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pdfUnited States
Department of
Agriculture
Federal Crop
Insurance
Corporation
RISK MANAGEMENT
AGENCY Appendix III to the
Standard Reinsurance
Agreement and the Livestock
Price Reinsurance Agreement
Risk Management
Agency
2021 REINSURANCE YEAR
Product Analysis
and Accounting
Division
APPENDIX III
July 1, 2020
RISK MANAGEMENT AGENCY
KANSAS CITY, MO
TITLE: RISK MANAGEMENT AGENCY
Appendix III to the Standard Reinsurance
Agreement and the Livestock Price
Reinsurance Agreement
NUMBER: APPENDIX III TO THE
STANDARD REINSURANCE AGREEMENT
EFFECTIVE DATE: July 1, 2020
ISSUE DATE: July 1, 2020
SUBJECT:
OPI: Product Analysis and Accounting Division
Provides the standards, instructions and
APPROVED: July 1, 2020
information for reporting Approved
Insurance Provider (AIP) data to the Risk
Management Agency/Federal Crop Insurance
Corporation
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
1 General Information .............................................................................................................................1
2 Responsibilities ...................................................................................................................................8
3 System Overview ..............................................................................................................................12
4 – 10 (Reserved) ...................................................................................................................................14
PART 2 PASS Submissions, Telecommunications, and Processing Considerations .........................15
11 PASS Submission Requirements ....................................................................................................15
12 Telecommunications .......................................................................................................................33
13 Processing Considerations ...............................................................................................................36
14 PASS Reports ..................................................................................................................................61
15 – 20 (Reserved) .................................................................................................................................62
PART 3 Accounting .................................................................................................................................63
21 Reimbursement of Losses ...............................................................................................................63
22 Accounting Processing Considerations ...........................................................................................71
23 AIP Accounting Responsibilities ....................................................................................................78
24 Accounting Reports .........................................................................................................................81
25 Recon Reduction on PASS-Calculated Values and Summary Book of Business Discrepancies ...87
26 Standards for Write-off of Established Debts .................................................................................88
27 Late Payment of Debt ........................................................................................................................93
28 – 30 (Reserved) .................................................................................................................................94
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RMA-Appendix III
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TABLE OF CONTENTS
PART 4 Actuarial Change Request Submission and Processing ........................................................95
31 General Information ........................................................................................................................95
32 Responsibilities ...............................................................................................................................96
33 System Overview ............................................................................................................................98
34 General Site Access .........................................................................................................................99
35 Actuarial Change Request Submission Requirements ..................................................................100
36 Electronic Request Submission Processing Considerations ..........................................................103
37 ROE Reports .................................................................................................................................108
38 ICE Reference Tables Specific to Actuarial Change Request Processing ....................................108
39 WA ADM/ICE Record Retrieval ..................................................................................................109
40 WA ADM/ICE Records – Formats and Content ...........................................................................110
41 Content of Daily Versus Year to Date Releases ...........................................................................115
42 Identifying Active Written Agreement Offers ..............................................................................116
43 Written Agreement PASS Reporting ............................................................................................118
44 WA ADM/ICE Date for Multi-Year Written Agreements .............................................................120
45 – 50 (Reserved) ...............................................................................................................................121
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RMA-Appendix III
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Exhibits
1
FCIC Settlement Reports
FCIC Operations Report RCP001................................................................................. 1-1
FCIC Installment Report INS001 ................................................................................. 1-3
A&O Rate Group by Insurance Plan ............................................................................ 1-4
FCIC Adjustment Detail Report ADJ001 ..................................................................... 1-5
FCIC Detail Accounting Report (Excluding CAT) ADR001 ....................................... 1-6
FCIC Detail Accounting Report (Excluding CAT) ADR002 ....................................... 1-7
FCIC Detail Accounting Report (Excluding CAT) Grand Totals ADR003 ................ 1-8
FCIC Detail Accounting Report ADR004 .................................................................... 1-9
P/CR Memo Reject Listing PCR001 .......................................................................... 1-10
Interest Calculation Examples .................................................................................... 1-11
CAT Conservation Compliance Report CCC001 ....................................................... 1-12
CAT Conservation Compliance Report by Billing Date CCC002 ............................. 1-13
2
Administrative Fee Reports
FCIC Administrative Fee Report FEE001 .................................................................... 2-1
CAT Coverage Fees Reinsured Company Detailed Report CFE001 ........................... 2-2
CAT Coverage Fees (Excluding Buy ups) State Totals CFE002 ................................. 2-3
CAT Fee Receivable Report CFE003 ........................................................................... 2-4
Additional Coverage Administrative Fee Summary Report ACA001 ......................... 2-5
3
Reinsurance Run
FCIC Reinsurance Run RO Recap REIPRT02 ............................................................. 3-1
FCIC Reinsurance Run State Recap REIPRT01 .......................................................... 3-2
4
Reconciliation Reports
Summary Book of Business for Recon Reduction REC002......................................... 4-1
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5
FCIC Administrative Reduction Reports
Administrative Reduction Report Late Reported Reduction LRR001 ......................... 5-1
Administrative Reduction Report LRR002 .................................................................. 5-2
6
Premium Due Worksheets
Premium Due Worksheet PDW001 .............................................................................. 6-1
Premium Due Worksheet Example ............................................................................... 6-2
Premium Due Worksheet Deferred Example ............................................................... 6-3
MPCI Premium Due Report PDR001 ........................................................................... 6-4
Premium Due Without Payments Worksheet PDW002 ............................................... 6-5
Premium Due Without Payments Worksheet Example ............................................... 6-6
MPCI Premium Due Without Payments PDR002 ........................................................ 6-7
7
Instruction Guide for Funds Transfer ....................................................................................... 7-1
8
Escrow
Escrow Register Detail ................................................................................................. 8-1
Escrow Register Summary............................................................................................ 8-2
Escrow Register Raw Data File Elements and Length ................................................. 8-3
Escrow Bank Reconciliation Report ............................................................................. 8-4
9
RAS Summary Reports –Livestock
FCIC Livestock Operation Report LRCP001 ............................................................... 9-1
FCIC Livestock Detail Report LADR001 .................................................................... 9-2
Livestock Settlement Report LIVPRT01 ...................................................................... 9-3
State Livestock Reimbursement Report LINS002 ........................................................ 9-4
10
2021 Administrative Fee Schedule ......................................................................................... 10-0
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RMA-Appendix III
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TABLE OF CONTENTS
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
CIMS Request Record – Type C05 .......................................................................................... 5-0
CIMS Status Codes Exhibit ..................................................................................................... 5-1
09
Fund Designation Record – Type P09 ...................................................................................... 9-0
Fund Designation Guidelines Exhibit ....................................................................................... 9-1
10
Policy Producer – Type P10 ................................................................................................... 10-0
Policy Producer Address – Type P10A ................................................................................... 10A
Policy Producer Other Person – Type P10B………………………………………………… 10B
Entity ID Type Table ............................................................................................................. 10-1
11
Acreage Record – Type P11 ................................................................................................... 11-0
Acreage Commodity Record – Type P11A ............................................................................. 11A
Non Premium Acreage Reporting Requirements Exhibit....................................................... 11-1
Commodity Processing Flow Diagram Exhibit ...................................................................... 11-2
Prevented Planting Guarantee Adjustment Factor Exhibit ………………………………… 11-5
Acreage Report Acceptance Dates Exhibit ............................................................................ 11-6
Seed Cycle Code Exhibit ....................................................................................................... 11-7
Price Election Amount Rounding .......................................................................................... 11-8
Plan 01-02-03 Premium Calculation ...................................................................................... 11-1
Plan 04-05-06-13-14 Premium Calculation ........................................................................... 11-2
Plan 40 Premium Calculation ................................................................................................ 11-3
Plan 41 Premium Calculation ……………………………………………………………… 11-4
Plan 47 Premium Calculation ……………………………………………………………… 11-5
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Plan 50 Premium Calculation ……………………………………………………………… 11-6
Plan 51 Premium Calculation ……………………………………………………………… 11-7
Plan 55 Premium Calculation ……………………………………………………………… 11-8
Plan 90 Premium Calculation ……………………………………………………………… 11-9
Plan 31-32-33 Premium Calculation ……………………………………………………… 11-11
Plan 35-36 Premium Calculation ……………………………………………………… ..... 11-12
Plan 16-17 Premium Calculation ……………………………………………………………11-13
12
Payment Record – Type P12 ……….……….………....…………………………….………12-0
13
Inventory Value Record – Type P13 …………………..…..……..…….………………….. 13-0
Nursery Insurable Plant Types Exhibit …………………………………………………….. 13-2
Non Premium Inventory Reporting Requirements Exhibit ……………………………….. . 13-3
Plan 43 Premium Calculation ……………………………………………………………… 13-1
Plan 50 Premium Calculation ……………………………………………………………… 13-2
14
Insurance in Force Record – Type P14 …………………………………………………….. 14-0
Commodities Allowing Multiple Insurance in Force P14 Records Exhibit ……………….. 14-1
Duplicate Policy Exhibit …………………………………………………………………. ... 14-2
Edits for Common Options Requirements …………………………………………………. 14-3
Commodities Not Allowing CAT Coverage Exhibit ………………………………………. 14-5
Late Reported Reason Code Usage Exhibit ………………………………………. .............. 14-6
WFRP Coverage Level Eligibility Exhibit ………………………………………. ............... 14-7
15
Yield Record – Type P15 ….…………………………………………………………..…… 15-0
Yield History Record – Type P15A ……………………………………………………….. 15A
Yield Type Master Exhibit …………………………………………………………………. 15-1
Yield Type by Commodity Exhibit ………………………………………………………… 15-2
Yield Option Code List Exhibit ……………………………………………………………. 15-3
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Yield Limitation Code Exhibit ……………………………………………………………... 15-4
Yield Indicator Code Exhibit …………………………………………………………….. ... 15-5
16 – 17 (Reserved)……………………………………………………………………… . 16-0 Thru 17-0
18
DRP Premium Record – Type P18……………………………………………………… ..... 18-0
Plan 83 Premium Calculation …………………………………………………. ................... 18-1
19
WFRP Farm Reports – Type P19……………………………………………………… ....... 19-0
WFRP Farm Reports Detail – Type P19A…………………………………………………. .. 19A
WFRP Farm Reports Sub Detail – Type P19B………………………………………............ 19B
Plan 76 Premium Calculation……………………………………………. ............................ 19-1
WFRP Diversity Factor Example…………………………………………………………….19-2
WFRP Unit of Measure Exhibit…………………………………………………………….. 19-3
WFRP Method of Establishment Exhibit………………………………………………. ...... 19-4
20
Loss Total Record – Type P20 ……………………………………………………………... 20-0
Disbursement Record – Type P20A ……………………………………………………….. . 20A
21
Production Loss Detail Record – Type P21 ………………………………………………... 21-0
Plan 01 Indemnity Calculation ……………………………………………………………... 21-1
Plan 02-03 Indemnity Calculation ………………………………………………………….. 21-2
Plan 04-05-06-13-14 Indemnity Calculation ………………………………………………. 21-3
Plan 40 Indemnity Calculation ……………………………………………………………... 21-4
Plan 41 Indemnity Calculation ……………………………………………………………... 21-5
Plan 47 Indemnity Calculation ……………………………………………………………... 21-6
Plan 50-51 Indemnity Calculation …………………………………….………………..…...21-7
Plan 55 Indemnity Calculation ……………………………………………………………... 21-8
Plan 90 Indemnity Calculation ……………………………………………………………... 21-9
Plan 31-32-33 Indemnity Calculation ................................................................................... 21-11
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Plan 35-36 Indemnity Calculation ........................................................................................ 21-12
22
Inventory Loss Detail Record – Type P22 …………………………………………………. 22-0
Plan 43 Indemnity Calculation ……………………………………………………………... 22-1
Plan 50 Indemnity Calculation ……………………………………………………………... 22-2
23
WFRP Indemnity Record – Type P23………………………………………………………. 23
WFRP Indemnity Detail Record – Type 23A……………………………………………… 23A
Plan 76 WFRP Indemnity Calculation……………………………………………………… 23-1
24– 25 (Reserved)……………………………………………………………………… . 24-0 Thru 25-0
26
Production Reporting Record – Type P26 …………………………………………………. 26-0
27
Land Record – Type P27 ………………………………………………………………….. . 27-0
Land Other Person Sharing Record – Type P27A ………………………………………….. 27A
28
DRP Indemnity Record – Type P28……………………………………………………… ... 28-0
Plan 83 Indemnity Calculation …………………………………………………................... 28-1
29
DRP Coverage Inquiry Record – Type P29………………………………………………… 29-0
30 – 47 (Reserved)……………………………………………………………………… 30-0 Thru 47-0
48
Record Type Delete – Type P48 …………………………………………………………… 48-0
49
Policy Delete Records – Type 49…………………………………………………………… 49-0
51
Conflict of Interest Record – Type P51 ……………………………………………………. 51-0
54
Employee Record – Type P54 ……………………………………………………………… 54-0
55
Insurance Agent Record – Type P55 ………………………………………………………. 55-0
Insurance Agent Agency – Type P55A …………………………………………………….. 55A
Insurance Agent Servicing State – Type P55B ……………………………………………... 55B
56
Adjuster Record – Type P56………………………………………………………………... 56-0
57
Quality Control Reporting Record – Type P57 ...................................................................... 57-0
Quality Control Review Correction – Type P57A ................................................................... 57A
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TABLE OF CONTENTS
58
Notice of Loss Record – Type P58 ........................................................................................ 58-0
59
(Reserved) .............................................................................................................................. 59-0
60
Ineligible Producer Input Record – Type 60........................................................................... 60-0
Ineligible Transaction Flag Values Exhibit ............................................................................ 60-1
60e
Ineligible Producer Error Record – Type 60e ........................................................................60e-0
Ineligible Tracking System Error Codes................................................................................60e-1
61
Ineligible Producer Output Record – Type ............................................................................ 61-0
Ineligible Status Flag Values .................................................................................................. 61-1
62 – 64 (Reserved) ............................................................................................................ 62-0 Thru 64-0
65
CAT Fee Receivable Record .................................................................................................. 65-0
66 – 69 (Reserved) ............................................................................................................ 66-0 Thru 69-0
70
Book of Business – Type P70 ................................................................................................ 70-0
71 – 74 (Reserved) ............................................................................................................ 71-0 Thru 74-0
75
Producer Certificaiton Record ................................................................................................ 75-0
75A
Producer Certification Detail Record................................................................................... 75A-0
76 – 80 (Reserved) ............................................................................................................ 76-0 Thru 80-0
81
Policy Holder Tracking Experience Inquiry – Type P81 Output Format ............................... 81-0
82 – 89 (Reserved) ............................................................................................................ 82-0 Thru 89-0
90
Batch Summary Statistics – Type P90 .................................................................................... 90-0
Batch Summary Record Counts – Type P90A ........................................................................ 90A
Batch Summary Rule Counts – Type P90B............................................................................. 90B
91
Duplicate Policy – Type P91 .................................................................................................. 91-0
94
Producer History ..................................................................................................................... 94-0
97
Data Flow Diagram ................................................................................................................. 97-0
98
Unknown Record Type – Type P98Z ..................................................................................... 98-0
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TABLE OF CONTENTS
99
Exception Record – Type P99Z .............................................................................................. 99-0
99A
Commodity Type Exhibit – Type P99A ............................................................................. 99A-0
99D
Abbreviations – Type P99D................................................................................................ 99D-0
99E
FIPS State Code – Type P99E .............................................................................................. 99E-0
99F1 Insurance Plan Codes List – Type P99F1 ........................................................................... 99F1-0
99F2 Insurance Plan Code List Conversion – Type P99F2 ......................................................... 99F2-0
100
Weekly Transaction Cut-off Dates ……………………………………………………….. 100-1
101
Fund Cutoff and LRR Dates ……………………………………………………………… 101-1
102
Acronyms …………………………………………………………………………………..102-1
103
ICE File Crosswalk ………………………………………………………………………. . 103-0
104
Common land Unit (CLU) Rules…………………………………………………………...104-0
105
CLU AIP File Geodatabase Schema………………………………………………………...105-0
106
Resource Land Unit (RLU) Rules…………………………………………………………...106-0
107 – 109 (Reserved) ..................................................................................................... 107-0 Thru 109-0
eDAS Exhibits
111
Reserved…………………………………………………………………………………… 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
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TABLE OF CONTENTS
123
Reserved ................................................................................................................................ 123-0
124
Payment……………………………………………………………………………………. 124-0
126
SBI…………………………………………………………………………………………. 126-0
130
Livestock Fund...................................................................................................................... 130-0
131
Reserved ............................................................................................................................... 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
Reserved ................................................................................................................................ 151-0
ROE Exhibits
201
ROE - Actuarial Change Request Processing Flow ........................................................... 201-0
202
ROE - Relationship between R – Record Flat Files .......................................................... 202-0
203
ROE - Impact of Nine Hour Delay on Release of Written Agreement Documents and .. 203-0
WA ADM/ICE Data
204
ROE - Relationship between Exception Request Status and Exception Request Release 204-0
Reason ID
205
ROE - Validation of Legals Associated with Written Agreement Using Land Level Code 205-0
206
ROE - Relationship Between the Land Level Code and Land Description Table ............ 206-0
207 – 211 (Reserved) .................................................................................................... 207-0 Thru 211-0
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RMA-Appendix III
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TABLE OF CONTENTS
ROE Record Descriptors (Note ROE 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.)
R10
Exception Request Producer - R10 .…………………………….………………………..R10-0
Exception Request Producer Address - R10A ................................................................... R10A
Exception Request Producer Other Person - R10B ........................................................... R10B
R15
Exception Request Yield - R15..........................................................................................R15-0
Exception Request Yield History - R15A.......................................................................... R15A
R27
Exception Request Legal - R27 .........................................................................................R27-0
Exception Request Others Sharing - R27A ....................................................................... R27A
R35
Exception Request - R35 ...................................................................................................R35-0
R36
Exception Request AIP Field Office - R36........................................................................R36-0
R37
Exception Request Commodity - R37 ...............................................................................R37-0
Exception Request Commodity Land Yield - R37A ......................................................... R37A
R40
Program Performance Assessment - R40 ..........................................................................R40-0
R41
PPA AIP Field Office - R41 ..............................................................................................R41-0
R90A
Batch Summary Record Counts – Type R90A ............................................................. R90A
R90B
Batch Summary Rule Counts – Type R90B .................................................................. R90B
R98Z
Unknown Record Type – Type R98Z............................................................................ R98Z
R99Z
Exception Record – Type R99Z .................................................................................... R99Z
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RMA-Appendix III
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PART 1
General Information and Responsibilities
PART 1
General Information and Responsibilities
1. General Information
A. Purpose and Objective
RMA relies on information provided by the AIP, third-party affiliates, and 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, and
•
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:
July 2020
•
Authority for program and administrative operations,
•
Origin for RMA calculation of A&O subsidy, reinsurance and risk sharing.
RMA-Appendix III
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PART 1
General Information and Responsibilities
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:
o Federal Crop Insurance Act
o System of Records Notice
o Basic provisions and endorsements
o 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
General Standards
Handbook
Crop Insurance
Handbook
Document and
Supplemental
Standards Handbook
Loss Adjustment
Standards Handbook
Written Agreement
Handbook
July 2020
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 a combination of CIH and LAM general admistrative
procedures that apply across all plans of insurance
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
RMA-Appendix III
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PART 1
General Information and Responsibilities
Related Handbooks/
Reference Material
Ineligible Handbook
Underwriting Guides
Bulletins
Other Program
Handbooks and
Standards
4-RM
Relation/Purpose
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 Late Reporting Reduction (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 provisions, and procedural changes that could not be anticipated
when the annual update was released. Revisions to Appendix III will include:
July 2020
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, and
RMA-Appendix III
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PART 1
General Information and Responsibilities
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/
Click on Policy & Procedure tab then select APPENDIX III/M13 Handbook Index
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.
July 2020
RMA-Appendix III
4
PART 1
General Information and Responsibilities
E. Implementing FISMA Information Security Standards and Guidelines
1. Company non-Federal Information Systems shall comply with the Federal Information
Security Modernization Act (FISMA) (44 U.S.C. §3541), and any Federal laws covering
Federal crop insurance information. This requirement is stated in the SRA, Section
IV(a)(4). FISMA mandates the creation of standards for Federal information and
information systems and identifies the minimum security controls that must be
implemented based on the security categorization of the system. Companies will
implement Information Security and Privacy controls at a moderate impact security
categorization level. At a minimum, AIPs will implement the Basic Security
Requirements outlined in NIST SP 800-171. NIST SP 800-171 focuses on protecting the
confidentiality of Controlled Unclassified Information (CUI) in non-Federal systems and
organizations, and recommends specific security requirements to achieve that objective.
The basic security requirements apply only to components of non-Federal systems that
process, store, or transmit CUI, or that provide security protection for such components.
2. In order to implement NIST 800-171, AIPs must conduct a self-assessment against all
110 controls, develop a system security plan (SSP) describing how the security
requirements are met, and plans of action and milestones (POA&M) on how those
unimplemented controls will be met. Self-assessments should be conducted in
accordance with NIST Handbook 162. The company shall submit to RMA documentation
that includes the SSP and any POA&Ms in accordance with the schedule listed in Table
1. The System Security Plan (SSP) Template and the Plans of Action and Milestones
(POA&M) Template are located on the RMA Public Web under the “OTHER” heading.
The deliverables listed in Table 1 are the required exhibit submissions for Appendix III,
Plan of Operations, Section IV(l)(1)(D).
Table 1. AIP Information System Security Compliance Deliverables
Deliverable
System Security Plan
Interconnection Security Agreement
Security Control Assessment (SOC2/SSAE-16)
POA&Ms
Frequency
Annually
Annually/3 yr Resign
Annually/All follow up audits
Quarterly
3. Should the company choose to obtain information technology services to support the
Federal crop insurance program from external vendors, the company shall ensure that the
information security requirements of the SRA are incorporated into any agreements.
Companies shall also document which organization (the company or the service provider)
is responsible for implementing and testing each control identified in section 2 and
provide that information to RMA.
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4. Companies not in compliance with Part 1, section E (1) above shall obtain and submit a
third party certification of Information Security and Privacy controls to RMA in order to
comply with SRA Appendix II Section IV(I)(1)(D). These certifications shall be similar
in purpose and scope to a SOC2 (Type2) or SSAE-16 report. For purposes of SRA
compliance, these reports will be accepted by RMA until companies are in compliance
with Section 2 above.
5. Companies who require a dedicated connection to RMA information technology systems
(for example, a Virtual Private Network (VPN)) must enter into an Interconnection
Security Agreement (ISA). A system interconnection is defined as the direct connection
of two or more IT systems for the purpose of sharing data and other information
resources. The ISA will be documented in accordance with NIST SP 800-47, Security
Guide for Interconnecting Information Technology Systems. This document shall be
reviewed annually, at a minimum, and re-signed every third year. Companies that use
service providers must ensure the service providers enter into an ISA with RMA. The
Interconnection Security Agreement (ISA) Template is located on the RMA Public Web
under the “OTHER” heading.
6. New FISMA Terms
a. Interconnection Security Agreement (ISA): An agreement established between
the organizations that own and operate connected IT systems to document the
technical requirements of the interconnection. The ISA also supports a
Memorandum of Understanding or Agreement (MOU/A) between the
organizations.
b. Plans of Action and Milestones (POA&M): A document that identifies tasks
needing to be accomplished. It details resources required to accomplish the
elements of the plan, any milestones in meeting the tasks, and scheduled
completion dates for the milestones.
c. System Security Plan: Formal document that provides an overview of the
security requirements for the information system and describes the security
controls in place or planned for meeting those requirements.
d. Security Control Assessment: The testing and/or evaluation of the management,
operational, and technical security controls in an information system to determine
the extent to which the controls are implemented correctly, operating as intended,
and producing the desired outcome with respect to meeting the security
requirements for the system.
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General Information and Responsibilities
F. Incident Reporting
1. Suspected or confirmed loss of Controlled Unclassified Information (CUI) or Personally
Identifiable Information (PII) shall be reported to RMA within 1 hour of discovery in
accordance with the order of precedence in Table 2 below:
Order of
Precedence
#1
#2
#3
#4
Table 2. Incident Reporting Order of Precedence
Organization
Phone Number
Email
RMA IT Service Desk
RMA Security OPS Team
ASOC CIRT
USDA PII Hotline
(816) 926-1126
(816) 926-7320
(866) 905-6890
(877) PII-2-YOU
[email protected]
[email protected]
[email protected]
2. Within 24 hours after submitting an initial report, AIPs will submit an Agricultural
Security Operations Center (ASOC) Form AD 3038, ASOC PII Incident Report to the
RMA Cybersecurity Team @ [email protected]. The AIP will send updated
reports periodically until the incident is closed with ASOC. The ASOC Form AD 3038 is
located on the RMA Public Web under the “OTHER” heading.
3. New Incident Reporting Terms
a. Controlled Unclassified Information (CUI): A categorical designation that
refers to unclassified information that does not meet the standards for National
Security Classification under Executive Order 12958, as amended, but is (i)
pertinent to the national interests of the United States or to the important interests
of entities outside the Federal government, and (ii) under law or policy requires
protection from unauthorized disclosure, special handling safeguards, or
prescribed limits on exchange or dissemination. Henceforth, the designation CUI
replaces “Sensitive But Unclassified” (SBU).
b. Incident: An occurrence that actually or potentially jeopardizes the
confidentiality, integrity, or availability of an information system or the
information the system processes, stores, or transmits or that constitutes a
violation or imminent threat of violation of security policies, security procedures,
or acceptable use policies.
c. Personally Identifiable Information (PII): Any information about an individual
maintained by an agency, including (1) any information that can be used to
distinguish or trace an individual’s identity, such as name, social security number,
date and place of birth, mother’s maiden name, or biometric records; and (2) any
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other information that is linked or linkable to an individual , such as medical,
educational, financial, and employment information.
G. Multiple USDA Benefits Reporting
The Agricultural Act of 2014 included changes in Section 12305 to the Noninsured Crop
Disaster Assistance Program (NAP) administered by the Farm Service Agency (FSA).
Producers may purchase Federal reinsured crop insurance pilot policies, including FCIC
developed or privately submitted (508(h)) pilot products, and NAP coverage for the same
acreage. However, if both NAP and a Federal reinsured crop insurance policy are purchased,
producers must elect which benefit (indemnity or NAP payment) to keep as multiple benefits
for the same loss are prohibited by section 508(n) of the Federal Crop Insurance Act.
Paragraph 806, Multiple USDA Benefits and Dual Participation, of the General Standards
Handbook (FCIC-18190) provides procedural guidance pertaining to Rainfall Index Pasture,
Rangeland, Forage policies, Annual Forage, and Apiculture policies.
2. Responsibilities
The following table references the Entity, Function and Responsibilities related to submitting
and processing data through PASS, and to reporting multiple USDA benefits.
Entity
RMA
Function
Waivers &
Revisions
Responsibilities
Responsible for ensuring the AIP has met all their
responsibilities, and approval or disapproval when requesting
waiver of:
•
•
July 2020
fund designation lockdown dates/modifications to fund
designations
A&O subsidy reductions for LRR
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Entity
RMA
Function
Reporting
Responsible for:
•
•
•
•
•
•
•
•
•
•
•
•
•
RMA
Reimbursement
•
•
•
•
July 2020
Responsibilities
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
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Entity
RMA
Function
Multiple USDA
Benefits
Reporting
•
•
•
Entity
AIP
Function
Reporting
Responsibilities
Responsible for taking actions to ensure timely and accurate
data submission to FCIC, including but not limited to
submission of:
•
•
•
•
•
•
July 2020
Responsibilities
Coordinate with FSA to identify insureds who potentially
received both a Federal reinsured indemnity and NAP
payment for the same loss on the same land in the same crop
year;
Provide quarterly reports to approved insurance providers
(AIP) of the insureds who potentially received multiple
benefits. These reports will contain state, county, plan of
insurance, crop/type/practice, insured acres, full name,
address, phone number, tax identification number, and FSN
Farm/Tract/Field or Common Land Unit information when
available.
Distribute to the AIPs a list of insureds who have potentially
received benefits via RMA extranet.usda.gov.
accurate and detailed eligible crop insurance contract data
and other supporting information (e.g., COI,
Agency/Company employee, etc.) to FCIC in the format
prescribed in this Appendix
properly completed PASS error reports to DQB, 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
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General Information and Responsibilities
Entity
AIP
Function
Accounting and
Reporting
Systems
•
•
AIP
Multiple USDA
Benefits
Reporting
•
•
•
•
July 2020
Responsibilities
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 producers accounts, including timely remittance of
refunds, generally within 30 days of the financial event that
created a credit balance
Review the list of insureds who potentially received
multiple benefits and verify the insured received a Federal
reinsured indemnity for the same loss on the same land in
the same crop year;
Notify insureds who received multiple benefits that they
must: 1) either prove they did not receive both a Federal
reinsured indemnity and a NAP payment for the same crop
on the same acreage; or 2) elect which benefit to retain. This
notification shall include the following:
o Basic policyholder information;
o The gross indemnity paid, the amount of premium
paid for the policy that was indemnified, and the net
indemnity paid;
o The decision of which benefit to retain is irrevocable
and that premium is still due for the policy
regardless of whether they retain the indemnity paid
under their crop insurance policy;
o When the producer chooses to retain the NAP
benefit, the producer must complete a withdrawal of
insurance claim form, when applicable, pay any
premium due, and either forgo or pay back any
applicable indemnity payment; and
o Return the FCIC crop insurance indemnity payment
in full, within 30 days of notification from the AIP,
when the producer elects to retain the NAP benefit.
Use the current overpaid (corrected) claim processing
procedures specified in the Loss Adjustment Manual
Paragraph 1238 to process repayment of the indemnity if the
insured elects to retain the NAP benefit.
Collect receipt for service or other proof from FSA showing
the NAP payment was repaid if the insured elects to retain
the FCIC indemnity.
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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. Partial and Complete data submissions are
supported by PASS. All accepted data for the complete data submissions will
replace previously accepted data on a policy level. Accepted data for partial data
submissions initiates the “downhill delete” process. All records within the same
group and those below are deleted on the policy. Downhill delete marks all downhill
records as deleted in the PASS database.
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 systemgenerated 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 DQB provides operation support for the PASS and eDAS systems. All questions
regarding data distribution reporting and validation should be addressed to the AIP’s
DQB representative.
See Exhibit 97 for a chart displaying the flow of data from AIPs to RMA
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B. eDAS Overview
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. After performing a series of edits on the
data, an XML 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
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.
C. Web Services Overview
1. RMA is developing numerous tools using web services for transmitting data in real-time.
Each system will have specialized requirements, however it will generally be a REST
based web service using service end point to accept the given data in JSON format (or
GeoJSON) as part of the request body via HTTPS POST. After performing a series of
edits on the data, the transmission will notify the AIP of its acceptance or rejection, and if
rejected, errors will be included in the return transmission. All web services will be
optional in 2021 RY, any required system will also provide alternate solutions within the
current PASS and/or eDAS framework.
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2. Each service 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.
D. Web Service Transmission
1. Each system utilizing web services will have specialized requirements, however it will
generally be a REST based web service using service end point to accept the given data
in JSON format (or GeoJSON) as part of the request body via HTTPS POST. In general,
Client side Certificate Authentication is used. AIP needs to provide Certificate signing
Request (CSR) created for Client Authentication to RMA. RMA will sign it and send the
certificate back to AIP. AIP can reach out to RMA Web Support team – 816-926-7301
for any queries on CSR. If an AIP has already completed this step as part of one project,
this step generally does not have to be repeated for other projects uses web services
unless a different set of servers is used to communicate with RMA. Detailed parameters
for each system will be posted to the Appendix III.
4-10 (Reserved)
July 2020
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PART 2
PASS Submissions, Telecommunications, and Processing Considerations
11. 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 3,000,000 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.
b. Unless otherwise permitted by FCIC in this Appendix, the Company may not submit
estimated data for the purpose of establishing premium, liability, or indemnity.
c. “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.
d. “Transaction cutoff date” for monthly data reporting is 8:00 p.m. central time on
Friday after the first Sunday of the month.
e. 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.
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2. Companies must contact RMA prior to submitting transmission files over 3,000,000 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. All PASS files delivered by the AIPs and returned by RMA through the FTP server must be
encrypted using the Advanced Encryption Standard (AES) algorithm using 256-bit keys
(AES-256). The RMA IT Service Desk will coordinate encryption keys between RMA and
the AIPs.
4. 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:
AIP Code
Reinsurance Year
Application Code
Submit File Format
XX
2021
P
XX2021P.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
5. 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
July 2020
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.
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Zip file name does not contain the correct
AIP code
If the name of the Zip file does not
contain the AIP Code indicated in the
User ID, 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.
6. Upon completion of processing, output files are returned to the common download folder for
the AIP.
RETURN ZIP FILE
Return Zip File Name
XX2021P0003.zip
RETURN ZIP FILE CONTENTS
Processed Records File Name
XX2021P0003.txt
Exception Record File Name
XX2021P0003Exception.txt
Summary Record File Name
XX2021P0003Summary.txt
Duplicate Policy Record File Name XX2021P0003Duplicate.txt
Unknown Record File Name
XX2021P0003Unknown.txt
Beginning Farmer Rancher
XX2021P0003BeginningFarmerRancherHistory.txt
New Producer
XX2021P0003NewProducer.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
Unknown Reason Code 2
Code on the batch file name
Record Type not in list of accepted
Unknown Reason Code 3
Record Type Codes (by Reinsurance
Year)
Record has too few delimiters for the
Unknown Reason Code 4
Record Type
Record has too many delimiters for
Unknown Reason Code 5
the Record Type
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Unknown Reason Code 6
Unknown Reason Code 7
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
K
LRR, or Escrow Fund recorded as
appropriate
M
Accepted with Message(s)
R
Rejected
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W
S
Accepted with Warning(s)
Suspended
7. 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 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.
8. Data must be submitted on a reinsurance year basis. The 2021 Reinsurance Year data would
include the following crop year data:
a.
b.
c.
d.
e.
f.
2022 Avocados
2020 Raisins
2022 Citrus (Arizona, California, Florida and Texas)
2022 Florida Fruit Trees
2022 Nursery (0073 and 1010)
2021 Texas Citrus Trees and all other crops
9. All data relating to each respective Reinsurance Year must be included in the same
submission, with separate submissions required for each reinsurance year.
10. 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.
11. 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 DQB representative
for RMA review to determine if a waiver is appropriate.
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12. Fund Designation
a. 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 multiyear 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.
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.)
July 2020
iv. 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
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PASS Submissions, Telecommunications, and Processing Considerations
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.
v. 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.)
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.
2. Only category B crops (excluding Forage Production) qualify for
added-county.
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.
July 2020
vi. 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
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plan of insurance. Fund designations for policies excluded from a revenue
plan of insurance may be different than the primary/revenue plan fund
designation.
vii. 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.
b. AIPs are to notify their DQB 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.
c. Livestock price insurance contracts accepted must be designated to the Private
Market Fund within two Federal business days of the acceptance date of the
contract by FCIC.
13. Determination of LRR Transaction Cutoff Date
a. Beginning in RY 2020, Exhibit 101-1 will contains three separate reporting dates:
Fund Designation Cutoff Dates, Late Reporting Dates on Information required by
Section IV(b), paragraph (6)(A) of the SRA (i.e., P14), and Late Reporting Dates
on Information required by Section IV(b), paragraph (6)(B) of the SRA (i.e.,
P15). For purposes of Appendix III, information required by Section IV(b),
paragraph (6)(A) of the SRA will be referred to as Late Sales Reported (LSR) and
SRA information required by Section IV(b), paragraph (6)(B) will be referred to
as Late Production Reported (LPR). As a part of Exhibit 101-1 for Fund Cutoff
Dates and LSR Dates, a modified Sales Closing Date is included to accommodate
sales closing dates falling on a non-business day. PASS uses sales closing date
and modified sales closing date, when applicable. To calculate LSR and
determine fund cutoff dates, PASS will use production reporting dated to
calculate LPR.
i.
July 2020
LSR – 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. This reversion only applies to the Price
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Election, Coverage level and/or Price Indicator. The company may request a
manual change to a data element locked down by the PASS system in error by
submitting an item to the CRM Issues Log with the requested data change and
all documentation to support their request. The Data Quality representative
will review and research the request and provide the facts to the Data Quality
Branch Chief who will review the request and documentation and make a
recommendation. The recommendation will be sent to the Director of the
Reinsurance Services Division who will approve or deny the data change
request.
ii.
LPR – The Type 15 records identify data elements required for timely
reporting of an eligible crop insurance contract. The LRR Percent field is the
reduction percent for the difference of the production reporting date against
production received date.
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:
i.
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)
ii. 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.
iii. Multiple Sales Closing Dates
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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 23 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, 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 a.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:
i.
Agent,
ii.
Entity,
iii. SBI,
iv.
Policy,
v.
Crop Policy,
vi.
Reviewer (if applicable)
vii.
Premium,
viii. Fund (Livestock), and
ix. 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.
July 2020
ii. XML file limit is 2,500 records. This is the sum of agent records, employee
records, adjuster records, review records, entity records, and policy records.
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Other type of records (entity detail records, SBI records, crop policy records,
or other child sections) are not included in count. Example: a policy with
crop policy, premium, and indemnity is considered one record.
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.
i.
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
Function
Original
First Time Entry. All edits will apply
Modification
Update to an existing record. Key fields and the updated
values are required. All other fields will be ignored.
Deletion
Marks the currently accepted record as removed. Key
fields will be required for the delete. All other fields will
be ignored.
Validation
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.
Quote
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.
Retrieval
Indicates an AIP is requesting the information.
Cancel
Indicates an AIP is requesting the information to be
canceled.
Reinstate
Indicates an AIP is requesting the information be
reinstated (reverse the use of cancel (flag 8)).
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ii.
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 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
i.
There are two ways of retrieving data that has been posted to eDAS:
a. 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
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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.
Livestock (2005 and subsequent)
HTML POST/GET
https://online-livestock.rma.usda.gov/apps/edas_service/retrieve.aspx
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
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transaction_method
reinsurance_year
company
insurance_plan_cd
policy_number
id_number
location_state
location_county
agent_ssn
Method by which transaction was submitted to eDAS. Valid values are
webservice, webapp or blank.
Reinsurance year of the records desired
Company listed on the policies related to the records desired
Insurance plan listed on the crop policies related to the records desired.
Policy number of policies related to the records desired.
ID number of entity or SBI listed on policies related to the records desired
State listed on policies related to the records desired
County listed on policies related to the records desired.
Agent SSN listed on crop policies and premiums related to the records
desired.
Example:
https://trusted.rma.usda.gov/eDASService/index.aspx?start_dt=10/01/2018&end_dt=10/05/2018§
ion_name=agent,policy,crop_policy&transaction_method=webapp&reinsurance_year=2018&accepte
d_rejectedA,A,A§ion_required=Y,Y,Y&process_type=actualandinclude_warnings=Y
Will return accepted Agents and Policies with or without warnings from 10/01/2018 through
10/05/2018, where the records were submitted using the web application and the reinsurance year was
2018. 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://trusted.rma.usda.gov/eDASSService/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
endDateTime
startTransNum
endTransNum
July 2020
A DateTime object representing the start date and time that you want to
retrieve.
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.
An Integer that represents the last trans_sequence_num you want to
retrieve. 0 for all.
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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
endRecNum
for all.
sectionName
An Array of strings representing the sections you want to retrieve.
A String representing what process flags to return. “All” to return validates
processType
and actual 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)
A DateTime object representing the start date and time that you want to
startDateTime
retrieve
A DateTime object representing the end date and time that you want to
endDateTime
retrieve
An Integer that represents the first trans_sequence_num you want to
startTransNum
retrieve. 0 for all
An Integer that represents the last trans_sequence_num you want to
endTransNum
retrieve. 0 for all.
An Integer that represents the first record number you want to retrieve. 0
startRecNum
for all
An Integer that represents the last record number you want to retrieve. 0
endRecNum
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
acceptedRejected
be A – accepted, or R – rejected. “B” for both.
An Array of characters. Y meaning required, N meaning not required.
sectionRequired
Default is N.
A string indicating the method by which the transactions desired were
transactionMethod
submitted to eDAS. Valid values are webservice, webapp or blank.
A string indicating what process flags to return. “Validate for validate only
processType
records, “actual” for actual records, or “all” for all records. Default is
actual.
reinsuranceYear
An integer indicating the reinsurance year of the records desired
startRecNum
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An integer indicating the Insurance Plan listed on the crop policies related
to the records desired.
An integer indicating the company listed on the policies related to the
company
records desired.
An integer indicating the state listed on policies related to the records
locationState
desired
An integer indicating the county listed on policies related to the records
locationCounty
desired
An integer indicating the ID number of entity or SBI listed on policies
idNumber
related to the records desired
An integer indicating the Policy number of policies related to the records
policyNumber
desired
An Integer indicating the Agent SSN listed on crop policies and premiums
agentSSN
related to the records desired
A Boolean indicating whether to include or exclude XML with warnings.
includeWarnings
Use “true” to include warning and “false” to exclude warnings.
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.
insurancePlanCd
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
sendOfflineTransaction
returned to the 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
getOfflineTransactionStatus
returned if eDAS is finished. 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
getofflineTransaction
the 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
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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.
Producer Information returns the following:
• Name Record
• Address Record
• Phone Record
• E-mail Record
• Program Record
Crop Acreage Information returns the following:
•
•
•
Acreage Summary Record
Acreage Detail Record
Producer Sharing Records
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 insurance policy. The following are the
different AIP Batch Type requests:
a. Request Type P (Primary Insured Information Request):
i. Primary Insured Producer Information.
ii. Reported Spousal Only SBI Producer Information.
iii. No information returned on Non-Spousal SBIs.
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iv. Primary records are identified with PRI, Spousal records are identified with
SP1, SP2, etc.
b. Request Type S (Primary Insured and Reported SBI Producer Information Request):
i. Primary Insured Producer Information.
ii. Reported SBI’s Producer Information (All SBIs including Spousal).
iii. Primary records are identified with PRI, Spousal records are identified with
SP1, SP2, etc, and Non-Spousal SBI records are identified with SBI.
c. Request Type B (Producer and Acreage for Primary Insured Producer Request):
i. Primary Insured Producer Information.
ii.
Primary Insured Acreage Information (Request Year and Prior Year).
iii. SBI Spousal Producer Information.
iv. SBI Spousal Acreage Information (Request Year and Prior Year).
v.
No information returned on Non-Spousal SBIs.
vi. Primary records are identified with PRI, Spousal records are identified with
SP1, SP2, etc,
d. Request Type A (Acreage Only for Primary Insured Producer Request):
i. Primary Insured Acreage Information (Request Year and Prior Year).
ii. SBI Spousal Acreage Information (Request Year and Prior Year).
iii. No information returned on Non-Spousal SBIs.
iv. Primary records are identified with PRI, Spousal records are identified with
SP1, SP2, etc,
e. Request Type C (Current Year Acreage Only for Primary Insured Producer Request):
i. Primary Insured Acreage Information (Request Year).
ii. SBI Spousal Acreage Information (Request Year).
iii. No information returned on Non-Spousal SBIs.
iv. Primary records are identified with PRI, Spousal records are identified with
SP1, SP2, etc,
f. Request Type H (5 Year Historical Acreage Only for Primary Insured Producer
Request):
i. Primary Insured Acreage Information (Request Year and 4 Previous Years).
ii. SBI Spousal Acreage Information (Request Year and 4 Previous Years).
iii. No information returned on Non-Spousal SBIs.
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iv.
Primary records are identified with PRI, Spousal records are identified with
SP1, SP2, etc,
g. Request Type E (Producer and Acreage (request year and all prior years) for Primary
Insured Producer):
i. Primary Insured Producer Information.
ii. Primary Insured Acreage Information (Request Year and All Previous Years).
iii. Reported Spousal SBI’s Producer Information.
iv. SBI Spousal Acreage Information (Request Year and All Previous Years).
v.
No information returned on Non-Spousal SBIs.
vi. Primary records are identified with PRI, Spousal records are identified with
SP1, SP2, etc, and Non-Spousal SBI records are identified with SBI.
h. Request Type T (Producer and Acreage (request year and all prior years) for Primary
Insured and Reported SBIs Request):
i.
Primary Insured Producer Information.
ii. Non-Spousal Producer Information.
iii. Spousal Producer Information.
iv. Primary Insured Acreage Information (Request Year and All Previous Years).
v.
Non-Spousal Acreage Information (Request Year and All Previous Years).
vi. Spousal Insured Acreage Information (Request Year and All Previous Years).
vii. Primary records are identified with PRI, Spousal records are identified with
SP1, SP2, etc, and Non-Spousal SBI records are identified with SBI.
12 Telecommunications
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
July 2020
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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
Client workstations use FortiClient SSL VPN
Fortinet SSL VPN Client
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
An industry standard firewall capable of a Site to
Site
Site to Site VPN Connection
VPN Tunnel over the public Internet. Technical
support on the client‟s side will be the responsibility
of the AIP.
RMA will support the following IPSec
properties: Encryption algorithm = 3DES
Data Integrity = SHA1
Authentication = Pre-shared Secret (Minimum
10 digits. Alpha-numeric + special character)
Diffie-Hellman Group = 2 (1024 bit)
DO NOT support Aggressive
Mode DO support Subnets
DO use perfect forward secrecy
Re-negotiate IPSec SA every 3600 seconds
Transform = Encryption + Data Integrity = ESP
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 ISDNJuly 2020
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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. 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
July 2020
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 the AIP a user id and password that will be changed every six (6)
RMA-Appendix III
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months. For problems related to the user id or password contact RMA IT Service Desk
at [email protected].
URL’S
POST (SOAP)
Test
https://ua.trusted.rma.usda.gov/eDASService/main.asmx
Production
https://trusted.rma.usda.gov/eDASService/main.asmx
POST (W/O SOAP)
Test
https://ua.trusted.rma.usda.gov/eDASService/index.aspx
Production
https://trusted.rma.usda.gov/eDASService/index.aspx
13 Processing Considerations
A.
July 2020
PASS Processing considerations
1.
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, Location State, Policy number and Crop Year. Partial and
Complete data submissions are supported by PASS. All accepted data for the complete
data submissions will replace previously accepted data on a policy level. Accepted
data for partial data submissions initiates the “downhill delete” process. All records
within the same group and those below are deleted on the policy. Downhill delete
marks all downhill records as deleted in the PASS database.
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.
PASS Records will be available for RY 2021 Production on the following dates:
• 6/1/2020 – P10, P10A, P10B, P48, P54, P55, P55A, P55B, P75, P75A
• 7/1/2020 – P09, P14, P18, P28, P29, P49, P51
• 8/3/2020 – P15, P15A
• 9/1/2020 – P11, P11A, P12, P26, P27, P27A, P57, P57A
• 10/1/2020 – P13, P19, P19A, P19B, P20, P20A, P21, P56, P58, P70
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•
12/1/2020 – P22, P23, P23A
ROE, “R” Records can be submitted at the same time as their associated PASS
Records; Ineligible, “I” Records can be submitted anytime.
4.
Acceptable record types and specific handling considerations for PASS are as follows:
Type 5 Record
CIMS Request
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.
Type 9 Record
Fund Designation
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 Record,
10A, 10B Policy
Records
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.
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For the 2017 and subsequent Reinsurance Years, the Approved Insurance
Providers (AIPs) will be required to utilize the Internal Revenue Service (IRS) eServices Taxpayer Identification Number (TIN) matching applications to verify
the TIN for all new or transferred insurance policies. IRS e-Services users must
register to have access to web-based products that include TIN Matching
applications. To register for IRS e-Services, the AIP must visit the IRS eServices at the following link:
http://www.irs.gov/taxpros/article/0,,id=109646,00.html and follow
the directions on the website. The TIN Matching system is accessible 24 hours a
day, 7 days a week. Support services include an on-line tutorial to assist
customers with the registration, application, and TIN Matching process. IRS eServices customer assistance is available toll-free at 1-866-255-0654, 7:30 a.m.
to 7:00 p.m., EST, Monday through Friday.
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 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. P10B 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).
A Type 49 Delete record will remove the policy and all records for the policy
from RMA’s Databases and Duplicate files.
Type 11, 11A
Records Acreage,
Acreage
Commodity
July 2020
Type 11 records are used to establish premium and liability for each acreage
line.
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 records have been
accepted by the PASS. A Type 11 non premium 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
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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.
A 11A records:
•
•
•
•
Type 12 Record
Payment
AIP Policy Producer Key must match the parent primary Policy
Producer, "P10" record.
One and only one of the Annual Forage P11s must contain an 11A for
every share and subcounty code you have.
Sum of insured acres on P11A’s must equal total insured acres on P11 it
is tied to.
Planted Date is required on each P11A.
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.
When reporting CAT fee payment reversals using the Type 12 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.
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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
Inventory Value
Record
Type 13 records are used to establish premium and insurance values for Nursery
(0073), Nursery (1010), and Aquaculture (0116). A Type 13 record will 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 27 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
Insurance In Force
Record
The Type 14 record establishes the crop, county, plan code and reports the
eligible crop insurance contract data determined at Sales 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. To avoid incurring LSR , an Insurance In
Force, "P14" with the following elements must be accepted before the Late Sales
Date noted in Exhibit 101-1: AIP Code, Location State Code, Policy Number,
Commodity Code, Commodity Year, Insurance Plan Code, Location County
Code, Coverage Type Code, Late Reported Reason Code, Dual Coverage Flag,
Contract Carryover Flag, Coverage Level Percent, Price Election Percent,
Insurance Option Code and Price Indicator Code. Refer to Exhibit 14-3 for
Insurance Option Code edits.
Type 15, 15A
Records
Yield
Yield History
The Type 15 records are used to record/report APH yield information for
designated crops. To avoid LPR, an Yield Record “P15” must be accepted
before the Late Production Date noted in Exhibit 101-1.
A warning message will be issued to companies when the yield year is less than
1970.
If a Type 15 record(s) is rejected, the corresponding Type 11 record will be
rejected.
July 2020
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A Yield "P15" record, must be accepted before a Yield History "P15A" record,
will be accepted.
Type 15 and 15A records must be submitted for all crops insured the prior year.
AIPs must transmit all active APH databases to RMA, regardless of whether
such APH databases have acreage attached (CIH Part 17, Section 1, Paragraph
1701). When MY is elected, all APH databases, individual and MY summary
APH databases, must be transmitted to RMA (CIH Part 17, Section 7, Paragraph
1747).
Type 18, 28 and 29
Records
Dairy Revenue
Protection (DRP)
The Type 18 record is the collection of liability, premium, coverage level, share,
and price for Dairy Revenue protection. The Type 18 record Establishes
Quarterly Insurance Period coverage and will be used to establish information
about the quarterly insurance period and declared coverage options. Single Type
18 records for each Quarterly Coverage Endorsement written but there can be
multiple Type 18 records in effect for the same quarter. A Type 18 record is in
effect only if it has been accepted error free in PASS before Noon Central the
business day after the Sales Effective Date /Sales Closing Date. The Type 18
record will not be accepted until a corresponding Type 10 and Type 14 records
are accepted in PASS. The Type 29 record is the DRP Coverage Inquiry. It will
be submitted to RMA and will return the Total Producer Declared Production
(Type 18 record Field 28) from ALL AIPs based on the policyholder and the
Quarter matching the request. This inquiry will provide each AIP the additional
information needed to determine the covered milk production and calculate their
respective indemnities based on the milk marketing records provided by the
insured. The Type 28 record is the collection of indemnity information for Dairy
Revenue Protection.
Type 19, 19A and
19B Records
WFRP Farm
Reports
Type 19 record is used to establish premium and liability for the WFRP Farm
report. A Type 19 record will not be accepted until corresponding Type 10 and
Type 14,records have been accepted by the PASS. Type 19A provides
additional information to support the P19. Type 19B record provides additional
information to support P19 field “MPCI Liability Amount”.
Type 20, 20A Type
21, Type 22 and
Type23/Type23A
Records
The Type 21, 22 and 23 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.
July 2020
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Loss Total
Loss Line Record
Inventory Loss
Record (Nursery,
0073 & 1010, and
Aquaculture)
WFRP Indemnity
Record
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.
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 21/22/23
records. Therefore, all Type 20 and 21/22/23 records for an eligible crop
insurance contract from the transaction file will replace all Type 20 and 21/22/23
records for the eligible crop insurance contract on the Policy database.
If a Type 20, 21, 22 or 23 record is rejected, all Type 20, 21, 22 and 23 records
for the Claim Number will be rejected. If a Type 11, 13, or 19 record is rejected,
the corresponding Type 21/22/23 records for the crop are rejected, also all other
Type 21/22/23 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
21/22/23s.
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 21/22/23 records.
Type 20, 21 and 22 Processing: The Type 20 record is submitted in support of
the Payable element in the Type 21, 22 or 23 record. Type 20A records 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), and
recovery of a prior or subsequent reinsurance year premium or loss (R)
The total of any loss application code must be greater than zero.
July 2020
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One Type 21/22/23 record is submitted for each loss line. More than one Type
20 record may be submitted, if needed, to support the 21/22/23 record(s).
Type 26 Record
Production
Reporting
The Type 26 allows RMA to capture production information being reported by
the producer at a lower level than the APH database, which is required to be
established on a county/crop/unit/practice/type, and attach the production to a
specific land location, such as CLU.
Type 27, 27A
Records
Land ID
Insurance Services Informational Memorandum IS-12-002 is superseded by the
inclusion of this directive for the 2017 and subsequent reinsurance years:
Type 48 Records
Delete Records
This record deletes the following record types: P51, P54, P55, P56 and P58.
Type 49 Records
Delete Records
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.
1. Each AIP must report 100% of the total acreage for insurance plans 01,
02, 03, 04, 05, and 06 by CLU (or equivalent, e.g. RLU) on the Type 27
with the submission of the Type 11. When RMA procedure (e.g. WAH
for written agreements) requires the FN/Tract/Field to be reported, PASS
will reject acreage not reported by CLU.
2. Each AIP must report 60% of the total acreage for all other insurance
plans by CLU (or equivalent) on the Type 27 by the accounting cutoff
date in November 2021. An acre for PRF will only be counted once,
regardless of whether that same acre is insured in multiple intervals.
Acreage for prevented planting will credit towards the requirement.
Type P49 records will be processed before the first Policy Producer, "P10"
record set is processed for the batch.
Type 51 Records
Conflict of Interest
Policy Reporting
Record
July 2020
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 acceptance of this
record is dependent upon acceptance of corresponding 54 or 55 or 56 records.
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Each record must provide a response identifying a 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.
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 Records
Agency/Company
Employee Data
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”.
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.
Type 55, 55A, 55B
Record Agent
Data
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.
July 2020
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The Agent Location Directory will not display information for 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.
55B Insurance Agent Servicing State identifies servicing area for agent locator.
Type 56 Record
Loss Adjuster Data
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 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.
Type 57, 57A
Record Quality
Control Reporting
A Type 57 record must be reported within 20 business days of completing each
review required to be performed by Appendix IV.
Type 58 Record
Notice of Loss
Reporting
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
July 2020
Acceptance of the Type 57 record is dependent upon acceptance of the Type 14
record.
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policy. Multiple Type 58 records must be 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 48 record.
Type I60, I60A and
I60B Ineligible
Producer Input
Record
Type I60 records are used to submit information regarding a producer’s
ineligibility status for participation in the crop insurance program.
Type I60A records are used to submit the ineligible producer’s address.
Type I60B records are used to submit the other persons associated to the primary
ineligible I60 record.
1) Ineligible 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. Files are
collected and processed throughout the day to validate the data
submitted and outputs four types of files to the IT Output directory on
the IP server :
a) I90A – Batch Summary Record Counts,
b) I90B – Batch Summary Rule Counts
c) I98Z – ITS Unknown Reason and
d) I99Z – ITS Exception. The accepted transactions are loaded to the
Ineligible Tracking System database to initiate the period of
ineligibility.
2) For the Ineligible Producer records to be accepted, all associated records,
I60 Ineligible Producer, I60A Ineligible Producer Address, I60B
Ineligible Producer Other Person, and I65 Ineligible Policy CAT Fee
Debt, if applicable, must be accepted in the same batch.
Type I61 Ineligible
Producer Output
Record
July 2020
Type I61 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 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.
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Type I65 Ineligible
Policy CAT Fee
Debt Record
Type I65 records are submitted along with Type I60 and I60A (Ineligible
Producer) if the debt is all or partially due to unpaid CAT fees.
Type 70 Record
Type 70 records are submitted monthly by AIPs for their SBOB to reflect the
current status of the AIP Database.
Type 75, 75A
Records
Producer
Certification
The P75 and P75A records allow RMA to capture Beginning/Veteran Farmer
and Rancher application information submitted by AIPs.
Type 81 Record
Policy Holder
Tracking
Experience Inquiry
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.
For Reinsurance Year 2021, the Experience Inquiry flag will serve as a dual
purpose flag. It will be used to identify New Producers or it will generate Policy
Holder Tracking System (PHTS) input files.
New Producer/PHTS –
O - New Producer and a one year PHTS
P - New Producer and a five year PHTS
H - New Producer and a 10 year PHTS
M - New Producer and a 15 year PHTS
Y - One Year PHTS only
F - Five Year PHTS only
T - Ten Year PHTS only
X - Fourteen Year PHTS only
N – New Producer only
All of the Policy Holder Tracking System 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 for the crop/state/county contained
July 2020
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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, 11A, 13, 14, 15, 17, 18, 19, 19A, 20,
21, 21A, 22, 23, 23A, 26, 27, 28, 29, 57 and 58 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 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:
July 2020
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Agent
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 products. Records will be rejected if the
individual agent is currently disbarred or suspended.
July 2020
Employee
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’
Reviewer
The REVIEWER section (Exhibit 116) is used to record/report
reviewer information. 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.
Conflict
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.
Entity
The Entity section (Exhibit 121) is used to record/report the producer
information
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SBI
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.
Policy
The Policy section (Exhibit 122) is used to record/report the policy
number
Fund
The FUND section (Livestock, Exhibit 130) 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 Monday,
lockdown will be Wednesday at midnight. If change flag equals 3,
AIP must submit a request to Reinsurance Services Division (RSD)
for approval.
Payment
The PAYMENT section (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”.
Crop Policy
The Crop Policy section (Livestock, Exhibit 119) 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 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.
July 2020
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Premium
The PREMIUM section (Livestock, Exhibit 135-0 & 140-0) 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). 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.
Disbursement The DISBURSEMENT section (Exhibit 150) is used to record/report
disbursement information
Indemnity
The INDEMNITY section (Livestock, Exhibit 135-2 & 140-2) is
used to record/report indemnity information. Indemnity is dependent
on eDAS acceptance of agent, entity, SBI (if applicable), premium,
and reviewer (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 A. Example of XML_TEMPLATE for Livestock:
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B. Example of XML error layout:
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C. Example of XML warning layout:
D. Example of XML Disbursement with process flag 1, 2, or 3 where an Indemnity
already exists. Automatic
deletion of Indemnity is required:
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//Automatic deletion of Indemnity by eDAS
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//Any other XML sent by company for this policy
E. 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.
F.
Example of XML message layout:
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C. Ineligible Tracking System Processing Considerations
The eDAS and PASS edit processes accesses the ineligible tracking system database to validate
policy records. eDAS and 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:
Producer
Reported as
Ineligible
•
Prior Year Term Date
is the same as the Sales
Closing Date
Producer
Reported as
Ineligible
and has
Become
Eligible
•
Prior Year Term Date
is the same as the Sales
Closing Date
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Single Sales Closing Date
Prior Year Term Date
is the same as the Sales
Closing Date
Producer
with more
than one
•
•
•
•
Producer Became
Ineligible on 3/15/2021
A policy is submitted
for a crop with sales
closing date and prior
year termination date of
3/15/2021
Producer became
ineligible on 9/30/2016
Producer became
eligible on 3/16/2021
A policy is submitted
for a crop with a sales
closing date and prior
year term date of
3/15/2021
Producer became
ineligible on 9/30/2016
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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
3/15/2020, the crop policy
would have been accepted.
The policies for Crop 1 and
Crop 3 would be rejected
since the sales closing dates
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period of
ineligibility
Prior Year Term Date
is later than the Sales
Closing Date
•
•
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Producer became
eligible on 12/01/2016
• Producer became
ineligible on 2/01/2021
• Producer became
eligible on 3/15/2021
• A policy is submitted
with 3 crops:
o Crop 1 – SCD
= 10/31/2016
o Crop 2 – SCD
= 1/31/2021
o Crop 3 – SCD
= 2/28/2021
Producer insures wheat for 2020 with a
sales closing date of 9/30/2019, and a
termination date of 11/30/2020. The
AIP reports the producer to ITS with a
debt delinquency date and effective
date of ineligibility of 9/30/2020
A policy is submitted for a crop with
sales closing date of 9/30/2020
•
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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.
For policies with a sales
closing date prior to the
termination date, such policies
will terminate for the current
crop year even if insurance
attached prior to the
termination date. Termination
will be considered effective as
of the sales closing date and
no insurance will be
considered to have attached
for the crop year. The policy
would be rejected for that crop
since the prior year sales
closing date is used as the
effective ineligible date. The
prior year sales closing date is
used to determine ineligibility
in this situation because the
producer would unfairly be
allowed a policy for the next
crop year if the termination
date had been used. If the
termination date had been
used to determine ineligibility,
the producer would have no
penalty for not paying for the
prior year policy
premium/CAT fees by the
term date.
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New Eligible crop
insurance contract
Continuing eligible
crop insurance contract
•
•
•
•
Agent is Reported
as Ineligible on
9/10/2020
Agent becomes
eligible on
9/10/2022
Loss adjuster
becomes ineligible
on 12/3/2020
Loss adjuster
becomes eligible
on 12/31/2020
Multiple Sales Closing Dates
Producer
ineligible on first
SCD
Producer
ineligible on 1st
SCD
•
•
•
•
Producer eligible by
second SCD
Record for second SCD will
be accepted
Record will be rejected because producer must be
eligible on the 1st sales closing date to be eligible for the
crop for the submitted year
Agent Eligibility
Eligible crop Insurance
Contract 1 – ll Record
agent signature date =
9/8/2020
Eligible Crop Insurance
Contract 2 – 11 Record
agent signature date =
9/14/2021
•
Loss 1 – Type 21 record
loss adjuster signature date
= 12/08/2021
Loss 2 – Type 21 record
loss adjuster signature date
= 11/30/2020
•
•
Agent is eligible to write Contract 1
because the agent signature date is
prior to the ineligible date.
Agent is ineligible to write Contract 2
because the agent signature date falls
between the agent’s eligible and
ineligible dates. The 11 record would
reject.
Loss Adjuster Eligibility
•
The loss adjuster is ineligible for Loss
1 because the loss adjuster signature
date falls between the loss adjuster’s
ineligible and eligible dates.
The loss adjuster is eligible for Loss 2
because the loss adjuster signature
date is before the loss adjuster became
ineligible.
D. 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’
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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.
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.
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14 PASS Reports
PASS provides AIPs the following reports, transmission data files and reference files to assist error
resolution and status.
Reports
P99Z,
Provides transactional, financial and error statistics on each transmission.
“Exception”
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.
Weekly Reports/Files
Duplicate Report Contain eligible crop insurance contracts identified by PASS as being a
Files
duplicate. Issued on the IPSERVER every Monday at 12:00 p.m.
IPRYSUM.TXT Report file showing duplicate policy and owner policy summary information
for IP/RY
IPRYDUP.TXT Data file containing duplicate policy identification along with owner policy
information for IP/RY
IPRYOWN.TXT Data file containing owner policy identification along with duplicate policy
information for IP/RY
Weekly
Available every Monday morning. Lists of premium and indemnity by
Reconciliation
policy, with totals accepted by PASS the previous week.
Report
Written
Generated to the IP SERVER every Monday at 12:00 p.m. Each IP will be
Agreement
provided with two files. A file for their own written agreement policy data
Reports
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)
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Reference Files
Insurance Control Validation files used by PASS.
Element (ICE)
• SPOI ICE files will be released with the ADM and follow the same
Files
process as ADM data.
• PASS ICE files will be released every Monday and changes to PASS
ICE will be communicated via the PASS STATUS REPORT
• PASS ICE files may also be released in conjunction with PASS AIP
Test and AIP Production releases.
• PASS ICE files may be found on RMA’s public website at:
ftp://ftp.rma.usda.gov/pub/References/insurance_control_elements/
A crosswalk master list is included as Exhibit 103.
Common Land
Contains spatial data for the polygons of Common Land Unit areas
Unit Files
designated by a generic CLU Global Unique Identifier (clu_identifier).
Files will be released in a File Geodatabase (FGDB) format and released at a
minimum every two months.
15 – 20 Reserved
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21 Reimbursement of Losses
A. For any AIP that elects to use escrow funding:
1. RMA will fund the escrow account within three (3) business days after the loss transactions
are accepted in Escrow System;
2. Daily escrow process generates detail and summary registers in addition to the raw data file.
(See Exhibit 8);
3. Beginning with the October monthly settlement report for the reinsurance year (e.g., October
2020 will be the first accounting report for the 2021 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 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 positive
difference between the escrow funded amount and the losses validated by RMA will be
refunded monthly by the AIP to RMA.
B. 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.
C. AIPs must monitor the escrow account balance and maintain sufficient collateral coverage to
ensure 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.
D. Bank Reconciliations
In accordance with the Escrow Agreement all AIPs must submit a bank reconciliation within 20
business days after the bank statement cut-off date.
1. AIP Escrow Account Reconciliation must include the following information in a zip file on a
monthly basis:
a. Bank Reconciliation front page 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 front page must be
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submitted in PDF format, certified and signed by a company officer or other company
designated management official.
b. The entire bank reconciliation must also be submitted in the attached Excel file format
that provides details for the bank reconciliation, in-transit amounts, check register,
outstanding checks, cleared checks, voided checks, overage/shortage amounts, and
interest (as listed on the bank statement).
c. Bank Statement of AIP’s Loss-Clearing Account submitted in PDF format.
d. Bank Statement of RMA’s Escrow Account submitted in PDF format.
2. The bank reconciliation Excel file that is submitted to RMA must include the following eight
tabs:
a. Bank Reconciliation – AIPs must provide a bank reconciliation that presents the balance
per statement, escrow request in-transit totals, total debits, outstanding checks total,
interest (as listed on the bank statement), total credits, and overage/shortage total.
b. In-transit – AIPs must provide a list of all outstanding amounts that have been requested
in the current month that were not funded by RMA in the current month and that have not
been cashed by the insured. Required data: reinsurance year, state code, pic code, policy
number, claim number, and amount requested. Optional data: check number and check
date.
Criteria to determine what should be included on the In-transit Tab:
•
Check was written in the Current Month (the month of the reconciliation); and
•
The AIP request for funding was submitted to RMA in the current month; and
•
The escrow funding was not provided in the current month.
* If the check was cashed before the end of the month and funding has still not been
received then the check should be in the Overage and Shortage tab as a Shortage.
* If the check was written in a prior month and still has not been funded it should be
listed on the Overage and Shortage tab as a Shortage.
c. Check register – AIPs must provide a list of checks that were issued for the current
month of the reconciliation. Required data: reinsurance year, state code, pic code, policy
number, claim number, check number, check date, and check amount. The AIP must
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issue payment to the producer within 3 business days of submitting the request for escrow
funding to RMA.
d. Outstanding – AIPs must provide a list of all checks that have been issued up to the
bank statement date, but have not cleared the loss clearing account for the current month.
In addition, AIPs must monitor their list of outstanding checks that are approaching one
year old, please refer to paragraph 3 for procedures. Required data: reinsurance year,
state code, pic code, policy number, claim number, check number, check date, and check
amount, date notification sent to insured regarding checks approaching 1 year.
e. Cleared – AIPs must provide a list of checks that have cleared the loss clearing account
for the current month. Required data: reinsurance year, state code, pic code, policy
number, claim number, check number, check date, and check amount. Optional data:
cleared date.
f. Voids – AIPs must provide a list of checks that were voided in the current month.
Required data: reinsurance year, state code, pic code, policy number, claim number,
check number, check date, check amount, reissued (Y/N), and reissued check number(s).
Optional data: reissued check amount.
g. Overage/Shortage – AIPs must provide a list of all items considered to be
overages/shortages as of the statement cut-off date.
•
Overages consist of any amounts within the escrow account that are over and above
what is due the insured. This includes:
o Deposits from the AIP to cover amounts not yet funded by RMA,
o Downward adjustments on a funded claim for which the insured has cashed
the check and the AIP has deposited funds back into the escrow account but
has not submitted the data to RMA.
o And any other amounts within the account that are not deemed “due the
insured”.
•
Shortages consist of any amounts due the insured that have not been funded by RMA.
This includes:
o Funding that has been requested by the AIP in previous months that RMA has
not funded,
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o Checks the insured has cashed in the current month that have not been funded
by RMA,
o Downward adjustments on a funded claim for which the insured has cashed
the check and the AIP has not deposited funds back into the escrow account
but has submitted data to RMA.
•
AIPs must provide a brief explanation of all items listed on the overage/shortage tab.
The AIP must review and resolve any and all items listed in the overage and shortage
tab within 3 banking cycles. Required data: reinsurance year, state code, pic code,
policy number, claim number, amount, and a brief explanation regarding why this
item is being listed.
h. Interest – Listing of interest amounts (as listed on the bank statement) by date, please
refer to paragraph 3 for procedures. Required data: date deposited and amount.
3. Further procedures for Escrow Account Reconciliations
a. Stale dated checks contained in the Outstanding tab:
1. For each check that has been outstanding for nearly a year, AIP’s must.
i. Send a letter to the insured whose outstanding indemnity check is within 45
days of the check becoming one year old to inform the insured that the check
will be voided if it is not cashed within 45 days. The AIP must also offer to
issue a replacement check in the event the insured cannot locate the original
check. The insured must be given 45 days to either 1) cash the check, or 2)
request a replacement check.
ii. If the insured requests a replacement check the AIP should void the original
check and issue a new check.
iii. If the insured does not request a replacement check or cash the original check
within the 45 days the AIP should take the following action:
1. Void the insured’s original check.
2. Submit to FCIC a listing for all voided checks that includes the related
reinsurance year, policy number, claim number, state code, PIC code,
check number, and amount. This list must be accompanied by a payment
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reimbursing FCIC for the full amount of the listed voided checks. AIPs
must not make any changes to the loss data submitted through PASS.
3. If the insured requests a repayment after the check has been voided, the
AIP will issue a new check to the insured and submit to FCIC a manual
escrow register with the reinsurance year, state code, pic code, policy
number, claim number, and check information. FCIC will manually fund
the escrow account for the reissued check amount.
b. Interest (as listed on the bank statement) contained in the Interest tab:
AIPs are required to remit interest payments (via either Electroinic Funds Transfer or
manual check) on a monthly basis for interest amounts exceeding $10.00.
1.
Interest under $10.00 should be retained until interest accrued exceeds $10.00
before sending to RMA.
2.
Outstanding interest must be submitted on a yearly basis with the August
reconciliation, even if the $10.00 threshold has not been met.
c. Process for Depositing and Withdrawing amounts from the Escrow Account:
1. Deposits:
•
AIPs are responsible for depositing funds into the escrow account to cover
any shortages.
•
AIPs must deposit funds into the Escrow Account, not the Loss Clearing
Account.
2. Withdrawals:
•
AIPs must submit a request for funding to be withdrawn. This request
must include documentation verifying the AIP’s original deposit in
Escrow Account.
*AIP’s CANNOT withdraw AIP funded amounts without written approval from
RMA.
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d. Process for Closing an account:
AIPs and their MGAs will be notified when Escrow Accounts are to be closed. The
funds remaining in the account are returned to RMA. The following is a list of
potential situations that would require closing an Escrow Account:
1. AIP/MGA decision not to renew their SRA agreements with FCIC to sell or
deliver multi-peril crop insurance for FCIC.
2. Decision by RMA management to terminate a reinsurance agreement with a
company or an escrow agreement for non-compliance.
3. AIP/MGA decision to change banks or moves to a different location and needs to
establish a new escrow account.
4. AIP/MGA merger with another company and/or forms a new entity.
5. Decision by AIP/MGA or RMA to close an Escrow Account in order to reconcile
differences.
When it has been determined that closure of the escrow account is necessary, a letter
issued by RMA is sent to the AIP/MGA via certified (return receipt requested) mail
requiring the following actions in Section A or B be taken:
1. Section A – (Applies if closure is due to situations 1 or 2 as described above)
i. The AIP should send a letter to the policyholders offering to issue a
replacement check for all outstanding amounts on the "Loss Account" for
which funds have been deposited in the Escrow Account. The
policyholder should be given 45 days to request the replacement escrow
check. The replacement escrow check should state "Void after 90 Days."
ii. Within 30 days of notification to close the Escrow Account, the AIP/MGA
must deposit funds to cover any shortage in the account.
iii. After all replacement escrow checks have cleared, or 90 days have
elapsed, the remaining outstanding escrow checks should be voided.
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iv. Once the above tasks have been executed, notify RMA that the Escrow
Account is ready to be closed.
v. The bank will then be notified by RMA to wire any remaining funds to
RMA in a letter to be signed by the Director, Reinsurance Services
Division. The bank will be instructed to indicate on a bank statement that
this is the final statement that will be forwarded to RMA.
•
Section B - (Applies if closure is due to situations 3, 4 or 5 as described
above)
i. The AIP/MGA must open a new Escrow and Loss Clearing
Account.
ii. The AIP/MGA must collateralize the Escrow Account and work
with RMA to determine a date to transition to the new accounts.
Actions on Old Account:
iii. The AIP/MGA should send a letter to the policyholders offering to issue a
replacement check for all outstanding amounts on the Loss Clearing
Account for which funds have been deposited in the Escrow Account.
The policyholder should be given 45 days to request the replacement
escrow check. The replacement escrow check should state "Void after 90
Days."
iv. Within 30 days of notification to close the Escrow Account, the AIP/MGA
must deposit funds to cover any shortage in the account.
v. After all replacement escrow checks have cleared, or 90 days have
elapsed, the remaining outstanding escrow checks should be voided.
vi. Once the above tasks have been executed, notify RMA that the Escrow
Account is ready to be closed.
vii. The bank will then be notified by RMA to wire any remaining funds to
RMA in a letter to be signed by the Director, Reinsurance Services
Division. The bank will be instructed to indicate on a bank statement that
this is the final statement that will be forwarded to RMA.
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In both situations, the AIP/MGA is responsible for continuing to provide
monthly bank reconciliations and check registers to RMA. They shall also
provide a final bank statement and check registers for both accounts as of the
date of closure.
No collateral pledged on balances over the current RMA limit will be released
to the bank until the final draft to RMA for the balance of the account has
cleared. This would not apply if the account balance is less than the current
RMA limit.
4. All documents must be submitted electronically.
a. 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).
b. Template formats provided on the attached sample reconciliation must be followed
when submitting the escrow bank reconciliation.
c. Connect to the Windows FTP server (armgftp.rma.usda.gov). The user should have a
folder under their AIP code. The user folder will be named xx.firstname.lastname
where xx is your AIP code. The firstname and lastname will be the name associated
with the user account. You will put the documents in the Upload folder under the AIP
code\user id folder. A process will run almost instantly which will move the
documents from the Upload folder to the appropriate location for the RMA staff to
access.
5. Failure to follow the above procedures will result in RMA initiating a series of notification
letters from RMA to the AIPs.
a. The first letter notifying the AIP accounting staff of the issue.
b. The second letter will be notification to AIP management.
c. The third letter will result in a notification letter to RSD for appropriate sanctions,
including potential escrow agreement termination.
6. Available tools:
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a. RMA is providing a daily, weekly, and monthly escrow file to AIPs on the RO Server.
These files may be used to assist AIPs in their reconciliation process.
b. 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 reissued checks being submitted to RMA for a particular claim.
22. Accounting Processing Considerations
A. Accounting cutoff date for monthly data reporting is 8:00 p.m. central time on Friday after the
first Sunday of the month as defined in Paragraph 11.A.1.c.
B. Settlement Reports are generated monthly until October accounting cut-off following 5 years
from the beginning of the reinsurance year. After automation ceases, court action,
compliance, audit or investigative related finds by the Government 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.
C. Settlement reports submitted by RMA under the SRA must be certified by AIP officials as
designated in Section IV(a) of Appendix II that the information in the report is accurate.
Certification may be provided either on hard copy reports or in an electronic format such as
faxes or e-mails for 2021 and prior reinsurance years.
D. Adjustments for material monetary impact will be made for erroneous RMA rejected PASS
data which may include interest.
E. 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 generated by
RMA.
a.
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FCIC will pay the net amount due from FCIC to the AIP as reflected in the RMA
generated report, reduced or increased where appropriate, for any differences
between the reports submitted and the data validated.
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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 adjustments upon receipt
of the certified report/worksheet from the company if received by the due date for
monthly reporting.
F. Application of Paids and Loss-Credits
1. The application of paids and loss-credits is best demonstrated with the following
examples:
a. The Loss Credit must initially be applied to the Policy and crop with the
associated Claim in the following order:
i.
ii.
iii.
Unpaid Finance Charges for the crop (i.e., collection fees, interest, penalties,
etc.), then
Unpaid Administrative Fee for the crop, then
Unpaid Premium for the crop
2. After the Loss Credit has been applied to the Policy and Crop with the associated Claim
then proceed in the following manner:
a. Apply to Debt with the earliest Date of Delinquency as defined in C.F.R. 400.677.
If the debt with the earliest Date of Delinquency is not an ‘Other Amount Due’
(i.e. Overpaid Indemnities, Premium revisions after termination date, unearned
prevented planting or replant payment, etc.), then apply to any policy, any crop,
that has been billed in the following order:
i.
July 2020
Unpaid Finance Charges (i.e. collection fees, interest, penalties, etc.), then
(Note: if multiple crops have the same termination date, apply to Finance
Charges on all crops before proceeding)
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ii.
Unpaid Administrative Fee, then
(Note: if multiple crops have the same termination date, apply to
Administrative Fees on all crops before proceeding)
iii.
Unpaid Premiums
3. After the Loss Credit has been applied to all Billed crops and Other Amounts Due, then a
check for the remaining loss amount must be submitted to the producer, with two
exceptions:
a. Company has and can provide documentation stating the producer agreed to have
the unbilled amounts offset from the remaining amount of the loss.
b. The remaining loss amount is $5.00 or less. In this situation the Company will be
allowed to transfer the small credit balance to the next crop year or reinsurance
year regardless of the billing date. If a policyholder cancels their policy with the
company, an immediate refund is expected. Company must retain documentation
supporting their decision.
July 2020
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Georgia Policy Example:
Example #1
Loss Date 8/10/2021 - County 1/ Wheat - Loss $2,600
Debt Owed Information
Unpaid Interest
Unpaid Administrative Fees
Unpaid Premium
Unpaid Other Amounts Due
Bill Date
Term/Due Date
Loss Application:
1st Application:
Policy/Crop loss occurred
Policy Balance
Remaining Loss Balance:
Policies
Overpaid Indemnity
County 1/ County 1/ County 3/ County 3/ County 3/ Wheat
Wheat
Oats
Wheat
Corn
RY 2015
6.63
4.13
5.38
30.00
30.00
30.00
30.00
500.00
300.00
400.00
230.00
1,250.00
7/1/2021 7/1/2021
7/1/2020 8/15/2020
7/20/2021
9/30/2021 9/30/2021 9/30/2021 2/28/2022
8/20/2021
536.63
0.00
2,063.37
9/30/2021
nd
8/20/2021
2 Application: Debt by
Date of Delinquency
334.13
435.38
1,250.00
Policy/Debt Balances:
$0.00
0.00
0.00
Remaining Loss Balance:
43.86*
Unbilled Policy Balance:
260.00
*A check for the remaining $43.86 must be submitted to the producer unless the exemption under
22(F)(3)(a) above is met.
Example #2
08/01/2021 - $600.00 Loss on Policy # 1-Wheat
Unpaid Interest
Unpaid Fees
Unpaid Premium
Bill Date
July 2020
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
7/1/2021
7/1/2021
7/1/2021
08/15/2021
RMA-Appendix III
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1.
2.
3.
4.
5.
Accounting
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 22(F)(3)(a) is met.
Note: Each example is independent of the other.
PROPER USE OF LOSS CREDIT CODES
Example 1
•
•
•
•
•
•
Original Claim $1,250
Original Premium $600
Loss Application
o M Code $600
o E Code
$650
Corrected Claim $950
Original Premium $600
Loss Application
o M Code $600
o E Code $350
Example 2
•
•
•
•
July 2020
Original Claim $1,250
Original Premium $600
Loss Application
o M Code $600
o E Code $650
Corrected Claim $950
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•
•
Accounting
Revised Premium $550
Loss Application
o M Code $550
o E Code $400
G. Administrative Expense Reimbursement
1.
FCIC will calculate and pay A&O Subsidy in accordance with Section III of the SRA .
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.
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.
i.
For information required by Section IV(b), paragraph (6)(A) of the SRA,
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.
ii.
For information required by Section IV(b), paragraph (6)(B) of the SRA, LRR
data first passes acceptance edits 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.
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 D.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.
H. Interest Calculations
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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) of the SRA.
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 1-18).
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 119 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 6-9 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 through 66).
6. All payments are subject to post audit by FCIC.
July 2020
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23 AIP Accounting Responsibilities
A. All accounting data must be downloaded by the AIPs via telecommunications processing. The
data will be made available on a monthly basis.
B. 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)
1. 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.
C. 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.
D. 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.”
1. 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.
2. 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
July 2020
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date. At this time these fees become Federal debt and all collection efforts on the part of
the AIP shall cease.
3. 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.
a. Records regarding an unsatisfied debt pertaining to a CAT policy must be retained
indefinitely in accordance with Section IV.G.6. of the SRA.
b. 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.)
c. 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.
d. 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.
e. RMA shall take over all collection efforts of unpaid CAT fees upon termination date
and the submission of the type 60 and 65 records.
f. RMA may refer the Federal debt to Treasury for cross servicing.
E. Escrow funding and reported loss data will be reconciled on each monthly and annual
settlement report.
F. 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.
G. The AIP must enter data into the appropriate columns on the Premium Due Payment
Worksheet to indicate any increase in premium and return a signed copy of the
July 2020
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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 6-7 and 6-8).
H. 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 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. The payments will be based on Settlement Report generated by
RMA.
I. 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 provided in Exhibit 7. Information, such as agency codes, and beneficiary codes
will be provided under separate cover.
J. Annual Settlement Reports
1.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.
2.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.
3.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 paid to RMA on the Monthly Settlement Report.
4.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
July 2020
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Accounting
prior to the last automated cycle of the reinsurance year as defined in Part 11.A.1.a. of
this Appendix.
24 Accounting Reports
A. RMA provides AIPs the following data:
P/CR Memo Reject
Listing (Exhibit 110)
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
Report (Exhibit 4-1)
Reconciliation data is 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 report 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 Annual Settlement Report.
B. 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
Paid
July 2020
The Premium grand total is developed from the Premium Lines Record - Type 11
13, and P19 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
RMA-Appendix III
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Accounting
Loss-Credit
Subsidy
Losses
Cost Share
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 13, and P19.
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 wil
avoid any potential overpayments by FCIC on the Monthly/Annual Summary
Reports.
The total AGR or AGR-L Cost Share reported as additional subsidy.
C. Monthly Settlement Report (Exhibit 1-1): This report shows the grand totals of all insurance
policies carried by each AIP and provides the balance due the AIP or RMA. 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. The following is a description of each line item on the report. All line items
represent cumulative totals.
July 2020
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Accounting
Net Expense
Reimbursement
Adjustment
Net Contingency
Fund
Less Premium
Collected
Escrow
Loss Deductions
State Subsidy
Company
Previous Payment
FCIC Interest Paid
Adjustment due
Company
Net
Administrative
Fee Adjustment
Reduction Due to
Reconciliation
Report
Differences
FCIC
Interest/Penalty
Adjustment Due
FCIC
FCIC Previous
Payment
July 2020
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
1-4.
SRA Section II (10)(B), II(a)(6) Rebating Penalty, II(b)(12) Excess Premium
Penalty, IV(b)(7) Late Reported Reduction (LRR), (Exhibit 5-1), IV(h)
Compliance Penalty, and IV(j)(4) 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)
(F, R, O) - Amounts reimbursed by RMA 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.
Amount of state subsidy if applicable.
The cumulative amount of other payments received by RMA via electronic transfe
to Treasury by the AIP.
The cumulative total of all interest paid to AIPs by RMA for late payments, etc.
Amount of reimbursement by RMA to the company for litigation or other approve
expenses. This amount has to be reviewed and approved by RSD.
Net fee due RMA supported by supplemental administrative fee reports
(Exhibit 2-1).
Net reduction amount based on reconciliation reports that have a negative
financial impact to RMA (Exhibit 4-1).
Represents interest or penalty assessed against the AIP.
Any overpayments that RMA has made to the AIP.
Cumulative amount of all payments made to the AIP by RMA for the current
reinsurance year.
RMA-Appendix III
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Accounting
Escrow Funded
Represents the escrow amount the AIP has been funded. The total is summed
to one day prior to the current cutoff date of the Monthly Settlement Report.
Paid Previous
Worksheets
Amounts paid to RMA on previous worksheets.
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
Underwriting Loss with the Standard Reinsurance Agreement applicable to each respective
Reinsurance Year. The report is a summation of reinsured data displayed by fund,
state and national (grand total) levels (Exhibit 3).
Subtotal
Represents the summation of the Due Company/Due FCIC columns.
Total from Current Represents the combined totals from the Premium Due and Premium Due Without
Worksheet
Payments Worksheets (Exhibit 6-1 thru 6-7)
Balance Due AIP
(+),
Net balance due the AIP or RMA.
FCIC (-)
Represents the amount of escrow the AIP has been funded, and is reported here
Previous Escrow
when FCIC issues the funds to the AIP. The total is summed to one day prior to th
Funded
current cutoff date of the Monthly Settlement Report.
Less Drafts Issued Represents the total of all loss total type code of “E”, validated and accepted in
(Escrow)
PASS from the type 20 record.
Represents the difference between the “Previous Escrow Funded” line and the
Escrow Balance
“Less Drafts Issued (Escrow)” line.
D. 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
Net 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 (Exhibit 1-4).
July 2020
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Accounting
Net
Contingency
Fund
Premium
Collected
Loss-CR, and
Escrow
Loss
Deductions
(F, R, O)
State Subsidy
Subsidy
Additional
Subsidy
Company
Previous
Payment
FCIC Interest
Paid
Adjustments
Due Company
Net
Administrative
Fee
Adjustment
Reduction Due
to
Reconciliation
Differences
FCIC
Interest/Penalty
Adjustments
due FCIC
FCIC Previous
Payment
Escrow Funded
July 2020
SRA Section II (10)(B), II(a)(6) Rebating Penalty, II(b)(12) Excess Premium
Penalty, IV(b)(7) Late Reported Reduction (LRR), (Exhibit 5-1), IV(h)
Compliance Penalty, and IV(j)(4) Agreement Termination Penalty.
Total premium whether or not collected by the AIP.
Loss Credits (M, P) Amount of producer premium collected from the loss. Escrow
is the lesser of the “Previous Escrow Funded” or the amount of “Drafts Issued
(Escrow)”.
Amounts reimbursed by the RMA to the AIP for administrative fees (F), recovery
of previous or subsequent year premium (R), or other (O) to include interest
deductions.
Amount of State Subsidy if applicable.
Cumulative amount of all risk subsidy.
If applicable.
Cumulative amount of other payments received by RMA via electronic transfer to
the Treasury by the AIP.
Cumulative total of all interest paid to AIPs by RMA 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 fees due RMA supported by supplemental administrative fee reports (Exhibit
1-5).
Net reduction amount based on reconciliation reports that have a negative financial
impact to RMA (Exhibit 4-1).
Represents interest or penalty assessed against the AIP.
Overpayments that RMA has made to the AIP.
Cumulative amount of all payments made to the AIP by RMA for the current
reinsurance year.
Represents the escrow amount the AIP has been funded.
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Accounting
Paid Previous
Worksheets
Underwriting
Gain/Loss
Subtotal
Total from
Current
Worksheet
Amounts paid to RMA on previous 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).
Represents the summation of the Due Company/Due FCIC columns.
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).
Balance Due
AIP (+) or
FCIC (-)
The total balance due the AIP or RMA.
Escrow Funded
Represents the amount of escrow the AIP has been funded, and is reported here
when FCIC issues the funds to the AIP.
Less Drafts
Issued
(Escrow)
Escrow
Balance
Represents the total of all loss total type code of “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.
E. RAS Summary Reports for Livestock (Exhibit 9): 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 RMA.
Monthly Livestock
Settlement Report
(LRCP001)
Net A&O Subsidy
Company Previous
Payment
FCIC Interest Paid
Adjustments due
Company
July 2020
The grand totals of all insurance policies carried by each AIP and provides
the balance due the AIP or RMA. Following is a description of how
Livestock will be reflected on the Monthly Livestock Settlement Report
(Exhibit 9-1).
Administrative and Operating Subsidy per the LPRA.
Cumulative amount of other payments received by RMA via electronic
transfer to Treasury by the AIP.
Cumulative total of all interest paid to AIPs by RMA for late payments.
Litigation or other approved expense owed the AIP.
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Accounting
FCIC Previous Payment
FCIC Interest/Penalty
Adjustments Due FCIC
Livestock Settlement
Balance Due
Company/FCIC
Cumulative total of all “Balance Due Company” amounts from all prior
months reports.
Interest or Penalty assessed against the AIP.
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
25 Recon Reduction on PASS-Calculated Values and Summary Book of Business Discrepancies
A. The recon reduction due calculation will start in October following the reinsurance year and
continue until data processing ceases for the reinsurance year. RMA must receive the AIP’s
Book of Business by noon on Monday following the accounting cutoff. If RMA does not receive
the Book of Business by the deadline, the previous file received from the AIP will be used for
calculations. The discrepancy report will be used to calculate the recon reduction due on the
settlement report for the negative financial impact.
B. The AIP will submit a book of business for premium by State level monthly as of accounting
cutoff, until data processing ceases. PASS accepted premium data will be compared to the AIP’s
Book of Business by State level. The recon reduction amount will calculate the negative
financial impact.
C. The AIP will submit a book of business for losses by State level monthly as of accounting cutoff,
until data processing ceases. PASS accepted loss data will be compared to the AIP’s Book of
Business by State level. The recon reduction amount will calculate the negative financial impact.
D. The Book of Business for Recon Reduction Report will summarize the recon reduction amount
due on the settlement report for the negative financial impact to FCIC. (Exhibit 4-1)
Example of PASS Full Book Premium Calculation
Producer Premium
July 2020
70 Record
for AIP
Submission
PASS
Accepted
Recon
Reduction
Impact
Comments
$9,000.00
$8,000.00
$1,000.00
Negative Financial Impact to
FCIC is $1,000.00 because
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$5,000.00
$6,000.00
$150.00
producer premium has not
been accepted.
Negative Financial Impact to
FCIC is $150.00 for A&O
because downward
adjustment has not been
accepted.
The example is based on an assumption the Producer Premium is Due and the average
A&O is 15%.
Example of PASS Full Book Loss Calculation
Loss
70 Record
for AIP
Submission
PASS
Accepted
Recon
Reduction
Impact
$2,000.00
$3,000.00
$1,000.00
Comments
Difference between AIP Full
Book and PASS Accepted.
26 Standards for Write-off of Established Debts
A. General Information:
The following establishes the Risk Management Agency (RMA) approved standard operating
procedures for write-off of established debt to be used in administering policies reinsured
under the Standard Reinsurance Agreement (SRA). However, this standard only applies to:
a) debt write-off to retain or reinstate eligibility where the costs of collections exceed the
amount recoverable; and b) debt write-off as a result of PASS revisions occurring after the
billing date. It is not the intent of this standard to address all potential debt write-off
situations that may be allowed by the policy, FCIC procedures, or other provisions of the
SRA, such as write-offs of debt arising from arbitration, mediation, litigation, or USDA
National Appeals Division (NAD) decisions.
In establishing these standards for write-off of established debt, RMA took into consideration
the following sections from the Code of Federal Regulation:
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•
•
7 CFR Part 457.8 Section (24) (c), “All amounts paid will be applied first to expenses of
collection (see subsection (d) of this section) if any, second to the reduction of accrued
interest, and then to the reduction of the principal balance”
31 CFR Part 903.3 Section (3) Allows for the “Termination of collection activity when
the costs of collections are anticipated to exceed the amount recoverable”.
RMA has determined that $50 is the cost of collections that exceed the amount recoverable
allowed under 31 CFR Part 457.8 above. Henceforth, after Approved Insurance Providers
(AIPs) apply all payments in accordance with 7 CFR Part 457.8 above, AIPs have the
latitude to write-off balances equal to or less than $50 for the Eligible Crop Insurance
Contract, as indicated below.
This standard provides AIPs consistent, fair and equitable treatment of producers with
respect to write-off of established debt. While AIPs are not obligated to write-off any debt,
AIPs must, to the extent practical, apply these procedures consistently among all reinsured
policies.
AIPs must retain documentation supporting their decision to write off any debt, which must
include the Producer/Policy/Crop information, amount of write-off, and the write-off
justification. Records of debt write-off decisions may be kept electronically, and any writeoff justification notation may be a reference to the AIP’s established debt write-off standard
operating procedures.
B. Debt Write-Off to Retain or Reinstate Eligibility:
CAT Fees: All CAT Fees must be collected in full to retain or reinstate eligibility. There is
no write-off tolerance for CAT fees. However, Interest accrued on CAT Fees prior to the
termination date may be written off in accordance with Procedural or Situational Write-offs.
Interest accrued on CAT fees that are not paid by the termination date must be written-off by
the AIP when the producer is reported to ITS and debt collection is transferred to RMA.
1. Procedural Write-offs:
The following guidelines provide AIPs consistent, fair and equitable treatment of
producers with respect to Procedural Write-offs:
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I.
Debt Write-off to Retain Eligibility: AIP’s may cease collection of small
monetary balances and write-off such amounts prior to the termination date
provided they verify the following:
i.
ii.
iii.
A billing statement was provided to the insured;
The producer made a concerted effort to pay the amount due according to
what was shown on the billing statement; and
Unpaid balance is equal to or less than $50.
In situations that meet the above criteria, an AIP may write-off the balance of $50
or less and consider the policy paid in full allowing the producer to retain their
eligibility and continue participation in the Federal Crop Insurance Program.
II.
Debt Write-off to Reinstate Eligibility: AIP’s may cease collection of small
monetary balances and write-off such amounts and reinstate producers previously
reported as “ineligible” provided they verify the following:
i.
ii.
iii.
Proper due process has been provided to the producer;
The Producer made a concerted effort to pay the amount due according
to what was billed and/or based on information received from the AIP;
and
Unpaid balance is equal to or less than $50.
In situations that meet the above criteria, an AIP may write-off the balance
of $50 or less and consider the policy paid in full allowing reinstatement
of the producer’s eligibility and participation in the Federal Crop
Insurance program.
2. Situational Write-offs:
The following guidelines provide AIPs consistent, fair and equitable treatment of
producers with respect to Situational Write-offs:
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I.
Debt Interest Write-off: AIP systems accrue and post interest on the 1st of the
month following the initial Bill Date provided a minimum of 30 days have passed
from the first billing date as required in the basic provisions and/or SPOI. In
many situations producers pay the amount they have been billed, but the payment
is not received and/or posted until a few days following the 1st of the month. In
these situations, AIPs may cease collection and waive interest on such amounts
accrued prior to the termination date provided the following has occurred:
i.
ii.
iii.
iv.
v.
A billing statement was provided to the insured;
AIP has determined that the producer made a concerted effort to pay
the amount due according to what was shown on the billing statement;
AIP has determined that payment was postmarked on or before the
actual due date or was received within 10 business days of the actual
due date when the actual due date is earlier than the termination date
(Note: there is no additional time provided when the actual due date is
on or after the termination date); and either
Any unpaid balance directly coincides to the most recent month’s
accrued interest; or
Any unpaid balance directly coincides to the cumulative interest which
is equal to or less than $50.
In situations that meet the above criteria, an AIP may waive accrued
interest and consider the policy paid in full, allowing the producer to
retain their eligibility and continue participation in the Federal Crop
Insurance program.
3. Other Write-offs:
The following guidelines provide AIPs consistent, fair and equitable treatment of
producers with respect to Other Write-offs:
Recognizing there are circumstances when a write-off may occur for reasons that fall
outside Procedural, Situational and PASS Revision requirements should be classified as
Other Write-offs. AIPs must have documented procedures in place that include an
approval process and detailed explanation for such write-offs. Write-offs of this type
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should only be used to retain producer eligibility for continued participation in the
Federal Crop Insurance Program.
Note: AIPs cannot simultaneously apply different write-off types on the same Eligible Crop
Insurance Contract.
C. Debt Write-off Due to PASS Revisions
The following guidelines provide AIPs consistent, fair and equitable treatment of producers
with respect to write-offs as a result of PASS revisions which occur after the billing date:
1. Revisions to PASS reporting or validation requirements that are made after the initial
billing for the Eligible Crop Insurance Contract which results in a higher premium than
what was accepted by PASS as of the billing date in the SPOI may be written off when
the revised amount is less than or equal to $50, provided the following has occurred:
a. An initial billing statement was provided to the insured reflecting the premium
amount accepted by PASS as of the billing date in the SPOI;
b. AIP has determined that the producer made a concerted effort to pay the amount due
according to what was shown on the billing statement; and
c. Any unpaid balance directly coincides to the net amount changed as a result of the
PASS revision.
2. Revisions to PASS reporting or validation requirements that are made after a claim
payment for the Eligible Crop Insurance Contract which results in a lower loss amount
than what was previously accepted by PASS may be written off when the revised amount
is less than or equal to $50, provided the following has occurred:
a. A claim payment had been made for the loss amount that was previously accepted by
PASS; and
b. Any unpaid balance directly coincides to the net amount changed as a result of the
PASS revision.
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3. Amounts written off as a result of PASS reporting or validation revisions made after the
billing date or claim payment date do not have to be billed before the debt can be written
off.
27 Late Payment of Debt
A. General Information
Any insured, who has been determined to be ineligible for crop insurance due to failure to pay a debt owed,
may request reinstatement by submitting a written request to their AIP. Depending upon the circumstances
that caused the inadvertent failure, the following avenues to request reinstatement may be available.
1) RMA Administrator Authorized Reinstatement
a) When the delinquent amount has been paid by the ineligible person, the AIP is responsible
for transmitting the payment information on the P12 record as verification that the
outstanding debt has been satisfied.
b) The AIP must submit the ineligible person’s request to RMA within 15 days of receipt and
then transmit the policy if the ineligible person is a SBI to the applicant or insured. The
amount of coverage for all crops included on the Application must be reduced
proportionately by the percentage of interest of that person in the applicant or insured.
c) The AIP has 30 days from the date when the reinstatement request is granted by the
Administrator to reinstate the policy and submit all applicable data to PASS.
d) Reinstatement is effective for the crop year that the policy was terminated. The coverage
provided under the reinstated policy will use the same plan of insurance, coverage levels,
fund designation, endorsements and options the person had prior to termination, provided the
person continues to meet all eligibility requirements and comply with the terms of the policy,
and there is no evidence of misrepresentation or fraud.
2) AIP Authorized Reinstatement
a) When the delinquent amount has been paid by the ineligible person, the AIP is responsible
for transmitting the payment information on the P12 record as verification that the
outstanding debt has been satisfied.
b) The AIP must ensure that the ineligible person’s request was received no more than 30 days
after the termination date or any other applicable due date.
c) The AIP must maintain all applicable documentation in supporting the determinations.
d) The AIP must transmit the appropriate ITS status code for all determinations.
I.
47 Status Code – Debt Satisfied 7-Day Transit
II.
48 Status Code – Debt Satisfied Small/Transposed Amts
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28-30 (Reserved)
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PART 4
Exception Change Request Submission and Processing
31 General Information
A. Purpose and Objective
The published ADM, policies and procedure define what is considered to be the standard
offer for a commodity within any area of a county. When specifically permitted by the
policy, Regional Offices are authorized to review individual insured’s Actuarial Change
Requests for exceptions to the standard offer or the expansion of coverage to counties where
insurance coverage for an insurable crop is not available. Based on this review, if supported
by data from various sources, the Regional Office can develop a customized offer for
insurance coverage.
RMA has developed the Regional Office Exception (ROE) system to manage the exchange
of data between the Regional Office and the AIPs relative to Actuarial Change Request
processing, Written Agreement development, and application of the terms of the Written
Agreement offer. This section of the Data Acceptance Narrative provides the following
information related to the ROE system:
•
•
•
•
Guidelines for electronic submission of Exception Request data.
Retrieval of the modified actuarial and insurance control elements data associated with a
Written Agreement offer.
Guidelines for AIP reporting the application of Written Agreement terms to policy units
to RMA/FCIC.
Validations that will be performed on electronically submitted Actuarial Change
Requests and policies associated with a Written Agreement Offer.
This documentation covers the technical aspects of Actuarial Change Request processing and
shall be used in conjunction with the 2021 Written Agreement Handbook (FCIC 24020),
which defines the procedural aspects of Written Agreement creation and issuance.
B. Source of Authority
The source of authority for Actuarial Change Request process is covered in the Written
Agreement Handbook (WAH).
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C. Related Handbooks and Reference Materials
This table references related handbooks/reference materials and their relation/purpose.
Related Handbooks/
Reference Material
Written Agreement
Handbook (FCIC 24020)
Relation/Purpose
Provides procedures for modifying terms and conditions of
the ADM, ICE, or other issued policy and procedure
Crop Insurance Handbook Provides procedures for Determined Yield and Added land
Part 20 RO Underwriting Requests
D. Procedural Conflict
If there is a conflict between information in Part 4 of this Narrative and the Written
Agreement Handbook or Crop Insurance Handbook, the Written Agreement Handbook or
Crop Insurance Handbook will take precedence.
In addition, refer to the General Information section of Appendix III – Data Acceptance
Narrative for the following:
• Procedural Issuance Authority
• Issuances and Revisions
• Implementing FISMA Information Security Standards and Guidelines
• Incident Reporting
32 Responsibilities
The following table references the Entity, Function and Responsibilities related to submitting
and processing data for Actuarial Change Request processing.
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Entity
Function
Responsible for:
•
•
•
•
•
•
RMA
Reporting
•
•
•
•
•
•
July 2020
Responsibilities
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 ROE and 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 Actuarial Change request data and
RO response
providing technical assistance in error resolution
responding within 7 business days to a properly
completed ROE error report
creation of the folders on the Extranet SharePoint
site for each request
provide notification when request folder are created or
documents are ready for pick-up
maintaining and timely releasing to AIPs the Written
Agreement related ADM and ICE (WA ADM/ICE)
referenced herein
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Entity
Function
Responsibilities
Responsible for taking actions to ensure timely and accurate
data submission to FCIC, including but not limited to
submission of:
•
AIP
Reporting
•
•
•
•
monitor notification sources
o e-mail
o IceExceptionRequest
manage the documents on the SharePoint site
accurate and detailed Actuarial Change Request data and
other supporting data (AIP Field Office contact
information etc.) to FCIC in the format prescribed in this
Appendix
properly completed ROE and PASS error reports to DQB,
after analysis or for guidance in correcting rejected data
that is present on the ROE or PASS error listing
pick up WA ADM/ICE records developed for the Written
Agreement Offer.
33 System Overview
A. Exception Change Request Processing Overview
1. Exhibit 201-0 illustrates the system flow concept that will be implemented with ROE.
2. For 2021, AIP will submit Exception Requests electronically. All the supporting
documentation shall be supplied to the RO in an electronic format. (Refer to the Written
Agreement Handbook for details.)
3. A folder on Extranet SharePoint site will be used for all document exchanges between the
AIP and the RO no matter what request submission option is used.
4. With either submission option for Actuarial Change Request, the AIP will be supplied
with ADM and ICE records (WA ADM/ICE) modified to create the Written Agreement,
if an offer is made. The AIP shall use the WA ADM/ICE records instead of the standard
ADM and ICE records for the determination of premium and for loss determination.
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PASS will reference these records to perform standard and WA specific validations on
the policy records associated with a Written Agreement.
5. Data electronically submitted:
a. Actuarial Change Request to FCIC for an AIP is processed through PASS. The data
is checked for proper reinsurance year format. A determined yield will no have WA
ADM data. A determined Yield will have a record on the IceExceptionRequest Table
(D030001).
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,
and rejection from the transaction. Records which were found in error are systemgenerated output that is sent to an AIP after each edit completes.
c. Error processing is the validation that occurs from the request 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 request records submitted.
6. The DQB provides operation support for the Actuarial Change Request submission and
processing and PASS processing of unit covered by a Written Agreement. All questions
regarding data distribution reporting and validation should be addressed to the AIP’s
DQB representative.
34 General Site Access
A. ROE Telecommunication Processing
1. Refer to the Appendix III – Data Acceptance Narrative “PASS Telecommunication
Processing” section for details on:
a. Options for connecting to the site for uploading R records and picking up WA
ADM/ICE records.
b. When and how often an AIP may transmit R records to RMA.
c. RMA’s options for stopping automatic edit processing.
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B. ROE Report Handling
Currently, the Error Stats web application is not interfaced with ROE error reports. Upon
completion of batch processing, batch summary/exceptions details will only be uploaded to
Common Download folder of the AIP FTP Site.
35 Exception Change and Determined Yield Request Submission Requirements
A. “R” 35 Lite Option
1. For electronic submission of the Exception Change Request in ROE, the submission of
supporting documentation for the request does not occur until after the acceptance by the
RMA system of at least the R35 Lite series of records (R35, R37, R36 and, if no P10 series
referenced, the R10 and R10A). This will automatically create a request record on the RMA
internal system. This will also trigger the creation of a folder for that specific request on the
ROE Extranet SharePoint site and the generation of an email notification. The Email
notification will be sent to the email address associated with the field office indicated on the
R35 record and will contain a link to the request folder. The AIP will then upload electronic
copies of the supporting documentation to this request folder, which will set the submission
date for the request.
C. Data Handling
1. All data submitted to the FTP site for loading by the PASS Engine will be processed as soon
as possible.
The Scribe job, which pulls this information into the ROE system, runs every hour. The
creation of the request record in the ROE system triggers the creation of the request folder on
the Extranet SharePoint site and generates the email notification to the associated AIP field
office that the request folder is available so the supporting documentation can be uploaded.
2. All ROE files delivered by the AIPs and returned by RMA through the FTP server must be
encrypted using the Advanced Encryption Standard (AES) algorithm using 256-bit keys
(AES-256). The RMA IT Service Desk will coordinate encryption keys between RMA and
the AIPs.
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3. In order for files delivered by the AIPs to the FTP server to be correctly processed by the
RMA PASS file load system, the file structure must submit the 2 digit AIP Code, 4 digit
reinsurance year, and 1 digit application code. For example:
AIP Code
Reinsurance Year
Application Code
Submit File Format
XX
2021
R
XX2021R.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
User ID, 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.
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RETURN ZIP FILE
Return Zip File Name
RETURN ZIP FILE CONTENTS
Processed Records File Name
Exception Record File Name
Summary Record File Name
Unknown Record File Name
XX2021R0003.zip
XX2021R0003.txt
XX2021R0003Exception.txt
XX2021R0003Summary.txt
XX2021R0003Unknown.txt
A. The R98Z and R99Z Exception records are contained in the Exception output file.
The format of these files is the same as what is used for policy processing. These
records contain codes to identify the reason for the exception.
R98Z (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 R98Z will be found in the Unknown output file.
Reinsurance Year does not match the Reinsurance Year on the
Unknown Reason Code 1
batch file name
Unknown Reason Code 2
AIP Code does not match the AIP Code on the batch file name
Record Type not in list of accepted Record Type Codes (by
Unknown Reason Code 3
Reinsurance Year)
Unknown Reason Code 4
Record has too few delimiters for the Record Type
Unknown Reason Code 5
Record has too many delimiters for the Record Type
One or more record columns exceed allowable maximum
width. The R98Z 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
Unknown Reason Code 6
dumped. The zip file will contain a single R98Z 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
Unknown Reason Code 7
submission start date or end date.
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R99Z (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
M
Message
R
Rejected
W
Warning
S
Suspended
6. Actuarial Change Request must be submitted electronically on a reinsurance year basis. The
2021 Reinsurance Year data would include the following crop year data:
a.
b.
c.
d.
e.
2020 Raisins
2022 Florida Avocados
2022 Citrus (Arizona, California, Florida and Texas)
2022 Nursery (0073 and 1010)
2021 All other crops
7. All data relating to each respective Reinsurance Year must be included in the same
submission, with separate submissions required for each reinsurance year.
8. Associated P record ZIP files shall be submitted before the R record ZIP files are submitted.
36 Electronic Request Submission Processing Considerations
A. ROE “R” Record Processing Considerations
1. Request can only be processed by the RO if the ADM they plan to use as their source
ADM for developing the offer has been released. Therefore, requests should be restricted
to crops with the same filing date otherwise the RO will have to split the request.
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2. Electronic request submissions that are accepted by the system cannot be updated by
resubmission of the record. The AIP field office shall contact the Regional Office that is
responsible for reviewing the Actuarial Change Request to inform them of any necessary
corrections. This also means that prior accepted R35 records cannot be referenced if new
R37 records are later submitted for crops in a different filing.
3. The exceptions to the above rule are the R36, R10, R10A and R10B record types.
Resubmission of the R36, R10, R10A and R10B can be done to update previously
submitted data.
4. 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.
5. The relationships between the R records is documented in Exhibit 202.0 Relationship
between R – record tables
6. A high level listing of acceptable record types and specific handling considerations for
ROE are as follows. More detailed information is documented in corresponding R-record
layout document:
Type 35 Record,
Exception Request
The Type 35 record establishes the exception request.
The Type 35 record contains the key(s) for a R10 or an existing
P10 record, which provides the necessary name and addressing
information for the entity associated with the exception request. A
R10 or P10 record must exist for the R35 to be accepted.
The Type 35 also contains the AIP Field Office Key, which links
the R35 to an AIP field office record in the R36. It is required
because the email address is needed so email notifications can be
sent from the ROE system to the AIP field office associated with
the request.
The R35 record is required. It must be submitted with a R37.
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Type R10 Record,
R10A, R10B Policy
Records
Type 10 series is used to provide information regarding the entity
requesting the Exception and entities with a SBI, Spouse,
Landlord and Transfer of right to indemnity.
The Type 10 record associated with request is indicated on the
R35.
The request will be rejected if a Tax ID is not submitted.
Type R15, R15A
Records
Yield
Yield History
The AIP can also reference an existing P10 record series and the
R record load process will pull in the entity addressing
information etc. from the P10 record series. When the AIP takes
that option, the R10 record series is not required. If an associated
P10 record series does not exist, then the R10 record series is
required.
The Type 15 records are used to report APH yield information for
designated crops.
A Yield "R15" record, must be accepted before a Yield History
R15A record, will be accepted.
R15 and R15A are associated to the R27 (Land ID) using the
R37A.
As per procedure, the production data reported in the R15 record
series, can relate to the legals that are to be considered in the
Exception Request or to legals that are not part of the Exception
Request. The later situation would include production from an
adjacent county or for another similar commodity.
Submission of the R15 and R15A are optional for 2021. For 2021,
rejection of the any of the R15 series records will not cause the
request to be rejected.
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Type R27, R27A
Records
Land ID
The Type 27 record provides legal data. The Type 27A provides the
entities with a share in production that is taken from the legal
identified in the associated R27.
If the R27 record is land that is to be considered for the Exception
request, the associated R37A record must have a value of “Y” in
the Exception Request Legal Flag. If the R27 record was only
submitted as part of the supporting production documentation, then
the Exception Request Legal Flag must be set to “N”.
Submission of the R27 and R27A are optional for 2021. For 2021,
rejection of any of the R27 series records will not cause the request
to be rejected.
Type R36
The Type 36 record provides the contact information for the AIP
Records
field office handling the Exception Request. The email address for
AIP Field Office
the field office is used for all notifications of request folder creation
Contact Information and document posting by the RO to the AIP SharePoint site. The
email address for the office should be a distribution list type to
insure more than one person is notified. The AIP can set up
different teams within a field office to receive notification by
creating unique email addresses for each team. Because the Search
option on SharePoint supports searches by AIP Field Office name,
a unique field office name should also be established.
Rejection of the R36 will result in the rejection of the associated
R35 records.
Submission of the R36 is required. Submission of the R36 can
occur before submission of any R35 records. Individual R36
records do not have to be tied to a R35 record at the time of
submission. A R36 record can be resubmitted if the addressing
information changes.
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Type R37, R37A
Records
Commodity-TypePractice and Yield
land Association
The Type 37 record provides a listing of commodities, types and
practices to be considered on the Exception Request.
Only commodities listed in the ADM Commodity table can be
submitted electronically. Commodities not included in that file do
not have a valid policy for 2021 so they cannot be made insurable
by a Written Agreement and will be rejected.
If the Type Code and Practice Code (legacy field) are submitted,
the RMA R record load process will look up the associated eight
extended type and practice codes. If the eight extended type and
practice codes are submitted, the RMA R record load process will
look up the associated legacy fields.
The type and practice code fields can either all be blank or must all
be populated with in a code group. This rule is applied within the
legacy code group separate from within the extended code group.
The type and practice code fields should be left blank if the request
is not restricted to a set of type-practice records, for example on
UA requests. The type and practice code fields should also be left
blank if coverage for a new type or new practice is the purpose of
the request. Specific details about the new type of practice would
be documented on the Exception Request Form. The request may
require the creation of a new RMA code, which will have to be
approved by RMA’s Actuarial Branch.
The Type 37A record indicates the relationship between the R27
and R15 records. R15 records should always be associated with an
R27 record, but a R27 may or may not be associated with a R15
record series.
Rejection of the R37A will not cause a rejection of the request. The
associated R27 and R15 records must be accepted for the R37A to
be accepted.
Submission of the R37 is required. Submission of the R37A is
optional for 2021.
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37 ROE Reports
ROE provides AIPs the following report file to assist error resolution and status.
P99Z,
“Exception”
Reports
Provides transactional 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 error
statistics sections lists the error code and message received and the number
of records in error.
38 ICE Reference Tables Specific to Actuarial Change Request Processing
There are eight ICE tables that are only associated with Actuarial Change Request and Written
Agreement processing and that are not WA Number specific. These reference tables will be
provided to the AIP via the standard ICE release site:
ftp://ftp.rma.usda.gov/pub/References/insurance_control_elements/PASS/2021/
Reference Files
Exception Processing Procedure
ICEExceptionRequestProcess
D03002
Associated with the exception request.
ICEExceptionRequestType
D03003
Request type approved for use in 2021.
ICEExceptionRequestProducerType
D03004
Identifies insured’s role in operation.
Status of offer defined by WA
ICEExceptionRequestStatus
D03005
ADM/ICE records. See 17.B for details
on how this field will be used.
Defines whether the offer was exactly
ICEExceptionRequestOfferType
D03006
what was requested.
Reason that the WA ADM/ICE records
ICEExceptionRequestReleaseReason
D03007
were released to the AIP.
Level at which PASS must do legal
ICEExceptionRequestLandLevel
D3008
validation
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39 WA ADM/ICE Record Retrieval
A. The ROE process that will build the WA ADM/ICE records will only run once a day. The
process to build WA ADM/ICE will be scheduled so that it will complete by 4 AM Central
time in order for PASS to have access to the information that business day. It is currently
schedule to start at midnight each day.
a. The ROs have requested a “cooling off” period for offer release, so records for an offer
will be posted to the FTP site in the folders indicated below nine hours after approval by
the RO.
1. Exhibit 203-0 shows how this delayed release will impact when the WA ADM/ICE
and documents will be available to the AIP after being approved by the RO.
2. Offers not nine hours old by the schedule start of the WA ADM/ICE build process,
will be processed the next day so they will not be available to PASS until two days
after the offer is approved by the RO. Release of the associated Denial Letter, Not
Accepted Letter, Cover Letter and Written Agreement are also on a nine hour release
delay, but since the system that posts the documents to the AIP Extranet SharePoint
runs throughout the day, the AIP will receive the document no later than the next day.
B. Location of the WA ADM/ICE records
Release of the WA ADM/ICE will be specific for an AIP, so AIPs will need to pick up files
released by RMA from the following folder locations on the FTP site:
•
AIP Test: armgftpua.rma.usda.gov/{AIPCode}/WA
Example: (“XX” is the code for “Brand X AIP”)
armgftpua.rma.usda.gov/XX/WA/
•
FTP Prod: armgftp.rma.usda.gov/{AIPCode}/WA
Example: (“XX” is the code for “Brand X AIP”)
armgftp.rma.usda.gov/XX/WA
C. Files Available to AIP
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The AIPs will receive Year to Date (YTD) file. This will be released daily if a record was
initially processed or changed.
Naming Convention to be used for WA ADM/ICE files
(YYYY =Reinsurance Year)
(YYYY = Reinsurance Year, YYMMDD = Date Extract Done)
YTD =====================================================
File Name: YYYY_RecordType_RecordTypeName_YTD.txt
Example:
2021_A00810_Price_YTD.txt
Zip File Name:
YYYY_WAAdm_Ytd .zip
Example: 2021_WAAdm_Ytd.zip
40 WA ADM/ICE Records – Formats and Content
As a general rule, all Written Agreement offers are derived from existing ADM and ICE records.
In some situations, however, the Written Agreement offer development requires the creation of
new records within specific table. For example in order to make unrated land insurable,
coverage level differential and T-yield records have to be created in addition to editing the
existing sub county rate record for “URA”.
A Written Agreement will not change the map area assigned to land in a county. Changing the
coverage from one map area to another will be done by updating the records for one map area
with the values from another. This was decided in order to not put the Written Agreement in
conflict with GIS databases.
WA ADM tables and records comply with the structure, format and content of the corresponding
standard offer ADM table. Actuarial maintains the documentation for the ADM tables listed in
the table below. This information is available in the ADMLayout.zip for 2021.
A. The PASS team maintains the documentation for the structure and content of the ICE records
listed in the table below. ADM/ICE Tables that potentially will include Written Agreement
related data.
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ADM
July 2020
• WA Number is a key on the record
• The ROE system will only recognize
the ADM data 10 days after the filing
date.
• The WA ADM will only contain
records in these tables if the Source
ADM contains records in these tables.
• Mapping data will only be copied from
the Source ADM where it is appropriate
• Insurance Offers for pilot options will
be removed.
• New Breaking agreements will have all
references to prevented planting
coverage removed
• Records for all covered insurance plans
will be included
o Revenue type insurance plans will
only be included if a revenue
insurance plan exists somewhere in
the state for the commodity.
o For Option Rate, Sub County Rate
and Yield and T-yield tables a WA
LAND ID field is an additional key.
• Not Written Agreement specific, so this
table does not contain a WA Number.
• Application of a Special Provision
statement is optional
• No more than one Special Provision
state will exist per Written Agreement
• Not Written Agreement specific, so
these tables do not contain a WA
Number.
• Daily Zip Files – Will only contain type
and/or practice records that are not part
of the standard ADM release to the
public.
• YTD Zip Files - Will contain all the
type-practice reference records for the
Written Agreements contained in the
ZIP file release.
• It is important to note that these tables
may contain type or practice codes that
are not part of the standard ADM
release to the public.
Base Rate (A01010)
Coverage Level Differential (A01040)
Date (A00200)
Document Builder (A01200)
Historical Revenue Capping (A01110)
Insurance Offer (A00030)
Land Description (A00040)
Map (A00045)
Price (A00810)
Proration (A01070)
Option Rate (A01060)
Sub County Rate (A01050)
Yield And T-yield (A01100)
Yield Exclusion (A01105)
Area Coverage Level (A01130)
Guarantee Adjustment (A01220)
Statement (A01210)
Class (A00410)
Commodity Type (A00430)
Cropping Practice (A00450)
Intended Use (A00470)
Interval (A00480)
Irrigation Practice (A00490)
Organic Practice (A00500)
Practice (A00510)
Sub Class (A00530)
Type (A00540)
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• WA Number is a key on these records
ICE
Damage Cause Commodity (D00077)
Exception Request (D10028)
Guarantee Adjustment (D00068)
Maximum Replant Guarantee Per Acre
(D00129)
Maximum Yield (D00120)
Notice Type Exclusion (D00032)
Reference Year Adjustment (D00086)
Skip Row (D00039)
Stage Commodity (D00124)
Stage Factor (D00069)
B. Header Record for WA ADM/ICE.
The ICEExceptionRequest (D03001) record for the Written Agreement is the controlling
record for the use of the WA ADM/ICE data. This is the only table that will be used by
Determined Yields.
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Field
Reinsurance Year
Record Type Code
Request number
Sub Request Number
Version Number
Insurance Plan Code
Commodity Code
Exception Request Process Code
Commodity Year
AIP Code
AIP Exception Request Key
Producer Tax ID
Producer Tax ID Type Code
Location State Code
Location County Code
Policy Number
Exception Request Offer Type Code
Exception Request Type Code 1
Exception Request Type Code 2
Exception Request Type Code 3
Exception Request Type Code 4
Signature Required Flag
July 2020
Purpose
Reinsurance Year for which the details of the
WA ADM/ICE can be applied.
“D03007” – PASS ICE table identifier
RMA issued request identifier.
Identifier tied to decision path (Offer, Denial,
Not Accepted, etc.)
Identifier for revisions to the offer.
Insurance Plan Code to which the details of the
offer can be applied.
Commodity Code for which the details of the
record can be applied.
“AC” – Actuarial Change “DY”-Determined
Yield
Commodity Year for which the details of the
record can be applied.
AIP associated with the Actuarial Change
Request
AIP assigned internal identifier for the
Actuarial Change Request
Tax ID for the insured covered by the terms of
the Written Agreement.
Tax ID Type Code for the insured covered by
the terms of the Written Agreement.
State Code for which the details of the record
can be applied.
County Code for which the details of the record
can be applied.
Policy Number assigned by AIP
Identifies whether offer made by the RO is
exactly what was required or not.
Type of Exception Request Type covered by
the Written Agreement offer.
Type of Exception Request Type covered by
the Written Agreement offer.
Type of Exception Request Type covered by
the Written Agreement offer.
Type of Exception Request Type covered by
the Written Agreement offer.
Indicates whether Insured’s signature is
required (“Y”) or not required (“N”)
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Crop Inspection Required Flag
Exception Request Status Code
Offer Expiration Date
RO Approved Date
Insured Accepted Offer Date
Insured Accepted Offer Flag
WA Number
WAMultiYear Flag
Begin Commodity Year
End Commodity Year
ADM Source State Code
ADM Source County Code
Exception Request Release Reason ID
Land Level Code
Adm Exists Flag
July 2020
Indicates whether a Crop Inspection is required
(“Y”) or not required (“N”)
Indicates whether offer is preliminary, active or
inactive for the specified Reinsurance Year.
Date by which the insured needs to accept the
offer.
Date RMA made the offer.
Date Insured accept the offer.
Indicates that according to RO records the
Insured accepted (“Y”) or did not accept
(“N”) the offer.
Written Agreement Number or Determined
Yield Number
Indicates whether offer covers more than one
Reinsurance year (“Y”) or is for a single year
(“N”).
First Commodity Year that offer is valid
Commodity Year after which the offer expires.
A value of 9999 indicates that no expiration
year was set by the Regional Office for the
offer.
Informational only. State Source for ADM/ICE
records used to build the WA ADM/ICE
records.
Informational only. County Source for
ADM/ICE records used to build the WA
ADM/ICE records.
Details as to why the ICE Exception Request
record was released.
Level at which the validation of legals reported
to PASS as covered by a Written Agreement
offer will be performed.
Indicates whether WA ADM/ICE records have
been created (“Y”) or not (“N”) for the
specified Reinsurance Year for the WA
Number recorded. PASS will skip post 2021
Written Agreement validation if the value of
this field is “N”.
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C. How to Use the Land Description Table Records.
Except when the Land Level is set to “CTY”, the Land Description (A00040) table and Land
Level Code field (from the Exception Request (D10028) are key to determining what land is
covered by the Written Agreement and what WA LAND ID to use. When the Land Level is
set to “CTY” there are no records for the Written Agreement in the Land Description table
because all the legals in the location county associated with the Written Agreement are
covered by the terms of the offer so the Land Description table is not needed to filter what
land has coverage. (When the Written Agreement has a map attached, the map may designate
uninsurable areas within the county, so covered in this context differs from insurability.)
The Land Level value indicates what field(s) in the Land Description table have to match for
coverage of the Written Agreement to apply. The chart in Exhibit 206-0 shows what field(s)
need to match based on the Land Level Code value. The match may return more than one
record from the Land Description table. All that is important is that there is at least one
match found for the legals in order for it to be covered by the Written Agreement.
41
Content of Daily Versus Year to Date Releases
The WA ADM txt files will be generated in a similar manner to the existing ADM txt files. Here
is some specific information:
A. General
•
•
•
•
Files will contain written agreement related data.
Files are generated per AIP and only contain data specific to the written agreements for
each AIP.
A file will only be created if there is data to put in the file. There will not be any empty
files or files with only column headers.
A file will only be created or recreated if data in the corresponding table has changed that
day. This means that if data didn’t change for an AIP in a particular table, the txt file will
not be re-created and therefore will not have a new timestamp.
B. Daily Files
•
July 2020
Will contain any data that was inserted or updated *that-day for a single Reinsurance
Year for an AIP. This includes rows that were updated to set the Deleted Date for
withdrawn or superseded exception requests. This does not include data inserted or
updated on prior days.
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•
•
•
•
Example - if a daily AdmDate.txt file contained 5 rows in it yesterday for an AIP, those
same 5 rows will not be in the txt file today unless that same data was updated today.
All daily txt files are zipped together by day by AIP.
A zip file will only be created if at least one daily txt file was created for an AIP today.
Each zip file will be a new file with a new zip file name.
(Example 2021_WAAdm_Daily_140501.zip)
C. YTD Files
•
•
•
•
Will contain all written agreement data for a single Reinsurance Year for each AIP.
Example - if an YTD AdmDate.txt file contained 100 rows in it yesterday for an AIP,
those same 100 rows will be in the txt file today with any updated data plus any new rows
inserted today.
YTD txt files are zipped together by Reinsurance Year and AIP.
There will only be one zip file with the same file name for a reinsurance year for an
AIP. It will be updated nightly with any new or updated txt files.
(Example: 2021_WAAdm_YTD.zip)
D. Prices
•
•
•
•
For insurance plans where the pricing data is not initially released with the ADM, the
WA ADM will also be released without pricing data in the WA ADM files.
When an ADM Price update triggers a re-release of the WA ADM, the
IceExceptionRequest and AdmPrice txt files will be generated.
The files will contain records for the impacted written agreements.
IceExceptionRequest will have an updated Release Reason of 4 – ADM Prices Updated
and the records in both files will have an updated Release Date of *that-day.
*NOTE:that-day = Includes releases for the entire day that the WA ADM job is
executed. For example, if the job were to run November 12 starting at midnight, the
data will be marked with a ReleasedDate = 11/12/2013 and some timestamp. The
code will look for rows of data where
ReleasedDate >= 11/12/2013 and ReleasedDate < 11/13/2013.
42
Identifying Active Written Agreement Offers
The Exception Request Status Code in the IceExceptionRequest table indicates whether the
Actuarial Change Request is associated with an active agreement. The Exception Request
Status codes are Preliminary, Final, Superseded, Withdrawn and Cancellation. The reason
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for the release of the WA ADM/ICE records is captured in the Exception Request Release
Reason ID. A listing of the valid codes and the relationship to the Exception Request Status
Code is documented in Exhibit 204-0.
The WA ADM/ICE records will be initially released as “Preliminary”. This is noted as “P”
in the Exception Request Status Code field on the record for the Actuarial Change Request
in the IceExceptionRequest table (D03001). Once the RO is notified of the insured’s
acceptance and, when required, documentation that Crop Inspection was passed by the
AIP’s posting of electronic copies of the documentation to the request folder, the WA
ADM/ICE records will be released as Final (Exception Request Status Code of “F”) with
an Exception Request Release Reason ID of “2”. PASS will only recognize the existence
of the Written Agreement when the Exception Request Status Code is “F”.
If the RO does not receive notification that the insured accepted the offer or when the
insured rejects the offer, the WA ADM/ICE will be released with an Exception Request
Status Code of “W-Withdrawn” and the Deleted Date populated on each WA ADM/ICE
record. The reason for the withdrawal will be noted using a code in the Exception Request
Release Reason ID field (See Exhibit 204-0).
For some insurance plans, the pricing data may not be released by RMA until 15 days prior
to the Sales Closing date, so WA ADM/ICE will be release without the price data in those
situations. When pricing data is updated later in the Reinsurance Year, the WA ADM/ICE
records will automatically be regenerated to include the this additional data. This will occur
not earlier than 10 days after the release of the ADM price data. The Exception Request
Release Reason ID will be set to “4 – ADM Prices Update”.
Once the Preliminary Offer is released to the AIP, if a revision has to be made to the offer
because of situations like corrections for errors, a new Written Agreement with a new WA
Number will be created and a complete set of WA ADM/ICE records posted to the AIP
FTP site. The Exception Request Status Code depends on whether a producer signature
will be required. If a producer approval signature is required then the new version of the
Written Agreement will be released with “P” in the Exception Request Status Code. If the
RO is not required to obtain another producer approval signature, which would be the
situation when the new version corrects an error identified after the RO was notified of the
insured’s acceptance of the offer, the new version of the Written Agreement will be
released with an Exception Request Status Code of “F – Final” with an Exception Request
Release Reason of “3 - New Version”. Once the revised Written Agreement is approved by
the producer the WA ADM/ICE records for the previously issued Written Agreement will
be released with an Exception Request Status Code of “S – Superseded” and the Deleted
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Date populated on each WA ADM/ICE record. The reason for the original offer was
modified will be noted using the codes in the Exception Request Release Reason ID (See
Exhibit 204-0).
For active multi-year agreement, the WA ADM/ICE for the current Reinsurance Year will
be released 10 days after the filing date for the commodities covered in the agreement with
an Exception Request Status Code of “F-Final” and an Exception Request Release Reason
ID of “6 – Multi-Year Rebuild”. The RO will then have up to 30 days before the
cancellation date to review the multi-year agreement. If the RO determines that the
agreement must be cancelled, the WA ADM/ICE will be reissued with an Exception
Request Status Code of “C-Cancellation” and the appropriate code to assign to the reason
for cancelling the agreement.
Actuarial Change Requests that are Denied or Not Accepted by an RO will also have a
record in the ICE Exception Request table. These records will contain “F” in the Exception
Status Code field, an Exception Request Release Reason ID of “11 – No Offer”, and NULL
in the WA Number field in the Ice Exception Request table. There will be no other ADM
or ICE records associated with these request records.
43
Written Agreement PASS Reporting
In ROE there can only be one WA ADM/ICE associated with a specific commodity-typepractice-legal combination, so the Regional Office will need to merge all changes
approved for each request into a single Written Agreement offer. The exception to this
rule is for Written Unit Agreements, which has to be issued as a separate agreement.
This approach was taken because Written Unit Agreements are generally issued as multiyear agreements, whereas the RO may not wish to make a multi-year offer on all the
other Actuarial Change Request Types that the insured is able to request.
Up to four different Actuarial Change Request Type changes can be recorded for a
particular non-UA Written Agreement. Modification for more than four Request Type
changes can be made; however, these, modifications will not be documented in a field.
A. Written Unit Agreements
The existence of the Written Unit Agreement will be noted by the use of “UA” in the
Unit Structure Code on the P11 record, but the actual Written Agreement Number
will not be reported on a P record. Since WUAs do not modify the ADM or ICE
records associated with the Written Agreement, PASS will just access the standard
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tables to lookup the needed ADM and ICE information if no other Written Agreement
is associated. If another Written Agreement is associated with the unit, it will be
reported on the P records in the WA Number field, and PASS will look up the
ADM/ICE data associated with that WA Number in order to process the unit.
B. All Other Written Agreement Types
Only the non-Written Unit Agreement numbers will be specifically reported on the
PASS records in the WA Number field.
C. Validation based on information stored in the IceExceptionRequest and
AdmLandDescription tables
Legal validation will be controlled by the LandLevelCode according to the logical
diagram in ROE Exhibit 205 “Validation of Legals Associated with Written
Agreement Using Land Level Code”. It will be up to the Regional Office to
determine what LandLevelCode to apply.
If land was not initially listed on the request, the terms of the Written Agreement
cannot be applied to the land unless it passes the required validation set by the
LandLevelCode field.
For 2021, failure on the legal validation tests will only result in a warning.
The way PASS will validate the legal records based on the Land Level Code is
illustrated in
Validation_of_Legals_Associated_with_Written_Agreement_Using_Land_Level_Co
de_Exhibit_205-0.pdf.
The WA Land ID is a sequential number that is incremented each time a new WA
LAND ID group is created. It has to be 1 or greater. It lets the ROE system group
legals to provide the correct T-yield, sub county rate, and option rate for that set of
legals. This means we can create different offers in those three tables within a WA
instead of having to create separate WAs for each group.
July 2020
If there is a Land Level Code of CTY you will not get any Land Description records
for the WA because PASS doesn’t do any validation on the fields in those records. In
that case you just need to use a WA land id of “1” because that is the default value for
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the wa land id field stored on the Option Rate (A01060), Sub County Rate (A01050),
and Yield And T-yield (A01100) records.
D. P15 Record Submission
An RO may create additional WA Land IDs because the RO has determined that they
need to make different adjustments to the sub county rate based on the legals or
because they wish to group the legals on the WA for clarity. A set of Transitional
Yield, Option Rate and Sub County Rate records is automatically created by the ROE
system for each WA Land ID at the time the source ADM is imported into ROE.
PASS is only going to accept multiple P15 records for the request types below. When
the Transitional Yield differs by WA Land ID, the AIP will need to submit a separate
set of APH records for each WA Land ID. Otherwise, if the T-yields across WA Land
IDs match, the AIP can just send in one P15 with a WA Land ID of “1” or any other
WA Land ID associated with the WA.
Request Types Allowed to Have Multiple P15 Records
NB New Breaking
SP Special Purpose Corn
HR High Risk
XC No Program
UC Unclassified Land
E. Use of ICE table with WA Number field
The general rule when using PASS ICE table is that if there is not a specific match on
a key field the record where that key field is NULL can be used. This is not
supported for the WA Number field in ICE tables where the WA Number field is a
key. If there is no match for the WA Number in the table, the matching record where
the WA Number is NULL cannot be used. Refer to section 40 for a list of ICE tables
with the WA Number keys.
44 WA ADM/ICE data for Multi-Year Written Agreements
RMA will automatically generate a complete set WA ADM/ICE records for active MultiYear Written Agreements no sooner than 10 days after the scheduled filing date for the
source ADM/ICE for the 2021 reinsurance year. The source State and County for the WA are
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stored on the Exception Request (D10028) table. The data will be provided in the Daily zip
file for the day the process is release and Year to Date zip file for the AIP.
45 – 50 (Reserved)
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| File Type | application/pdf |
| File Title | 2021 Data Narrative |
| Subject | Appendix III |
| Author | USDA Risk Management Agency |
| File Modified | 2020-06-26 |
| File Created | 2020-06-26 |