Attachments Warehouse
Reporting of Actions – ROA
Deployed: September 28, 2009
Tifany Doenges
State Implementation Program Manager
SM
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Producer Submission Screens
The following print screens are examples
only. The states listed may or may not be
participating in ROA. To see the complete list,
you must log into ROA.
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Website
Location
Log in by going to NIPR’s home page at www.nipr.com and clicking on Reporting of
Actions
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Click “accept” on the Use Agreement
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Login
Screen
Producer enters required credentials and clicks on Sign-in.
When clicking on Individual, the bottom section is grayed out and vice versa.
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Producer
Contact
Detail
On successful sign-in Producer will be shown the contact information for
review. If no contact information is available, the only option available is
“Edit”.
After reviewing and/or editing the Contact Details, the Producer continues to
the “Main Menu”
Disclaimer indicates that the contact information will not be submitted to the
PDB and is for state contact information only.
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Producer
Contact
Detail
• Successfully Updated contact details.
Previously entered contact information is displayed at the beginning of every
session. If information is complete, “Continue” option is available and producer can
bypass the “Edit” Screen.
Producer may use “Edit” to correct or add contact information.
This screen is also available for producer to edit contact information by clicking on
the Producer Contact Link at the top of the page on most of the screens.
“Successfully Updated contact details” will be displayed.
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Main
Menu
Basic screen displaying primary information from which actions can be initiated or
additional information can be accessed.
If first time entering, No Records Found will be displayed.
Click on Add New Reporting of Action button to identify a new action and attach
documents.
If any attachments have been added in a previous session for Background
Questions Supporting Documents (BQSD), they will appear here.
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Main
Menu
Attachments that were previously added to ROA will be displayed.
3 primary actions
View Reporting of Action Details (link)
View Document Details (icon)
Add Document to this Reporting of Action (icon)
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View
Reporting of
Action
Details
The states listed may
or may not be
participating in ROA. To
see the complete list,
you must log into ROA.
When clicking on View Reporting of Action Details, the following screen
should be displayed.
Producer views the details of the Reporting of Action and navigates away to
“Main Menu” by clicking the “Back” Button.
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Main
Menu
Attachments that were previously added to ROA will be displayed.
3 primary actions
View Reporting of Action Details (link)
View Document Details (icon)
Add Document to this Reporting of Action (icon)
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View
Attachment
Details
The states listed may
or may not be
participating in ROA. To
see the complete list,
you must log into ROA.
When clicking on “View/Download Attachments” icon the above screen
should be displayed. When clicking on the link, it will open the document.
Producer views the details of the document and navigates away to “Main
Menu” clicking the “Back” Button. This button will most likely be changed to
Main Menu.
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Main
Menu
Basic screen displaying primary information from which actions can be initiated or
additional information can be accessed.
If first time entering, No Records Found will be displayed.
Click on Add New Reporting of Action button to identify a new action and attach
documents.
If any attachments have been added in a previous session for Background
Questions Supporting Documents (BQSD), they will appear here.
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Producer/
Authorized
Submitter
Info
If the producer is a business entity, then the default is the Producer’s Authorized
Submitter.
If the producer is an individual, then you have the option to select either one.
When selecting producer, no information is required, it will pull from the producer’s
information.
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Add
New ROA
The states listed may
or may not be
participating in ROA. To
see the complete list,
you must log into ROA.
Allows the producer to provide an explanation
surrounding the circumstances for the action being
taken against the licensee.
Allows the producer to list or describe the
document(s) submitted.
After the producer clicks on “Add New Reporting of Action” button in the
“Main Menu". The above screen will be displayed.
On mouse over the icon next to the text areas will show more details about
what exactly needs to be filled in the text area.
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Add
New ROA
The states listed may
or may not be
participating in ROA. To
see the complete list,
you must log into ROA.
After entering the appropriate fields, the producer clicks on “Upload”
button. This actually saves the Reporting of action and document in a
temporary space.
No payment is required until they are finished with their session.
This screen also allows producer to add additional attachments to the new ROA.
Details of Reporting of Action will be in non editable format (grayed).
The Documents added before will be shown at the bottom. No limit to
number of attachments producer can add. Shows status of pending attachments.
Main Menu link at top left allows producer to go to Main Menu to add a different
ROA in this session. (Can also go to Main Menu from Initial Summary)
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Initial
Summary
The states listed may
or may not be
participating in ROA. To
see the complete list,
you must log into ROA.
This screen will show what has been added in this Session.
“Main Menu” - Producer can add a New Reporting of Action with attachments but is
not able to add more attachments to the Reporting of Action already added in this
session at this point in the process.
ROA and attachments added in this session will not be shown on the Main Menu.
“Continue” will display payment process
Notice the note at the bottom of the page. It reads that if you are actively licensed in
other states that are not listed, you are responsible for notifying those states.
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NonParticipating
State
Disclaimer
The states listed may
or may not be
participating in ROA. To
see the complete list,
you must log into ROA.
Once clicking Continue, the “Non-Participating State Disclaimer” will be displayed.
Must click on Accept & Continue.
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Attestation
The “Attestation” page will be displayed. This is the one for BEs. There is a
different page for Individuals.
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Disclaimer
Reminder
The states listed may
or may not be
participating in ROA. To
see the complete list,
you must log into ROA.
After accepting the Attestation, there will be a “Disclaimer Reminder” page. Click
Accept & Continue.
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Payment
Information
Step 3 of 4 – Standard Credit Card process - Payment Information
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Payment
Submission
Confirm credit card information and click on “Submit Payment”.
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Payment
Confirmation
& Final
Summary
The states listed may
or may not be
participating in ROA. To
see the complete list,
you must log into ROA.
After Successful Payment, States will be notified and Producer will be displayed the
following Payment Confirmation & Final Summary screen.
This includes :
Payment Confirmation details .
Summary of Actions.
States Notified.
Print this for your records.
Clicking “Logout” will take you back to the NIPR home page.
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Sample
Email
Message
Email is meant to notify producer if another party makes an entry to the producer’s
account.
Producer email address is not verified.
Acknowledgement of producer receipt of email is not available.
Producer can review own information at any time without any cost. Link takes
producer to Use Agreement for ROA.
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Questions on Producer
Screens?
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Regulator Screens
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All regulators must sign up for the PICS Alert prior to receiving the email alerts.
This is located in the I-SITE login screen. If you do not have a ID and password,
please contact the NAIC Help Desk.
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Enter your User Name & Password, then click the box and hit Login
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If you don’t have your profile setup, you will be able to create it here. If it is
setup, then click on Select Events
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Click on Market Regulation
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It will list all the event names within the Market Regulation option. Click on
Reporting of Action Notification, then click on Status to change it to Active.
The wording in the description will be changed a little. Plus the Event Name
will be Reporting of Actions. The Attachments Warehouse will be changed
to Background Questions Supporting Documents.
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Copy of the ALERT you will receive via EMAIL.
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To retrieve an attachment or ROA, you must first log into the NIPR Gateway. There
is a link from the NIPR home page at www.nipr.com to go into the Gateway
Browser.
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In order to view the Action, you must log into the Gateway Browser. Your
login I.D. will be the same as your I-SITE login. If you do not have an I-SITE
login, please contact the NAIC Help Desk.
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On the left-hand side under the Tools option.
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Enter your search on the producer from the PICS Alerts and hit search.
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When the results appear, you must hit “select” for the producer you want to
view from the list.
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When the results appear, you must hit “select” for the producer you want to view
from the list.
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It will display all Reporting of Actions for that producer. Select “Link to
Document” to view details.
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The states listed may
or may not be
participating in ROA. To
see the complete list,
you must log into ROA.
Same Screen as in ROA for Producer
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The states listed may
or may not be
participating in ROA. To
see the complete list,
you must log into ROA.
Same Screen as in ROA for Producer
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Questions?
Thank you.
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