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| NC NoPaPER Electronic Filing Instructions |
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| Filing Forms and/or Rates with the Life & Health Division |
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| We are pleased to announce North Carolina's New Paperless Process of Electronic Review, i.e., NC NoPaPER, as a new option for making filings electronically. Thanks to advances in technology a paperless Email process has been developed that supports the review and storage protocol of the Life & Health Division (Life & Health). This new filing process is being introduced to meet internal speed to market goals as well as the NAIC's goals for time to approval established by its Improvements to State-Based Systems (IS3) Working Group which become effective December 1, 2002. |
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| North Carolina will now accept electronic submissions delivered both via SERFF or NC NoPaPER. During this paperless transition, printed-paper Form and Rate submissions will continue to be accepted. However, communications between Life & Health and the Industry will take the form of electronic e-mail rather than printed-paper mailings. Each filer must provide a valid e-mail address with their filing, whether paper or electronic, or their submission will be rejected. |
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| Public Record Submissions - Please Follow These Steps: |
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| Convert all of your paper transmittal documents including forms, actuarial materials, transmittal header and/or cover letter to Adobe 6.0 (PDF). Attach all components of the filing to an e-mail message and address to landhdivision@ncdoi.net. |
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| L&H does not accept multi company filings under a single cover letter or email submission. Each company must file in its own name. Please do not mix unrelated forms in the same submission. |
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| Complete the body of your Email in this order: |
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- List the Company Name
- Identify the Product Type
- State the Total Number of New Forms and Total Number of Pages
- Identify Filing (New Form; Rate Revision; Provider Agreement; Initial Operations; Intermediately; Network Addition; etc)
- Code Type of Insurance - Use L&H Product Coding Link at: North Carolina - Adopts NAIC Uniformed Product Codes
- List Filer's Initials, Name and E-mail Address.
- Label and Attach PDF Documents to Your Email as Follows:
- Transmittal Header or Cover Letter
- Actuarial Demonstration
- Provider Agreement
- Credentialing
- Utilization Review
- Grievances
- Supplemental documents
- Other (Specify)
- Resubmissions shall include a red-lined comparison reflecting the changes you have made to the form(s) in response to a communication of disapproval from this Division pursuant to T11 NCAC 12.0329(3)(h), Please also include in your cover letter or separately a statement that affirms no other changes have been made to the form(s) other than those reflected in the red-line copy, unless such is not true. Should other changes have been made, the cover letter shall outline the changes and indicate where the changes were made in the form(s).
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| Utilize Acrobat Adobe version 6.0 or earlier to create your Initial Operations submission. Adobe provides the tools to create Bookmarks / Tabs / Index Pages / Table of Contents / Text Highlights / Comments. |
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| Life & Health will create a work unit and assign your filing to appropriate staff for review. Each submitted document will be attached to the work unit which is accessible to you on-line. An electronic e-mail notification will be generated and sent to you identifying the Life & Health tracking file number and Reviewer when the work unit is created. Staff will communicate to you through email prompts that will link you to your work unit. |
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| Life & Health communications (notes to filer; approval or disapproval letters), are attached to the work unit and accessible to you on-line. |
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| To expedite the review of your submission, we encourage you to complete and submit along with your filing, the appropriate Life & Health checklist. |
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| To check the status of your file or to read correspondence generated by the Reviewer go to: Search Company Filings and enter the L&H Tracking Number and select "retrieve". |
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| If your submission exceeds the document size afforded e-mail transmittals, we will accept your filing on Compact Disc or Diskette. |
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| In regard to product coding, the NAIC Uniform Product Coding Matrix (LA&H Matrix) adopted at the December 2002 Conference will also be adopted by the L&H Division and should be used by the filer to code their submission. |
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| Non-Public Records - Only confidential materials properly prepared and submitted will be accepted for review. Please review our filing instructions before making your submission at: Filing Instructions |
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| Follow the Public Record filing steps. Complete the transmittal reference line and body of your Email to CLEARLY designate that a portion of the filing is TRADE SECRET information. The failure to designate material as "confidential" or "trade secret" when it is initially filed is a patent failure to meet the criteria of NCGS 132-1.2. |
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| A properly submitted electronic filing will be separated into two distinctly separate parts. Labeled and attached to a single transmittal Email: |
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- Part 1: Trade Secret
- Part 2: Public Record
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| An Email filing that is not in the prescribed filing format shall be rejected and returned to the filer. |
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| Reminder |
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| Life & Health Division ceased its practice of sending a printed-paper approval letter for approved filings and also discontinued the practice of affixing a stamp of approval on policy forms. It will be necessary to retain all L&H approval letters as evidence of form approval for your records. Also, should your company be scheduled for a market conduct examination you may be asked to produce the L&H approval letter as evidence of form approval. |
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| If you have a question about this new process you may send your written inquiry to landhdivision@ncdoi.net. Due to budget restraints the Life & Health Division cannot return calls without a toll free telephone number. |
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