Appendix III to the Standard Reinsurance Agreement and the Livestock Price Reinsurance Agreement

United States
Department of
Agriculture

Product Analysis and
Accounting Division
APPENDIX III
(07-2023)

Appendix III to the
Standard Reinsurance
Agreement and the
Livestock Price
Reinsurance Agreement
2024 Reinsurance Year

RISK MANAGEMENT AGENCY
KANSAS CITY, MO 64133
TITLE: Appendix III to the Standard
Reinsurance Agreement and the Livestock
Price Reinsurance Agreement

NUMBER: APPENDIX III TO THE
STANDARDARD REINSURNACE
AGREEMENT

EFFECTIVE DATE: July 01, 2023
SUBJECT:

ISSUE DATE: 07-01-2023
OPI: Product Analysis and Accounting Division

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

APPROVED:

July 2023

Deputy Administrator for Product Management

RMA-Appendix III

TP 1

APPENDIX III TO THE STANDARD REINSURANCE AGREEMENT
CONTROL CHART
Appendix III to the Standard Reinsurance Agreement and the Livestock Price Reinsurance
Agreement
TP
TC
Text
Exhibits
Date
Page(s)
Page(s)
Page(s)
Current
1-2
1-2
1-103
104-116
07-2023
Index
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.

July 2023

RMA-Appendix III

TP 2

APPENDIX III TO THE STANDARD REINSURANCE AGREEMENT
TABLE OF CONTENTS
PAGE NO.
PART 1 GENERAL INFORMATION AND RESPONSIBILITIES................................................. 1
1
2
3
4-10

General Information.............................................................................................................. 1
Responsibilities..................................................................................................................... 7
System Overview................................................................................................................ 11
(Reserved)........................................................................................................................... 13

PART 2 PASS SUBMISSIONS, TELECOMMUNICATIONS, AND PROCESSING
CONSIDERATIONS............................................................................................................................ 14
11
PASS Submission Requirements........................................................................................ 14
12
Telecommunications........................................................................................................... 25
13
Processing Considerations .................................................................................................. 27
14
PASS Reports ..................................................................................................................... 48
15-20 (Reserved) ........................................................................................................................... 49
PART 3 ACCOUNTING...................................................................................................................... 50
21
Reimbursement of Losses................................................................................................... 50
22
Accounting Processing Considerations .............................................................................. 58
23
AIP Accounting Responsibilities........................................................................................ 63
24
Accounting Reports ............................................................................................................ 67
25
Recon Reduction on PASS-Calculated Values & Summary Book of Business
Discrepancies................................................................................................................................. 73
26
Standards for Write-off of Established Debts..................................................................... 75
27
Late Payment of Debt ......................................................................................................... 79
28-30 (Reserved) .......................................................................................................................... 79
PART 4 EXCEPTION CHANGE REQUEST SUBMISSION AND PROCESSING .................... 80
31
General Information............................................................................................................ 80
32
Responsibilities................................................................................................................... 81
33
System Overview................................................................................................................ 82
34
General Site Access ............................................................................................................ 83
35
Exception Change and Determined Yield Request Submission Requirements.................. 84
36
Electronic Request Submission Processing Considerations ............................................... 88
37
ROE Reports....................................................................................................................... 91
38
ICE Reference Tables Specific to Actuarial Change Request Processing ......................... 91
39
WA ADM/ICE Record Retrieval........................................................................................ 92
40
WA ADM/ICE Records Formats and Content ................................................................... 93
41
Content of Year-to-Date Releases ...................................................................................... 98
42
Identifying Active Written Agreement Offers.................................................................... 99
43
Written Agreement PASS Reporting................................................................................ 101
44
WA ADM/ICE Data for Multi-Year Written Agreements ............................................... 103
45-50 (Reserved) ......................................................................................................................... 103
July 2023
RMA-Appendix III
TC1

Exhibits:
1 Appendix III Records and Reports Overview ....................................................................... 104
2 Accounting Records............................................................................................................... 105
3 CIMS...................................................................................................................................... 107
4 PHTS...................................................................................................................................... 108
5 PASS Records........................................................................................................................ 109
6 PASS Calculations................................................................................................................. 111
7 PASS Exhibits ....................................................................................................................... 113
8 ROE ....................................................................................................................................... 115
9 Other ...................................................................................................................................... 116

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RMA-Appendix III

TC2

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:

B.

•

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.

Source of Authority
Federal programs enacted by Congress and the regulations and policies developed by RMA,
USDA and other Federal agencies with applicable regulatory control provide the:
•

Authority for program and administrative operations,

•

Origin for RMA calculation of A&O subsidy, reinsurance and risk sharing.

Authority for managing the Policy Acceptance and Storage System is authorized by:

July 2023

•

Standard Reinsurance Agreement (SRA) and supporting Appendices

•

Livestock Price Reinsurance Agreement (LPRA)

•

RMA issued procedures

•

Regulations promulgated under the:

RMA-Appendix III

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1

General Information (Continued)
B.

Source of Authority (continued)
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
Ineligible Handbook
Underwriting Guides
Bulletins
Other Program Handbooks
and Standards
4-RM

July 2023

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
administrative 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
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)
RMA-Appendix III

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1

General Information (Continued)
D.

Issuances and Revisions
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.
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:
Clarifications that do not change the format or values of the reporting
requirements,
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
Corrections to the reporting requirements to meet the existing terms and
conditions of the Act, FCIC regulations, and/or procedures.
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.
Changes will be implemented after the accounting cut-off date following the 14
day comment period, except in situations involving material monetary impact.
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.
The appendix is maintained electronically via the RMA Home Page. The RMA
Website address is:
www.rma.usda.gov/
Click on Policy & Procedure tab then select APPENDIX III/M13 Handbook Index

July 2023

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General Information (Continued)
D.

Issuances and Revisions (continued)
Provisions for approved and draft versions of the Appendix III for multiple
reinsurance years are available.
The approved version contains the current Appendix III that has been approved
by FCIC.
The draft version contains proposed changes for review and comment.

E.

(i)

Draft versions will be watermarked DRAFT and changes will be
highlighted when possible.

(ii)

AIPs will be notified of changes to the DRAFT version on the PASS
Status Report and/or on the “Read me” page.

Implementing FISMA Information Security Standards and Guidelines
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 nonFederal 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.
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).

July 2023

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General Information (Continued)
E.

Implementing FISMA Information Security Standards and Guidelines (continued)
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

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 and LPRA 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.
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.
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.
New FISMA Terms
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.
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.
July 2023

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1

General Information (Continued)
E.

Implementing FISMA Information Security Standards and Guidelines (continued)
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.
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.

F.

Incident Reporting
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:
Table 2. Incident Reporting Order of Precedence
Order of
Precedence
#1
#2
#3
#4

Organizatio
n
RMA IT
Service Desk
RMA
Security OPS
Team
ASOC CIRT
USDA PII
Hotline

Phone Number

Email

(816) 926-1126

[email protected]

(800) 255-2434
Option 2

[email protected]

(866) 905-6890
(877) PII-2-YOU

[email protected]

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
FPAC Cyber Event Response Team (CERT) @ [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.
New Incident Reporting Terms
It is mandatory that a FCIC-586F is submitted within 48 hours to the
[email protected] after users are departed or terminated. If the
termination is not amicable, remove all access at the time of, or prior to, the user’s
departure. The FPAC Service Desk will have 5 days to process the request from time
of receipt. Departed or terminated users are prohibited to access systems/resources
listed in the FCIC-586F, per USDA FPAC Access Control Policy.
July 2023

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1

General Information (Continued)
F.

Incident Reporting (continued)
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).
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.
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 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.

July 2023

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2

Responsibilities (Continued)
Entity
RMA

Function
Waivers &
Revisions

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

RMA

Reporting

•
•
•
•
•
•

•
•
•
•
•
•

•
RMA

Reimbursement

•
•
•
•

July 2023

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
RMA-Appendix III

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Responsibilities (Continued)
Entity
RMA

Function
Multiple USDA
Benefits
Reporting

Responsibilities
•
•

•

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 2023

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

RMA-Appendix III

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Responsibilities (Continued)
Entity
AIP

Function
Accounting and
Reporting
Systems

Responsibilities
•

•

AIP

Multiple USDA
Benefits
Reporting

•
•

•

•

July 2023

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
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.
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.
Validations are performed on submitted transactions for data accuracy and
compliance with policy, procedure and processing requirements. The PASS
performs required edits on each transaction to the extent practical before
rejecting a transaction. Upon completion of editing, a report is generated which
summarizes the acceptance, rejection and suspension by record type and
liability, premium and indemnity amounts from the transaction. Records which
were found in error are system-generated output that is sent to an AIP after each
edit completes.
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.
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.
The DQB provides operation support for the PASS 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

July 2023

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System Overview (Continued)
B.

Web Services Overview
RMA is developing numerous tools using web services for transmitting data in realtime. 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 2024 RY, any required system will also provide alternate
solutions within the current PASS framework.
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.
First, basic edits are done. Some of these edits include a required check,
optional check, numeric check, alphabetic check and validity of codes check.
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.
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.
Calculation validation edits are performed to determine if the AIPs calculated
values match RMA’s calculated values.

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System Overview (Continued)
C.

Web Service Transmission
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 2023

RMA-Appendix III

13

PART 2 PASS SUBMISSIONS, TELECOMMUNICATIONS, AND
PROCESSING CONSIDERATIONS
11

PASS Submission Requirements
A.

PASS Submission
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.
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.
Unless otherwise permitted by FCIC in this Appendix, the Company may not
submit estimated data for the purpose of establishing premium, liability, or
indemnity.
“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.
“Transaction cutoff date” for monthly data reporting is 8:00 p.m. central time on
Friday after the first Sunday of the month.
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.
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.

July 2023

RMA-Appendix III

14

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PASS Submission Requirements (Continued)
A.

PASS Submission (continued)
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.
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
2024
P
XX2024P.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
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

July 2023

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.

RMA-Appendix III

15

11

PASS Submission Requirements (Continued)
A.

PASS Submission (continued)
Upon completion of processing, output files are returned to the common download
folder for the AIP.
RETURN ZIP FILE
Return Zip File Name
RETURN ZIP FILE CONTENTS
Processed Records File Name
Exception Record File Name
Summary Record File Name
Duplicate Policy Record File
Name
Unknown Record File Name
Beginning Farmer Rancher
New Producer

XX2024P0003.zip
XX2024P0003.txt
XX2024P0003Exception.txt
XX2024P0003Summary.txt
XX2024P0003Duplicate.txt
XX2024P0003Unknown.txt
XX2024P0003BeginningFarmerRancherHistory.txt
XX2024P0003NewProducer.txt

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.
Unknown Reason
Reinsurance Year does not match the Reinsurance Year on the
Code 1
batch file name
Unknown Reason
AIP Code does not match the AIP Code on the batch file name
Code 2
Unknown Reason
Record Type not in list of accepted Record Type Codes (by
Code 3
Reinsurance Year)
Unknown Reason
Record has too few delimiters for the Record Type
Code 4
Unknown Reason
Record has too many delimiters for the Record Type
Code 5

July 2023

RMA-Appendix III

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11

PASS Submission Requirements (Continued)
A.

PASS Submission (continued)
P98Z (Unknown record) Unknown Reason Codes (cont)

Unknown Reason Code
6

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 3m 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”.

Unknown Reason Code
7

Submission date of the record type is outside of the valid
submission start date or end date.

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

July 2023

RMA-Appendix III

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11

PASS Submission Requirements (Continued)
A.

PASS Submission (continued)
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.
Data must be submitted on a reinsurance year basis. The current Reinsurance Year
data would include the following crop year data:
(a)
(b)
(c)
(d)
(e)
(f)

Avocados: Current RY +1
Raisin: Current RY -1
Citrus (Arizona, California, Florida and Texas): Current RY +1
Florida Fruit Trees: Current RY +1
Nursery (0073 and 1010): Current RY +1
Texas Citrus Trees and all other crops: Current RY

All data relating to each respective Reinsurance Year must be included in the same
submission, with separate submissions required for each reinsurance year.
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-toDate 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.
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.
Fund Designation

July 2023

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.
RMA-Appendix III
18

11

PASS Submission Requirements (Continued)
A.

PASS Submission (continued)
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:
(A) 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.
(B) For carryover policies, the transaction cutoff date for the week
containing the 30th calendar day after the sales closing date.

(iii) For written agreements requiring annual FCIC approval or for the initial
year of an eligible crop insurance contract associated with a written
agreement only, (excluding Written Agreement types GP, HR, NL, SP,
UA), the Type 9 record must be accepted by PASS by the weekly
transaction cutoff date for the week including the 30th calendar day after
the RMA written agreement approval date (Print Date.)
(iv) If the actuarial documents or ADM have more than one sales closing date
for the eligible crop insurance contract, the earliest SCD will be used to
determine the fund designation cutoff date, unless the type or practice is
reported to indicate the specific SCD.
(A) 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)

July 2023

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
RMA-Appendix III

19

11

PASS Submission Requirements (Continued)
A.

PASS Submission (continued)
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.)
(A) 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.
(B) Only category B crops (excluding Forage Production) qualify for
added-county.
(C) 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.
(D) 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.
(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
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.
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.
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.

July 2023

RMA-Appendix III

20

11

PASS Submission Requirements (Continued)
A.

PASS Submission (continued)
Determination of LRR Transaction Cutoff Date
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)

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 records 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 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.

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)

July 2023

RMA approved written agreements excluded from LRR cutoff
determination under Section IV(b)(6) of the SRA

RMA-Appendix III

21

11

PASS Submission Requirements (Continued)
A.

PASS Submission (continued)
High-Rate Area

(HR)

Acreage not harvested or planted in prev. year (NB)

(ii)

Listing Reconsideration for Tobacco 2005

(TL)

Small Grains Interplanted

(SG)

Seed Potato acreage > 12%

(SP)

Written Unit Agreements

(UA)

Unrated Land

(UC)

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
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.

CIMS SUBMISSION
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.
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.

July 2023

RMA-Appendix III

22

11

PASS Submission Requirements (Continued)
C.

CIMS SUBMISSION (continued)
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.
The AIP will be able to request information for insurance policy. The following are
the different AIP Batch Type requests:
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.
(iv) Primary records are identified with PRI, Spousal records are identified
with SP1, SP2, etc.
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.

July 2023

RMA-Appendix III

23

11

PASS Submission Requirements (Continued)
C.

CIMS SUBMISSION (continued)
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,
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,
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,
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.
(iv) Primary records are identified with PRI, Spousal records are identified
with SP1, SP2, etc,
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.

July 2023

RMA-Appendix III

24

11

PASS Submission Requirements (Continued)
C.

CIMS SUBMISSION (continued)
(vi) Primary records are identified with PRI, Spousal records are identified
with SP1, SP2, etc, and Non-Spousal SBI records are identified with SBI.
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
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.
RMA’s Insurance Provider Server (IP Server) is a system designed to provide data
transmission services for all AIPs and associated organizations which report to RMA.
In addition to this, the IP Server also supports connections to RMA’s system. Each
AIP is responsible for obtaining telecommunications services from any common
carrier of their choosing. The IP Server supports VPN and Dial-up connections to the
IP Server.
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:

July 2023

RMA-Appendix III

25

12

Telecommunications (Continued)
A.

PASS Telecommunication Processing (continued)
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
Fortinet SSL VPN
Client

Client workstations use FortiClient SSL VPN
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

VPN Connections (cont.)
Site to Site VPN
Connection

An industry standard firewall capable of a Site to Site
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

July 2023

RMA-Appendix III

26

12

Telecommunications (Continued)
A.

PASS Telecommunication Processing (continued)
The IP Server can be reached at 1-800-847-3834. This is a toll-free call available
from anywhere in the continental United States. It currently operates forty-six (46) on
ISDN-PRI (Digital) service configured as one access group. Any AIP who chooses
may establish a dedicated access to the IP Server via the above mentioned Site to Site
VPN connection. Those AIPs who wish to have dedicated access would be required
to provide the compatible equipment as listed above. AIPs considering a dedicated
connection to the IP Server should contact the System Administration Section before
making any purchases.
Except for the maintenance periods, AIP may initiate the transmission at the AIP’s
discretion during operational hours. This could include multiple daily submissions.
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.

13

Processing Considerations
A.

PASS Processing considerations
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

July 2023

RMA-Appendix III

27

13

Processing Considerations (Continued)
A.

PASS Processing considerations (continued)
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.
PASS Records will be available for the current RY Production on the following dates:
• 6/1 – P10, P10A, P10B, P48, P54, P55, P55A, P55B, P75, P75A
• 7/1 – P09, P14, P16, P17, P18, P29, P49, P51, P57, P57A
• 8/1– P35, P35A, P35B, P35C
• 8/2 – P15, P15A
• 9/1 – P11, P11A, P12, P27, P27A
• 9/30 – P20, P20A. P24, P25
• 10/1 – P13, P19, P19A, P19B , P21, P21A, P26, P28, P56, P58
• 12/1 – P22, P23, P23A
• 2/11 – P70
ROE, “R” Records can be submitted at the same time as their associated PASS
Records; Ineligible, “I” Records can be submitted anytime.
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

July 2023

RMA-Appendix III

28

13

Processing Considerations (Continued)
A.

PASS Processing considerations (continued)

Type 9
Record Fund
Designation
(cont)

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
Type 10 records are used to establish a policy and provide information regarding the
Record, 10A, policyholder and entities with a SBI, Spouse, Landlord and Transfer of right to
10B Policy
indemnity.
Records
For the 2017 and subsequent Reinsurance Years, the Approved Insurance Providers
(AIPs) will be required to utilize the Internal Revenue Service (IRS) e-Services
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 e-Services at the following link:
https://www.irs.gov/tax-professionals/taxpayer-identification-number-tin-matching
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.

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Processing Considerations (Continued)
A.

PASS Processing considerations (continued)

Type 11, 11A
Records
Acreage,
Acreage
Commodity

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 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:
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’.
•

Type 12
Record
Payment

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”.
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Processing Considerations (Continued)
A.

PASS Processing considerations (continued)

Type 12
Record
Payment
(cont.)

The “03” payment type code is the only way to reverse a CAT fee payment. Error
conditions will occur for any of the following: duplicate Type 12 records, and the
paid amount and/or paid date do not match the previous “02” payment.
The Type 49 delete record cannot be used to remove a CAT fee payment. Only the
“03” payment type can be used to remove a CAT fee payment.
When reporting state subsidy use payment type code “04”, when applicable.
“05”???? Producer Premium Payment from a Livestock Indemnity
When reporting Livestock Payments use payment type code “06”only.
Payment type code “05” may be used to report a producer payment from a livestock
indemnity.
Do not report State Subsidy on the P12 records.

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.
For Policy Transfer see Part 13. E

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Processing Considerations (Continued)
A.

PASS Processing considerations (continued)

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, a 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.
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 16, 24
Records
Livestock Gross
Margin

The Type 16 record is the collection of liability, premium, coverage level, share,
and price for Livestock Gross Margin. The Type 16 record Establishes Insurance
Period coverage and will be used to establish information about the insurance
period and declared coverage options. A Type 16 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 16 record will not be
accepted until a corresponding Type 10 and Type 14 records are accepted in
PASS. The Type 24 record is the collection of indemnity information for
Livestock Gross Margin. Downhill delete process works like non-livestock
policies Refer to Exhibit P108.

Type 17, 25
Records
Livestock Risk
Protection

The Type 17 record is the collection of liability, premium, coverage level, share,
and price for Livestock Risk Protection. The Type 17 record Establishes the
endorsement coverage and will be used to establish information about the
endorsement and coverage options. A Type 17 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.

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Processing Considerations (Continued)
A.

PASS Processing considerations (continued)

Type 17, 25
Records
Livestock Risk
Protection (cont)

The Type 17 record will not be accepted until a corresponding Type 10 and Type
14 records are accepted in PASS. The Type 25 record is the collection of
indemnity information for Livestock Risk Protection. Downhill delete process
works like non-livestock policies Refer to Exhibit P108.

Type 18, 28
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 28 record is the collection of indemnity
information for Dairy Revenue Protection. Downhill delete process works like
non-livestock policies Refer to Exhibit P108

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
The Type 21, 22 and 23 Records establish the loss amounts for a given eligible
Type 21, Type 22 crop insurance contract and the Type 20 Record identifies the application or
and
disbursement of loss payments.
Type23/Type23A
Records
Type 29 Record

The Type 29 record is the Livestock Coverage Inquiry for DRP and LGM Dairy.
For DRP 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.

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Processing Considerations (Continued)
A.

PASS Processing considerations (continued)

Type 29 Record
(cont)

For LGM Dairy It will be submitted to RMA and will return the Cumulative
Target Marketings for corresponding month from ALL AIPs, according to the
producer and the insurance period matching the request. This inquiry will
provide each AIP the additional information needed to determine cumulative
target marketings for the corresponding months to determine indemnities.

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.

July 2023

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13

Processing Considerations (Continued)
A.

PASS Processing considerations (continued)

Loss Total
Loss Line Record
Inventory Loss
Record (Nursery,
0073 & 1010, and
Aquaculture)
WFRP Indemnity
Record (cont.)

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.
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.
Each AIP must report 100% of the AIP Yield Keys from the Type 11 and 100%
of the AIP Acreage Keys with no corresponding AIP Yield Key from the P11
for insurance plans 01, 02, 03, 47, 90 (excluding records with the Downed
Commodity Endorsement for Rice, Cotton Seed Endorsement, MP and STAX
endorsements and zero planted acreage) on the Type 26 by 31 days past the
Same Year Production Reporting Date for contract change dates 6/30/2022 and
forward. Pecan revenue or crops that have a lag in production reporting are not
subject to this requirement.

July 2023

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13

Processing Considerations (Continued)
A.

PASS Processing considerations (continued)

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, P57, and
P58. Note: The P57A is a downstream record and will also be deleted when the
P57 is deleted.

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 2024 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.

July 2023

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13

Processing Considerations (Continued)
A.

PASS Processing considerations (continued)

Type 51 Records
Conflict of
Interest Policy
Reporting Record

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.
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 Type 54 is a record for Agency/Company employee data.
Agency/Company
Type 54 records require a tax identification number for all records. This record
Employee Data
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.

July 2023

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Processing Considerations (Continued)
A.

PASS Processing considerations (continued)

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.
Record 55 includes Race, Ethnicity, and Gender (REG) Disclosure Statements
that must be completed for every P55 record submitted.
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.
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.

July 2023

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Processing Considerations (Continued)
A.

PASS Processing considerations (continued)

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.
Record 56 includes Race, Ethnicity, and Gender (REG) Disclosure Statements
that must be completed for every P56 record submitted.
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

July 2023

Type 57 and Type 57A reporting is required for all Appendix IV reviews,
including all Data Mining Reviews designated as required by RMA (required
review). Review the Center for Agribusiness Excellence (CAE) Hyper Dynamic
Reporting Application (HyDRA) Quality Control Reporting Requirements list
and HyDRA report cover memos for additional details. Type 57 and Type 57A
reporting is optional for Data Mining reports provided for optional use by AIPs.

RMA-Appendix III

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13

Processing Considerations (Continued)
A.

PASS Processing considerations (continued)

Type 57, 57A
Record Quality
Control
Reporting (cont.)

Type 57A records provide detailed information concerning the source of the
error, the monetary impact of the error, and/or the specific insurance records
altered to correct the error. Regardless of monetary impact, a Type 57A record
is required to be reported for any crop policy correction made because of either
an Appendix IV review or a required review.
A Type 57 record must be reported within 20 business days of completing each
review required to be performed by Appendix IV.
Acceptance of the Type 57 record is dependent upon acceptance of the Type 14
record, even if that Type 14 record has since been deleted.
Acceptance of a Type 57A record is dependent upon acceptance of the parent
Type 57 record. The Type 57 and Type 57A records must be accepted in the
same batch. When a Type 10 or Type 10B record is corrected because of an
Appendix IV review or a required review, a Type 57 record must be reported for
any single Type 14 record on the Eligible Crop Insurance Contract (ECIC).
For all other record corrections, a type 57 record is required only for the P14 to
which a correction was made or the P14 associated with a corrected
“downstream” record (i.e. The P14 itself, a P15 linked to that P14, the P11
linked to that P14, the P21 linked to that P11, etc.).
A Type 57A is only required for the specific record(s) that had changes as a
result of the Appendix IV review or a required review, and not for each of the
“cascading” changes that occur on the eligible crop insurance contract as a result
of the record changes specifically made for the review. For example, on a QC
Review of prior APH history where one annual yield was changed on the Type
15A, only report a single Type 57A for that Type 15A; do not report Type 57A
records for subsequent changes to the Type 15, Type 11, or Type 21 records as a
result of making that change to the Type 15A.
Spot Check List reviews require a Type 57A record to capture the Growing
Season Inspection Code and the Pre-Harvest Inspection Code when concerns are
identified. Reporting is not required when no concerns are identified, but an AIP
may report such results with a GSI/PHI Inspection Code of NULL.

July 2023

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Processing Considerations (Continued)
A.

PASS Processing considerations (continued)

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
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

July 2023

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Processing Considerations (Continued)
A.

PASS Processing considerations (continued)

Type I60, I60A
and I60B
Ineligible
Producer Input
Record (cont.)

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

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.

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.

July 2023

For the current Reinsurance Year 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.

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Processing Considerations (Continued)
A.

PASS Processing considerations (continued)

Type 81 Record
Policy Holder
Tracking
Experience
Inquiry (cont.)

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 multi-year PHTS
Y - One Year PHTS only
F - Five Year PHTS only
T - Ten Year PHTS only
X – Twenty three 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
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(Land ID), 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.

Type 87

The Prioritization Record will move the batch ahead of any other batch that does
not include the P87 record within AIP.
Note: When the P87 is used it will change the batch number on the existing nonprioritized batches.

July 2023

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Processing Considerations (Continued)
B.

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

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

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

Producer with
more than one
period of
ineligibility

•
•
•
•
•

July 2023

Producer Became
Ineligible on 3/15/2024
A policy is submitted for
a crop with sales closing
date and prior year
termination date of
3/15/2024

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.

Producer became
ineligible on 9/30/2019
Producer became eligible
on 3/16/2024
A policy is submitted for
a crop with a sales
closing date and prior
year term date of
3/15/2024
Producer became
ineligible on 9/30/2019
Producer became eligible
on 12/01/2019
Producer became
ineligible on 2/01/2024
Producer became eligible
on 3/15/2024
A policy is submitted
with 3 crops:
o Crop 1 – SCD =
10/31/2019
o Crop 2 – SCD =
1/31/2024
o Crop 3 – SCD =
2/28/2024

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 3/15/2024, the crop
policy would have been
accepted.

RMA-Appendix III

The policies for Crop 1 and Crop
3 would be rejected since the
sales closing dates fall within the
period of ineligibility.
The policy for Crop 2 would be
accepted since the sales closing
date for that crop falls within a
period of time that the producer
is eligible.

44

13

Processing Considerations (Continued)
B.

Ineligible Tracking System Processing Considerations (continued)
Prior Year
Term Date is
later than the
Sales Closing
Date

•

•

New Eligible
crop insurance
contract
Continuing
eligible crop
insurance
contract

July 2023

Single Sales Closing Date (cont.)

Producer insures wheat for 2023 with a sales
closing date of 9/30/2022, and a termination date
of 11/30/2023. The AIP reports the producer to
ITS with a debt delinquency date and effective
date of ineligibility of 9/30/2023
A policy is submitted for a crop with sales
closing date of 9/30/2023

Multiple Sales Closing Dates

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.

Producer ineligible on first
SCD

Producer eligible by
second SCD

Producer ineligible on 1st
SCD

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

RMA-Appendix III

Record for second SCD will be
accepted

45

13

Processing Considerations (Continued)
B.

Ineligible Tracking System Processing Considerations (continued)
•

•

•

•

C.

Agent Eligibility

Agent is Reported as
Ineligible on
9/10/2023
Agent becomes
eligible on 9/10/2025

•

Loss adjuster
becomes ineligible
on 12/3/2023
Loss adjuster
becomes eligible on
12/31/2023

•

Loss 1 – Type 21 record
loss adjuster signature date
= 12/08/2024

•

•

Loss 2 – Type 21 record
loss adjuster signature date
= 11/30/2023

•

•

Eligible crop Insurance
Contract 1 – ll Record
agent signature date =
9/8/2023
Eligible Crop Insurance
Contract 2 – 11 Record
agent signature date =
9/14/2024

•

•

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 records 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.

Duplicate Edit Processing Considerations
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.
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.
If any of the duplicate eligible crop insurance contracts are indicated as a ‘Transfer
and Cancellation’ eligible crop insurance contract on the 14 records, the Dup process
will use the earliest signature date for the current sales period to determine ownership.
The ‘sales period’ starts the day following the earliest sales closing date for the
previous crop year and continues through the latest sales closing date for the current
crop year. If none of the duplicate eligible crop insurance contracts are indicated as
being a ‘Transfer and Cancellation’ eligible crop insurance contract, then ownership
will be determined by earliest signature date without regard to the sales period.

July 2023

RMA-Appendix III

46

13

Processing Considerations (Continued)
D.

Duplicate Edit Processing Considerations (continued)
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.
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.
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 re-transmitted. AIPs must take action to ensure that duplicate eligible crop
insurance contracts listed in the RORYDUP report are NOT re-transmitted to PASS.

E.

Policy Transfer to Another AIP
In accordance with Para 846 of the General Standards Handbook to transfer a policy, an
insured must complete and submit to the assuming AIP a Policy Transfer/Application, or
the assuming AIP must complete and sign, and have the insured sign, a Request to Transfer
a Policy with the ceding AIP’s policy number(s) for each crop policy being transferred. The
assuming AIP must submit this request within 45 days after the cancellation date to the
ceding AIP. If an AIP receives a transfer request to transfer a policy, the AIP must provide
the experience and complete APH data, if applicable, for the applicable crop/county to the
assuming AIP no later than 15 days after receiving the request, even if the ceding AIP has
already canceled the policy. Additionally, the ceding AIP must delete any associated Type
14 records from PASS no later than 15 days after receiving the request.

July 2023

RMA-Appendix III

47

14

PASS Reports
PASS provides AIPs the following reports, transmission data files and reference files to assist error
resolution and status.
Reports
P99Z, “Exception” Provides transactional, financial and error statistics on each transmission.
The report identifies the input file name, the run date and time, and the
received date and time. The transactional statistical section provides
counts by record type of submitted; accepted; rejected; and suspended
records. The financial statistical section provides the associated dollar
amount of submitted, (if a type 97 record is included in the transmission);
accepted; rejected; and suspended records. The error statistics sections list
the error code and message received and the number of records in error.

Duplicate Report
Files
IPRYSUM.TXT
IPRYDUP.TXT
IPRYOWN.TXT

Weekly Reports/Files
Contain eligible crop insurance contracts identified by PASS as being a
duplicate. Issued on the IPSERVER every Monday at 12:00 p.m.
Report file showing duplicate policy and owner policy summary
information for IP/RY
Data file containing duplicate policy identification along with owner
policy information for IP/RY
Data file containing owner policy identification along with duplicate
policy information for IP/RY
Available every Monday morning. Lists of premium and indemnity by
policy, with totals accepted by PASS the previous week.

Weekly
Reconciliation
Report
Written Agreement Generated to the IP SERVER every Monday at 12:00 p.m. Each IP will be
Reports
provided with two files. A file for their own written agreement policy data
that has been accepted through PASS. The second file for the written
agreements offered by the RMA Regional Office for that IP. Files are
made available to the IPs via the “ip server” and to the RO’s via the
RMKC00a system. The file naming conventions are “ipyywaip.txt” (IP
data) and “ipyywaro.txt” (RO data)

July 2023

RMA-Appendix III

48

14

PASS Reports (Continued)

Insuranc
e Control
Element
(ICE)
Files

Common
Land
Unit
Files

Reference Files
Validation files used by PASS.
• SPOI ICE files will be released with the ADM and follow the same 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: https://pubfsrma.fpac.usda.gov/pub/References/insurance_control_elements/PASS/index.ht
mlf
A crosswalk master list is included as Exhibit 103.
Contains spatial data for the polygons of Common Land Unit areas 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)

July 2023

RMA-Appendix III

49

PART 3 ACCOUNTING
21

Reimbursement of Losses
A.

For any AIP that elects to use escrow funding:
RMA will fund the escrow account within three (3) business days after the loss
transactions are accepted in Escrow System;
Daily escrow process generates detail and summary registers in addition to the raw
data file. (See Exhibit 8);
Beginning with the October monthly settlement report for the MPCI reinsurance year
(e.g., October 2023 will be the first accounting report for the 2024 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.
(4)

B.

Beginning with the July monthly settlement report for the Livestock reinsurance year
(e.g., July 2023 will be the first accounting report for the 2024 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.

Monitoring Escrow Account Balance and Collateral:
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.

C.

For any AIP elects not to utilize Escrow funding:
AIPs will be reimbursed on the Monthly/Annual Settlement Report for paid losses which
have been validated and accepted in PASS as of the monthly transaction cutoff date. Any
loss will be considered paid by the AIP, when the instrument or document issued as
payment has cleared the AIP’s bank account.

D.

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.

July 2023

AIP Escrow Account Reconciliation must include the following information in a zip
file on a monthly basis:
RMA-Appendix III
50

21

Reimbursement of Losses (Continued)
D.

Bank Reconciliations (continued)
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 submitted in PDF format, certified and signed
by a company officer or other company designated management official.
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).
Bank Statement of AIP’s Loss-Clearing Account submitted in PDF format.
Bank Statement of RMA’s Escrow Account submitted in PDF format.
The bank reconciliation Excel file that is submitted to RMA must include the
following eight tabs:
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.
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.

July 2023

* 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.
RMA-Appendix III
51

21

Reimbursement of Losses (Continued)
D.

Bank Reconciliations (continued)
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 issue payment to the producer within 3 business days of
submitting the request for escrow funding to RMA.
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.
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.
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.
Overage/Shortage – AIPs must provide a list of all items considered to be
overages/shortages as of the statement cut-off date.

July 2023

•

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,
o Checks the insured has cashed in the current month that have not
been funded by RMA,
RMA-Appendix III

52

21

Reimbursement of Losses (Continued)
D.

Bank Reconciliations (continued)
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 6 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.

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.
Further procedures for Escrow Account Reconciliations
Stale dated checks contained in the Outstanding tab:
(i)

For each check that has been outstanding for nearly a year, AIP’s must.
(A) 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.
(B) If the insured requests a replacement check the AIP should void the
original check and issue a new check.
(C) 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:

July 2023

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 reimbursing FCIC for the full
amount of the listed voided checks. AIPs must not make any
changes to the loss data submitted through PASS.
RMA-Appendix III

53

21

Reimbursement of Losses (Continued)
D.

Bank Reconciliations (continued)
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.

Interest (as listed on the bank statement) contained in the Interest tab:
AIPs are required to remit interest payments (via either Electronic Funds
Transfer or Pay.gov) on a monthly basis for interest amounts exceeding $10.00.
(i)

Interest under $10.00 should be retained until interest accrued exceeds
$10.00 before sending to RMA.

(ii)

Outstanding interest must be submitted on a yearly basis with the August
reconciliation, even if the $10.00 threshold has not been met.

Process for Depositing and Withdrawing amounts from the Escrow Account:
(i)

Deposits:
•
•

(ii)

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.

Withdrawals:
•

AIPs must submit a request for funding to be withdrawn except monthly
interest withdrawals. 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.
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:

July 2023

RMA-Appendix III

54

21

Reimbursement of Losses (Continued)
D.

Bank Reconciliations (continued)
(i)

AIP/MGA decision not to renew their SRA agreements with FCIC to sell
or deliver multi-peril crop insurance for FCIC.

(ii)

Decision by RMA management to terminate a reinsurance agreement with
a company or an escrow agreement for non-compliance.

(iii) AIP/MGA decision to change banks or moves to a different location and
needs to establish a new escrow account.
(iv) AIP/MGA merger with another company and/or forms a new entity.
(v)

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,
RMA will notify AIP/MGA requiring the following actions in Section A or B be
taken:
(A) Section A (Applies if closure is due to situations (i) or (ii) as
described above)

July 2023

1

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."

2

Within 30 days of notification to close the Escrow Account, the
AIP/MGA must deposit funds to cover any shortage in the
account.

3

After all replacement escrow checks have cleared, or 90 days
have elapsed, the remaining outstanding escrow checks should
be voided.

4

Once the above tasks have been executed, notify RMA that the
Escrow Account is ready to be closed.

5

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.
RMA-Appendix III

55

21

Reimbursement of Losses (Continued)
D.

Bank Reconciliations (continued)
(B) Section B - (Applies if closure is due to situations (iii), (iv) or (v) as
described above)
1

The AIP/MGA must open a new Escrow and Loss Clearing
Account

2

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:

July 2023

3

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."

4

Within 30 days of notification to close the Escrow Account, the
AIP/MGA must deposit funds to cover any shortage in the
account.

5

After all replacement escrow checks have cleared, or 90 days
have elapsed, the remaining outstanding escrow checks should
be voided.

6

Once the above tasks have been executed, notify RMA that the
Escrow Account is ready to be closed.

7

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.

RMA-Appendix III

56

21

Reimbursement of Losses (Continued)
D.

Bank Reconciliations (continued)
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.
All documents must be submitted electronically.
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).
Template formats provided on the attached sample reconciliation must be
followed when submitting the escrow bank reconciliation.
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.
Failure to follow the above procedures will result in RMA initiating a series of
notification letters from RMA to the AIPs.
The first letter notifying the AIP accounting staff of the issue.
The second letter will be notification to AIP management.
The third letter will result in a notification letter to RSD for appropriate
sanctions, including potential escrow agreement termination.
Available tools:
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.

July 2023

RMA-Appendix III

57

21

Reimbursement of Losses (Continued)
D.

Bank Reconciliations (continued)
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
The 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
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 the current reinsurance year
and prior reinsurance years.

D.

Adjustments
Adjustments for material monetary impact will be made for erroneous RMA rejected PASS
data which may include interest.

E.

Timing of Monthly Payments
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.
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.
(i)

July 2023

Except as provided in Section III(c)(1)(B) of the SRA, FCIC will net
together for payment purposes, multiple reinsurance year reports
RMA-Appendix III

58

22

Accounting Processing Considerations (Continued)
E.

Timing of Monthly Payments (continued)
(ii)

FCIC will make payments to AIPs via Electronic Funds Transfer (EFT)
through the U.S. Treasury or Pay.gov.

(iii) 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
The application of paids and loss-credits is best demonstrated with the following
examples:
The Loss Credit must initially be applied to the Policy and crop with the
associated Claim in the following order:
(i)

Unpaid Finance Charges for the crop (i.e., collection fees, interest,
penalties, etc.), then

(ii)

Unpaid Administrative Fee for the crop, then

(iii) Unpaid Premium for the crop
After the Loss Credit has been applied to the Policy and Crop with the associated
Claim then proceed in the following manner:
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)

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)

(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
July 2023

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Accounting Processing Considerations (Continued)
F.

Application of Paids and Loss-Credits (continued)
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:
Company has and can provide documentation stating the producer agreed to
have the unbilled amounts offset from the remaining amount of the loss.
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.

Georgia Policy Example:
Example #1
Loss Date 8/10/2021 - County 1/ Wheat - Loss $2,600
Policies
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:
2nd Application: Debt by
Date of Delinquency
Policy/Debt Balances:
Remaining Loss Balance:
Unbilled Policy Balance:

July 2023

County 1/ County 1/ County 3/
Wheat
Oats
Wheat
6.63
4.13
5.38
30.00
30.00
30.00
500.00

300.00

7/1/2023
9/30/2023

7/1/2023
9/30/2023

400.00

Overpaid
Indemnity
County 3/ County 3/ Wheat
Corn
RY 2015
30.00
230.00

7/1/2022 8/15/2022
9/30/2023 2/28/2022

1,250.00
7/20/2023
8/20/2023

536.63
0.00
2,063.37
9/30/2023

43.86*

334.13
$0.00

8/20/2023
435.38
0.00

1,250.00
0.00
260.00

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Accounting Processing Considerations (Continued)
F.

Application of Paids and Loss-Credits (continued)

*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
08/01/2023 - $600.00 Loss on Policy # 1-Wheat
Unpaid Interest
Unpaid Fees
Unpaid Premium
Bill Date

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
7/1/2022
7/1/2022
7/1/2022
08/15/2022

1. Apply $3.25 to interest on Policy #1-Wheat, $30 to fees on Policy #1-Wheat, and $100 to
Premium on Policy #1-Wheat
2. 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)
3. 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)
4. Apply the remaining Loss Credit to Policy #2 – Oats - $120 Premium and Policy #2 –
Wheat - $165 Premium.
5. 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
•
•
•
•
•
•

July 2023

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

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Accounting Processing Considerations (Continued)
F.

Application of Paids and Loss-Credits (continued)

Example 2
•
•
•
•
•
•

G.

Original Claim $1,250
Original Premium $600
Loss Application
o M Code $600
o E Code $650
Corrected Claim $950
Revised Premium $550
Loss Application
o M Code $550
o E Code $400
Administrative Expense Reimbursement
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.
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.
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.
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.
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).
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.

July 2023

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Accounting Processing Considerations (Continued)
H.

Interest Calculations
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.
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).
The AIP will repay, with interest, any amount paid to the AIP by FCIC which is
subsequently determined by FCIC or the AIP, to have been not due to the AIP, such
as overpaid indemnities or excessive expense reimbursements. Interest begins
accruing based on the date of the Final Determination letter. (See Interest Calculation
Exhibit 1-19 Example 2).
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).
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 6-6).
All payments are subject to post audit by FCIC.

23

AIP Accounting Responsibilities
A.

Accounting Data
All accounting data must be downloaded by the AIPs via telecommunications processing.
The data will be made available on a monthly basis.

July 2023

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AIP Accounting Responsibilities (Continued)
B.

Uncollected premiums
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)
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.

Voluntary Refusal or Repayment of Risk Subsidy
“Risk subsidy” means that portion of the premium for an eligible crop insurance contract
paid by FCIC on behalf of the policyholder. If this situation arises, the insured can remit
the additional payment to the AIP or directly to FCIC. AIPs should have due diligence to
document the insured’s voluntary refusal or repayment of risk subsidy. AIPs shall reach
out to the Reinsurance Accounting & Operations Branch to determine how to process the
payment to FCIC. Under no circumstances should an AIP attempt to handle this situation
through FCIC’s PASS and Escrow processing.

E.

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.”
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.

July 2023

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AIP Accounting Responsibilities (Continued)
E.

For the purpose of collecting CAT fees and accrued interest from insureds (continued)
AIPs shall transmit a 60 and 65 record through the Ineligible Tracking System
for the principal amount only, for unpaid CAT fees within 7 to 21 days after the
crop termination date. At this time these fees become Federal debt and all
collection efforts on the part of the AIP shall cease.
AIPs are responsible for any questions that an insured may have regarding the
validity of this debt or payment made prior to the crop termination date. After
the crop termination date, all questions regarding amounts due including interest
accrued, shall be referred to RMA.
(i)

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

(ii)

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

(iii) RMA shall calculate interest in accordance with 7 CFR 457.8 on any
unpaid CAT fees reported to RMA beginning on the termination date until
the debt is satisfied.
(iv) RMA will answer any questions regarding the amount of the Federal debt,
or any payments made after crop termination since subsequent interest
may have accrued.
(v)

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

(vi) RMA may refer the Federal debt to Treasury for cross servicing.
F.

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

G.

Underwriting Gain/Loss
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

July 2023

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AIP Accounting Responsibilities (Continued)
H.

Premium Due Payment Worksheet
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
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).

I.

Amount Due FCIC (Monthly or Annual Settlement Report)
The new amount due FCIC as reflected in the Monthly or Annual Settlement Report, must
be paid by EFT or Pay.gov 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

J.

All payments due to FCIC
Any payments due to FCIC must be deposited directly into the Corporation's account in the
U.S. Treasury by EFT or through Pay.gov. 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.

K.

Annual Settlement Reports
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.
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.
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.
All discrepancies, including items appearing on the Overpaids and loss credits
reported on the ADR003 and ADR 004 reports must be reconciled and eliminated
from the reports prior to the last automated cycle of the reinsurance year as defined in
Part 11.A.1.a. of this Appendix

July 2023

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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:

July 2023

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Accounting Reports (Continued)
B.

RAS Summary Reports: (continued)

Premium

Paid

Loss-Credit

Subsidy
Losses

Cost Share

July 2023

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.
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 Tota
Losses will be compared to the sum of "Loss-cr., Escrow, and Drafts" and "Loss
Deductions (F, R, O)" and FCIC will pay the lesser amount. RMA will also adjust
the amount of "Drafts Issued (Escrow)" included in the Monthly/Annual Summary
Report on the line for "Loss-CR, Escrow and Drafts" to the lesser amount of
"Previous Escrow Funded" or "Less Drafts Issued (Escrow)." This will avoid any
potential overpayments by FCIC on the Monthly/Annual Summary Reports.
The total WFRP Cost Share reported as additional subsidy.

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Accounting Reports (Continued)
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.

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

July 2023

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 transfer
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 approved
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).

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Accounting Reports (Continued)
C.

Monthly Settlement Report (Exhibit 1-1): (continued)

FCIC
Interest/Penalty
Adjustment Due
FCIC
FCIC Previous
Payment
Escrow Funded
Paid Previous
Worksheets

Underwriting Loss

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

July 2023

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.
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.
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
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).
Represents the summation of the Due Company/Due FCIC columns.
Represents the combined totals from the Premium Due and Premium Due Without
Payments Worksheets (Exhibit 6-1 thru 6-7)
Net balance due the AIP or RMA.
Represents the amount of escrow the AIP has been funded and is reported here whe
FCIC issues the funds to the AIP. The total is summed to one day prior to the
current cutoff date of the Monthly Settlement Report.
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 “Previous Escrow Funded” line and the
“Less Drafts Issued (Escrow)” line.

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Accounting Reports (Continued)
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.

Net Expense
Reimbursement

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

July 2023

Represents administrative expense reimbursement based on a percentage of total
premium on all non-CAT crop policies less the reduction for Late Reported
Reductions. The CAT loss adjustment expense which is 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.
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.

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Accounting Reports (Continued)
D.

Annual Settlement Report (Exhibit 1-4) (continued)

FCIC Previous
Payment
Escrow Funded
Paid Previous
Worksheets
Underwriting
Gain/Loss
Subtotal
Total from Current
Worksheet
Balance Due AIP
(+) or FCIC (-)
Escrow Funded
Less Drafts Issued
(Escrow)
Escrow Balance

July 2023

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.
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).
The total balance due the AIP or RMA.
Represents the amount of escrow the AIP has been funded and is reported here
when FCIC issues the funds to the AIP.
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.

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Accounting Reports (Continued)
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 PASS. 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
FCIC Previous Payment
FCIC Interest/Penalty
Adjustments Due FCIC
Livestock Settlement
Balance Due
Company/FCIC
25

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.
Cumulative total of all “Balance Due Company” amounts from all prior
month’s 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

Recon Reduction on PASS-Calculated Values & Summary Book of Business Discrepancies
A.

The Recon Reduction Due Calculation
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.

Book of Business for Premium by State
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.

July 2023

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25

Recon Reduction on PASS-Calculated Values & Summary Book of Business Discrepancies
(Continued)
C.

Book of Business for Losses by State
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.

Book of Business for Recon Reduction Report
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 41)
Example of PASS Full Book Premium Calculation
Producer Premium
70 Record
for AIP
Submission

PASS
Accepted

Recon
Reduction
Impact

$9,000.00

$8,000.00

$1,000.00

$5,000.00

$6,000.00

$150.00

Comments
Negative Financial Impact to
FCIC is $1,000.00 because
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

July 2023

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.

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74

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:
•

•

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 903.3 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. The debt shall continue to accrue interest until the
debt is paid in full or otherwise discharged in bankruptcy. 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.

July 2023

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26

Standards for Write-off of Established Debts (Continued)
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 Writeoffs. 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.
Procedural Write-offs:
The following guidelines provide AIPs consistent, fair and equitable treatment of
producers with respect to Procedural Write-offs:
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)

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
(iii) 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.
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)

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
(iii) 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.

July 2023

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26

Standards for Write-off of Established Debts (Continued)
B.

Debt Write-Off to Retain or Reinstate Eligibility: (continued)
Situational Write-offs:
The following guidelines provide AIPs consistent, fair and equitable treatment of
producers with respect to Situational Write-offs:
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)

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.
(iii) 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
(iv) Any unpaid balance directly coincides to the most recent month’s accrued
interest; or
(v) 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.
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
should only be used to retain producer eligibility for continued participation in the
Federal Crop Insurance Program.

July 2023

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77

26

Standards for Write-off of Established Debts (Continued)
B.

Debt Write-Off to Retain or Reinstate Eligibility: (continued)
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:
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:
An initial billing statement was provided to the insured reflecting the premium
amount accepted by PASS as of the billing date in the SPOI.
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
Any unpaid balance directly coincides to the net amount changed as a result of
the PASS revision.
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 claim payment had been made for the loss amount that was previously
accepted by PASS; and
Any unpaid balance directly coincides to the net amount changed as a result of
the PASS revision.
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.

July 2023

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78

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)

46 Status Code – Debt Satisfied 15-Day Grace Period (for written payment
agreements only)

(ii)

47 Status Code – Debt Satisfied 7-Day Transit

(iii) 48 Status Code – Debt Satisfied Small/Transposed Amounts

28-30 (Reserved)
July 2023

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79

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 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).

C.

Related Handbooks and Reference Materials
This table references related handbooks/reference materials and their relation/purpose.

July 2023

Related Handbooks/
Reference Material
Written Agreement
Handbook (FCIC 24020)

Provides procedures for modifying terms and conditions of
the ADM, ICE, or other issued policy and procedure

Crop Insurance Handbook
Part 20 RO Underwriting

Provides procedures for Determined Yield and Added land
Requests

Relation/Purpose

RMA-Appendix III

80

31

General Overview (Continued)
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.

Entity

RMA

July 2023

Function

Reporting

Responsibilities
Responsible for:
• 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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32

Responsibilities (Continued)

Entity

Responsibilities

Function

Responsible for taking actions to ensure timely and accurate data submission
to FCIC, including but not limited to submission of:
•

AIP

Reporting

•
•
•
•

33

monitor notification sources
o e-mail
o Ice Exception Request
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.

System Overview
A.

Exception Change Request Processing Overview
Exhibit 201-0 illustrates the system flow concept that will be implemented with ROE.
For the current reinsurance year 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.)
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.
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.
PASS will reference these records to perform standard and WA specific validations
on the policy records associated with a Written Agreement.
Data electronically submitted:
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

July 2023

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33

System Overview (Continued)
A.

Exception Change Request Processing Overview (continued)
have WA ADM data. A determined Yield will have a record on the Ice
Exception Request Table (D030001).
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 system-generated output that is sent to an AIP after each
edit completes.
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.
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
Refer to the Appendix III – Data Acceptance Narrative “PASS Telecommunication
Processing” section for details on:
Options for connecting to the site for uploading R records and picking up WA
ADM/ICE records.
When and how often an AIP may transmit R records to RMA.
RMA’s options for stopping automatic edit processing.

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.

July 2023

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35

Exception Change and Determined Yield Request Submission Requirements
A.

R” 35 Lite Option
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

B.

Data Handling
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.
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.
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

XX

Reinsurance Year

2024

Application Code

R

Submit File Format XX2024R.ZIP

July 2023

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84

35

Exception Change and Determined Yield Request Submission Requirements (Continued)
B.

Data Handling (continued)
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
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

If corrupt and cannot be opened, it is moved to the common
upload folder with a dot-BADZIP extension

More than one file
is inside Zip

File is moved to the common upload folder with a dotBADZIP extension.

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.

Upon completion of processing, output files are returned to the common download
folder for the AIP.
RETURN ZIP FILE
Return Zip File Name

XX2024R0003.zip

RETURN ZIP FILE CONTENTS
Processed Records File Name

XX2024R0003.txt

Exception Record File Name

XX2024R0003Exception.txt

Summary Record File Name

XX2024R0003Summary.txt

Unknown Record File Name

XX2024R0003Unknown.txt

July 2023

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35

Exception Change and Determined Yield Request Submission Requirements (Continued)
B.

Data Handling (continued)
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.
Unknown Reason Code 1

Reinsurance Year does not match the Reinsurance Year on the
batch file name

Unknown Reason Code 2

AIP Code does not match the AIP Code on the batch file name

Unknown Reason Code 3

Record Type not in list of accepted Record Type Codes (by
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

Unknown Reason Code 6

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
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”.

Unknown Reason Code 7

Submission date of the record type is outside of the valid
submission start date or end date.

July 2023

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35

Exception Change and Determined Yield Request Submission Requirements (Continued)
B.

Data Handling (continued)

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

Actuarial Change Request must be submitted electronically on a reinsurance year
basis. The current Reinsurance Year data would include the following crop year data:
(a)
(b)
(c)
(d)
(e)

Raisins: Current RY -1
Florida Avocados: Current RY +1
Citrus (Arizona, California, Florida and Texas): Current RY +1
Nursery (0073 and 1010): Current RY +1
All other crops: Current RY

All data relating to each respective Reinsurance Year must be included in the same
submission, with separate submissions required for each reinsurance year.
Associated P record ZIP files shall be submitted before the R record ZIP files are
submitted.

July 2023

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36

Electronic Request Submission Processing Considerations
A.

ROE “R” Record Processing Considerations
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.
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.
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.
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.
The relationships between the R records are documented in Exhibit 202.0
Relationship between R – record tables
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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36

Electronic Request Submission Processing Considerations (Continued)
A.

ROE “R” Record Processing Considerations (continued)
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 R27
Records
Land ID

July 2023

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 27 record provides legal data.
If the R27 record is land that is to be considered for the Exception
request
Submission of the R27 is optional for 2024. For 2024, rejection of
any of the R27 series records will not cause the request to be
rejected.

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Electronic Request Submission Processing Considerations (Continued)
A.

ROE “R” Record Processing Considerations (continued)
Type R36
Records
AIP Field Office
Contact
Information

The Type 36 record provides the contact information for the AIP
field office handling the Exception Request. The email address for
the field office is used for all notifications of request folder creation
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.

Type R37
Records
CommodityType-Practice
and Yield land
Association

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.
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 2023 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.

July 2023

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Electronic Request Submission Processing Considerations (Continued)
A.

ROE “R” Record Processing Considerations (continued)
Type R37
Records
CommodityType-Practice
and Yield land
Association
(cont.)

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.
Submission of the R37 is required.

37

ROE Reports
ROE provides AIPs the following report file to assist error resolution and status.
Reports
P99Z, “Exception” 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 list 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/2024/

July 2023

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38

ICE Reference Tables Specific to Actuarial Change Request Processing (Continued)
Reference Files
D03002

Exception Processing Procedure
Associated with the exception request.

ICEExceptionRequestType

D03003

Request type approved for use in the
current reinsurance year.

ICEExceptionRequestProducerType

D03004

Identifies insured’s role in operation.

ICEExceptionRequestStatus

D03005

Status of offer defined by WA
ADM/ICE records. See 17.B for
details on how this field will be used.

ICEExceptionRequestOfferType

D03006

Defines whether the offer was exactly
what was requested.

ICEExceptionRequestReleaseReason

D03007

Reason that the WA ADM/ICE records
were released to the AIP.

ICEExceptionRequestLandLevel

D3008

Level at which PASS must do legal
validation

ICEExceptionRequestProcess

39

WA ADM/ICE Record Retrieval
A.

ROE Process that builds WA ADM/ICE records
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 scheduled to start at midnight each day.
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.
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.
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.

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39

WA ADM/ICE Record Retrieval (Continued)
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
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: 2024A00810_Price_YTD.txt
Zip File Name: YYYY_WAAdm_Ytd .zip
Example:
2024WAAdm_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.

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WA ADM/ICE Records Formats and Content (Continued)
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 the current reinsurance
year.
A.

ICE Tables Documentation/Structure
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.

ADM

July 2023

• 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

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)

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WA ADM/ICE Records Formats and Content (Continued)
A.

ICE Tables Documentation/Structure (continued)

ADM
(cont.)

• 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.
• WA Number is a key on these records

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)

ICE

B.

Class (A00410)
Commodity Type (A00430)
Cropping Practice (A00450)
Intended Use (A00470)
Interval (A00480)
Irrigation Practice (A00lar490)
Organic Practice (A00500)
Practice (A00510)
Sub Class (A00530)
Type (A00540)

Header Record for WA ADM/ICE.
The ICE Exception Request (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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WA ADM/ICE Records – Formats and Content (Continued)
B.

Header Record for WA ADM/ICE. (continued)
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 2023

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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WA ADM/ICE Records Formats and Content (Continued)
B.

Header Record for WA ADM/ICE. (continued)
Field
Crop Inspection
Required Flag
Exception Request Status
Code
Offer Expiration Date
RO Approved Date
Insured Accepted Offer
Date
Insured Accepted Offer
Flag
WA Number

Purpose
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.

WA Multi Year Flag

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.

Begin Commodity Year
End Commodity Year
ADM Source State Code
ADM Source County
Code
Exception Request
Release Reason ID
Land Level Code

July 2023

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

Adm Exists Flag

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 2024 Written
Agreement validation if the value of this field is “N”.

Multi-Year Cancelled
Date

Indicates whether a Multi-Year WA has been cancelled. If
populated the MY will no longer apply for future
Reinsurance Years

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WA ADM/ICE Records Formats and Content (Continued)
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 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.

July 2023

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.

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Content of Year-to-Date Releases (Continued)
B.

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: 2024WAAdm_YTD.zip)

C.

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 Ice Exception Request 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 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
Ice Exception Request 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

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42

Identifying Active Written Agreement Offers (Continued)
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 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 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.

July 2023

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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 multi-year 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 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 Ice Exception Request and ADM Land
Description tables
Legal validation will be controlled by the Land Level Code 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 Land
Level Code 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 Land Level Code field.
For 2024, failure on the legal validation tests will only result in a warning.

July 2023

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Written Agreement PASS Reporting (Continued)
C.

Validation based on information stored in the ICE Exception Request and ADM
Land Description tables (continued)
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_Code_E
xhibit_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.
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 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

July 2023

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43

Written Agreement PASS Reporting (Continued)
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 Multi-Year
Written Agreements no sooner than 10 days after the scheduled filing date for the source
ADM/ICE for the current reinsurance year. The source State and County for the WA are 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)

July 2023

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103

Appendix III Records and Reports Overview

Exhibit 1

The records in exhibit 2-10 can be found on the RMA website at https://www.rma.usda.gov/en/Policyand-Procedure/Appendix-III-M13-Handbook-Index. You can download the entire handbook or view a
specific record type.

July 2023

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104

Exhibit 2

Accounting Records
FCIC Settlement Reports:
•

1_1 - FCIC Operations Report RCP001

•

1_3 - Installment Report INS001

•

1_4 - A&O Rate Group by Insurance Plan

•

1_5 - FCIC Adjustment Detail Report ADJ001

•

1_6 - Detail Accounting Report Excluding CAT ADR001

•

1_7 - FCIC Detail Accounting Report Excluding CAT ADR002

•

1_8 - FCIC Detail Accounting Report Grand Totals ADR003

•

1_9 - FCIC Detail Accounting Report ADR004

•

1_10 - PCR Memo Reject Listing PCR001

•

1_11 - Interest Calculation Examples

•

1_12 - CAT Conservation Compliance Report CCC001

•

1_13 - CAT Conservation Compliance Report by Billing Date CCC002

Administrative Fee Reports:
•

2_1 - FCIC Administrative Fee Report FEE001

•

2_2 - Cat Coverage Fees Reinsured Company Detailed Report CFE001

•

2_3 - Cat Coverage Fees Excluding Buy Up State Totals CFE002

•

2_4 - Cat Fee Receivable Report CFE003

•

2_5 - Additional Coverage Administrative Fee Summary Report ACA001

Reinsurance Run:
•

3_1 - Reinsurance Run RO Recap

•

3_2 - Reinsurance Run State Recap

Reconciliation Reports:
•

4_1 - Summary Book of Business for Recon Reduction REC002

FCIC Administrative Reduction Reports:
•

5_1 - Administrative Reduction Report Late Reported Reduction LFS001

•

5_2 - Administrative Reduction Report LFS002

Premium Due Worksheets:
•

6_1 - Premium Due Worksheet PDW001

•

6_2 - Premium Due Worksheet Example

July 2023

RMA-Appendix III

105

•

6_3 - Premium Due Worksheet Deferred Example

•

6_4 - Premium Due Report PDR001

•

6_5 - Premium Due Without Payments Worksheet PDW002

•

6_6 - Premium Due Without Payments Worksheet Example

•

6_7 - Premium Due Without Payments PDR002

Exhibit 2

Fund Transfer:
•

7_1 - Instruction Guide for Funds Transfer

Escrow:
•

8_1 - Escrow Register Detail

•

8_2 - Escrow Register Summary

•

8_3 - Escrow Register Raw Data File

•

8_4 - Escrow Bank Reconciliation Report

RAS Summary Reports –Livestock:
•

9_1 - Livestock Operation Report LRCP01

•

9_2 - FCIC Livestock Detail Report LADR001

•

9_3 - Livestock Settlement Report LIVPRT01

•

9_4 - State Livestock Reimbursement Report LINS02

•

2024 Administrative Fee Schedule

Administrative Fee Schedule:
•

I60 - Ineligible Producer Record

•

I60A - Ineligible Producer Address Record

•

I60B - Ineligible Producer Other Person Record

•

I61 - Ineligible Producer Output Record

•

I65 - Ineligible Policy CAT Fee Debt Record

•

2024 ITS Status

•

I90A - ITS Batch Summary Record Counts

•

I90B - ITS Batch Summary Rule Counts

•

I98Z - ITS Unknown Reason

•

I99Z - ITS Exception

July 2023

RMA-Appendix III

106

Exhibit 3

CIMS

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.)
•

C05 - CIMS Request

•

C05_1 - CIMS Status Code Returned Exhibit

•

CIMS Output Format - Status Codes

•

CIMS Output Format - Name Record

•

CIMS Output Format - Address Record

•

CIMS Output Format - Phone Record

•

CIMS Output Format - Email Record

•

CIMS Output Format - Program Record

•

CIMS Output Format - Summary Record

•

CIMS Output Format - Detail Record

•

CIMS Output Format - Sharing Record

•

CIMS FSA Intended Use Codes

•

CIMS Acreage Difference Discovery FSA Detail Output

•

CIMS Acreage Difference Discovery RMA Detail Output

•

CIMS Acreage Difference Discovery Summary Detail Output

•

CIMS Business/Entity FSA Detail Output

•

CIMS Business/Entity Difference Summary Output

•

CIMS Reported FSA, Not RMA Detail FSA Export Layout

•

CIMS Reported FSA, Not RMA Detail RMA Export Layout

•

CIMS Reported FSA, Not RMA Summary Export Layout

•

CIMS Acreage Difference by CLU FSA Detail Output Record

•

CIMS Acreage Difference by CLU RMA Detail Output Record

•

CIMS Acreage Difference by CLU Summary Output Record

July 2023

RMA-Appendix III

107

Exhibit 4

PHTS
•

T81 - Policyholder Tracking Experience Inquiry Output Format

July 2023

RMA-Appendix III

108

Exhibit 5

PASS Records
•

P09 - Fund Designation

•

P10 - Policy Producer

•

P10A - Policy Producer Address

•

P10B - Policy Producer Other Person

•

P11 - Acreage

•

P11A - Acreage Supplement

•

P12 - Payment

•

P13 - Inventory Value

•

P14 - Insurance In Force

•

P15 -Yield

•

P15A - Yield History

•

P16 LGM Premium

•

P17 LRP Premium

•

P18 - DRP Premium

•

P19 - WFRP Farm Reports

•

P19A - WFRP Farm Reports Detail

•

P19B - WFRP Farm Reports Sub Detail

•

P20 - Loss Total Record

•

P20A - Disbursement

•

P21 - Production Loss Detail

•

P21A - Production Loss Sub Detail

•

P22 - Inventory Loss Detail

•

P23 - WFRP Indemnity

•

P23A - WFRP Indemnity Detail

•

P24 LGM Indemnity

•

P25 LRP Indemnity

•

P26 - Production Record

•

P27 - Land

•

P27A - Land Other Person Sharing

•

P28 - DRP Indemnity

July 2023

RMA-Appendix III

109

Exhibit 5

•

P29 - DRP Coverage Inquiry

•

P35 - Personal Projected Price

•

P35A - Revenue and Yield Summary

•

P35B – Tolerance

•

P35C - Revenue History

•

P48 - Record Type Delete

•

P49 - Policy Delete

•

P51 - Conflict of Interest

•

P54 - Employee

•

P55 - Insurance Agent

•

P55A - Insurance Agent Agency

•

P55B - Insurance Agent Servicing State

•

P56 - Adjuster

•

P57 - Quality Control Reporting

•

P57A - Quality Control Review Correction

•

P58 - Notice of Loss

•

P70 - Book of Business

•

P75 - Producer Certification

•

P75A - Producer Certification Detail

•

P87 Batch Prioritization

•

P90 - Batch Summary Statistics

•

P90A - Batch Summary Record Counts

•

P90B - Batch Summary Rule Counts

•

P91 - Duplicate Policy

•

P94 - Producer History

•

P95 - BFR History

•

P98Z - Unknown Malformed Batch

•

P99Z - Exception

July 2023

RMA-Appendix III

110

Exhibit 6

PASS Calculations
•

P11_1 - Plan 01 02 and 03 Premium Calculation

•

P11_2 - Plan 04 05 06 and 13 Premium Calculation

•

P11_3 - Plan 40 Premium Calculation

•

P11_4 - Plan 41 Premium Calculation

•

P11_5 - Plan 47 Premium Calculation

•

P11_6 - Plan 50 Premium Calculation

•

P11_7 - Plan 51 Premium Calculation

•

P11_8 - Plan 55 Premium Calculation

•

P11_9 - Plan 90 Premium Calculation

•

P11_11 - Plan 31 32 and 33 Premium Calculation

•

P11_12 - Plan 35 and 36 Premium Calculation

•

P11_13 - Plan 16 and 17 Premium Calculation

•

P11_14 - Plan 37 Premium Calculation

•

P11_15 - Plan_21_22_23_Premium Calculation

•

P11_16 - Plan 87 88 89 Premium Calculation

•

P13_1 - Plan 43 Premium Calculation

•

P13_2 - Plan 50 Premium Calculation

•

P13_4 - Plan 37 Premium Calculation

•

P16_1- Plan 82 Premium Calculations

•

P17_1- Plan 81 Premium Calculation

•

P18_1 - Plan 83 Premium Calculation

•

P19_1 - Plan 76 Premium Calculation

•

P21_1 - Plan 01 Indemnity Calculation

•

P21_2 - Plan 02 and 03 Indemnity Calculation

•

P21_3 - Plan 04 05 06 and 13 Indemnity Calculation

•

P21_4 - Plan 40 Indemnity Calculation

•

P21_5 - Plan 41 Indemnity Calculation

•

P21_6 - Plan 47 Indemnity Calculation

•

P21_7 - Plan 50 and 51 Indemnity Calculation

•

P21_8 - Plan 55 Indemnity Calculation

July 2023

RMA-Appendix III

111

•

P21_9 - Plan 90 Indemnity Calculation

•

P21_11 - Plan 31 32 and 33 Indemnity Calculation

•

P21_12 - Plan 35 and 36 Indemnity Calculation

•

P21_13 - Plan 16 and 17 Indemnity Calculation

•

P21_14 - Plan 37 Indemnity Calculation

•

P21_15 - Plan_21_22_23_Indemnity Calculation

•

P21_16 - Plan 87, 88, 89 Indemnity Calculation

•

P22_1 - Plan 43 Indemnity Calculation

•

P22_2 - Plan 50 Indemnity Calculation

•

P22_3_Plan_37_Indemnity Calculation

•

P23_1 - Plan 76 Indemnity Calculation

•

P24_1 - Plan 82 Indemnity Calculation

•

P25_1 -Plan 81 Indemnity Calculation

•

P28_1 - Plan 83 Indemnity Calculation

July 2023

RMA-Appendix III

Exhibit 6

112

Exhibit 7

PASS Exhibits
•

P09_1 - Fund Designation Exhibit

•

P10_1 - Entity ID Type Table Exhibit

•

P11A_1 - Acreage Detail Guidelines Exhibit

•

P11_1 - Non-Premium Acreage Reporting Requirements Exhibit

•

P11_2 - Commodity Processing Flow Diagram Exhibit

•

P11_5 - Prevented Planting Guarantee Adjustment Factor Exhibit

•

P11_6 - Acreage Report Acceptance Dates Exhibit

•

P11_7 - Seed Cycle Code Exhibit

•

P11_8 - Price Election Amount Rounding Exhibit

•

P13_2 - Nursery Insurable Plant Types Exhibit

•

P13_3 - Non-Premium Inventory Reporting Requirements Exhibit

•

P14_1 - Commodities Allowing Multiple Insurance In Force P14 Records Exhibit

•

P14_2 - Duplicate Policy Exhibit

•

P14_3 - Edits For Common Option Requirements Exhibit

•

P14_5 - Commodity NOT Allowing CAT Coverage Exhibit

•

P14_6 - Late Reported Reason Code Usage Exhibit

•

P14_7 - WFRP Coverage Level Eligibility Exhibit

•

P15_1 - Yield Type Master Exhibit

•

P15_2 - Yield Type by Crops Exhibit

•

P15_3 - Yield Option Code List Exhibit

•

P15_4 - Yield Limitation Code Exhibit

•

P15_5 - Yield Indicator Code Exhibit

•

P19_2 - WFRP Diversity Factor Example Exhibit

•

P19_3 - WFRP Unit of Measure Exhibit

•

P19_4 - WFRP Method of Establishment Exhibit

•

P35 - Personal Projected Price

•

P35A - Revenue and Yield Summary

•

P35B - Tolerance

•

P35C - Revenue History

•

P35_1 - Personal Revenue History Exhibit

July 2023

RMA-Appendix III

113

•

P57A-1 - Error Source Type Values Exhibit

•

P97 - Data Flow Diagram Exhibit

•

P99A - Commodity Type Exhibit

•

P99B - List of PASS ITS and ROE Record Types Exhibit

•

P99D - Abbreviations and Acronyms Exhibit

•

P99E - FIPS State Code Exhibit

•

P99F_1 - Insurance Plan Code List Exhibit

•

P99F_2 - Insurance Plan Code Conversion Exhibit

•

P100_1 - Weekly Transaction Cutoff Dates Exhibit

•

P101_1 - Fund Cutoff and LRR Dates Exhibit

•

P103 - ICE File Crosswalk Exhibit

•

P104 - Common Land Unit (CLU) Rules Exhibit

•

P105 - CLU AIP File Geodatabase Schema Exhibit

•

P106 - Resource Land Unit (RLU) Rules Exhibit

•

P107- Geospatial Data Sources

•

P108-Downhill Delete Partial Submission

July 2023

RMA-Appendix III

Exhibit 7

114

Exhibit 8
ROE
•

EXH201 - ROE - Actuarial Change Request Processing Flow Exhibit

•

EXH202 - ROE - Relationship Between R-Record Flat Files Exhibit

•

EXH203 - ROE - Impact of Nine Hour Delay on Release of Written Agreement Documents
and WA ADM/ICE Data Exhibit

•

EXH204 - ROE - Relationship Between Exception Request Status and Exception Request
Release Reason ID Exhibit

•

EXH205 - ROE - Validation of Legals Associated with Written Agreement Using Land Level
Code Exhibit

•

EXH206 - ROE - Relationship Between the Land Level Code and Land Description Table
Exhibit

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 - ROE - Exception Requests Producer

•

R10A - ROE - Exception Requests Producer Address

•

R10B - ROE - Exception Requests Producer Other Person

•

R27 - ROE - Exception Requests Legal R35 - ROE - Exception Requests Request

•

R36 - ROE - Exception Requests Request AIP Field Office

•

R37 - ROE - Exception Requests Commodity

•

R90 - ROE - Batch Summary Statistics

•

R90A - ROE - Batch Summary Record Counts

•

R90B - ROE - Batch Summary Rule Counts

•

R98Z - ROE - Exception Requests Unknown Reason
R99Z - ROE - Exception Requests Process Result

July 2023

RMA-Appendix III

115

Exhibit 9

Other
•

Conservation Compliance Producer Look-up Service

•

Resource Land Unit Summary

•

RMA System Security Plan Template (SSP)

•

RMA Plans of Action and Milestones (POAM)

•
•

RMA-AIP Interconnection Security Agreement (ISA)
Agricultural Security Operations Center PII Incident Report (Form AD 3038

July 2023

RMA-Appendix III

116