ACORD_DRI_Customer_Pack230307

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					    ACORD DOCUMENT REPOSITORY INTERFACE
                   (DRI)


                                  CUSTOMER USER GUIDE
                                                 Version 8.2




Revision                Summary of Changes                                                     Changes
date                                                                                           marked
02/01/06                Version 1.0 – Initial implementation                                     None
30/03/06                Version 2.0 – Broadened to cover broker EPA & Policy Submission.         Yes
15/03/06                Version 3.0 – Broadened to cover carrier DRI                             Yes
31/03/06                Version 4.0 – Revisions                                                  Yes
14/04/06                Version 5.0 – Further revisions                                          Yes
28/04/06                Version 6.0 – Further revisions                                          Yes
19/05/06                Version 6.1 – Incorporating broker premium processing procedures         Yes
20/06/06                Version 7.0 – Incorporating market feedback                              Yes
04/08/06                Version 7.1 – Incorporating MRPO feedback                                Yes
11/12/06                Version 8.0 – Revisions at December Release of A & S                     Yes
15/12/06                Version 8.1 – Version 8.0 incorporating feedback                         Yes
09/03/07                Version 8.2 – Amendments                                                  No



DRI Customer pack – Version 8.2                   Page 1 of 60                         Date: 09/03/07
Author – Graham Sheppard
Contents

1.      Purpose of the document ..................................................................................................................... 4
2.      Scope ................................................................................................................................................... 4
3.      Background .......................................................................................................................................... 5
4.      Roll-Out Process .................................................................................................................................. 6
   4.1.     Registration .................................................................................................................................... 6
   4.2.     Integration Testing ......................................................................................................................... 6
   4.3.     Production Roll-out ........................................................................................................................ 6
5.      Registration Procedures ....................................................................................................................... 7
   5.1.     New DRI Registration: ................................................................................................................... 7
   5.2.     Amending existing registration details: .......................................................................................... 8
   5.3.     DL 5079 Report of unmatched items ............................................................................................. 8
6.      Technical Requirements .................................................................................................................... 10
   6.1.     ACORD Compliance .................................................................................................................... 10
   6.2.     Ports ............................................................................................................................................. 11
   6.3.     Digital Certificates ........................................................................................................................ 11
   6.4.     Technical / Development Requirements ...................................................................................... 11
   6.5.     Technical Standards .................................................................................................................... 12
7.      Integration testing ............................................................................................................................... 14
   7.1.     Objectives / Scope ....................................................................................................................... 14
   7.2.     Entry Criteria ................................................................................................................................ 14
   7.3.     Exit Criteria .................................................................................................................................. 15
   7.4.     Responsibilities ............................................................................................................................ 15
   7.5.     Support & Problem Management ................................................................................................ 15
8.      Production roll-out .............................................................................................................................. 17
9.      Sign-off procedures ............................................................................................................................ 18
10.     ACORD DRI Functions....................................................................................................................... 19
   10.1.    Introduction .................................................................................................................................. 19
     10.1.1.      Functions Supported ........................................................................................................... 19
     10.1.2.      Submissions for Electronic Premium Accounting ............................................................... 19
11.     Accounting and settlement PROCESSING PROCEDURES ............................................................. 22
   11.1.    Scope ........................................................................................................................................... 22
   11.2.    Exclusions .................................................................................................................................... 22
   11.3.    Business Process Rules .............................................................................................................. 22
   11.4.    Letter of Indemnity (LOI) .............................................................................................................. 23
   11.5.    Further Information and Contact Details ...................................................................................... 24
   11.6.    Document Creation ...................................................................................................................... 24
   11.7.    Document Naming ....................................................................................................................... 24
   11.8.    Legacy Processing ...................................................................................................................... 25
   11.9.    Policy Type Processing ............................................................................................................... 25
   11.10.      Correction Processing ............................................................................................................. 26
   11.11.      Nil / Non Premium Endorsements (NPEs) Processing ........................................................... 26
   11.12.      Submissions in Error ............................................................................................................... 26
   11.13.      Broker Mid Term Changes ...................................................................................................... 27
   11.14.      Completion of Items ................................................................................................................ 27
     11.14.1.     Signing Number and Date Extract and Load ...................................................................... 27
     11.14.2.     Package View User Interface .............................................................................................. 27



DRI Customer pack – Version 8.2                                     Page 2 of 60                                                      Date: 09/03/07
Author – Graham Sheppard
      11.14.3.           EPA Signings Advice to Brokers ......................................................................................... 28
      11.14.4.           Updated Package Status .................................................................................................... 29
   11.15.            Advice of de-linked items ........................................................................................................ 30
      11.15.1.           De-linked Signings Advice - EDI message ......................................................................... 30
   11.16.            Query and Rejection Processing ............................................................................................. 31
   11.17.            The Tracker Process ............................................................................................................... 31
      11.17.1.           The email address............................................................................................................... 31
      11.17.2.           The email subject ................................................................................................................ 32
      11.17.3.           The email content................................................................................................................ 32
      11.17.4.           Accessing the query sheet .................................................................................................. 33
   11.18.            Process for Urgent Resubmissions of queried items .............................................................. 33
12.       Appendix A – DRI Registration Form ................................................................................................. 35
13.       Appendix B – Business Rules (Business Decision Logic) for Electronic Claims File-ECF DRI
Messages ...................................................................................................................................................... 40
14.       Appendix C – DOCUMENTS BY TRANSACTION TYPES ................................................................ 41
Policy ............................................................................................................................................................. 43
15.       Appendix D – POLICY CONTROL FORM ......................................................................................... 44
   15.1.        Introduction .................................................................................................................................. 45
   15.2.        Background .................................................................................................................................. 45
   15.3.        Completion Instructions ............................................................................................................... 46
16.       Appendix E – document types available in the ACORD A54 Code List ............................................ 48
17.       Appendix F – DRI Work Order Completion ........................................................................................ 52
18.       APPENDIX G – DRI MESSAGE VALIDATION .................................................................................. 54
19.       APPENDIX H – CORRECTION FORM.............................................................................................. 57
20.       APPENDIX J – BROKER EPA SIGNINGS ADVICE (DL5089) ......................................................... 58
Record ........................................................................................................................................................... 58
Quantity ......................................................................................................................................................... 58
Notes ............................................................................................................................................................. 58
Header Record .............................................................................................................................................. 58
1 .................................................................................................................................................................... 58
This is the first record in the file. ................................................................................................................... 58
Column Header Record ................................................................................................................................ 58
1 .................................................................................................................................................................... 58
This is the second record in the file. ............................................................................................................. 58
Data Record .................................................................................................................................................. 58
Many.............................................................................................................................................................. 58
These follow the column header record. The first field of each data record will be the group identifier. ...... 58
Footer Record ............................................................................................................................................... 58
1 .................................................................................................................................................................... 58
This is the last record in the file. ................................................................................................................... 58




DRI Customer pack – Version 8.2                                        Page 3 of 60                                                        Date: 09/03/07
Author – Graham Sheppard
1. PURPOSE OF THE DOCUMENT


             This document details the main steps required for a Customer (Broker or Carrier) to
             establish and maintain access to the Market Repository utilizing Xchanging‟s
             implementation of the ACORD Document Repository Interface (DRI) standards.


             This document supports Accounting & Settlement (A&S) Release 2 as documented in the
             A&S Functional Specification V2.0. dated 31/07/06


             This document should be read in conjunction with the DRI Technical Interface
             Specification v3 (September Release).


2. SCOPE


             This document is with regard to Release 1 and 2 only. The document will be amended for
             subsequent releases but it is expected that changes to the content and structure will be
             minimal.


             This Customer User Guide will provide a Broker or Carrier with sufficient information or
             references to design and put in place all the necessary components to enable it to
             exchange documents with the Market Repository.


             It also details the end-to-end process to be followed from receipt of an initial DRI enquiry
             from the Broker or Carrier to rollout into Production, as well as what interim information
             and system components are needed by whom and when.


             It also details the processing procedures for transactions once submitted by DRI.
             This document does not intend to duplicate any information found in the following
             documents:

                   Technical Information for London Market Implementation of ACORD DRI Messages
                    V1.0
                   LM ACORD DRI Completion and Validation Rules V1.0

                   Section 5 of the Technical & Other Information to Support the A&S Detailed Business
                    Design




DRI Customer pack – Version 8.2                  Page 4 of 60                           Date: 09/03/07
Author – Graham Sheppard
3. BACKGROUND


             DRI is the method by which documents can be exchanged electronically between
             document repositories and is the method supported by the Market Repository.




DRI Customer pack – Version 8.2              Page 5 of 60                          Date: 09/03/07
Author – Graham Sheppard
4.     ROLL-OUT PROCESS


4.1. Registration


             The registration process involves the Broker or Carrier (or their third party supplier)
             completing the DRI Registration Form, provided in Appendix A of this document. This
             form holds various details including customer / third party provider contacts, message
             types to be used, planned dates for testing and production roll-out and security
             information.


             Once the form has been received and validated, Xchanging will take the necessary steps
             to set up the customer for DRI use.


             The registration process will typically take 1 to 2 working weeks. This is conditional on
             certification being complete.


4.2. Integration Testing


             Upon completion of the registration and certification process, a period of testing will be
             undertaken to ensure that the customer and Xchanging can process the exchange of the
             required message types and documents successfully.


             Integration Testing can take up to 2 working weeks.


4.3. Production Roll-out


             Upon completion and sign-off of Integration Testing, the DRI service will be made
             available in the Production environment.


             Production Roll-out will take up to 1 working week.


      The above process is sequential. Each stage needs to be completed as entry criteria for the
      next step.




DRI Customer pack – Version 8.2                 Page 6 of 60                             Date: 09/03/07
Author – Graham Sheppard
5. REGISTRATION PROCEDURES


This section describes the processes and procedures to be followed in respect of new DRI
Registrations.


5.1. New DRI Registration:


To establish registration for the DRI service the Customer should contact Xchanging‟s DRI Co-
ordinator, Graham Sheppard on 01634 887742 or 07917 423308 or at
graham.sheppard@xchanging.com .


The DRI Co-ordinator will set-up a meeting to provide high level information and discuss
customer requirements in more detail. The meeting will cover the following areas:
             -      Overview of registration process
             -      DRI co-ordinator‟s role
             -      Other points of contact within Xchanging
             -      Overview of scope of testing
             -      Technical requirements
                                 ACORD compliance
                                 Message Types
                                 Digital Certificate from a Trusted Certification Authority
             -      Customer status and plans


The DRI Co-ordinator will need to secure the following information from the Customer
              Is a Service Provider likely to be used to host the ACORD Messaging Service?
              Customer Contact details (i.e. name, postal address, telephone number, email
                  address, fax number)
              Broker or Carrier number(s)
              Customer expectations re rollout timetable


The customer will need to complete the DRI Registration form (see Appendix A for example form)
as follows:
              Message Types
                  Details of the message types and versions can be found in the document Technical
                  Information for London Market Implementation of ACORD DRI Messages Version 1
              Preferred Effective Start Dates for the following environments:
                                 Integration Testing
                                 Production



DRI Customer pack – Version 8.2                           Page 7 of 60                         Date: 09/03/07
Author – Graham Sheppard
              Customer contact details
                                 Name
                                 Address
                                 Contact details
                                 Signature of Authorised person within Customer Organisation
              Broker or Carrier numbers
              Details of Sender / Receiver of messages
                  For each environment, the following configuration details of the Sender(s) are required
                  before Testing / Production can start:
                                 Party Id (i.e. relevant Broker No / Duns No, as appropriate)
                                 Party Name
                                 ACORD Messaging Service URL
                                 Digital Certificate details (Public Key) from Trusted Certification Authority


The Customer may choose to appoint a Service Provider to host the sending and receiving of
DRI messages on their behalf. The Service Provider may be used to host the operation of the
DRI messaging service for Integration Testing and/or Production.


The Customer should return the completed and appropriately authorised DRI Registration form to
the DRI Co-ordinator. The DRI Co-ordinator will provide assistance with completing the DRI
Registration form as required and will then liaise with the Xchanging technical team responsible
for establishing the registrations on behalf of the customer.


5.2. Amending existing registration details:


Note that for all amendments to existing registration details, an updated DRI Registration form
should be delivered to the DRI Co-ordinator.


It is possible that an element of integration re-testing may be required depending on the impact of
amending the existing DRI registrations and on which elements have changed. This will be
managed by the XIS DRI Co-ordinator upon request.


5.3. DL 5079 Report of unmatched items


DRI claims submissions are referenced by UMR and UCR and will attach documents to
previously created workspaces generated from the CLASS submission. Where the UMR / UCR
combination cannot be found on the Market Repository immediately the process will continue to
attempt to match records for a period of 24 hours. If this is still not successful a report, identified


DRI Customer pack – Version 8.2                          Page 8 of 60                              Date: 09/03/07
Author – Graham Sheppard
as report number „DL5079‟, will be emailed to brokers using GENESYS (Generic Email System).
This is an established XIS production service for delivery of reports by email. The file will be in
CSV format and will conform to the standard layout required by GENESYS. The report will
include information including Senders ID, UMR, UCR, TR and details of each document including
time and date sent, and the document ID.


Brokers will need to be registered for this report which will be referenced by the Broker Number
or Print Sort Code. The registration form for this report forms part of the DRI registration form at
Appendix A and should be completed with the remainder of the DRI registration form. The XIS
DRI Co-ordinator will ensure this is processed to the appropriate registration team.




DRI Customer pack – Version 8.2            Page 9 of 60                             Date: 09/03/07
Author – Graham Sheppard
6. TECHNICAL REQUIREMENTS


For full technical information please refer to the „London Market Implementation of ACORD DRI
Messages‟ document available from the market reform website at:
http://www.marketreform.co.uk/electronicclaims_pubs1.htm


6.1. ACORD Compliance
             Xchanging‟s software supporting the DRI functionality has been developed in accordance
             with the standards defined by ACORD. All software developed by, and on behalf of,
             Customers must also have been developed in-line with those same standards. For that
             reason, the compliance of all software with the relevant ACORD standard is an entry
             requirement into the Testing phase between Xchanging and the Customer.


             Compliance of software with the ACORD standard can only be secured from, and certified
             by ACORD.


             ACORD certification shows that your organisation implemented the ACORD data
             standards accurately, met the technical requirements, and reported those achievements
             to ACORD. Only ACORD members are eligible for certification.


             With ACORD certification Xchanging can be sure that your DRI system follows ACORD
             Standards before testing begins.


             For further information about how your organisation can achieve ACORD certification,
             contact details for ACORD include:


                    -      web-site www.ACORD.org
                    -      London office details :
                                 London Underwriting Centre
                                  Suite 1/3, 3 Minster Court
                                  Mincing Lane
                                  London EC3R 7DD
                                 Phone 020 7617 6400
                                 Fax 020 7617 6401


             Public specifications and documentation can be downloaded from
             http://www.acord.org/standards/reprop.aspx




DRI Customer pack – Version 8.2                         Page 10 of 60               Date: 09/03/07
Author – Graham Sheppard
6.2. Ports


             All environments are firewall protected and therefore have restricted port access. If, due
             to your local set up, you require a different port to the normal HTTPS port (443), please
             use port 8443. However, please advise the DRI Co-ordinator before commencing use.


6.3. Digital Certificates


             An x509 digital certificate is required to digitally sign the SOAP body of any SOAP request
             message. The public key for this certificate must be given by the sender to the receiver
             before the first transaction, in order to verify the signature. This is sent out of band (e.g.
             by email).


             A certificate is required by the receiver to enable SSL transactions with their server. The
             same certificate can be used for both processes.


             Digital certificates can be obtained from a number of certification authorities, such as
             Verisign and Comodo. Whilst Xchanging does not recommend any particular company,
             the Certification Authority of any certificate must be trusted by both parties in the
             transaction.


             Further information relating to the use of Digital Certificates can be found in the document
             ACORD Security Profiles V 1.0.0


6.4. Technical / Development Requirements


             SOAP Server


             All SOAP servers partaking in DRI will need to be configured for HTTPS traffic.


             Both the x509 certificate used for the digital signing and the server authentication
             certificate required for SSL must have been issued by a certificate authority that is trusted
             by both parties. Copies of these certificates will need to lodge with Xchanging. In
             exchange, a copy of Xchanging‟s certificate will be sent to the customer.


             Attachments should not be Base64 encoded as Xchanging will not decode them and
             therefore they will be presented on the repository in their encoded form.


DRI Customer pack – Version 8.2                 Page 11 of 60                             Date: 09/03/07
Author – Graham Sheppard
             All Customer / Service Provider environments must support 128-bit encryption.


             Xchanging as a Trading Partner


             When sending to Xchanging, the following information is required from our trading
             partners;
                   Xchanging‟s PartyId is urn:duns:236196817
                   The URL of our External Integration Test (EIT) environment SOAP server is
                    https://epieitxdh.xchanging.com/AcordMsgSvc/Inbox.asmx
                   The IP address for the EIT environment is 195.11.222.20
                   The URL of our Production environment SOAP server is
                    https://xdh.xchanging.com/AcordMsgSvc/Inbox.asmx
                   The IP address for the Production environment is 193.195.180.84


             It should be noted that this EIT environment also serves as the Disaster Recovery
             environment. In the event DR is invoked this will immediately take precedence over any
             integration testing. If you firewall connections into your servers, please ensure both of the
             above environments are allowed access to your Production service.


             HTTP Headers


             POST /AcordMsgSvc/Inbox.asmx HTTP/1.1
             Content-Length: #####
             Content-Type: multipart/related;
             boundary=MIME6DC137CD5C744E8D9A61CDC4CD7EA2E4; type="text/xml"
             Host: epiuat.xchanging.com
             SOAPAction: http://www.ACORD.org/Standards/AcordMsgSvc/Inbox#PostRq


6.5. Technical Standards


ACORD Standards Versions


Documents will be delivered by ACORD DRI messages. ACORD business messages (e.g.
Technical Account) will not be used to supply structured data.


The following combination of ACORD standards versions will be supported in the live
environment with effect from Mid September 2006:


DRI Customer pack – Version 8.2                 Page 12 of 60                            Date: 09/03/07
Author – Graham Sheppard
            ACORD Messaging Service (AMS) Version 1.4 framework standards, Inbox Post Function
            ACORD 1.2 Document Repository Interface (DRI) message standards
            ACORD 2005.2 Reinsurance and Large Commercial (RLC) message standards (see note
             below)
            ACORD 2005.2 Code lists


No other versions or combinations will be supported at this time.


For Accounting and Settlement (A & S) DRI submissions, the Work Order must be formatted as
an object based on the ACORD 2005.2 Technical Account (a.k.a. the „skinny TA‟) and presented
as a DRI document attachment with a document type code of form_work_order.


Please note that the RLC 2005.2 standards only refer to this „Skinny TA‟ for A & S and not to full
RLC messages.


Reference Sources


The following ACORD documentation contains details of these standards1:
            ACORD Messaging Service Specification and SOAP Implementation Guide (version 1.4)
            Security Profiles for the ACORD Messaging Service (Version 1.0)
            Document Repository Interface (DRI) Reference Guide (Version 1.2)
            Document Repository Interface (DRI) Implementation Guide (Version 1.2)
            Repository Interface Data Requirements Matrix (Version 1.2.0)
            Reinsurance and Large Commercial (RLC) Message Specification (Version 2005.2)
            ACORD Code manual (Version 2005.2)


In addition to the above, please refer to the following documents for additional requirements that
are specific to the London Market2:


            Technical Information for London Market Implementation of ACORD DRI Messages V1.0
            LM ACORD DRI Completion and Validation Rules V1.0
             Section 5 of the Technical & Other Information to Support the A&S Detailed Business
             Design



1
    These documents are available at the ACORD website at www.acord.org
2
 These documents are available on request from Xchanging or at the Market Reform Programme Office website at
www.marketreform.co.uk/publications.htm




DRI Customer pack – Version 8.2                       Page 13 of 60                                    Date: 09/03/07
Author – Graham Sheppard
7. INTEGRATION TESTING


Before commencing integration testing Xchanging will assume that customers, or their software
suppliers, will have completed an element of testing using the ACORD Test Harness. This will
ensure a smooth transition through the integration test phase.


7.1. Objectives / Scope


The objective of the Integration Test stage is to ensure that:
      -      Xchanging are able to demonstrate that the documents held on the Insurers‟ Market
             Repository are the exact documents that the customer supplied
      -      Customer is able to demonstrate that the documents held on the Insurers‟ Market
             Repository are the exact documents that they delivered
      -      Customer correctly processes the full set of requested message types
      -      Customer is able to send the appropriate messages and receive and successfully process
             the associated response message or download requests from Xchanging.


7.2. Entry Criteria


      -      Customer‟s DRI messages have been certified as being ACORD-compliant
      -      Evidence of testing with ACORD Test Harness
      -      Test Plans agreed by Customer / Service Provider and Xchanging
      -      URLs for the Test environment(s) have been exchanged
      -      Public Keys of Digital Certificates (issued by Trusted Certification Authority) have been
             exchanged for the Test environment(s)
      -      All Test environments support 128-bit encryption
      -      Customer is aware of the points of contact to manage the testing cycle i.e. to resolve
             problems or confirm a test has been successful
      -      Customer User Ids have been set-up for all appropriate systems (i.e. on-line Repository
             and DRI messaging upload / download) and are „current‟ i.e. not expired
      -      If a Service Provider is used to Host the send / receipt of messages, the Service
             Provider‟s Duns number has been supplied to Xchanging
      -      Appropriate supporting test data has been set-up
      -      Both Xchanging and Customer have the resources in place to support the planned test
             cycle
      -      Customer has migrated system components to the expected environments e.g. DB
             Tables, Application Software, middleware etc
      -      Xchanging has registered Customer details in the Test environment


DRI Customer pack – Version 8.2                Page 14 of 60                            Date: 09/03/07
Author – Graham Sheppard
      -      Customer / Service Provider must ensure their system (i.e. firewall settings) allows them
             to send and receive messages to / from Xchanging‟s URL
      -      Xchanging must ensure the firewall allows them to exchange messages with the new
             Customer


7.3. Exit Criteria


      -      Each individual Test Script has been executed and signed-off
      -      Test stage Signed-off by Customer / Service Provider and Xchanging


7.4. Responsibilities


The following table details the main responsibilities of participants in Integration Testing:


Who                               Responsible For
Customer                          Creating Test plans and scripts
                                  Creating Test data
                                  Providing resources to carry out tests – this includes both customer internal
                                  resource and 3rd party resource e.g. 3rd party supplier resource, document
                                  supplier resource (broker to supply documents for carrier tests)
                                  Migration of any system components
                                  Monitoring of the success of tests & any issues
Xchanging DRI                     Acting as first escalation point for any major issues
Co-ordinator                      Ensuring the Xchanging environment is ready for testing
                                  Acting as prime contact at Xchanging to field and help resolve any technical
                                  problems and issues related to the testing


7.5. Support & Problem Management


             The process to be followed in the event of a problem or issue occurring during testing is
             as follows:


Who                               Task
Customer                          Customer / Service Provider contacts Xchanging‟s DRI Test Co-ordinator


Xchanging DRI                     Investigates the query using Internal Audit system. They will provide
Co-ordinator                      information relating to;
                                          Messages in the DRI Audit system


DRI Customer pack – Version 8.2                        Page 15 of 60                          Date: 09/03/07
Author – Graham Sheppard
                                                       DRI Co-ordinator has successfully located the relevant
                                                        DRI message / Function
                                                       Following an analysis / review by DRI Co-ordinator of the
                                                        lifecycle / history of the message(s) associated with the
                                                        DRI Function, the status of the DRI message / Function
                                                        can be described to the Customer / Service Provider to
                                                        their satisfaction.
                                          The strategy suggested by the DRI Co-ordinator to resolve is
                                            acceptable to the Customer / Service Provider.
                                          DRI Co-ordinator updates Xchanging Issues / Problem Log
                                          DRI Co-ordinator sends the latest version of the Xchanging
                                            Issues / Problem Log to the Customer and DRI Co-ordinator
XDH Development                   If the DRI Co-ordinator is unable to resolve the problem to the satisfaction
Support / Network                 of the Customer / Service Provider, the call is reassigned to the XDH
Support                           Development support or XDH Network Support teams, as appropriate, for
                                  further investigation. These type of queries include :
                                          Messages cannot be traced in the DRI Audit system i.e.
                                            messages from Xchanging to Broker have not yet been received
                                            and vice versa
                                          Or previous analysis of the messages processed to date reveals
                                            unexpected behaviours
                                  XDH Development / Network Support team(s) perform further
                                  investigations to :
                                          understand the current status of DRI messages / Functions
                                          describe the status of the DRI message / Function to the
                                            Customer / Service Provider to their satisfaction.
                                          The strategy suggested by XDH Development team to resolve is
                                            acceptable to the Customer / Service Provider
                                          XDH Development / Network Support team(s) provides DRI Co-
                                            ordinator with an update to the status of the Issue / Problem




DRI Customer pack – Version 8.2                          Page 16 of 60                           Date: 09/03/07
Author – Graham Sheppard
8. PRODUCTION ROLL-OUT


In order for roll-out to a Production service to commence, the following criteria must be met:


      -      Production URLs exchanged
      -      Production Public Keys of Digital Certificates (issued by Trusted Certification Authority)
             have been exchanged
      -      All Production environments support 128-bit encryption
      -      Signed off Integration / Configuration Testing by Customer and Xchanging
      -      Customer User Ids have been set-up for all appropriate systems and reports (i.e. on-line
             Repository and DRI messaging upload / download, DL 5079)
      -      Both Xchanging and Customer have the resources in place to support the rollout
      -      Xchanging has registered Customer details in the Production environment
      -      Customer has migrated system components to the Production environments e.g. DB
             Tables, Application Software, middleware etc




DRI Customer pack – Version 8.2                Page 17 of 60                            Date: 09/03/07
Author – Graham Sheppard
9. SIGN-OFF PROCEDURES


Responsibility for written Sign-Off of each of the criterion into/out of the test stage and into
Production must be allocated to an appropriate individual within the Customer, Service Provider
and/or Xchanging.


Not only is each criterion allocated to an individual, but the written Sign-Off is expected to be
delivered to Xchanging‟s DRI Co-ordinator by the planned date - defined as a milestone in the
Rollout plan for the Customer.


In addition, for Rollout to the Production environment for each Customer, regular meetings (which
could be done by phone) of stakeholders will take place prior to the target implementation date
(starting 1 week prior to target date) as necessary and as agreed.


Attendees of these meetings may include:
                   Xchanging‟s DRI Co-ordinator (Chair)
                   Customer Business Manager
                   Customer / Service Provider Technical Manager
                   Xchanging‟s DRI Project Implementation Manager


Attendees of the meetings will review status of testing for each Customer and assess the
likelihood of a „Go‟ or „No-Go‟ decision. If likely to be „No-Go‟, consider what remedial action is
required, by when and by whom to change it to a „Go‟?
Input for the final „Go No-Go‟ meeting includes:
                   current status of testing etc
                   written Sign-Off of each „Live Entry‟ criterion from the responsible individuals


Output from the final „Go_NoGo‟ meeting is written confirmation of the decision delivered to each
of the attendees by Xchanging‟s DRI Co-ordinator (Chair) one full workday prior to target
implementation date. That gives the technical teams at Customer, Service Provider and
Xchanging one full work day to prepare for rollout of all system components to the Production
environment.




DRI Customer pack – Version 8.2                     Page 18 of 60                           Date: 09/03/07
Author – Graham Sheppard
10. ACORD DRI FUNCTIONS


This section should be read in conjunction with the DRI Technical Interface Specification v3
September Release document, where detailed technical information can be found and the
following documents available on the Market Reform website:


a)           Technical Information for London Market Implementation of ACORD DRI Messages
(Version 1 31st march 2006) –
http://www.marketreform.co.uk/Documents/Claims_pubs/London_Market_Implementation_of_AC
ORD_DRI_Messages.pdf

b)      London Market ACORD DRI Completion and Validation Rules –
http://www.marketreform.co.uk/Documents/Claims_pubs/LM_ACORD_DRI_Completion_and_Val
idation_Rules.xls

In Release 1 Xchanging will apply SOAP-level and business message-level validation.


10.1.        Introduction
             10.1.1. Functions Supported


The DRI Technical Interface Specification describes the DRI functionality that will be delivered to
the London Market in Release 1, in order to support the Electronic Premium Accounting process.


The DRI functionality included in Release 1 is:
            Load Document (using either Upload or Notify and Download)
            Search Local (restricted to UMR search)
            Automated Transmission of Documents (using either Upload or Notify and Download)

             10.1.2. Submissions for Electronic Premium Accounting


In the current release, which only allows documents to be submitted for Electronic Premium
Accounting (EPA), the sender will not be able to create folders in either the structured or
unstructured area of the Market Repository.


This section provides specific information about the submission requirements for EPA.




DRI Customer pack – Version 8.2              Page 19 of 60                         Date: 09/03/07
Author – Graham Sheppard
Folder Creation


The repository will automatically create the necessary folder structures, based on the Unique
Market Reference (UMR) and the document type.


There are three folders to which premium related documents may be allocated within a UMR
container:
            Slip Documents
            Policy Documents
            Miscellaneous Documents.


Documents will be allocated to one of these folders according to the document type (a value from
the ACORD A54 code list – see Appendix E – entered in DocumentTypeCd) that is sent with the
document.


The correlation between document type and UMR folder will need to be maintained (subject to
change control) if the ACORD code list is revised. If a document is received with a document
type that is not recognised it will be rejected.


Work Package Contents


A Work Package is formed of the necessary documents and supporting information to enable
Xchanging to carry out premium and/or policy processing activities on behalf of its customers.


The types of documents that Xchanging would expect to typically receive for each type of
premium and/or policy submissions are shown in Appendix C.


This does not form an exhaustive list and any type of document that is recognised in the ACORD
A54 code list may be submitted, if appropriate. A full list of the document types contained in the
ACORD A54 code list is given in Appendix E.


The Work Order


In addition to the documents listed above, if Xchanging processing is required a Work Order
document must be submitted within the work package in order to instruct Xchanging to carry out
the processing task, otherwise the documents submitted will merely reside in the repository
unprocessed. The Work Order is a key enabler of the EPA solution:


DRI Customer pack – Version 8.2             Page 20 of 60                         Date: 09/03/07
Author – Graham Sheppard
            It gives the instruction to Xchanging to initiate the premium and/or policy processing on
             behalf of member companies and Lloyd‟s syndicates
            It references the set of documents that, together with the Work Order, form the Work
             Package
            It defines the attributes of the Work Package (e.g. Lloyd‟s, Marine, Binding Authority).


The Work Order must include the identification of all documents that form part of the Work
Package (excluding the Work order itself). Appendix C shows the types of document that would
be typically expected to be included for each type of transaction.


Where a policy request is submitted as a separate (Stage 2) Work Package this will also require
a Work Order to be included, to trigger the Xchanging system process to create a Tracker record
and generate an email notification to Logistics.


The Work Order must be formatted as an object based on the ACORD 2005.2 Technical Account
(a.k.a. the “skinny TA”) and presented as a DRI document attachment with a document type code
of form_work_order. Details of the completion of the Technical Account are contained in
Appendix F.


Work Order Guidelines for multi-bureau submissions


Where multiple markets closings are required, any one DRI package should contain separate
work orders for each bureau that documents included in the package need to refer to.


For Company business a single work order can be supplied to cater for both ILU and LIRMA, if
separate work orders are sent for ILU and LURMA the XIS operations have no means to
associate the two, running the risk that they will not be processed together.


The Work Order generated for any documents being re-submitted following a rejection should
also refer to all relevant documents submitted against the initial Work Order for the same bureau.
However, if a document is being replaced in a re-submission, the Work Order need not refer to
the original document.


If a document being re-submitted only refers to one bureau (e.g. if the Lloyd‟s PAN was omitted
in the first package) then the re-submitted package need only contain a work order for that
bureau. Work Orders for the other bureau need not be re-submitted.




DRI Customer pack – Version 8.2                Page 21 of 60                            Date: 09/03/07
Author – Graham Sheppard
11. ACCOUNTING AND SETTLEMENT PROCESSING PROCEDURES


This section describes the A & S Step 1 process for submission and processing of transactions
by DRI method. Details for processing ECF transactions will be found in the Systems Processes
and Procedures document produced by Market Reform Programme Office.


Additional documentation with regard to the Accounting and Settlement project can be found at
the Market Reform Programme Office (MRPO) website www.marketreform.co.uk. The Market
Reform Programme Office was established in 2000 and exists explicitly to define, deliver and
administrate Market Reform. The aim is to create a framework of standards for business
processes that enables firms to deliver services efficiently to customers at a cost and level of risk
comparable with other platforms. The venture is sponsored by Lloyd's, LMA, LMBC and IUA.


11.1.        Scope


The following transaction types are supported:


      -             Original Premiums, FDO‟s, Additional Premiums & Return Premiums including IUA
                    Company Reinstatements
      -             Policies, including Slip Policies
      -             Binding Authorities and Lineslips
      -             Non Premium Endorsements


11.2.        Exclusions


The following business types cannot currently be supported, but will be in later releases:
            Treaty statement processing
            Simultaneous settlement items and Lloyds Reinstatements
            Claims
            LORS


All excluded business types will be available during 2007.


11.3.        Business Process Rules


IT IS NOT INTENDED THAT CURRENT PROCESSING RULES EXISTING IN THE PAPER
ENVIRONMENT WILL BE CHANGED. THE USE OF DRI FUNCTIONALITY IS REPLACING




DRI Customer pack – Version 8.2                    Page 22 of 60                    Date: 09/03/07
Author – Graham Sheppard
PLASTIC ENVELOPES AS A DELIVERY METHOD OF PREMIUM ACCOUNTING
DOCUMENTATION.


Current Xchanging services levels will be applied.


Terms of trade will be measured as per current practise, i.e. an item will be on time if it is
received by Xchanging on or before the Settlement Due Date.


Business will be presented split over markets i.e. Lloyd‟s, LIRMA and ILU as per current
instructions.
                   For all Excess of Loss and Facultative Reinsurance premium only (Stage 1) business
                    a single work order may be submitted with a 'Mixed' market type, however separate
                    LPANs should reflect the participations of the ILU, LIRMA and Lloyd's entities. These
                    can all be sent through in a single submission as separate attachments. Brokers
                    however need to understand that submissions that are sent in as a single work
                    order will likely be treated as an entire rejection should one element of the
                    submission fail.
                   For all other business separate work orders will be required with a market type of
                    either 'Companies' or 'Lloyd's' together with separate LPANs. These must be
                    submitted as separate submissions.

In all cases the slip only needs to be attached once, provided the entire market is displayed and
can be cross-referenced in each of the work orders.


LPANs will be submitted for each transaction to be processed and will be split for all fundamental
and non fundamental accounting splits.


Wherever possible, submissions should be presented as de-linked with PANs clearly marked
“DELINKED”.


Xchanging reserve the right to process items submitted at any of its processing centres.


11.4.        Letter of Indemnity (LOI)


A revised LOI will need to be signed by brokers using Direct Load to submit EPA. The revision
will cover the submission of documents in an electronic format rather than on paper.


The use of computer produced signed lines is already covered by the existing LOI.



DRI Customer pack – Version 8.2                   Page 23 of 60                           Date: 09/03/07
Author – Graham Sheppard
11.5.        Further Information and Contact Details


For further information regarding Accounting and Settlement please contact your Customer
Relationship Manager.


All technical issues and support should be directed to Xchanging Service Desk on 0870 380
0830 or email to „servicedesk@Xchanging.com‟.


11.6.        Document Creation


Documents in the following formats are supported:
-            MS Word and Excel (XP and all previous versions),
-            JPEG, TIF, GIF picture formats,
-            Adobe Acrobat format (version 7 and all previous versions).


A first submission is an original premium (including FDO) Work Package that is submitted to
Xchanging for processing for the first time against a UMR for which Xchanging have no previous
record or reference.


For subsequent transmissions, e.g. APs and RPs, and corrections only new documentation
needs to be submitted assuming previous submissions have been electronic. Any documents
submitted in a previous transaction against a UMR, e.g. the slip sent at Stage 1 need not be sent
with the current submission.


LPANs can be aggregated and sent in a single document, although it is Xchanging‟s
preference that, where possible, LPANs are submitted individually. For DRI submissions
the aggregating of LPANs will provide incorrect information in the „LPANs Count‟ fields on
the Work Order.


11.7.        Document Naming


All documents should be named to clearly identify their purpose. (For example LPAN1, SLIP). A
list of the expected types of document is provided in Appendix B. This enables Xchanging to
undertake loading of the documents to the Market Repository and efficiently manage the
processing.




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There are no prescribed rules regarding document naming. XIS require a logical I.D., a
name that clearly identifies the content and purpose of the document. Dates are not
essential as the date of load is recorded.


A full audit trail will be maintained for every document loaded onto the Market Repository. The
document history is available from the Policy page. If previously sent documents are re-sent they
will become duplicates since version control is not applied within the repository for Release 1.


11.8.        Legacy Processing


Where XIS have already processed submissions on a contract using paper media, subsequent
submissions can be submitted, however a full and up to date copy of all previously submitted
paper needs to be included as part of the initial submission package3. The broker must also
provide a copy of the signed slip with all previously signed endorsements.


11.9.        Policy Type Processing


Policy documents may be submitted together with the premium documents (i.e. as an S&A
request), or separately after the premium accounting process (i.e. as a Policy only request).


In all cases a Policy Control Form (PCF) must be submitted to define the type of policy required
(Slip Policy, PPS or Broker-prepared Policy) and to give other instructions to Xchanging. The
PCF form completion instructions are enclosed in Appendix D, along with a sample form. An
Excel version of this, complete with macro driven validation, is available on request4. A correction
form is also enclosed in Appendix H.


If a slip policy is submitted, the slip document will be printed by Xchanging and, upon completion
of checking and signing, will be returned to the broker as a paper document.


If a broker-prepared policy is submitted, the broker must submit the policy document. This will be
printed by Xchanging and, upon completion of checking, signing and sealing, will be returned to
the broker as a paper document. An electronic signed copy will not be stored on the repository.




3
    Contact Service Desk on 0870 380 0830 or ServiceDesk@xchanging.com
4
 The Publisher of a document is the organisation that sets and retains control over content, versions, Access Control Lists and
metadata
4
    Contact Service Desk on 0870 380 0830 or ServiceDesk@xchanging.com



DRI Customer pack – Version 8.2                         Page 25 of 60                                         Date: 09/03/07
Author – Graham Sheppard
The printing of policy documentation is a temporary solution pending the outcome of legal
discussions and development of a technical solution to producing electronic policies. This will be
addressed during 2007.


11.10. Correction Processing


All requests for correction processing, premium and policy, must be accompanied by a correction
form (see Appendix I). Failure to complete this form may result in Xchanging being unable to
process the correction fully.


11.11. Nil / Non Premium Endorsements (NPEs) Processing


Stand alone NPEs that do not require immediate action from XIS can be added to the
repository in isolation and therefore no work order should be added to the NPE. However, at
the next premium submission the relevant, previously loaded, NPEs should be associated to
the current package within the work order.


If no further premium submissions are expected or a NPE policy endorsement is required
immediately, the NPE may be submitted as a stand alone work package with a work order.


Policy endorsements should be referenced to a work order and contain a Policy Control
Form (see Appendix D).


11.12. Submissions in Error


If an EPA submission is made in error, or contains errors (for example documents or LPANs are
omitted) the broker should contact Xchanging Enquire Helpdesk urgently on 01634 887789 and
request the item is rejected. Once rejected the broker should then resubmit the entire work
package.




DRI Customer pack – Version 8.2          Page 26 of 60                           Date: 09/03/07
Author – Graham Sheppard
Where individual documents are added in error the broker should contact Xchanging Service
Desk urgently on 0870 380 0830 to request the item be removed from view. There is no facility to
delete items from the Repository. Xchanging will check with every party to have already viewed
the document, or have been notified of the document by DRI, that they are in agreement to
remove viewing rights to the document. Xchanging will then amend the security to prevent the
document being further viewed by any party.


11.13. Broker Mid Term Changes

Where a contract transfers between brokers mid term UMR rules state that the UMR continues
throughout the life of the contract, however repository security will prevent the new broker
accessing the UMR on the repository. In these cases it will be necessary to revert the risk to a
paper submission.

11.14. Completion of Items


Brokers will continue to receive their BSM signing advice, except where existing business rules
dictate otherwise, e.g. for delinked items.


             11.14.1.             Signing Number and Date Extract and Load


             The Market Repository is updated each night with the EPA signing numbers and dates
             (SN&Ds) and associated data, which is stored as standing data for the UMR.


             11.14.2.             Package View User Interface

             The Policy Page shows the original premium/FDO signings for the UMR. The data
             elements for each original signing will be displayed on one line, in the following sequence:
                    o      Signing Number & Date
                    o      Market (LL=Lloyd‟s, IL=ILU, or LR=LIRMA)
                    o      Slip Section (Lloyd‟s only)
                    o      Entry Type Code
                    o      Risk Code
                    o      DTI Code
                    o      FIL Code (Lloyd‟s only)
                    o      Country of Origin (Company market only)
                    o      Original Currency Code
                    o      100% Gross Premium Amount
                    o      Signing Status



DRI Customer pack – Version 8.2                          Page 27 of 60                 Date: 09/03/07
Author – Graham Sheppard
             The user is able to click on any Original Signing Number & Date to display the
             subsequent signings that attach to it. There are also two icons at the right of the
             information for each signing listed, to provide links to:
                    o      The Work package view for that signing. This screen will list the Work Packages
                           that have been received for the UMR. The Work Package with which the selected
                           signing is associated will be highlighted and its document set will be listed.
                           Selecting a different Work Package from the list displayed will cause the
                           documents for that work package to be displayed.
                    o      The market details for that signing. This screen will display the selected Signing
                           Number & Date and applicable market (Lloyd‟s, ILU or LIRMA), and list the
                           Company Codes/Syndicate Numbers and the Underwriter‟s References for each
                           risk participant.


             Each signing number & date is associated with the work package in which it was
             submitted. This is achieved by matching the UMR and work package reference contained
             in the end-of-day extracts from POSH and LIDS with the details stored on the repository.


             11.14.3.              EPA Signings Advice to Brokers


             Completion of items are notified back to the Broker by sending an email to the registered
             contact attaching a CSV file containing both Lloyd‟s and Company market signings for
             original premiums and FDOs submitted for EPA. The file structure of this report is
             attached as Appendix J. The report will be identified as report number „DL5089‟, which
             will be emailed to brokers using GENESYS (Generic Email System). This is an
             established XIS production service for delivery of reports by email. The file will be in CSV
             format and will conform to the standard layout required by GENESYS.


             A single message is output at the end of each day containing both Lloyd‟s and company
             market signings for all electronic risks submitted for EPA.


             Brokers will need to register to receive this optional message5. A single registration will be
             established for both Lloyd‟s and Company market business, as these will be delivered
             together in the same file. All queries concerning transmissions should be addressed to
             the Xchanging Service Desk.




5
    Contact the Service Desk (0870 3800830) if you wish to register to receive this message.



DRI Customer pack – Version 8.2                          Page 28 of 60                         Date: 09/03/07
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             Data is extracted from the Xchanging legacy systems at the end of each day, containing
             Lloyd‟s and company market signings for that day. Only signings that resulted from an
             electronic submission will be included.


             If Lloyd‟s signings that have been corrected under the same SN&D (i.e. without a new
             SN&D being allocated), they will be re-advised under a new version of the SN&D if any of
             the advised data has been amended.


             For cancellation signings the SN&D of the referred cancelled signing will be output. The
             cancellation will not itself be output. Only the UMR, the SN&D, the Broker Contact and the
             Signing Status Code will be output. All other fields will be empty.


             When submitting subsequent paper Claims transactions to Xchanging Claims Services
             (XCS) it will be necessary to add a filtered version of this file containing the relevant
             signing(s) to the claims file.


             If this file is not received when expected, or does not contain the expected results,
             it is imperative that brokers contact Xchanging Service Desk (0870 380 0830)
             immediately so that an investigation can be instigated.


             11.14.4.             Updated Package Status

             A „work package status‟ will be available in the Market Repository, updated (in real time)
             as the Tracker record is updated by Xchanging Logistics or Technicians. This will indicate
             to users how far the package has progressed indicating by allocating a status of:
                    o      In Progress
                    o      Queried
                    o      Rejected
                    o      Completed

             Where there is more than one transaction in a work package it is possible that not all will
             have the same status value on Tracker. In this case an "aggregate" status for the Work
             Package will need to be provided to the Repository. The following rules will be applied:
                    1. If any of the LPANs have been rejected then the Work Package Status will be set
                           to “Rejected”
                    2. If any of the LPANs have been queried (but none rejected) then the Work Package
                           Status will be set to “Queried”.


             If any of the LPANs are in progress (but none have been queried or rejected) then the
             Work Package Status will be set to “In Progress”.

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Author – Graham Sheppard
11.15. Advice of de-linked items


A daily advice of de-linked signings will be available for transmission to brokers. This will advise
of all de-linked signings, including those that were paper closed.


A choice of two output methods will be provided:
            EDI messages, in the format of the current BSM message
            A comma separated values (CSV) file.


             11.15.1.             De-linked Signings Advice - EDI message


             This will be identified as a new message type, called „IPCBSM‟, for which brokers will
             need to register to receive in addition to the normal BSM message. As today, separate
             messages will be output for Lloyd‟s and for the company market and each will require
             separate registration.


             Two separate batch extracts will be produced – one from POSH (for company market
             signings) and one from LIDS (for Lloyd‟s signings). Only de-linked signings will be
             included and they are to be output on the date of signing and not again on the date of
             release into settlement.


             In most respects the new IPCBSM message will operate exactly as the existing BSM
             message. However, the following differences between the new message and the current
             BSM should be noted:
                          For convertible currency transactions, the Rate of Exchange and the Bureau
                           Share Settlement (both in the SGN segment) will be advised based on the
                           currency value at that time. These may be subject to change when the signing is
                           released for settlement.
                          The Actual Payment Date (in the SGN segment) will not be given, as this is not
                           known until the signing is released for settlement
                          The Terms of Trade Lateness and Terms of Credit Lateness (both in the SGN
                           segment) will not be given, as these are not known until the signing is released for
                           settlement
                          The SPT segments (given for company market signings) will not be provided, as a
                           company‟s settlement details cannot definitely be advised until the signing is
                           released for settlement.




DRI Customer pack – Version 8.2                       Page 30 of 60                           Date: 09/03/07
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             It should also be noted that the BSM only allows for 12 characters to be presented in the
             UMR field. For electronic submissions Xchanging will require that a fully formatted 17
             character UMR be given. Therefore the UMR contained in the IPCBSM message will
             represent characters 6-17 of the UMR. The originator type and code prefix (Bnnnn) will
             not be output.


The existing EDI signing messages are sent to brokers and underwriters.


11.16. Query and Rejection Processing


Wherever possible, Xchanging will attempt to resolve queries by phone.

For queried items the Xchanging technician will contact the Broker by phone or email. If a
response is received by the end of the next working day which results in no amendment to
documentation, processing will continue without the need to produce a new Work Order.
Otherwise, the item will result in a rejection.


Xchanging have been asked not to amend any documentation that the Broker submits
using this method. This is in line with the A&S design principles agreed by the Market.
Any errors that prevent completion of the item will be rejected back to the Broker who will
need to amend the documentation and provide an electronic re-submission. For
guidelines to LPAN completion please refer to market communication 2004/076 dated 5th
August 2004.


Business queries and rejections raised by Xchanging Technicians during the checking process
will be recorded on Tracker and communicated to the Broker by email.


11.17. The Tracker Process


All broker technicians will need to be set up to access Tracker to retrieve and respond to queries
raised. This will be administered by Xchanging Service Desk and discussed during the
preparation and planning phase.


             11.17.1.             The email address


Tracker will automatically generate the address to which the email will be sent, using the contact
email address that was provided by the broker on the Work Order.




DRI Customer pack – Version 8.2                   Page 31 of 60                       Date: 09/03/07
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If the email cannot be delivered for any reason (e.g. the address has been incorrectly provided
on the Work Order) the technician will be notified. They will then be able to amend and re-send
as necessary.


             11.17.2.              The email subject


Tracker will automatically generate the email subject, from information given by the broker on the
Work Order.


The subject field will contain the following elements, each of which will be separated by a forward
slash:
        The status being notified – either Query or Rejection
        The UMR
        An application identifier - a fixed value of A&S
        The processing requested – 1 (Premium only), 2 (Premium & Policy) or 3 (Policy only
                              including NPE)
        The class of business – M (Marine), A (Aviation) or N (Non-Marine)
        The type of contract – B (Binding Authority), D (Direct Insurance), E (Excess of Loss),
                              F (Facultative Reinsurance) or P (Proportional Treaty).
        The type of policy – 1 (Slip Policy), 2 (PPS) or 3 (Broker Policy)


For Example: Query/UMR/A&S/1/M/B/1


All broker technicians will need to be set up to access Tracker to retrieve and respond to queries.


             11.17.3.              The email content


The following standard text will be presented in the email:
             Xchanging have identified an issue within the submission detailed in the subject field
             above, for details of the query please click on the link (below).


The email, subject will then be repeated, followed by the summary text that has been entered by
the technician.


A link to the Tracker sheet is included.


Further standard text will be presented as follows:




DRI Customer pack – Version 8.2                      Page 32 of 60                      Date: 09/03/07
Author – Graham Sheppard
             Please answer this query by replying to this email. If Xchanging does not receive a timely
             response (before the end of the next working day) to the queries raised then the
             documentation will be rejected. If you are having problems clicking on the link to the query
             sheet above please paste the URL below into your browser


The URL of the Tracker query sheet is included.


             11.17.4.             Accessing the query sheet


The Tracker query sheet will be accessed via the Xchanging Portal. The broker may click on the
Tracker link provided in the email, or cut and paste the URL into their browser.


Whichever of these options is used, the following process will be the same:
      1. If the user is not logged on to the Xchanging Portal, the Portal Login Page will be
             displayed and the user will be required to enter a recognised user name and Password. If
             the user is already logged on to the Xchanging Portal this step will be bypassed.
      2. The Tracker query sheet will be presented. This will contain full details of the reason(s) for
             query or rejection.


N.B. Where an item has been queried, the broker should contact the Xchanging technician either
by telephone or email, to resolve the issue. If no response has been received from the broker by
the end of the following working day the queried item will be rejected. The Xchanging technician
will update the tracker status to “query rejected” and a further email will be sent to the broker to
advise them that the item has been rejected and will need to be re-submitted for processing.


11.18. Process for Urgent Resubmissions of queried items


The broker will use the DRI function to submit:
             • Any additional and/or amended documents as necessary
             • A work order referencing the complete set of documents for the Work Package
             (including both new/amended documents and previously submitted unchanged
             documents).
The work order will contain:
             • A Submission Type of “Resubmission”
             • The XIS Technician Name
             • The words “URGENT RESUBMISSION” in the explanatory narrative. It is essential
             that this is spelt correctly.




DRI Customer pack – Version 8.2                   Page 33 of 60                        Date: 09/03/07
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The broker should also use phone or email to inform the XIS technician who raised the query to
advise that the resubmission is in progress. This is to prevent the original work package being
rejected.


When a technician queries a broker submission they will retain the original Work Order, pending
resolution of the query.


If the broker advises of the resubmission by the end of the next working day after the query was
raised the technician will:
             • Locate the original Work Order and mark it as being re-submitted
             • Await the delivery of the new Work Order for the resubmission
             • Update the Tracker status of the original work package to “rejected”
             • Process the re-submission work package as normal, entering the original Presentation
             Date onto POSH/LIDS


If the broker‟s email /phone call advising the re-submission is not received by end of next working
day after the query was raised, the technician will reject the original submission. The broker will
then need to resubmit as normal and the submission will receive a new Presentation Date.




DRI Customer pack – Version 8.2               Page 34 of 60                           Date: 09/03/07
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   12. APPENDIX A – DRI REGISTRATION FORM


   For Xchanging ACORD SOAP Messaging Service (DRI)
   (Customer Registration)


   Message Options as Sender
   Please indicate below which messages you wish to transmit to Xchanging:
Message
                     Description      ACORD Version
type
                                      ACORD DRI Message Version:-


                                      V1.2.0 (Y/N)
                                      ACORD Messaging Service (AMS) Version:-


                     ACORD DRI        V1.4.0 (Y/N)
UploadRq
                     Upload Request
                                      …………………………………………………………………


                                      Test URL _______________________________


                                      Production URL _________________________


                                      ACORD DRI Message Version:-


                                      V1.2.0 (Y/N)


                                      ACORD Messaging Service (AMS) Version:-
                     ACORD DRI
NotifyRq
                     Notify Request   V1.4.0 (Y/N)


                                      …………………………………………………………………


                                      Test URL _______________________________


                                      Production URL _________________________
                                      ACORD DRI Message Version:-
                     ACORD DRI
SearchRq
                     Search Request
                                      V1.2.0 (Y/N)


   DRI Customer pack – Version 8.2              Page 35 of 60                    Date: 09/03/07
   Author – Graham Sheppard
                                             ACORD Messaging Service (AMS) Version:-


                                             V1.4.0 (Y/N)


                                             …………………………………………………………………


                                             Test URL _______________________________


                                             Production URL _________________________


   Accounting and Settlement (IMPORTANT)
   If you wish to submit messages for Accounting and Settlement submissions to Xchanging please
   note that you will need to send in a „Skinny TA‟ as an attachment.

   Message Options as Receiver
   Please indicate below which messages you wish to receive from Xchanging. Please note that we
   can only register you for either UploadRq or NotifyRq, not both:
Message type                   Description         ACORD Version
                                                   ACORD DRI Message Version:-


                                                    V1.2.0 (Y/N)
                                                   ACORD Messaging Service (AMS) Version:-

                               ACORD DRI
                                                    V1.4.0 (Y/N)
UploadRq                       Download
                               Request
                                                   Test URL:- _______________________________


                                                   Production URL:- __________________________




                                                   ACORD DRI Message Version:-


                               ACORD DRI            V1.2.0 (Y/N)
NotifyRq
                               Notify Request
                                                   ACORD Messaging Service (AMS) Version:-


                                                    V1.4.0 (Y/N)



   DRI Customer pack – Version 8.2                     Page 36 of 60                    Date: 09/03/07
   Author – Graham Sheppard
                                             …………………………………………………………………


                                             Test URL _______________________________


                                             Production URL _________________________


Note:- SOAP Response Messages (i.e. PostRs) will be sent to the same URL from which the
equivalent Request Message is received.


Further Details
Preferred Effective Start Dates:               Integration Testing     /      /


                                               Production              /      /
Organisation details
                    Contact name
                      Organisation
                                  Position
                              Address


                  E-mail address
                                  Fax no.
                                   Tel no.
          Signature and Date


Broker Numbers


1.
2.
3.
4.
5.
6.
7.
8.
9.
10.



DRI Customer pack – Version 8.2                 Page 37 of 60                     Date: 09/03/07
Author – Graham Sheppard
Note: Please supply a list of broker numbers. The details entered above must apply to all Broker
Numbers issued.
N.B. This does not necessarily mean that ACORD Messages for numbers listed will be
transported within the same SOAP envelope.


Service Provider
If a Service Provider is to send/receive messages on your behalf, please specify their details:-


   Party Id.                                  Party Name


Security
Digital Signatures - The Public Key should be e-mailed separately to the e-mail address at the
bottom of this form):-


Name of Certificate:-                              _____________________


Integration Testing
Start Date of Digital Certificate:-                            /   /


Expiry Date of Digital Certificate:-                           /   /


Production
Start Date of Digital Certificate:-                            /   /


Expiry Date of Digital Certificate:-                           /   /


DL5079 email (Error message for documents loaded without UMR)
Please supply an email address to receive an error message after every 24 hours that a
document is loaded without associated UMR / UCR details:
____________________@______________


The completed form should be returned to:


Graham Sheppard,                  Xchanging DRI Co-ordinator, Walter Burke Way, Chatham Maritime,
                                  Chatham, Kent ME4 4RQ
E-mail:-                          graham.sheppard@xchanging.com
Telephone:-                       +44 (0)1634 887742


DRI Customer pack – Version 8.2                    Page 38 of 60                       Date: 09/03/07
Author – Graham Sheppard
Mobile:-                          +44 (0)7917 423308
Facsimile:-                       +44 (0)1634 887510




DRI Customer pack – Version 8.2                   Page 39 of 60   Date: 09/03/07
Author – Graham Sheppard
13. APPENDIX B – BUSINESS RULES (BUSINESS DECISION LOGIC) FOR ELECTRONIC
      CLAIMS FILE-ECF DRI MESSAGES


-     The total size of the SOAP message and any attachments cannot be more than 20MB


-     Duplicate documents (i.e. with the same „document name‟) are valid and will be loaded to the
      Market Repository


-     UMR, Sender and Receiver are all mandatory fields.


-     Any document that has only a UMR is assumed to be a slip related document and will be
      stored in the folder referenced by the UMR. Any document that has a UMR and UCR is
      assumed to be claim related document and will be stored in the folder referenced by the
      UCR. (The UCR will be used to associate the document with a Class record and is therefore
      essential for any claim related documents).


-     If a document is received with a UMR or UCR that does not already exist on the repository a
      new folder will be created, but only the document sender will be able to see it. Once the Class
      data is received with the UMR and UCR quoted, the folder details will be updated with the
      Class data and the full market, XCS and the broker will have access to the folders and
      documents. If no Class data is received to complete the folder within 24 hours the
      document(s) will be reported.




DRI Customer pack – Version 8.2            Page 40 of 60                           Date: 09/03/07
Author – Graham Sheppard
14. APPENDIX C – DOCUMENTS BY TRANSACTION TYPES


The following pages show the types of document that are typically expected to be provided for
each type of premium and/or policy submission, together with recommended naming conventions
for those documents.


The documents identified below as either optional or mandatory may not in some cases be
required where market practice differs from this, or slip provisions exist which negate the need for
certain documents to be produced. This table is provided for the assistance of market
practitioners and will not result in a any change to the documents that Xchanging expect to
receive when processing such items.


Original Premium
            Slip (may include a schedule of items)                                           (M)
            Slip Attachments (these will require underwriter authorisation
             unless they are part of the placing slip)
            Pre closing Endorsements (showing underwriter authorisation)
            Calculations/Supporting Information:
                    o      LPO301 should be provided to distinguish differences in section
                           coverage, security, and/or where Lloyd‟s coding requirements
                           change (e.g. multiple risk codes are identified)
                    o      LPO208 should be provided where multiple currencies are used
            LPAN(s)                                                                          (M)


Premium FDO (For Declaration Only)
            Slip                                                                             (M)
            Slip Attachments (these will require underwriter authorisation
             unless they are part of the placing slip)
            Pre closing Endorsements (showing underwriter authorisation)
            Calculations/Supporting Information:
                    o      LPO301 should be provided to distinguish differences in section
                           coverage, security, and/or where Lloyd‟s coding requirements
                           change (e.g. multiple risk codes are identified)
                    o      LPO208 should be provided where multiple currencies are used
            LPAN(s)                                                                          (M)


AP / RP Premium Endorsement
            Endorsement (showing underwriter authorisation)                                  (M)


DRI Customer pack – Version 8.2                       Page 41 of 60                          Date: 09/03/07
Author – Graham Sheppard
            Calculations/Supporting Information
            LPAN(s)                                                                                                (M)


AP/RP Premium Adjustment
            Endorsement (showing underwriter authorisation)                                                        (M)
            Calculations/Supporting Information
            LPAN(s)                                                                                                (M)


AP/RP Nil Adjustment
            Endorsement (showing underwriter authorisation)                                                        (M)
            Calculations/Supporting Information
            LPAN(s)                                                                                                (M)


Non Premium Endorsement
            Endorsement (showing underwriter authorisation)                                                        (M)


Risk Market Change
            Endorsement (showing underwriter authorisation)                                                        (M)
            Scanned/Imaged Slip Attachments
            Calculations/Supporting Information.
            LPAN(s)                                                                                                (M)


Binding Authority
            Binding Wording6                                                                                       (M)
            Slip                                                                                                   (M)
            Slip Attachments (these will require underwriter authorisation
             unless they are part of the placing slip)
            Pre closing Endorsements (showing underwriter authorisation)
            Calculations/Supporting Information:
                    o      LPO301 should be provided to distinguish differences in section
                           coverage, security, and/or where Lloyd‟s coding requirements
                           change (e.g. multiple risk codes are identified)
                    o      LPO208 should be provided where multiple currencies are used
            LPAN(s)                                                                                                (M)




6
  If the slip contains all details and the client does not wish a full wording to be issued then brokers need only attach a separate
schedule to the slip to constitute Contract Certainty



DRI Customer pack – Version 8.2                           Page 42 of 60                                           Date: 09/03/07
Author – Graham Sheppard
Lineslip
            Slip                                                                             (M)
            Slip Attachments (these will require underwriter authorisation
             unless they are part of the placing slip)
            Pre closing Endorsements (showing underwriter authorisation)
            Calculations/Supporting Information:
                    o      LPO301 should be provided to distinguish differences in section
                           coverage, security, and/or where Lloyd‟s coding requirements
                           change (e.g. multiple risk codes are identified)
                    o      LPO208 should be provided where multiple currencies are used
            LPAN(s)                                                                          (M)


Endorsement on a Lineslip (Facultative/Bulking/Binding Authority)
            Endorsement (showing underwriter authorisation unless otherwise
             specified in the subscription agreement section)                                 (M)
            LPAN(s)                                                                          (M)


Bordereau Declarations off of a Lineslip/Binding Authority
            Endorsement (showing underwriter authorisation unless otherwise
             specified in the subscription agreement section)                                 (M)
            Bordereau Document                                                               (M)
            Calculations/Supporting Information
            LPAN(s)                                                                          (M)


POLICY
            Policy Control Form
            Wording
            Wording Addenda


Notes


– A Work Order must also be submitted with each Work Package


– Policy processing requests may be made with a premium submission (i.e. S&A) or as a
separate submission after premium processing (i.e. Stage 2)




DRI Customer pack – Version 8.2                       Page 43 of 60                          Date: 09/03/07
Author – Graham Sheppard
15. APPENDIX D – POLICY CONTROL FORM


Policy Control Form
Failure to complete this form fully may result in Xchanging being unable to locate the originator of
this submission.


                                  POLICY SUBMISSION/PREPARATION REQUEST


Broker                 _______________________________________ Broker                ______ Broker          ________
Contact:               ___                                                No:                    Pseud:


Broker                 _______________________________________ Broker                ________________________
E mail:                ____                                               Tele No:   __


UMR                    B



Class of               ______ (M = Marine, N = Non-Marine, A = Aviation)
Business


Type of                ______ (B = Binding Auth, D = Direct, F = Fac RI, X = Excess of Loss, L = Lineslip, P =
Contract                          Prop Tty)


Type of                ______ (B = Broker Produced, P = LPSO Produced, S = Slip Policy, E = Policy
Policy                            Endorsement, L = PPS Endorsement, T = Time On Risk)



Wording                ________________________________________________ No of                          _____________
Type                   _ (Policy Form e.g. NMA1650, AVN1C, etc.)                     Copies            __


PPS Submissions


Full Policy/                          Renewing (if applicable) show last years                         *
Wording                               SN&D


Standard
Wording
Jacket


DRI Customer pack – Version 8.2                    Page 44 of 60                          Date: 09/03/07
Author – Graham Sheppard
Countersignature Page                    Yes / No
Required


Wording Wrapping Service


Standard



Special Instructions: (Please indicate here if contract was subject to a Xpresscheck)




15.1.        Introduction


This document provides instructions for Brokers on the completion of the Policy Control Form
(PCF) which is required to be presented as part of any electronic packages presented under
Accounting and Settlement (A&S) where a policy type action is required.


15.2.        Background


The ability for Brokers to make submission of policies to Xchanging via the A&S process has
introduced a series of business considerations to be addressed to enable the Broker to instruct
Xchanging on how the policy documents should be completed. As a result it has been agreed
that a PCF should accompany any policy submissions (including policy Endorsements and slip
policies).


The PCF serves the following purposes:
            To inform XIS what policy action is required
            To instruct how many original and copy policies are required
            To provide PPS instructions to XIS
            To note who the policy contact is for return of completed policies or in the event of queries
            To assist in XIS work allocation in the absence of the paper document


The form is currently in use for paper submissions and its use has been adapted to be used for
electronic submission.




DRI Customer pack – Version 8.2                Page 45 of 60                            Date: 09/03/07
Author – Graham Sheppard
15.3.        Completion Instructions


The PCF should accompany any A&S submission where there is a policy element to the
submission, e.g. Broker Policy, PPS, Slip policy to be signed, Policy endorsement required. As
part of the work package the Broker must provide the PCF.


Missing or incomplete PCFs may lead to the package being rejected.


Separate PCFs should be included in each work package where applicable on multi market risks


The attached sets out the guidelines:


Field                             Instruction
Broker contact                    The name of the Policy technician to who queries or the
                                  completed document should be directed to
Broker No                         Broker organisation number
Broker Pseud                      Broker organisation pseudonym
Broker email                      Email address for broker contact
Broker tele no                    Telephone number for Broker contact
UMR                               The Unique Market Reference for the slip
Class of Business                 Complete with the letter to indicate the class of business covered
                                  options as shown on the form
Type of contract                  Complete with the letter to indicate the type of contract options as
                                  shown on the form
Type of policy                    Complete with the letter to indicate the type of policy being signed
                                  options as shown on the form
Wording type                      Information to denote the wording type or class of business, e.g.
                                  Registration number if registered wording
                                  Sub class of business i.e. PI, D&O, BB etc (alternatively the risk
                                  code can be shown
                                  Indication if wording is a to follow wording
No of copies                      Used to denote how many copies of the policy are required to be
                                  produced. (originals and copies)
Full policy/wording               Not required
Renewing….                        Not required
Standard wording jacket           Not required
Countersigned page                Not required



DRI Customer pack – Version 8.2                  Page 46 of 60                           Date: 09/03/07
Author – Graham Sheppard
Wording wrapping                  Not required
service
Special instructions              This field should be used to provide any additional information
                                  that is not covered above. In particular:
                                        Notification if the item has already been subject to the
                                         Xchanging Xpresscheck service prior to submission and is
                                         now submitted agreed as sign as seen. The original bar
                                         code must be shown
                                        The policy is a to follow policy
                                        Illinois. As information only. Normal business processing
                                         rules apply.




DRI Customer pack – Version 8.2                  Page 47 of 60                          Date: 09/03/07
Author – Graham Sheppard
16. APPENDIX E – DOCUMENT TYPES AVAILABLE IN THE ACORD A54 CODE LIST


Document Storage in UMR Folders


The following pages shows the document types available in the ACORD A54 Code List (2005.2)
and describes the Market Repository folders in which each document type will be stored.
                       ACORD LONGCODE                                     DESCRIPTION                   REPOSITORY
                                                                                                        FOLDER
acknowledgement                                          Acknowledgement                                Miscellaneous
acknowledgement_first_notice_client                      First Notice Client Acknowledgement            Miscellaneous
acknowledgement_inquiry_loss_market                      Market Inquiry Acknowledgement                 Miscellaneous
acknowledgement_loss_market                              Market Acknowledgement                         Miscellaneous
advice_claim_movement                                    Claim movement advice
advice_claim_movement_seen                               Claim movement advice, seen
advice_commission                                        Commission advice                                 Miscellaneous
advice_deposit_premium                                   Deposit Premium advice                            Miscellaneous
advice_premium                                           Premium advice                                    Miscellaneous
attorney_info_complaint                                  Complaint                                         Miscellaneous
attorney_info_correspondence                             Attorney Correspondence                           Miscellaneous
attorney_info_coverage_counsel_correspondence            Coverage Counsel Correspondence                   Miscellaneous
attorney_info_defense_counsel_report                     Defense Counsel Report                            Miscellaneous
attorney_info_pleadings                                  Pleadings                                         Miscellaneous
attorney_related_info_trial_report                       Trial Report                                      Miscellaneous
booklet                                                  Booklet                                           Policy
booklet_insurance_policy                                 Policy                                            Policy
booklet_insurance_policy                                 Booklet: Insurance Policy                         Policy
booklet_product                                          Booklet: Product                                  Policy
booklet_reinsurance_contract                             Booklet: Reinsurance Contract                     Policy
bordereau_catastrophe_report                             Catastrophe Report                                Miscellaneous
bordereau_line_of_business_detail                        Line of Business Detail US general classification Miscellaneous
                                                         breakdown
bordereau_outstanding_loss_and_loss_adjustment_expens    Outstanding Loss and Loss Adjustment Expense   Miscellaneous
e_reserve                                                (LAE) Reserve Bordereau
bordereau_paid_loss_and_lae_and_outstanding_loss_and_l   Paid Loss and LAE and Outstanding Loss and     Miscellaneous
ae_reserve                                               LAE Reserve Bordereau
bordereau_paid_loss_and_loss_adjustment_expense          Paid Loss and Loss Adjustment Expense (LAE)    Miscellaneous
                                                         Bordereau
bordereau_premium                                        Premium Bordereau                              Miscellaneous
bordereau_premium_and_loss                               Premium and Loss Bordereau                     Miscellaneous
bordereau_unearned_premium                               Unearned Premium Bordereau                     Miscellaneous
calculation                                              Calculation                                    Miscellaneous
calculation_adjustment_premium                           Adjustment Premium calculation                 Miscellaneous
calculation_aggregate_deductible                         Aggregate deductible calculation               Miscellaneous
calculation_claim_reserve                                Claim Reserve calculation                      Miscellaneous
calculation_experience_adjustment                        Experience Adjustment Calculation              Miscellaneous
calculation_manual                                                                                      Miscellaneous
calculation_profit_commission                            Profit Commission calculation                  Miscellaneous
calculation_reinstatement                                Reinstatement calculation                      Miscellaneous
calculation_reinstatement_premium                        Reinstatement premium calculation              Miscellaneous
calculation_term_adjustment                              Term Adjustment Calculation                    Miscellaneous




DRI Customer pack – Version 8.2                           Page 48 of 60                                           Date: 09/03/07
Author – Graham Sheppard
                       ACORD LONGCODE                       DESCRIPTION       REPOSITORY
                                                                              FOLDER
claim_close_aggregate_deductible          Claim Close Aggregate Deductible    Miscellaneous
claim_close_notice                        Claim Closing Notice                Miscellaneous
correspondence_bank                       Bank Correspondence                 Miscellaneous
correspondence_claim                      Claim, correspondence               Miscellaneous
correspondence_client                     Client Correspondence               Miscellaneous
correspondence_cobroker                   Co-broker correspondence            Miscellaneous
correspondence_general_cedent             General Correspondence Cedent       Miscellaneous
correspondence_general_reinsurer          General Correspondence Reinsurer    Miscellaneous
correspondence_premium                    Premium Correspondence              Miscellaneous
correspondence_previous_documentation     Previous Documentation              Miscellaneous
correspondence_reinstatement_of_premium   Reinstatement of Premium            Miscellaneous
correspondence_reinsurer_status_update    Reinsurer Status Update             Miscellaneous
correspondence_settlement_documentation   Settlement Documentation            Miscellaneous
correspondence_underwriter                Underwriter correspondence          Miscellaneous
document                                  Other Documentation                 Miscellaneous
document                                  Document                            Miscellaneous
document_account_information              General Account Information         Miscellaneous
document_binder                           Document: Binder                    Policy
document_broker_account                   Broker Account                      Miscellaneous
document_broker_invoice                   Broker invoice                      Miscellaneous
document_certificate                      Document: Certificate               Policy
document_claims_paid_breakdown            Claims paid breakdown               Miscellaneous
document_company_closing                  Company closing                     Miscellaneous
document_cover_note                       Document: Cover Note                Miscellaneous
document_cover_note_addenda               Document: Cover Note Addenda        Miscellaneous
document_file_note                        File note document                  Miscellaneous
document_information_sheet                Information Sheet                   Miscellaneous
document_market_presentation              Market Presentation                 Miscellaneous
document_operations_description           Description of Operations           Miscellaneous
document_photographs                      Photographs                         Miscellaneous
document_placing_endorsement_agreed       Agreed Placing Endorsement          Slip
document_placing_endorsement_signed       Signed placing endorsement          Slip
document_placing_slip                     Placing Slip                        Slip
document_placing_slip_agreed              Agreed Placing Slip                 Slip
document_placing_slip_signed              Signed placing slip                 Slip
document_reservation_of_rights            Reservation of Rights               Miscellaneous
document_slip                             Document: Slip                      Slip
document_various_loss_breakdown           Document various loss breakdown     Miscellaneous
document_void                             Void                                Miscellaneous
form                                      Form                                Miscellaneous
form_declaration                          Form: Declaration                   Policy
form_insurance_policy                     Form: Insurance Policy              Policy
form_insurance_policy_endorsement         Insurance policy endorsement form   Policy
form_policy_control                       Policy Control Form                 Miscellaneous
form_quotation_request                    Form: Quotation Request             Miscellaneous
form_reinsurance_contract                 Form: Reinsurance Contract          Policy
form_statutory_declaration                Form: Statutory declaration         Policy
form_work_order                           Work Order                          Miscellaneous




DRI Customer pack – Version 8.2            Page 49 of 60                              Date: 09/03/07
Author – Graham Sheppard
                       ACORD LONGCODE                                 DESCRIPTION             REPOSITORY
                                                                                              FOLDER
inquiry_collection                              Collection Inquiry                            Miscellaneous
inquiry_loss_client                             Claim Inquiry Client                          Miscellaneous
inquiry_loss_market                             Inquiry                                       Miscellaneous
inquiry_loss_response                           Inquiry Response                              Miscellaneous
inquiry_specific_request_reinsurer              Reinsurer – Specific Request                  Miscellaneous
inquiry_status_request_reinsurer                Reinsurer Status Request                      Miscellaneous
instructions_client_quote                       Client quote instructions                     Miscellaneous
letter_of_credit                                Letter of credit                              Miscellaneous
lm_bureau_endorsement                           Bureau endorsement London Market              Slip
lm_claim_collection_form                        LCCF London Claim Collection Form             Miscellaneous
lm_lpo_208                                      LPO 208 London Market                         Slip
lm_premium_advice_note                          London Premium advice note (LPAN)             Miscellaneous
loc_oca_acknowledgement                         LOC/OCA Acknowledgment                        Miscellaneous
loc_oca_draw_request                            LOC/OCA Draw Request                          Miscellaneous
loss_billing                                    Subsequent Proof of Loss                      Miscellaneous
loss_billing_aggregate_deductible               Billing/Aggregate Deductible                  Miscellaneous
loss_billing_attorney_recommendation            Attorney‟s Billing Recommendation             Miscellaneous
loss_billing_cash_loss_advance                  Cash Loss Advance Billing                     Miscellaneous
loss_billing_declaratory_judgement              DJ - Declaratory Judgement Billing            Miscellaneous
loss_billing_excess_of_policy_limit             XPL – Ecess of Policy Limit Billing           Miscellaneous
loss_billing_extra_contractual_obligations      ECO - Extra Contractual Obligations Billing   Miscellaneous
loss_billing_final                              Final Billing Proof of Loss                   Miscellaneous
loss_billing_first_and_final                    First/Final Billing                           Miscellaneous
loss_billing_initial                            Billing/Initial Proof of Loss                 Miscellaneous
loss_billing_partial                            Billing Partial Proof of Loss                 Miscellaneous
loss_billing_salvage                            Salvage Billing                               Miscellaneous
loss_billing_subsequent                         Billing/Subsequent                            Miscellaneous
loss_billing_subsequent_aggregate_deductible    Billing/Subsequent/Aggregate Deductible       Miscellaneous
loss_non_billing_first_and_final_notice         First/Final Notice                            Miscellaneous
loss_non_billing_initial_notice                 Initial Notice                                Miscellaneous
loss_non_billing_initial_notice_precautionary   Initial Notice – Precautionary                Miscellaneous
loss_non_billing_re_open_notice                 Re-open Notice                                Miscellaneous
loss_non_billing_reversal_notice                Reversal Notice                               Miscellaneous
loss_non_billing_subsequent_precautionary       Subsequent Precautionary                      Miscellaneous
plan                                            Plan                                          Miscellaneous
plan_building                                   Plan: Building                                Miscellaneous
plan_maintenance                                Plan: Maintenance                             Miscellaneous
plan_product_recall                             Plan: Product Recall                          Miscellaneous
plan_project                                    Plan: Project                                 Miscellaneous
portfolio_split                                 Portfolio Split                               Slip
portfolio_split_per_catastrophe_zone            Portfolio Split: per Catastrophe Zone         Slip
portfolio_split_per_geographical_zone           Portfolio Split: per Geographical Zone        Slip
questionnaire                                   Questionnaire                                 Miscellaneous
questionnaire_protection_devices                Questionnaire: Protection Devices             Miscellaneous
questionnaire_quality_control_procedures        Questionnaire: Quality Control Procedures     Miscellaneous
questionnaire_security_measures                 Questionnaire: Security Measures              Miscellaneous




DRI Customer pack – Version 8.2                  Page 50 of 60                                        Date: 09/03/07
Author – Graham Sheppard
                       ACORD LONGCODE                             DESCRIPTION              REPOSITORY
                                                                                           FOLDER
reinsurance_contract_endorsement               Reinsurance contract endorsement             Slip
report                                         Report                                       Miscellaneous
report_adjuster                                Adjuster Report                              Miscellaneous
report_balance_sheet                           Report: Balance Sheet                        Miscellaneous
report_contingent_liability                    Contingent Liability Report                  Miscellaneous
report_credit_rating                           Report: Credit Rating                        Miscellaneous
report_income_statement                        Report: Income Statement                     Miscellaneous
report_inspection                              Report: Inspection                           Miscellaneous
report_life_care_plans                         Life Care Plans                              Miscellaneous
report_medical                                 Report: Medical                              Miscellaneous
report_outstanding_loss                        Report: Outstanding Loss                     Miscellaneous
report_pass_alongs                             Passalongs                                   Miscellaneous
report_portfolio                               Portfolio report                             Miscellaneous
report_projected_medical_cost                  Projected Medical Cost Reports               Miscellaneous
report_soil_analysis                           Report: Soil Analysis                        Miscellaneous
report_summary                                 Summary Report                               Miscellaneous
report_survey                                  Report: Survey                               Miscellaneous
report_surveyor                                Surveyor Report                              Miscellaneous
reserve_change_notice                          Reserve Change Notice                        Miscellaneous
reserve_initial                                Initial Reserve                              Miscellaneous
reserve_initial_aggregate_deductible           Initial Reserve - Aggregate Deductible       Miscellaneous
reserve_status_supplemental_notice_no_change   Status Supplemental Notice No Reserve Change Miscellaneous

reserve_subsequent                             Subsequent Reserve                          Miscellaneous
reserve_subsequent_aggregate_deductible        Subsequent Reserve - Aggregate Deductible   Miscellaneous

salvage_subrogation_notice                     Salvage Notice                              Miscellaneous
salvage_subrogation_refund_notification        Salvage/Subrogation Refund Notification     Miscellaneous
salvage_subrogation_request_for_payment        Salvage/Subrogation Request for Payment     Miscellaneous
schedule                                       Schedule                                    Slip
schedule_insurance_policy                      Schedule: Insurance Policy                  Policy
schedule_maintenance                           Schedule: Maintenance                       Miscellaneous
schedule_project                               Schedule: Project                           Miscellaneous
schedule_reinsurance_contract                  Schedule: Reinsurance Contract              Policy
schedule_values                                ACORD Statement/Schedule of values          Miscellaneous
statistics                                     Statistics                                  Miscellaneous
statistics_claim                               Claim statistics                            Miscellaneous
statistics_per_accounting_year                 Statistics: per Accounting Year             Miscellaneous
statistics_per_underwriting_year               Statistics: per Underwriting Year           Miscellaneous
statistics_triangular                          Statistics: Triangular                      Miscellaneous
table_of_limits                                Table of limits                             Slip
wording                                        Wording                                     Policy
wording_addenda                                Wording addenda                             Policy
wording_agreed                                 Agreed wording                              Policy
wording_construction_contract                  Wording: Construction Contract              Policy
wording_insurance_policy                       Wording: Insurance Policy                   Policy
wording_maintenance_contract                   Wording: Maintenance Contract               Policy
wording_reinsurance_contract                   Wording: Reinsurance Contract               Policy




DRI Customer pack – Version 8.2                 Page 51 of 60                                      Date: 09/03/07
Author – Graham Sheppard
17. APPENDIX F – DRI WORK ORDER COMPLETION

The following pages describe the completion of the Work Order for DRI submissions, which must
be presented in the form of an ACORD 2005.2 Technical Account.

Acord Tag/Element                                                               XIS Required XIS Completion Notes


<Jv-Ins-Reinsurance Version="2005-2"                                             Mandatory
 xmlns="http://www.ACORD.org/standards/Jv-Ins-Reinsurance/2005-2"
 xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance"
 xsi:schemaLocation="http://www.ACORD.org/standards/Jv-Ins-Reinsurance/2005-2
Jv-Ins-Reinsurance-2005-2.xsd">
xmlns:ac="http://www.ACORD.org/Standards/AcordMsgSvc/1.4.0"

     <TechAccount Sender="broker" Receiver="serviceprovider">                    Mandatory
        <UUId></UUId>                                                            Mandatory
        <BrokerReference>-</BrokerReference>                                     Mandatory
        <CreationDate>-<CreationDate>                                            Mandatory    Format: CCYY-MM-DDThh:mm:ss*hh:mm
         <AccountTransactionType>-</AccountTransactionType>                      Mandatory    One of 'premium', 'lm_additional_premium_ap' or
                                                                                              'lm_return_premium_rp'. For future use:
                                                                                              'lm_reinstatement_ap' 'lm_reinstatement_rp' 'lm_treaty_fdo'
                                                                                              'lm_treaty_statement_cr' and 'lm_treaty_statement_dr'


         <Explanation>-</Explanation>                                             Optional    Optional text to provide any additional details or
                                                                                              requirements - e.g. reason for a correction
         <Reinsurer>                                                             Conditonal
              <Party>                                                            Conditonal
                   <Name>-</Name>                                                Conditonal   For reinsurance, used to distinguish between Lloyd's and
                                                                                              company market business. Either "Lloyd's", "Companies" or
                                                                                              "Mixed"
              </Party>                                                           Conditonal
         </Reinsurer>                                                            Conditonal
         <Insurer>                                                               Conditonal
              <Party>                                                            Conditonal
                    <Name>-</Name>                                               Conditonal   For insurance, used to distinguish between Lloyd's and
                                                                                              company market business. Either "Lloyd's", "Companies" or
                                                                                              "Mixed"
              </Party>                                                           Conditonal
         <Insurer>                                                               Conditonal
         <Broker>                                                                Mandatory
              <Party>                                                            Mandatory
                    <Id Agency="-">-</Id>                                        Mandatory    Agency must be 'lloyds'. Id will contain the Lloyd's broker
                                                                                              code
              </Party>                                                           Mandatory
              <Contact>                                                          Mandatory
                    <Description>-</Description>                                 Mandatory    Broker technician name
                    <Telephone>-</Telephone>                                     Mandatory    Broker technician phone
                    <Email>-</Email>                                             Mandatory    Broker technician email
              </Contact>                                                         Mandatory
         </Broker>                                                               Mandatory
         <ServiceProvider>                                                       Mandatory
              <Party>                                                            Mandatory
                    <Name>-</Name>                                               Mandatory    XIS
              </Party>                                                           Mandatory
              <Contact>                                                           Optional
                    <Description>-</Description>                                  Optional    XIS technician name. Include for a re-submission following a
                                                                                              business rejection.
              </Contact>                                                          Optional
         </ServiceProvider>                                                       Optional




DRI Customer pack – Version 8.2                                 Page 52 of 60                                            Date: 09/03/07
Author – Graham Sheppard
         <ReferenceCurrency>                                                  Mandatory
              <Ccy>-</Ccy>                                                    Mandatory    Use any currency code. This will be ignored.
         </ReferenceCurrency>                                                 Mandatory
         <AmtShareIndicator>-</AmtShareIndicator>                             Mandatory    Set to "receiver_share"
         <CorrectionIndicator>-</CorrectionIndicator>                         Conditonal   Conditional. Set to "replacement" for a re-submission
                                                                                           following a business rejection,
                                                                                           "reversal_to_be_replaced_later" or
                                                                                           "reversal_not_to_be_replaced" for a cancellation following
                                                                                           XIS signing, or "correction" for a correction following a
                                                                                           cancellation.

         <Contract>                                                           Mandatory
             <TreatyFac>-</TreatyFac>                                         Mandatory    Applicable value from Acord code table A29. One of:
                                                                                           'treaty' 'facultative' or 'direct'
                <ContractNature>-</ContractNature>                            Mandatory    For Release 1 this will be limited to 'nonproportional' and
                                                                                           'excess_cession'. When proportional treaty business is
                                                                                           added as part of a subsequent release, then a value of
                                                                                           'proportional' will also be allowed.
              <BrokerReference>-</BrokerReference>                            Mandatory    UMR
         </Contract>                                                          Mandatory
         <Subaccount>                                                         Mandatory
              <SequenceNbr>1-</SequenceNbr>                                   Mandatory    Set to 1
              <ContractSection>                                               Mandatory
                    <HighLevelReference>1-</HighLevelReference>               Mandatory    Set to 1
                    <CoverType>-</CoverType>                                  Conditonal   Conditional. Set to 'lm_facility' when declaration from a
                                                                                           lineslip. Set to 'lm_balanced_binding_authority' where a
                                                                                           Binding Authority Account. Else exclude.
                </ContractSection>                                            Mandatory
                <JvClassOfBusiness>-</JvClassOfBusiness>                      Mandatory    One of "aviation", "marine" or
                                                                                           "nonmarine_general_and_miscellaneous_liability"
                <ac:SupportingDocument>                                       Mandatory    At least one document must be referenced.
                     <ac:DocumentId>-</ac:DocumentId>                         Conditonal   UUID of document. One of <DocumentId> or <Reference>
                                                                                           must be provided. Mutually exclusive with <Reference>.

                      <ac:DocumentReference>-</ac:DocumentReference>          Conditonal   Broker's reference to supporting information. One of
                                                                                           <DocumentId> or <Reference> must be provided. Mutually
                                                                                           exclusive with <DocumentId>.
                      <ac:DocumentVersion>-</ac:DocumentVersion>              Conditonal
                      <ac:DocumentTypeCd>-</ac:DocumentTypeCd>                Mandatory    Value from codeset A54
                </ac:SupportingDocument>                                      Mandatory
                <TechAccountAmtItem Type="premium">                           Mandatory    Always use this value. This element is not used in
                                                                                           construcutung the Work Order, but is a mandatory ACORD
                                                                                           element.
              </TechAccountAmtItem>                                           Mandatory
         </Subaccount>                                                        Mandatory
         <Paymentmeans>london_central_settlement</PaymentMeans>               Mandatory    Always use this value. This element is not used in
                                                                                           construcutung the Work Order, but is a mandatory ACORD
                                                                                           element.
    </TechAccount>                                                            Mandatory
</Jv-Ins-Reinsurance>                                                         Mandatory




DRI Customer pack – Version 8.2                               Page 53 of 60                                         Date: 09/03/07
Author – Graham Sheppard
18. APPENDIX G – DRI MESSAGE VALIDATION

DRI Validation

SOAP Level Validation

The following validation is carried out prior to the SOAP Post Response being returned to the sender. The
associated errors are therefore returned synchronously.

  Validation                      Description                                       Error message
  Is Xchanging meant              The receiver party ID for all messages            Incorrect receiver partyid
  to be the receiver?             coming into XDH should have the PartyId of
                                  'urn:duns:236196817'. This is held as a
                                  registry setting on each of our servers
  Are there any                   Each SOAP message should have at least            No attachments found
  attachments?                    one attachment
  Is it a valid message           Allowed values are 'Jv-Ins-Reinsurance' for       Invalid ApplicationCd supplied
  type?                           A&S and 'ACORD-Repository' for DRI (ECF)
                                  messages
  Is the sender or                The sender PartyId & PartyRoleCd (Broker,         Either the Owner or the Sender
  owner valid?                    ServiceProvider etc) must be registered on        is not a valid trading partner
                                  our tables for the message type (Upload,
                                  Notify etc) that they are sending in.
  Is the third party valid        If the sender PartyId is not valid, was it sent   The sender is not registered to
  to send for the trading         by a ServiceProvider who are authorised to        send on behalf of the owner
  partner?                        send on behalf of the Owner of the
                                  message?
  Is business message             Is the DRI message in a valid XML format?         The business message was not
  valid?                                                                            well formed XML
  Does Business                   The sender, receiver and owner party details      The business message (Sender
  Message match                   are duplicated in the SOAP and DRI                PartyId, Owner PartyRoleCd,
  SOAP message?                   messages. They must be the same in both.          etc) differs from SOAP message
                                                                                    (Sender PartyId, Owner
                                                                                    PartyRoleCd, etc)
  Do Soap and                     The amount of attachments that the SOAP           Soap message and business
  business message                message and DRI message refer to must be          message document counts do
  document counts                 the same.                                         not match
  match?
  Was SOAP body                   All incoming DRI messages have ACORD              The soap message was not
  signed with valid key?          minimal security applied which means that         signed with a valid certificate for
                                  they must have been signed with a valid           the partyid
                                  certificate. The public version of this
                                  certificate needs to be registered on each
                                  server.
  Are all supporting              Are all the messages referred to in the DRI       The business message refers to
  messages present?               message present?                                  a document that has not been
                                                                                    received




DRI Customer pack – Version 8.2                      Page 54 of 60                                  Date: 09/03/07
Author – Graham Sheppard
  Validation                      Description                                     Error message
  Is the business                 The namespace notified in the SOAP              The business message has a
  message namespace               message differs from the namespace of the       different namespace than
  the expected one?               business message.                               expected
  Is the business MsgId           The MsgId is not a valid GUID in the            The MsgId is not a valid GUID
  in the valid format?            business message




DRI Validation

Business Message level Validation

The following errors are carried out after the Post Response has been returned to the message sender.
Therefore, these errors are returned asynchronously in the DRI Upload Response.

All inbound messages go through the following validation

  Validation                      Description                                     Error message
  Is the Component                Each DRI message that comes in must have        Duplicate Component UUID
  UUID unique?                    a unique MsgId.
  Does the message                Each DRI message must conform to the            Schema validation
  conform to the                  ACORD schema.
  ACORD Schema?

Additional validation that is specific to each message type is shown below.



Inward ACORD DRI NotifyRq

  Validation                      Description                                     Error message
  Is the aggregate of             If one document or the combination of all the   Notified attachments exceed
  the File Size fields too        documents adds up to more than the              size limit
  great?                          attachment size limit, reject.



Inward ACORD DRI DownloadRs

The following error is returned to the sender in the NotifyRs (Smart Notify scenario)

  Validation                      Description                                     Error message
  Does response                   Each DRI download response message that         The DownloadRs refers to
  contain requested               comes in we check that all documents in the     different documents from the
  documents?                      response match those requested in the           DownloadRq
                                  request.




DRI Customer pack – Version 8.2                      Page 55 of 60                              Date: 09/03/07
Author – Graham Sheppard
Inward ACORD DRI DownloadRq

  Validation                      Description                                    Error message
  Is one of the                   If one documents attachment size is greater    Aggregate message size
  Documents too large?            than the limit, reject.                        exceeded (by single document)
  Is the aggregate of             If the combination of all the documents adds   Aggregate message size
  the File Size fields too        up to more than the attachment size limit,     exceeded
  great?                          reject.




DRI Customer pack – Version 8.2                     Page 56 of 60                             Date: 09/03/07
Author – Graham Sheppard
19. APPENDIX H – CORRECTION FORM


Failure to complete this form may result in Xchanging being unable to process the correction fully.


                                             CORRECTION REQUEST

Broker                 _______________________________________ Broker               _______       Broker    _______
Contact:                                                       No:                                Pseud:

Broker                 ______________________________________             Broker    _________________________
E-mail:                                                                   Tele
                                                                          No:

UMR                    B


Correctiv              _____________________________________________________________________
e Action               ________________________________________________________________________
Required               ________________________________________________________________________


Previous               (Please quote all original signing reference information i.e. OSND(s) to which the correction
Signing                relates)
History                _________________________________________________________________________
                       _________________________________________________________________________
                       _________________________________________________________________________


Special Instructions: (Please indicate here any other additional information that could assist as
part of the corrections process)




Please Note:
Any additional entries that may require processing along with the correction(s) detailed above
should form part of the same Work Package/Work Order.




DRI Customer pack – Version 8.2                    Page 57 of 60                           Date: 09/03/07
Author – Graham Sheppard
20. APPENDIX J – BROKER EPA SIGNINGS ADVICE (DL5089)


FILE STRUCTURE


There are 4 record types in the file:


RECORD                            QUANTITY            NOTES
HEADER RECORD                     1                   THIS IS THE FIRST RECORD IN THE FILE.
COLUMN HEADER                     1                   THIS IS THE SECOND RECORD IN THE
RECORD                                                FILE.
DATA RECORD                       MANY                THESE FOLLOW THE COLUMN HEADER
                                                      RECORD. THE FIRST FIELD OF EACH DATA
                                                      RECORD WILL BE THE GROUP IDENTIFIER.
FOOTER RECORD                     1                   THIS IS THE LAST RECORD IN THE FILE.


HEADER RECORD


Field Field Description                      Field Value
No.
1            Record Identifier                      „HDR‟
2            Report Number                          „DL5089‟
3            Report Name                            OSND Advice
4            Date of Work                           e.g. DD/MM/CCYY
5            Sequence Number                        XIS internal sequence number e.g. 1
6            Blank                                  blank
7            Recipient Email Address                Recipient Email Address(s)
8            File Created Date and Time             e.g. 29/06/2001 12:01


The following fields are added to the header record automatically by the software that creates
and sends the
e-mails:


            Sequence Number
             held and incremented for each Report Name/Despatch Group combination


            Recipient Email Address
             the email address to which, each individual email attachment is sent




DRI Customer pack – Version 8.2               Page 58 of 60                           Date: 09/03/07
Author – Graham Sheppard
            File Created Date/Time
             the date and time that the attachment was created


COLUMN HEADER RECORD


This record contains the text headings for the report columns.


Field No.                  Field Value


1                          „GROUP IDENTIFIER‟
2                          „BROKER CODE‟
3                          „UNIQUE MARKET REF‟
4                          „ORIG SIGNING NO. & DATE‟
5                          „BUREAU‟
6                          „DTI CODE‟
7                          „RISK CODE‟
8                          „COUNTRY‟
9                          „FIL CODE‟
10                         „ORIG CCY‟
11                         „100% GROSS PREMIUM‟
12                         „SIGNING STATUS‟
13                         „SIGNING NO. & DATE‟
14                         „ENTRY TYPE
15                         „BROKER CONTACT‟
16                         „TREATY NO.‟


DATA RECORD


Field No.                  Field Description                         Field Definition


1                          Group Identifier                                 X(16)
2                          Broker Number                                    X(04)
3                          Unique Market Reference                          X(17)
4                          Original Signing Number & Date                   X(15)
5                          Bureau Identifier                                X(02)
6                          DTI Code                                         X(2)
7                          Risk Code                                        X(4)
8                          Country of Origin                                X(02)


DRI Customer pack – Version 8.2                      Page 59 of 60                      Date: 09/03/07
Author – Graham Sheppard
9                          FIL Code                                 X(04)
10                         Original Currency Code                   X(03)
11                         100% Gross Premium                       Z(12)9.99
12                         Signing Status Code                      9(02)
13                         Signing Number & Date                    X(15)
14                         Entry Type                               X(03)
15                         Broker Contact Name                      X(15)
16                         Treaty Number                            X(09)


FOOTER RECORD


The footer record has the following format:
„End Of Report – N Detail Lines.‟
where N = number of data records in the file




DRI Customer pack – Version 8.2                     Page 60 of 60               Date: 09/03/07
Author – Graham Sheppard

				
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