
SUBSIDY
LOSSES
ADDT SUBSIDY
GROUP RISK
0
.00
0
0
0
0
REVENUE HARV. OPT.
0
.00
0
0
0
0
OTHER
0
.00
0
0
0
0
TOTAL NON CAT
0
.00
0
0
0
0
===================================================================================================================================
CAT
0
0
0
===================================================================================================================================
(L/R =
.0000 )
DUE COMPANY
DUE FCIC
a.NET EXPENSE REIMBURSEMENT
.00
b.NET CONTINGENCY FUND
.00
c.PREMIUM COLLECTED
.00
.00
d.ESCROW AND DRAFTS
.00
.00
.00
e.LOSS DEDUCTIONS (F,R,O)
.00
.00
.00
.00
f.STATE SUBSIDY
.00
g.COMPANY PREVIOUS PAYMENT
.00
h.FCIC INTEREST PAID
.00
i.ADJUSTMENTS DUE COMPANY
.00
j.NET ADMINISTRATIVE FEE ADJUSTMENT
.00
k.REDUCTIONS DUE TO RECON REPORT DIFFERENCES
.00
l.FCIC INTEREST/PENALTY
.00
m.ADJUSTMENTS DUE FCIC
.00
n.FCIC PREVIOUS PAYMENT
.00
o.ESCROW FUNDED
.00
p.PAID PREVIOUS WORKSHEETS
.00
.00
q.UNDERWRITING LOSS
.00
.00
r.SUBTOTAL
.00
.00
s.TOTAL FROM CURRENT WORKSHEET
.00
.00
t.BALANCE DUE COMPANY/FCIC AS OF MM YYYY
.00
.00
===================================================================================================================================
EXPENSE REIMBURSEMENT DUE IN OCTOBER YYYY
.00
===================================================================================================================================
ESCROW REIMBURSEMENT
===================================================================================================================================
u.PREVIOUS ESCROW FUNDED
.00
v.LESS DRAFTS ISSUED (ESCROW)
.00
w.ESCROW BALANCE
.00
===================================================================================================================================
CERTIFIED CORRECT
______________________________
_______________________________
______________________________
NAME
TITLE
DATE
NOTE: ANY FALSE CERTIFICATION MADE TO THE CORPORATION MAY SUBJECT THE MAKER TO CRIMINAL AND CIVIL PENALTIES AS PROVIDED
IN 18 U.S.C. 287,1001; 31 U.S.C. 3729 AND 3730

June 2010

RMA-Appendix III

1 - 1A

FCIC INSTALLMENT REPORT
REINSURANCE YEAR - YYYY

RO XX
Reinsured Company Name
C/O MGA

PAGE:

1

INS001

CURRENT DATE: MM/DD/YYYY HH.MM.SS
CUTOFF DATE: MM/DD/YYYY
===================================================================================================================================
PREMIUM
PAID
LOSS-CR
SUBSIDY
LOSSES
ADDT SUBSIDY
GROUP RISK
0
.00
0
0
0
0
REVENUE HARV. OPT.
0
.00
0
0
0
0
OTHER
0
.00
0
0
0
0
TOTAL NON CAT
0
.00
0
0
0
0
===================================================================================================================================
CAT
0
0
0
===================================================================================================================================
DUE COMPANY
ADMINISTRATIVE AND OPERATING SUBSIDY
GROUP RISK
GRP/GRIP
(SRA REIMB RATE 12.0%) - 75% COVERAGE
(SRA REIMB RATE 12.0%) - 80% COVERAGE
(SRA REIMB RATE 12.0%) - 85% COVERAGE
PRF
(SRA REIMB RATE 20.1%) -<80% COVERAGE
(SRA REIMB RATE 17.8%) - 80% COVERAGE
(SRA REIMB RATE 17.1%) - 85% COVERAGE

LEVEL
LEVEL
LEVEL

9,999,999
9,999,999
9,999,999

.00
.00
.00

LEVEL
LEVEL
LEVEL

9,999,999
9,999,999
9,999,999

.00
.00
.00

TOTAL GROUP RISK
REVENUE HARV. OPT.
(SRA REIMB RATE 18.5%) - 75% COVERAGE LEVEL
(SRA REIMB RATE 16.4%) - 80% COVERAGE LEVEL
(SRA REIMB RATE 15.8%) - 85% COVERAGE LEVEL
TOTAL REVENUE
OTHER
(SRA REIMB RATE 21.9%) - 75% COVERAGE LEVEL
(SRA REIMB RATE 19.4%) - 80% COVERAGE LEVEL
(SRA REIMB RATE 18.7%) - 85% COVERAGE LEVEL
TOTAL OTHER

.00
9,999,999
9,999,999
9,999,999

.00
.00
.00
.00

9,999,999
9,999,999
9,999,999

.00
.00
.00
.00

ADMINISTRATIVE AND OPERATING SUBSIDY

.00

ADMINISTRATIVE AND OPERATING SUSIDY ADDITIONAL LOSS REIMBURSEMENT

.00

ADMINISTRATIVE AND OPERATING SUBSIDY LIMITATION

.00

CAT LOSS ADJUSTMENT

(6.0%)

9,999,999

NET EXPENSE REIMBURSEMENT

.00
.00

============================================================================================================================================

1

June 2010

RMA-Appendix III

1-2

RO XX
Reinsured Company Name
C/O MGA

FCIC STATE REIMBURSEMENT REPORT
REINSURANCE YEAR - YYYY

PAGE:
INS002

1

CURRENT DATE: MM/DD/YYYY HH.MM.SS
CUTOFF DATE: MM/DD/YYYY
===================================================================================================================================
RATE
PLAN
INS
COV
REIMBURSE
TOTAL
REIMBURSEMENT
ST
CHG
GROUP
PLAN
LVL
RATE
PREMIUM
AMOUNT
===================================================================================================================================
AL

Y

CAT
GRP
OTH

41
86
90
73
41
86
90

REV

44

.5000
.5000
.5000
.9000
.5000
.5000
.7500
.5000
.7500
.8500
.5000
.7000
.7500

.06000
.06000
.06000
.12000
.23050
.23050
.23050
.23050
.23050
.19850
.19650
.19650
.19650

*TOTAL STATE AL
WY

N

CAT
GRP
OTH

41
86
90
73
41
86
90

REV

*TOTAL STATE WY

44

.5000
.5000
.5000
.9000
.5000
.5000
.7500
.5000
.7500
.8500
.5000
.8000
.9000

.06000
.06000
.06000
.12000
.21900
.21900
.19400
.21900
.19400
.18700
.18500
.16400
.15800

999,999
999,999
999,999
999,999
999,999
999,999
999,999
999,999
999,999
999,999
999,999
999,999
999,999

9,999.99
9,999.99
9,999.99
9,999.99
9,999.99
9,999.99
9,999.99
9,999.99
9,999.99
9,999.99
9,999.99
9,999.99
9,999.99

9,999,999

99,999.99

999,999
999,999
999,999
999,999
999,999
999,999
999,999
999,999
999,999
999,999
999,999
999,999
999,999

9,999.99
9,999.99
9,999.99
9,999.99
9,999.99
9,999.99
9,999.99
9,999.99
9,999.99
9,999.99
9,999.99
9,999.99
9,999.99

9,999,999

99,999.99

TOTAL ADMINISTRATIVE AND OPERATING SUSIDY ADDITIONAL LOSS REIMBURSEMENT

1

June 2010

RMA-Appendix III

99,999,999

1-3

RO XX
Reinsured Company Name
C/O MGA

FCIC SETTLEMENT REPORT
REINSURANCE YEAR - YYYY
ANNUAL

PAGE:
RCP002-C

1

CURRENT DATE: MM/DD/YYYY HH.MM.SS
CUTOFF DATE: MM/DD/YYYY
===================================================================================================================================
PREMIUM
PAID
LOSS-CR
SUBSIDY
LOSSES
ADDT SUBSIDY
GROUP RISK
0
.00
0
0
0
0
REVENUE HARV. OPT.
0
.00
0
0
0
0
OTHER
0
.00
0
0
0
0
TOTAL NON CAT
0
.00
0
0
0
0
===================================================================================================================================
CAT
0
0
0
===================================================================================================================================
(L/R =
.0000 )
DUE COMPANY
DUE FCIC
a.NET EXPENSE REIMBURSEMENT ADJUSTMENT
.00
b.NET CONTINGENCY FUND
.00
c.PREMIUM COLLECTED
.00
.00
d.LOSS-CR, ESCROW, AND DRAFTS
.00
.00
.00
.00
e.LOSS DEDUCTIONS (F,R,O)
.00
.00
.00
.00
f.STATE SUBSIDY
.00
g.SUBSIDY
.00
h.ADDITIONAL SUBSIDY
.00
i.COMPANY PREVIOUS PAYMENT
.00
j.FCIC INTEREST PAID
.00
k.ADJUSTMENTS DUE COMPANY
.00
l.NET ADMINISTRATIVE FEE ADJUSTMENT
.00
m.REDUCTIONS DUE TO RECON REPORT DIFFERENCES
.00
n.FCIC INTEREST/PENALTY
.00
o.ADJUSTMENTS DUE FCIC
.00
p.FCIC PREVIOUS PAYMENT
.00
q.ESCROW FUNDED
.00
r.PAID PREVIOUS WORKSHEETS
.00
.00
s.UNDERWRITING GAIN/LOSS
.00
.00
t.SUBTOTAL
.00
.00
u.TOTAL FROM CURRENT WORKSHEET
.00
.00
v.BALANCE DUE COMPANY/FCIC
.00
.00
===================================================================================================================================
ESCROW REIMBURSEMENT
===================================================================================================================================
w.PREVIOUS ESCROW FUNDED
.00
x.LESS DRAFTS ISSUED (ESCROW)
.00
y.ESCROW BALANCE
.00
===================================================================================================================================
CERTIFIED CORRECT
______________________________
_______________________________
______________________________
NAME
TITLE
DATE
NOTE: ANY FALSE CERTIFICATION MADE TO THE CORPORATION MAY SUBJECT THE MAKER TO CRIMINAL AND CIVIL PENALTIES AS PROVIDED
IN 18 U.S.C. 287,1001; 31 U.S.C. 3729 AND 3730

1

June 2010

RMA-Appendix III

1-4

RO XX
REINSURANCE COMPANY NAME
C/O MGA

FCIC ADMINISTRATIVE FEE REPORT
REINSURANCE YEAR YYYY
(MONTHLY)

FEE002

CURRENT DATE: MM/DD/YYYY HH.MM.SS
CUTOFF DATE: MM/DD/YYYY
===================================================================================================================================
CAT FEES DUE FCIC
ADDITIONAL COVERAGE FEES COLLECTED
LESS COMPANY CAT FEES REDUCTION
ADMINISTATIVE FEES DUE FCIC

1

June 2010

9,999.00
9,999.00
9,999.99
9,999.99

RMA-Appendix III

1-5

RO XX
REINSURANCE COMPANY NAME
C/0 MGA

FCIC ACCOUNTING DETAIL REPORT (EXCLUDING CAT)
REINSURANCE YEAR YYYY
MONTHLY

ADR001

CURRENT DATE: MM/DD/YYYY HH.MM.SS
CUTOFF DATE: MM/DD/YYYY
===================================================================================================================================
CLEARED ADDT
ST
CO
POL #
YR
NAME
(NOTES)
PREMIUM
PAID
LOSS-CR
SUBSIDY
LOSSES SUBSIDY
===================================================================================================================================
XX
XX
XX
XX
XX
XX
XX
XX
XX
XX
XX
XX

999
999
999
999
999
999
999
999
999
999
999
999

999999
999999
999999
999999
999999
999999
999999
999999
999999
999999
999999
999999

YYYY
YYYY
YYYY
YYYY
YYYY
YYYY
YYYY
YYYY
YYYY
YYYY
YYYY
YYYY

DOE,
DOE,
DOE,
DOE,
DOE,
DOE,
DOE,
DOE,
DOE,
DOE,
DOE,
DOE,

JOHN
JOHN
JOHN
JOHN
JOHN
JOHN
JANE
JANE
JANE
JANE
JANE
JANE

TOTAL
*** NOTES ***
(*) – ASSIGNED RISK FUND
(P) - PAYMENT CR MEMO

1

June 2010

*
*
*
*
*
*
*
*
*
*
*
*

9,999
9,999
9,999
9,999
9,999
9,999
9,999
9,999
9,999
9,999
9,999
9,999

9,999
9,999
9,999
9,999
9,999
9,999
9,999
9,999
9,999
9,999
9,999
9,999

999
999
999
999
999
999
999
999
999
999
999
999

9,999
9,999
9,999
9,999
9,999
9,999
9,999
9,999
9,999
9,999
9,999
9,999

999
999
999
999
999
999
999
999
999
999
999
999

99
99
99
99
99
99
99
99
99
99
99
99

9,999

9,999

999

9,999

9,999

99

(V) - OVERPAID
(E) - ESCROW

RMA-Appendix III

1-6

FCIC ACCOUNTING DETAIL REPORT (EXCLUDING CAT
REINSURANCE YEAR YYYY
STATE TOTALS

RO XX
REINSURANCE COMPANY NAME
C/O MGA

ADR002

CURRENT DATE: MM/DD/YYYY HH.MM.SS
CUTOFF DATE: MM/DD/YYYY
===================================================================================================================================
CLEARED
ADDT
ST
PREMIUM
PAIDS
LOSS-CR
SUBSIDY
LOSSES
SUBSIDY
===================================================================================================================================
CO
KS
NE
TX
TOTAL

1

June 2010

99,999
99,999
99,999
99,999

0.00
0.00
0.00
0.00

0
0
0
0

99,999
99,999
99,999
99,999

0
0
0
0

0
0
0
0

999,999

0.00

0

999,999

0

0

RMA-Appendix III

1-7

FCIC DETAIL REPORT (EXCLUDING CAT)
REINSURANCE YEAR - YYYY
GRAND TOTALS

RO XX
REINSURANCE COMPANY NAME
C/O MGA

ADR003

CURRENT DATE: MM/DD/YYYY HH.MM.SS
CUTOFF DATE: MM/DD/YYYY
===================================================================================================================================
CLEARED
ADDT
CROP YR
PREMIUM
PAID S
LOSS-CR
SUBSIDY
LOSSES
SUBSIDY
===================================================================================================================================
YYYY (-1)
YYYY
YYYY (+1)

9,999,999
99,999,999
99,999

99,999.99
999,999.99
9.99

0
0
0

9,999,999
99,999,999
99,999

0

0

TOTALS

99,999,999

999,999.99

0

99,999,999

0

0

999.99

0

999,999.99

0

99,999,999

0

0

OVERPAIDS
GRAND TOTALS LESS OVERPAIDS 99,999,999

PMEMO
MMEMO
PLCR

1

June 2010

999,999
999,999
999,999

RMA-Appendix III

1-8

FCIC DETAIL OVERPAIDS REPORT (EXCLUDING CAT)
REINSURANCE YEAR - YYYY
OVERPAID POLICIES

RO XX
REINSURANCE COMPANY NAME
C/O MGA

ADR004

CURRENT DATE: MM/DD/YYYY HH.MM.SS
CUTOFF DATE : MM/DD/YYYY
==============================================================================================================================================
CROP
CLEARED
ADDT
OVER
OVER
ST CO
POLICY
YR
PREMIUM
PAIDS
LOSS CR
SUBSIDY
LOSSES
SUBSIDY
PAID
LOSS-CR
==============================================================================================================================================

AL

999

9999999

YYYY

9,999

9,999.99

999.99

999.99

999.99

9.99

99.99

9.99

9,999

9,999.99

999.99

999.99

999.99

9.99

99.99

9.99

9,999

9,999.99

999.99

999.99

999.99

9.99

99.99

9.99

*TOTAL STATE AR

9,999

9,999.99

999.99

999.99

999.99

9.99

99.99

9.99

TOTAL

9,999

9,999.00

999.99

999.99

999.99

9.99

99.99

9.99

*TOTAL STATE AL

AR

999

1

9999999

June 2010

YYYY

RMA-Appendix III

1-9

P/CR MEMO REJECT LISTING
REINSURANCE YEAR - YYYY

RO XX
REINSURANCE COMPANY NAME
C/O MGA

PCR001

CURRENT DATE: MM/DD/YYYY
CUTOFF DATE: MM/DD/YYYY
===================================================================================================================================
MEMO
MEMO
MEMO
MEMO
PMEMO
SOURCE
SOURCE
SOURCE SOURCE
RO
LOC ST CNO
POLICY NO
CROP YR AMOUNT
RO
ST
CNO
POLICY NO
===================================================================================================================================
XX

NE
PE
PE

999
999
999

TOTAL

999999
999999
999999
999999
999999

YYYY
YYYY
YYYY
YYYY
YYYY

999.00
9,999.00
9,999.00
99.00
9,999.00

XX
XX
XX
XX
XX

31
42
42
19
42

999
999
999
999
999

9999999
9999999
9999999
9999999
9999999

99,999.00

1

June 2010

RMA-Appendix III

1 - 10

EXAMPLE 1:
INTEREST CALCULATIONS ON LATE ACCOUNTING REPORT PAYMENTS
REPORT REPORT
DATE

AMOUNT
DUE

DAYS
RECEIVED

LATE

INTEREST
RATE

NOTE
AMOUNT

REF.

05/08/YYYY

05/29/YYYY

$100,000

4

15%

$164.38

1

11/06/YYYY

11/30/YYYY

$1,000,000

7

15%

$2,876.71

2

1.

Payment of the $100,000 balance due FCIC on the 05/08/YYYY report, due on
05/29/YYYY, the last banking day of the month, is received on 06/02/YYYY.

2.

Payment of the $1,000,000 balance due FCIC on the 11/06/YYYY report, due on
11/30/YYYY, the last banking day in the month, is received on 12/07/YYYY.

1

June 2010

RMA-Appendix III

1 - 11

EXAMPLE 2:
INTEREST CALCULATIONS ON OVERPAID INDEMNITIES/UNDERSTATED PREMIUM CASES IDENTIFIED THROUGH REVIEW
FINAL FINDINGS
LETTER
1/20/YYYY
1/20/YYYY
1/20/YYYY

OVERPAYMENT
AMOUNT
$10,000
$15,000
$20,000

DATE OF
APPEAL
N/A
N/A
2/15/YYYY

APPEAL
LETTER DATE

ACCOUNTING
REPORT DATE

DAYS

INTEREST
RATE

N/A
N/A
11/28/YYYY

02/09/YYYY
04/09/YYYY
12/11/YYYY

26
100
345

15%
15%
15%

INTEREST
DUE
0.00
$616.44
$2,835.62

NOTE
REF
1
2
3

1.

The Company is notified of an overpayment in a Final Findings by the Regional Compliance Offices letter dated January 20, YYYY.
report containing the correction was filed timely. Since the report was corrected within 30 days, interest does not attach.

2.

The Company is notified of an overpayment amount in a Final Findings by the Regional Compliance Offices letter dated January 20, YYYY. The amount is
to be corrected on the February 9, YYYY report. No appeal is filed. No corrections are made until the April 9, YYYY report. Interest is calculated
starting with the day after the Final Findings by the Regional Compliance Offices letter which is January 21, YYYY through the due date of the
certified report containing the corrections is submitted, which is April 30, YYYY.

3.

Interest begins accruing based on the date of the Final Findings by the Regional Compliance Offices letter. Appeals have no affect on delaying the
interest computation date. In this example, the company is notified of an overpayment in a Final Findings by the Regional Compliance Offices letter
dated January 20, YYYY. The company files an appeal on February 15, YYYY. The appeal is heard and FCIC receives a favorable decision. Had the
company received a favorable decision, no interest is due. The Company is notified by an Appeal Determination letter on November 28, YYYY of the
amount due FCIC. Interest is calculated starting with the day after the Final Findings by the Regional Compliance Offices letter, which is
January 21, YYYY through the due date of the certified report containing the correction is submitted, which is December 31, YYYY.

1

June 2010

RMA-Appendix III

The February 9, YYYY

1 - 12

RO XX
REINSURANCE COMPANY NAME
C/O MGA

CAT COVERAGE FEES (EXCLUDING BUY-UPS)
REINSURED COMPANY DETAIL REPORT
REINSURANCE YEAR YYYY

CFE001

MONTHLY

CURRENT DATE: MM/DD/YYYY HH.MM.SS
CUTOFF DATE: MM/DD/YYYY
=================================================================================================================================
POLICY CROP LOC
CROP
PRAC A ADM
FEES
FEES
FEES
ID NUMBER ST
CO
NUMBER YEAR CNTY CODE TYPE CODE R FEE
PREMIUM
LOSSES
AMOUNT
COLLECTED
WAIVED
=================================================================================================================================

999999999
999999999
999999999
999999999
999999999
999999999
999999999
999999999
999999999
999999999
999999999
999999999
999999999
999999999
999999999
999999999

CA
IL
MO
MN
KS
MN
IL
IL
IL
OH
IL
IL
IN
IL
IL
IL

999
999
999
999
999
999
999
999
999
999
999
999
999
999
999
999

999999
999999
999999
999999
999999
999999
999999
999999
999999
999999
999999
999999
999999
999999
999999
999999

YYYY
YYYY
YYYY
YYYY
YYYY
YYYY
YYYY
YYYY
YYYY
YYYY
YYYY
YYYY
YYYY
YYYY
YYYY
YYYY

999
999
999
999
999
999
999
999
999
999
999
999
999
999
999
999

0037
0011
0011
0033
0011
0033
0011
0011
0011
0011
0011
0011
0011
0011
0011
0011

999
997
997
997
997
997
997
997
997
997
997
997
997
997
997
997

999
999
998
998
998
998
998
998
998
998
998
998
998
998
998
998

TOTAL

C
C
C
C
C
C
C
C
C
A
C
A
C
A
C
C

999
999
999
9,999
999
999
99
9,999
99
99
999
999
99
999
999
999
9,999

*** NOTES ***

300
300
300
300
300
300
300
300
300
300
300
300
300
300
300
300
4,600

YYYY Catastrophic Coverage Fees

The CAT Fee amount for all crops will be $300.

June 2010

RMA-Appendix III
2-1

CAT COVERAGE FEES
REINSURED COMPANY DETAIL REPORT
REINSURANCE YEAR YYYY

RO XX
REINSURANCE COMPANY NAME
C/O MGA
DATE: MM/DD/YYYY
ST
AL
AR
AZ
CA
CO
CT
MO
MS
MT
NC
ND
NE
NJ
NM
NY
OH
OK
OR
PA
SC

HH.MM.SS

CFE002

CUTOFF DATE: MM/DD/YYYY

PREMIUM
999,999
999,999
999,999
999,999
999,999
999,999
999,999
999,999
999,999
999,999
999,999
999,999
999,999
999,999
999,999
999,999
999,999
999,999
999,999
999,999

LOSSES

FEE AMOUNT
99,999
99,999
99,999
99,999
99,999
99,999
99,999
99,999
99,999
99,999
99,999
99,999
99,999
99,999
99,999
99,999
99,999
99,999
99,999
99,999

FEES COLLECTED
999
999
999
999
999
999
999
999
999
999
999
999
999
999
999
999
999
999
999
999

FEES WAIVED
999
999
999
999
999
999
999
999
999
999
999
999
999
999
999
999
999
999
999
999

YYYY (-1)
YYYY
YYYY (+1)

999,999
99,999,999
9,999,999

0
0
0

99,999
99,999
99,999

999
99,999
9,999

999
9,999
999

TOTAL

999,999,999

0

999,999

99,999

99,999

June 2010

RMA-Appendix III
2-2

CFE003
RO XX
REINSURANCE COMPANY NAME
C/O MGA

CAT COVERAGE FEES
RECEIVABLE REPORT
REINSURANCE YEAR – YYYY

CURRENT DATE/TIME: MM/DD/YYYY HH:MM:SS
CUTOFF DATE: MM/DD/YYYY
===================================================================================================================================
TAX
ID
POLICY CROP CROP WRT COLL
FEE
ADJ
RET CHK
INT/PEN
COLLECT
BALANCE
CO CAT FEE
ID
TYP PIC ST CNTY
NBR YEAR CODE OFF ID
AMT
AMT
AMT
AMT
AMT
DUE
REDUCT AMT
===================================================================================================================================
999999999 9 999 99 999 9999999 YYYY 9999
300.00
.00
.00
.00
.00
300.00
300.00
TOTAL

June 2010

300.00

.00

.00

.00

.00

300.00

300.00

RMA-Appendix III
2-3

ADDITIONAL COVERAGE ADMINISTRATIVE FEE SUMMARY REPORT
REINSURANCE YEAR - YYYY
MONTHLY

RO XX
REINSURANCE COMPANY NAME
C/O MGA

PAGE
ACA001

1

CURRENT DATE/TIME: MM/DD/YYYY HH:MM:SS
CUTOFF DATE: MM/DD/YYYY
=============================================================================================
YYYY
YYYY
YYYY
YYYY
YYYY
PRE
STATE
APR
MAY
JUN
JUL
AUG
PAID
TOTAL
==============================================================================================
AR
0
0
0
0
0
0
0
GA
0
0
0
0
0
0
0
IA
0
0
0
0
0
0
0
ID
0
0
0
0
0
0
0
IL
0
0
0
0
0
0
0
IN
0
0
0
0
0
0
0
KS
0
0
0
0
0
0
0
MI
0
0
0
0
0
0
0
MN
0
0
0
0
0
0
0
MO
0
0
0
0
0
0
0
ND
0
0
0
0
0
0
0
NM
0
0
0
0
0
0
0
OH
0
0
0
0
0
0
0
SD
0
0
0
0
0
0
0
TX
0
0
0
0
0
0
0
TOTAL
0
0
0
0
0
0
0
--------------------------------------------------------------------------------------------TOTAL
WAIVED
GRAND

June 2010

0
0
0

0
0
0

0
0
0

0
0
0

0
0
0

0
0
0

0
0
0

RMA-Appendix III
2-4

RO XX
REINSURANCE COMPANY NAME
C/O MGA
CURRENT DATE: MM/DD/YYYY
STATE
AR

FCIC REINSURANCE RUN
REINSURANCE YEAR YYYY

HH.MM.SS

PAGE
1
REIPRT01

CUTOFF DATE: MM/DD/YYYY

POOL

%

COMMERCIAL
ASSIGNED RISK
SUBTOTAL 1

9.9

COMMERCIAL
Min. 25
ASSIGNED RISK
REVISED SUBTOTAL 1

9.9

COMMERCIAL
ASSIGNED RISK
RETAINED SUBTOTAL 2

9.9

COMMERCIAL
Min. 35
ASSIGNED RISK
RETAINED SUBTOTAL 3

9.9

COMMERCIAL
ASSIGNED RISK
SUBTOTAL 4

9.9

COMMERCIAL GAIN/LOSS
ASSIGNED RISK
STATE GAIN/LOSS

LIABILITY

PREMIUMS

LOSSES

999,999
999,999
999,999

999,999
999,999
999,999

99,999
999,999
99,999

999,999
999,999
999,999

999,999
999,999
999,999

99,999
999,999
99,999

999,999
999,999
999,999

999,999
999,999
999,999

99,999
999,999
99,999

9.9

999,999
999,999
999,999

999,999
999,999
999,999

99,999
999,999
99,999

9.9

999,999
999,999
999,999

99,999
999,999
99,999

9.9

999,999

999,999
999,999
999,999

(9,999)
999,999
(9,999)

(CONTINUED)

June 2010

RMA-Appendix III
3-1

LOSS
RATIO
9.9
9.9
9.9
9.9

9.9

9.9

9.9

RO XX
REINSURANCE COMPANY NAME
C/O MGA
CURRENT DATE: MM/DD/YYYY
RO RECAP

June 2010

FCIC REINSURANCE RUN
REINSURANCE YEAR YYYY

HH.MM.SS

PAGE
2
REIPRT01

CUTOFF DATE: MM/DD/YYYY
POOL

%

LIABILITY

PREMIUMS

LOSSES

COMMERCIAL
ASSIGNED RISK
SUBTOTAL 1

9.9
9.9

999,999
999,999
999,999

999,999
999,999
999,999

99,999
99,999
99,999

LOSS
RATIO
9.9
9.9
9.9

COMMERCIAL
ASSIGNED RISK
REVISED SUBTOTAL 1

9.9
9.9

999,999
999,999
999,999

999,999
999,999
999,999

99,999
99,999
99,999

9.9
9.9
9.9

COMMERCIAL
ASSIGNED RISK
RETAINED SUBTOTAL 2

9.9
9.9

999,999
999,999
999,999

999,999
999,999
999,999

99,999
99,999
99,999

9.9
9.9
9.9

COMMERCIAL
ASSIGNED RISK
RETAINED SUBTOTAL 3

9.9
9.9

999,999
999,999
999,999

999,999
999,999
999,999

99,999
99,999
99,999

9.9
9.9
9.9

COMMERCIAL
ASSIGNED RISK
SUBTOTAL 4

9.9
9.9

999,999
999,999
999,999

99,999
99,999
99,999

9.9
9.9
9.9

RMA-Appendix III
3-2

RO XX
Reinsurance Company Name
C/O MGA
CURRENT DATE: MM/DD/YYYY
RO RECAP

FCIC REINSURANCE RUN
REINSURANCE YEAR YYYY

HH.MM.SS

CUTOFF DATE: MM/DD/YYYY
POOL

%

COMMERCIAL GAIN/LOSS
ASSIGNED RISK GAIN/LOSS
GROSS GAIN/LOSS
LESS QUOTA SHARE
GAIN/LOSS AFTER QUOTA SHARE
PAYOUT QUOTA SHARE
GAIN/LOSS

June 2010

PAGE
23
REIPRT01

LIABILITY

PREMIUMS

LOSSES

9,999,999
9,999,999
99,999,999
9,999,999
99,999,999
9,999,999
999,999,999

(999,999)
(999,999)
(9,999,999)
(99,999)
(9,999,999)
(9,999,999)
(99,999,999)

RMA-Appendix III
3-3

LOSS
RATIO

RO XX
Reinsurance Company Name
C/O MGA
CURRENT DATE: MM/DD/YYYY

RECONCILIATION REDUCTION WORKSHEET
REINSURANCE YEAR YYYY
SETTLEMENT REPORT
HH.MM.SS

Page: 1
REC001

CUTOFF DATE: MM/DD/YYYY

Premium

Difference

Recon
Reduction

PASS Premium Discrepancy by Policy Level
Book of Business by State Level

999,999,999.99
999,999,999.99

999,999,999.99
999,999,999.99

TOTAL PREMIUM RECON REDUCTION

Loss

999,999,999.99

Difference

Book of Business by State Level

999,999,999.99

TOTAL LOSS RECON REDUCTION

Recon
Reduction
999,999,999.99
999,999,999.99

Total
TOTAL LOSS RECON REDUCTION

June 2010

999,999,999.99

RMA-Appendix III
4-1

RO XX
Reinsurance Company Name
C/O MGA
CURRENT DATE: MM/DD/YYYY

RECONCILIATION REDUCTION WORKSHEET
REINSURANCE YEAR YYYY
PASS PREMIUM DISCREPANCY BY POLICY
HH.MM.SS

STATE

CO

Page: 1
REC002

CUTOFF DATE: MM/DD/YYYY

POLICY

CY

CROP COVERAGE
CODE
FLAG

PASS
ACCEPTED
PRODUCER
PREMUIM

PASS
CALCULATED
PRODUCER
PREMIUM

DIFFERENCE

Recon
Reduction

XX 999 9999999 9999 9999
A
999,999,999.99 999,999,999.99 999,999,999.99 999,999,999.99
XX 999 9999999 9999 9999
A
999,999,999.99 999,999,999.99 999,999,999.99 999,999,999.99
PASS PREMIUM DISCREPANCY BY POLICY LEVEL FOR NON-CAT 999,999,999.99 999,999,999.99
XX 999 9999999 9999
XX 999 9999999 9999

9999
C
999,999,999.99 999,999,999.99 999,999,999.99 999,999,999.99
9999
C
999,999,999.99 999,999,999.99 999,999,999.99 999,999,999.99
PASS PREMIUM DISCREPANCY BY POLICY LEVEL FOR CAT 999,999,999.99 999,999,999.99
TOTAL PREMIUM DISCREPANCY BY POLICY LEVEL 999,999,999.99 999,999,999.99

June 2010

RMA-Appendix III
4-2

RO XX
Reinsurance Company Name
C/O MGA
CURRENT DATE: MM/DD/YYYY

RECONCILIATION REDUCTION WORKSHEET
REINSURANCE YEAR YYYY
BOOK OF BUSINESS BY STATE LEVEL PREMIUM DISCREPANCY
HH.MM.SS

CUTOFF DATE: MM/DD/YYYY

COVERAGE
FLAG

PASS ACCEPTED
PREMIUM

AIP 70 RECORD
SUBMITTED
PREMIUM

PASS ACCEPTED
SUBSIDY

AIP 70 RECORD
SUBMITTED
SUBSIDY

XX
XX
XX
XX

A
A
A
A

999,999,999.99
999,999,999.99
999,999,999.99
999,999,999.99

999,999,999.99
999,999,999.99
999,999,999.99
999,999,999.99

999,999,999.99
999,999,999.99
999,999,999.99
999,999,999.99

999,999,999.99
999,999,999.99
999,999,999.99
999,999,999.99

XX
XX
XX
XX

C
C
C
C

999,999,999.99
999,999,999.99
999,999,999.99
999,999,999.99

999,999,999.99
999,999,999.99
999,999,999.99
999,999,999.99

999,999,999.99
999,999,999.99
999,999,999.99
999,999,999.99

999,999,999.99
999,999,999.99
999,999,999.99
999,999,999.99

STATE

June 2010

Page: 1
REC003

PASS ACCEPTED
PRODUCER
PREMUIM

AIP PRODUCER
PREMIUM

DIFFERENCE

RECON
REDUCTION

999,999,999.99 999,999,999.99
999,999,999.99 999,999,999.99
999,999,999.99 999,999,999.99
999,999,999.99 999,999,999.99
PREMIUM DISCREPANCY FOR NON-CAT

999,999,999.99
999,999,999.99
999,999,999.99
999,999,999.99
999,999,999.99

999,999,999.99
999,999,999.99
999,999,999.99
999,999,999.99
999,999,999.99

999,999,999.99 999,999,999.99
999,999,999.99 999,999,999.99
999,999,999.99 999,999,999.99
999,999,999.99 999,999,999.99
PEMIUM DISCREPANCY FOR CAT

999,999,999.99
999,999,999.99
999,999,999.99
999,999,999.99
999,999,999.99

TOTAL PREMIUM DISCREPANCY BY STATE LEVEL

999,999,999.99

RMA-Appendix III
4-3

999,999,999.99

RO XX
Reinsurance Company Name
C/O MGA
CURRENT DATE: MM/DD/YYYY

HH.MM.SS

XX
XX

Page: 1
REC004

CUTOFF DATE: MM/DD/YYYY

PASS ACCEPTED
LOSS

STATE

June 2010

RECONCILIATION REDUCTION WORKSHEET
REINSURANCE YEAR YYYY
BOOK OF BUSINESS BY STATE LEVEL LOSS DISCREPANCY

DIFFERENCE

Recon
Reduction

999,999,999.99
999,999,999.99

999,999,999.99
999,999,999.99

999,999,999.99
999,999,999.99

TOTAL LOSS DISCREPANCY BY STATE LEVEL

999,999,999.99

999,999,999.99

PASS CALCULATED LOSS

999,999,999.99
999,999,999.99

RMA-Appendix III
4-4

RO XX
Reinsured Company Name
C/O MGA

FCIC ADMINISTRATIVE REDUCTION REPORT
FOR LATE REPORTED REDUCTION (LRR)
REINSURANCE YEAR - YYYY

PAGE: 1
LRR002

CURRENT DATE: MM/DD/YYYY HH:MM:SS
CUTOFF DATE: MM/DD/YYYY
=================================================================================================================================
NET BOOK
TOTAL
RO
ST
PREMIUM
REDUCTION
=================================================================================================================================
XX
XX
999,999
999,999.99
XX
999,999
999,999.99
XX
999,999
999,999.99
XX
999,999
999,999.99
--------------------------------------------------------------------------------------------------------------------------------GRAND TOTALS
9,999,999
999,999.99
--------------------------------------------------------------------------------------------------------------------------------TOTAL
TOTAL
TOTAL

1.0%
3.0%
6.0%

GRAND TOTAL

June 2010

9,999.99
9,999.99
99,999.99
-----------------99,999.99

RMA-Appendix III
5-1

FCIC ACCOUNTING REPORT
PREMIUM DUE WORKSHEET
REINSURANCE YEAR - YYYY

RO XX
Reinsured Company Name
C/O MGA

PAGE: 1
PDW001-C

CURRENT DATE: MM/DD/YYYY HH.MM.SS
CUTOFF DATE: MM/DD/YYYY
===================================================================================================================================
(A)
(B)
(C)
(D)
(E)
(F)
(G)
INSURED
PREM PAID
PREM
PREV
NBR DAYS
INTEREST
TOTAL OF
PREM DUE
BY CO.
UNPAID
MONTH
INTEREST
DUE
WORKSHEET
MONTH
(A-B)
UNPAID
(%)*(D)*(E)
(-B-F)
===================================================================================================================================
APRIL

YYYY

99,999

99,999

999

99

99

99.99

999.99

MAY

YYYY

9,999

99,999

99

99

99

99.99

999.99

JUNE

YYYY

_

JULY

YYYY

_

AUGUST

YYYY

TOTAL

June 2010

_

____

__
____

____

__
__

_

__
_________

___________
___________

999,999

9,999.99

RMA-Appendix III
6- 1

PREMIUM DUE WORKSHEET - AUGUST PREMIUM PAID BY COMPANY

REPORT
DATE

PREMIUM
PAYMENT
DUE
DATE

(A)
INS'DS
PREMIUM
DUE

(B)
PREM
PAID
BY CO.

(C)
PREMIUM
UNPAID
(A-B)

(D)
PREVIOUS
MONTH
UNPAID

(E)
DAYS
(365 DAY
YEAR)

(F)
INTEREST
DUE
(%*D*E)

09/DD/YYYY

AUGUST/YYYY

3,000,000

3,000,000

0

0

0

0

-3,000,000

1

10/DD/YYYY

AUGUST/YYYY

-2,000,000

-2,000,000

0

0

0

0

2,000,000

2

11/DD/YYYY

AUGUST/YYYY

-500,000

-500,000

0

0

0

0

500,000

3

10/DD/YYYY(+1)

AUGUST/YYYY

NOTE
REF

4

1.

PREMIUM WITH AUGUST BILLING IS PAID BY COMPANY ON THE 09/DD/YYYY SETTLEMENT REPORT.

2.

COMPANY HAS MADE COLLECTIONS OF AUGUST PREMIUM WHICH ARE REFLECTED IN THE PAIDS ON THE SETTLEMENT
REPORT. THIS RESULTS IN A NEGATIVE PREMIUM DUE (COLUMN A).

3.

COMPANY HAS MADE ADDITIONAL COLLECTIONS OF AUGUST PREMIUM.

4.

FIRST ANNUAL SETTLEMENT REPORT. All PREMIUM DUE EVEN IF NOT COLLECTED BY THE COMPANY.
IF NO DEFERRALS, THERE WILL BE NO PREMIUM DUE WORKSHEET NECESSARY.

June 2010

(G)
TOTAL OF
WORKSHEET
(-B-F)

RMA-Appendix III
6- 2

PREMIUM DUE WORKSHEET – AUGUST PREMIUM DEFERRED

(EXAMPLE SHOWING FLOW THROUGH 4 SETTLEMENT REPORTS)

REPORT
DATE

PREMIUM
PAYMENT
DUE
DATE

(A)
(B)
INS'DS
PREM
PREMIUMPAID UNPAID
DUE
BY CO.

(C)
PREMIUM
MONTH
(A-B)

(D)
(E)
PREVIOUS
DAYS
(365 DAY
UNPAID
YEAR)

(F)
INTEREST
DUE
(%*D*E)

09/DD/YYYY

AUGUST/YYYY

$3,000,000

$0

$3,000,000

$0

0

$000

10/DD/YYYY

AUGUST/YYYY

$2,200,000

$0

$2,200,000

$3,000,000

61

11/DD/YYYY

AUGUST/YYYY

$1,500,000

$0

$1,500,000

$2,200,000

12/DD/YYYY

AUGUST/YYYY

$750,000

$0

$750,000

$1,500,000

(G)
TOTAL OF
WORKSHEET
(-B-F)

NOTE
REF

$0.00

1

$75,205.48

$75,205.48

2

30

$27,123.29

$27,123.29

3

31

$19,109.59

$19,109.59

4

1.

Premium with an August billing date is deferred.

No interest is due on this report.

2.

Interest is charged on the $3,000,000 of premium deferred the previous month (Column D at an
annual rate of 15% for the period 09/01/YYYY through 10/31/YYYY.

3.

Interest is charged on the $2,200,000 of premium deferred the previous month (Column D) at an
annual rate of 15% for the period 11/01/YYYY through 11/30/YYYY.

4.

Interest is charged on the $1,500,000 of premium deferred the previous month (Column D) at
an annual rate of 15% for the period 12/01/YYYY through 12/31/YYYY.
Note: Once annual settlement is reached premium can no longer be deferred, all premium is due FCIC even if it remains uncollected.

June 2010

RMA-Appendix III
6- 3

FCIC SUMMARY REPORT (MONTHLY)
PREMIUM DUE WITHOUT PAYMENTS WORKSHEET
REINSURANCE YEAR - YYYY

PDW002

RO XX
Reinsured Company Name
C/O MGA
CURRENT DATE: MM/DD/YYYY HH.MM.SS
CUTOFF DATE: MM/DD/YYYY
=====================================================================================================================================
(A)
(B)
(C)
(D)
(E)
(F)
(G)
CURRENT
PREVIOUS
RPT DATE
INC OF PREM
NBR DAYS
INTEREST
TOTAL OF
MONTH
REPORT
PEAK
OF PEAK
DUE WO PAYM
INTEREST
DUE
INTEREST
====================================================================================================================================

APRIL

YYYY

999

999

MM/DD/YYY

99

99

99.99

99.99

MAY

YYYY

999

999

MM/DD/YYY

99

99

99.99

99.99

JUNE

YYYY

JULY

YYYY

AUGUST

YYYY

__

TOTAL

June 2010

999.99

RMA-Appendix III
6- 4

EXAMPLE 3:
PREMIUM DUE WITHOUT (W/O) PAYMENTS

PREMIUM
PAYMENT
DUE
DATE

REPORT
DATE

08/15/YYYY
08/15/YYYY
08/15/YYYY
08/15/YYYY
08/15/YYYY

09/10/YYYY
10/31/YYYY
11/09/YYYY
01/08/YYYY(+1)
02/12/YYYY(+1)

TOTAL PREMIUM
DUE W/O PMT.

$1,000,000
$1,200,000
$1,300,000
$1,100,000
$1,400,000

AMOUNT OF
INCREASES IN
PREMIUM FROM
PREVIOUS PEAK

DAYS
(365 DAY YR.)
(EXACT DAYS)

$0
$200,000
$100,000
$0
$100,000

0
61
91
0
179

INTEREST
RATE

0
15%
15%
15%
15%

1.

Total premium with an August billing date is due to FCIC on September 30.

2.

Total premium with an August billing date due to FCIC September 30 has increased by $200,000.
The premium should have been reported on the September report. The company is charged for two
full month's interest on the October report.

3.

Total premium with an August billing date due to FCIC September 30 has increased by $100,000
during November. The premium should have been reported on the September report.
The company is charged three full month's interest on the November report.

4.

The total premium reported did not increase during the month.

5.

Total premium with an August billing date due to FCIC September 30 has further increased during
the month by another $100,000. The premium should have been reported on the September report.
The company is charged six month's interest.

June 2010

INTEREST
AMOUNT

$0.00
$5,013.70
$3,739.73
$0.00
$7,356.16

NOTE
REF.

1
2
3
4
5

RMA-Appendix III
6- 5

INSTRUCTION GUIDE FOR FUNDS TRANSFER
DEPOSIT MESSAGES TO TREASURY
All Government agencies must provide specific information to their depositors so that a funds
transfer deposit message can be transmitted to the Department of the Treasury (Treasury). Likewise,
the depositors must communicate this information to the bank sending the funds transfer. The funds
transfer deposit message format is included within this appendix. A narrative description of each
field on the funds transfer deposit message follows:
Field

Content

1

RECEIVER-DFI# - The Treasury Department's ABA number for deposit-messages is 021030004.
be entered by the sending bank for all deposit messages sent to the Treasury.

2

TYPE-SUBTYPE-CD - The type and subtype code will be provided by the sending bank.

3

SENDER-DFI# - This number will be provided by the sending bank.

4

SENDER-REF# - The sixteen character reference number is inserted by the sending bank at its option.

5

AMOUNT - The transfer amount must be punctuated with commas and decimal point; use of the "$" is optional.
This item will be provided by the depositor.

6

SENDER-DFI-NAME - This information is automatically inserted by the Federal Reserve Bank.

7

RECEIVER-DFI-NAME - The Treasury Department's name for deposit messages is "TREAS NYC."
name should be entered by the sending bank.

8

PRODUCT CODE - A product code of "CTR" for customer transfer should be the first data in the
RECEIVER-TEXT field. Other values may be entered, if appropriate, using the ABA's options. A
slash must be entered after the product code.

9

AGENCY LOCATION CODE - THIS ITEM IS OF CRITICAL IMPORTANCE. IT MUST APPEAR ON THE FUNDS
TRANSFER DEPOSIT MESSAGE IN THE PRECISE MANNER AS STATED TO ALLOW FOR THE AUTOMATED PROCESSING
AND CLASSIFICATION OF THE FUNDS TRANSFER MESSAGE TO THE AGENCY LOCATION CODE OF THE APPROPRIATE
AGENCY. The agency location code (ALC) refers to three-, four-, or eight-digit numeric symbols
used to identify Government departments and agencies (e.g., accounting stations, disbursing and
collecting offices). The agency's unique code must be specified in the funds transfer message
in order for the funds to be correctly classified to the respective agency. The ALC
identification sequence includes the beneficiary code field tag, BNF-, and identifier code,/AC-,
followed by the appropriate ALC number. These three components must be in the following format:
BNF-/AC-nnn

3-digit ALC

BNF-/AC-nnnn

4-digit ALC

BNF-/AC-nnnnnnnn

8-digit ALC

This number should

This

-OR-OR-

The ALC identification sequence can, if necessary, begin on one line and end on the next line; however, the field
tag "BNF-" must be one line and cannot contain any spaces.

June 2010

RMA-Appendix III

10

THIRD-PARTY INFORMATION - The appropriate information to identify the reason for the funds
transfer should be provided by the agency to the depositor. The originator to Beneficiary
Information field tag "OBI-" is used to signify the beginning of the free-form third-party text.
The field tag "OBI-" must be on the same line and cannot contain any spaces. The field tag is
placed following the ALC identification sequence and preceded by a space. An example of this
data line using the 8-digit ALC would be as follows:
BNF-/AC-nnnnnnnn OBI
It is important to note that the length of the third-party text depends on how close you can
place the ALC identification sequence (Field 9) to the PRODUCT CODE (Field 8). Under the
Federal Reserve System's Structured Third-Party Format, financial institutions have the ability
to place additional information fields for their own use between field 8 and field 9. Agencies
should instruct their depositors and financial institutions to limit the use of these additional
fields, and attempt to adhere to the optimum format for fields 7, 8, 9, and 10. This format
using an 8-digit ALC is as follows:
TREAS NYC/CTR/BNF-/AC-nnnnnnnn OBIThe optimum format, shown above will allow 219 character positions of information following the
"OBI-" indicator. The information that is constant for all agencies is shown in the Funds
Transfer Deposit Message Format within this appendix. This includes the RECEIVER-DFI# (FIELD
1), the RECEIVER-DFI-NAME (FIELD 7) and the PRODUCT CODE (FIELD 8). In addition to these
constant fields, the agency must provide fields 9 and 10 to their depositors and the depositor
must provide field 5 to the sending financial institution.
The depositor should inform the financial institution that sends the funds transfers to Treasury
to use due care and ensure that all information is provided in the prescribed format. Failure
to provide the information in the prescribed format may cause a delay in the notification of the
funds transfer to the agency.
A sample of a funds transfer deposit message to Treasury is included within this appendix.

021030004
(3)

(2)
(4)

(5)

(6)
/

(7)

(8)

TREAS
NYC/CTR/
(9)
BNF-/AC-nnnnnnnn
OBI(10)

June 2010

RMA-Appendix III

ESCROW REGISTER
REINSURED COMPANY NAME
ESCROW ACCOUNT #99999
01/01/XXXX HH:MM

Total Requested Amount
Previous Requested Amount
Receivable Amount
Payment Amount

State
02
02
02
02
02

Policy
Issuing
Company
500
500
500
500
500

Policy
Number
123456
234567
345678
456789
678901

Name
Producer
Producer
Producer
Producer
Producer

1
2
3
4
5

Claim
Number
1111
2222
3333
4444
5555

Requested
Amount
1,000.00
2,000.00
3,000.00
4,000.00
5,000.00

21,000.00
.00
.00
21,000.00

Previous
Amount
0.00
0.00
0.00
0.00
0.00

Previous Y-T-D YYYY Total
Reinsurance Year YYYY Total
Cumulative Y-T-D Total

02

500

456789

Producer 6

6666

6,000.00

74,000.00
15,000.00
89,000.00

0.00

Previous Y-T-D YYYY(+1)Total10,000.00
Reinsurance Year YYYY(+1)Total
Cumulative Y-T-D Total

June 2010

RMA-Appendix III

Payable
Amount
1,000.00
2,000.00
3,000.00
4,000.00
5,000.00

6,000.00

6,000.00
16,000.00

ESCROW REGISTER
REINSURED COMPANY NAME
ESCROW ACCOUNT #99999
MM/DD/YYYY HH:MM

June 2010

Total Requested Amount
Previous Requested Amount
Receivable Amount
Payment Amount

21,000.00
.00
.00
21,000.00

Previous Y-T-D Total
Reinsurance Year YYYY Total
Cumulative Y-T-D Total

74,000.00
15,000.00
89,000.00

Previous Y-T-D Total
Reinsurance Year YYYY(+1)Total
Cumulative Y-T-D Total

10,000.00
6,000.00
16,000.00

RMA-Appendix III

FCIC LIVESTOCK SETTLEMENT REPORT
REINSURANCE YEAR - YYYY
MONTHLY

RO XX
Reinsurance Company Name
C/O MGA
CURRENT DATE: MM/DD/YYYY

HH.MM.SS

PAGE: 1
LRCP001-C

CUTOFF DATE: MM/DD/YYYY

===================================================================================================================================
PREMIUM
SUBSIDY
LOSSES
LIVESTOCK

9,999,999

999,999

999,999

===================================================================================================================================
DUE COMPANY
999,999.99
999,999.99
999,999.99
999,999.99

NET A & O SUBSIDY (99.9%)
COMPANY PREVIOUS PAYMENT
FCIC INTEREST PAID
ADJUSTMENTS DUE COMPANY
FCIC PREVIOUS PAYMENT
FCIC INTEREST /PENALTY
ADJUSTMENTS DUE FCIC
LIVESTOCK SETTLEMENT
SUBTOTAL
BALANCE DUE COMPANY/FCIC

999,999.99
999,999.99
999,999.99

DUE FCIC

999,999.99
999,999.99
999,999.99
999,999.99
999,999.99
999,999.99

===================================================================================================================================
CERTIFIED CORRECT

______________________________

_______________________________

______________________________

NAME

TITLE

DATE

NOTE:

ANY FALSE CERTIFICATION MADE TO THE CORPORATION MAY SUBJECT THE MAKER TO CRIMINAL AND CIVIL PENALTIES AS PROVIDED

IN 18 U.S.C. 287,1001; 31 U.S.C. 3729 AND 3730

June 2010

RMA-Appendix III
9-1

FCIC LIVESTOCK DETAIL REPORT
REINSURANCE YEAR - YYYY
MONTHLY

RO XX
Reinsurance Company Name
C/O MGA.

PAGE:1
LADR001

CURRENT DATE: MM/DD/YYYY HH.MM.SS
CUTOFF DATE: MM/DD/YYYY
==================================================================================================================================
CROP
ST
CO
POLICY
YR
NAME
PREMIUM
SUBSIDY
LOSSES
==================================================================================================================================
XX
XX
XX
XX
XX
XX
XX
XX
XX
XX
XX
XX

999
999
999
999
999
999
999
999
999
999
999
999

TOTAL

June 2010

999999
999999
999999
999999
999999
999999
999999
999999
999999
999999
999999
999999

YYYY
YYYY
YYYY
YYYY
YYYY
YYYY
YYYY
YYYY
YYYY
YYYY
YYYY
YYYY

DOE,
DOE,
DOE,
DOE,
DOE,
DOE,
DOE,
DOE,
DOE,
DOE,
DOE,
DOE,

J
JO
JON
JOHN
JESS
SALLY
JAN
JANE
JODY
RICH
JACK
BOB

6,613
13,092
3,394
8,626
1,008
4,270
1,762
3,304
2,664
2,121
707
8,354

3,637
7,725
2,002
5,089
554
2,518
1,040
1,949
1,572
1,251
417
4,930

0
0
0
0
0
0
0
0
0
0
0
0

55,915

32,684

0

RMA-Appendix III
9-2

LIVESTOCK SETTLEMENT REPORT
REINSURANCE YEAR YYYY

RO XX
Reinsurance Company Name
C/O MGA
CURRENT DATE: MM/DD/YYYY
FUND

HH.MM.SS

PAGE
1
LIVPRT01

CUTOFF DATE: MM/DD/YYYY
TOTAL
PREMIUM

PRODUCER
PREMIUM

SUBSIDY

LOSSES

LOSS
RATIO

GAIN
LOSS

COMMERCIAL LRP
9,999,999
9,999,999
999,999
999,999
41.1
COMMERCIAL LGM
.0
PRIVATE MARKET LRP
.0
PRIVATE MARKET LGM
.0
********************************************************************************************************************************
NET BOOK TOTALS
9,999,999
9,999,999
999,999
999,999
41.1
COMMERCIAL
9,999,999
9,999,999
999,999
999,999
41.1
PRIVATE MARKET
.0
********************************************************************************************************************************
RETAINED TOTALS
9,999,999
9,999,999
999,999
999,999
41.1
COMMERCIAL
9,999,999
9,999,999
999,999
999,999
41.1
PRIVATE MARKET
.0
********************************************************************************************************************************
COMPANY SHARE AFTER STOP LOSS
9,999,999
9,999,999
999,999
999,999
41.1
999,999
COMMERCIAL
9,999,999
9,999,999
999,999
999,999
41.1
PRIVATE MARKET
.0
********************************************************************************************************************************
FCIC SHARE
9,999,999
9,999,999
999,999
999,999
41.1
DUE COMPANY
DUE FCIC
SUBSIDY
999,999
LOSSES DUE FROM FCIC
999
PREMIUM DUE FCIC
9,999
REINSURANCE PREMIUM DUE FCIC
99,999
********************************************************************************************************************************
SUBTOTAL
999,999
99,999
********************************************************************************************************************************
LIVESTOCK ADJUSTMENT
999,999

June 2010

RMA-Appendix III
9-3

FCIC STATE LIVESTOCK REIMBURSEMENT REPORT
REINSURANCE YEAR YYYY

RO XX
Reinsurance Company Name
C/O MGA

PAGE
1
LINS002

CURRENT DATE: MM/DD/YYYY HH.MM.SS
CUTOFF DATE: MM/DD/YYYY
===================================================================================================================================
RATE
REIMBURSE
TOTAL
REIMBURSEMENT
ST
CHG
RATE
PREMIUM
AMOUNT
===================================================================================================================================
XX
XX
XX
XX
XX
XX
XX
XX
XX
XX
XX
XX
XX
TOTAL

June 2010

.9999
.9999
.9999
.9999
.9999
.9999
.9999
.9999
.9999
.9999
.9999
.9999
.9999

999,999
999,999
999,999
999,999
999,999
999,999
999,999
999,999
999,999
999,999
999,999
999,999
999,999

99,999.99
99,999.99
99,999.99
99,999.99
99,999.99
99,999.99
99,999.99
99,999.99
99,999.99
99,999.99
99,999.99
99,999.99
99,999.99

9,999,999

999,999.99

RMA-Appendix III
9-4

June 2010

RMA-Appendix III