DIRECT LOAD SUBMISSIONS
BROKER PROCESSING PROCEDURES
Version 2.1
Revision
date
10/05/06
15/06/06
19/07/06
Previous
revision
date
10/05/06
15/06/06
Summary of Changes
Changes
marked
First issue – Version 1.0
Version 2.0
Version 2.1
None
Yes
Yes
Broker Processing Direct Load Procedures - Version 2.1Page 1
Date: 19/07/06
GENERAL INFORMATION
Introduction
This document provides details of processing for brokers who wish to submit premium and
policy closings to Xchanging by using the on-line Direct Load facility to the Market
Repository.
This allows brokers to load documents directly onto the structured area of the Market
Repository, create a Work Order and instruct Xchanging to process them.
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.
Scope
The following transaction types are supported:
-
Original Premiums, FDO’s, Additional Premiums & Return Premiums
-
Policies, including Slip Policies
-
Binding Authorities and Lineslips
Exclusions
The following business types cannot currently be supported, but will be in later releases:

Treaty statement processing

Simultaneous settlement items and Reinstatements

Claims

LORS

Non Premium Endorsements
Broker Processing Direct Load Procedures - Version 2.1Page 2
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Lloyds Reinstatements will be supported from November 06 (Release 2). All other excluded
business types will be available during 2007.
Access to the Market Repository
To use the full features of the repository, organisations must purchase a licence1 and have
individual users set up. To use the Direct Load facility, users must register and apply for
access2, but need not buy a repository user licence.
The Direct Load function will be accessed via the Internet
(http://repository.Xchanging.com).
The user will be presented with the standard Market Repository login screen where they
must enter their Account Id, User Name and Password.
If the user’s organisation and the individual user are registered as a Market Repository
customer they will be taken to the Home Page Search Screen, from where they can select
the Direct Load page.
If the user’s organisation, and the individual user, is registered only as a user of the Direct
Load function they will be taken directly to the Direct Load page.
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 a recognised converged business stream i.e. X/L
A single Work Order should 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.
1
Contact the Service Desk (0870 3800830) if you wish to purchase licences.
2
To gain access when available, telephone the Service Desk on 0870 3800830 or contact your customer services
representative.
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
For a non-converged business stream i.e. Direct
Brokers are advised that submission of a single Work Order that includes both
Lloyd’s and company market transactions, for any business other than Facultative
reinsurance and Excess of Loss Reinsurance, will experience a longer turn-around
time for the work, as XIS will need to complete the processing at one site before
initiating work on the remaining transactions at the second site. As today, the service
level for such mixed market submissions will be 10 days.
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.
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.
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.
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Future Releases
Information contained in this document relates to functionality available from September 06
(Release 1).
Additional functionality available from November 06 (Release 2) includes the following:
1. Enhancement of the Direct Load function, to allow an ACL and a Notification List to
be entered.
2. Providing an automatic email to the broker, to confirm that a Work Order has been
loaded using Direct Load.
3. Storing of all DRI document metadata on the repository
4. Updating the Work Package status on the repository
5. Addition of Subsequent Signing Numbers & Dates (SSNDs) to the repository
6. Development of an advice to brokers of all signings resulting from e-submissions.
7. Enhancements to support the processing of Lloyd’s simultaneous reinstatements
8. Enhancements to support the processing of urgent transactions
9. Enhancements to support Xpress Check processing
A further release in February 07 (Release 3) will include development of an unstructured
area of the Market Repository to enable establishment of new work spaces and functionality
to create folders via DRI, Direct Load and on-line. DRI functionality will also be enhanced as
part of this release along with storage of all metadata when documents are loaded via direct
Load.
Further Information and Contact Details
For further information regarding Accounting and Settlement please contact your Customer
Relationship Manager.
Interested parties should contact Graham Sheppard, Xchanging eProcessing Customer RollOut Manager, (01634 887742 or 07917 423308 or at graham.sheppard@Xchanging.com).
All technical issues and support should be directed to Xchanging Service Desk on 0870 380
0830 or email to ‘servicedesk@Xchanging.com’.
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BROKER PROCESSING PROCEDURES
Preparation and Planning
Broker participants wishing to submit transactions will need to register their intent with
Xchanging.
Interested parties should contact Graham Sheppard, Xchanging eProcessing Customer RollOut Manager, (01634 887742 or 07917 423308 or at graham.sheppard@xchanging.com).
Xchanging will work with the Broker to produce a plan for take up setting out:

The business types

Expected volumes

Timetable

Responsibilities

Key contact details.
Xchanging will meet with the Broker and walk through the basic processing instructions in
advance of the agreed implementation date.
Following implementation, plans will be produced to monitor and evaluate success and plan
for future expansion.
Training
Xchanging will provide basic training and documentation in advance of the agreed date to
commence Direct Load submissions in order to ensure the Broker’s staff are fully conversant
with the functionality and able to submit items correctly.
Training provided to brokers will specifically cover the Direct Load creation process
incorporating document addition and Work Order creation. It will also cover the process of
query handling, resubmission and through to successful completion of items.
Training will be provided during the implementation process on a train the trainer basis
anticipating a maximum of 4 users per Broker organisation. Training will take the form of an
interactive walkthrough of the Direct Load submission and query handling process and will
take place in Leadenhall Street. A training guide designed to assist the user with navigation
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through the application will be provided to all delegates. To book training sessions or obtain
a copy of the training guide brokers should contact Thérèse Gaughan on 0207 780 5746 or
therese.gaughan@Xchanging.com.
Direct Load Submission Process Flow
Overleaf is a pictorial representation of the Direct Load submission process, further
described in the following sections.
Overview of the Direct Load Process
The Direct Load process consists of the following steps:
1. Access the Direct Load page on the Market Repository.
2. Enter the UMR.
3. Identify and attach the document to be loaded, and complete the data to define the
document. This is an iterative process for each document to be loaded.
4. Submit the required document, or set of documents, for loading to the Market
Repository.
If the documents are to be used for Electronic Premium Accounting, a Work Order must also
be created.
The process to create the Work Order is as follows:
1. Enter the required data on the screen.
2. Reference the document(s) to be included in the work package for processing and
submit the Work Order, plus any related documents that are waiting to be loaded, for
loading to the Market Repository.
All the above processes are described in the following section. Details for completion of the
screens and navigation through the direct Load application will be found in the training
guide.
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Direct Load submissions – Broker processing submission procedures
See Appendix A Fig. 1
Logon to the Market Repository
and select ‘Direct Load’ function tab from
the Home screen
Enter UMR details. The UMR will
need to be rekeyed to ensure
accuracy. To add a Work Order for
previously loaded documents amend
the defaulted radio button to this
option. To add documents and create
a Work Order the radio button for this
action is defaulted. Select ‘Submit’
See Appendix A Fig.
2
To add documents click on the
‘Browse’ button
Load documents
Select the required document from
the local / network drive and
complete additional fields
Create W/O only
Add another
document
See Appendix A Fig. 3. All
mandatory fields are marked
with an asterisk.
Select ‘Add new document’
and repeat the process for
Yes
each document to be
included in the submission
No
Once all documents are loaded select
whether Work Order is required or
not. Click ‘Submit’.
Work Order Required
No Work Order Required
The work order details should be
completed as the trigger to notify
Xchanging of work submission
A message will be returned confirming
successful load of documents following
selection of ‘Submit’ option
Select the ‘Submit Work Order’ button
An email will be sent to Xchanging
Logistics to commence processing.
CONTINUED ...
Logons will be obtained through Xchanging Service Desk (0870 380 0830 or
ServiceDesk@xchanging.com)
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Direct Load submissions – XIS processing procedures
… CONTINUED
Xchanging Logistics receive email to
commence processing.
Xchanging process transaction in
accordance with current practice.
Query
OK
For queried items the XIS technician will
contact the broker by phone or email. If a
response is received within 24 hours 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
For signed items the broker will receive
a scanned image of the OSND on the
document described in Appendix D by
email and the repository record will be
updated (available from July) with the
original signing numbers and dates.
Rejection
The broker may also opt to receive
advice of OSNDs by a daily report,
DL5089 as per Appendix C
For rejected items the broker will receive a
Tracker email reject notification containing a
link to the Tracker query sheet. All rejected
work packages must be resubmitted to
Xchanging for processing with a new Work
Order.
For settled items the broker will receive
a BSM (except where existing business
rules dictate otherwise, e.g. delinked
items)
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Direct Load UMR Page (Appendix A Fig 1)
This screen allows the user to select one of two options presented at the top of the screen,
and to enter the UMR.
The options are:

To load documents to a UMR, and optionally create a Work Order (the default option)

To create a new Work Order for previously loaded documents.
The UMR will be presented for completion in its constituent parts (i.e. as 3 elements of
input), as defined by the London market standards, and must be completed in full.
The UMR provides the unique key to which all documents append. Therefore it is essential
that its uniqueness and correctness be maintained. To assist this, the UMR must be entered
twice on the Direct Load screen, to guard against keying errors. The first UMR field will be
locked, to prevent the user from cutting and pasting the UMR.
Completion of this screen is detailed in the Accounting and Settlement Training Guide for
Brokers3.
Document Load (Appendix A Fig 2)
Completion of this screen is detailed in the Accounting and Settlement Training Guide for
Brokers.
It should be noted that, when loading a set of documents in one operation, should the Direct
Load process fail for any reason it would not be possible to complete the activity. An error
message will be returned on the screen, inviting the user to try to upload the documents
again and the user will need to re-start the process from the beginning.
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).
3
Contact Service Desk on 0870 380 0830 or ServiceDesk@xchanging.com
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LPANs must, in all cases, be submitted as individual documents as per current
practice. They should not be aggregated and sent in a single document.
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.
A full audit trail will be maintained for every document loaded onto the Market Repository.
The document history is available from the Policy page.
Legacy Processing
Where XIS have already processed submissions on a contract using paper media,
subsequent submissions can be submitted by email, however a full and up to date copy of all
previously submitted paper needs to be included as part of the initial submission package4.
The broker must also provide a copy of the signed slip with all previously signed
endorsements.
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 Stage 2 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. An example of the Policy Control Form is provided in Appendix E. An Excel
version of this, complete with macro driven validation, is available on request5.
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.
4
Each document must contain a statement that the document is true, complete and up-to-date.
5
Contact Service Desk on 0870 380 0830 or ServiceDesk@xchanging.com
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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.
Creating a Work Order (Appendix A Fig 3)
The Direct Load function will also allow users to optionally create a Work Order and trigger
EPA processing by Xchanging. This may occur at the same time that the supporting
document(s) are attached (i.e. in the same operation) and be loaded together with them, or
as a separate operation, after the supporting documents have been loaded. The user will
have selected the required method on the initial Direct Load screen.
Completion of this screen is detailed in the Accounting and Settlement Training Guide for
Brokers.
Presentation Date
Where brokers perform the Direct Load this field will be automatically generated based on
the date and time ‘Submit Work Order’ is pressed and load is successful.
The Presentation Date given to a work package will be allocated by the Market Repository
upon successful load of a Work Order to the Market Repository.

Work Orders loaded prior to 5pm will receive a receipt date of the same working day,

Work Orders loaded at 5pm or after will receive the date of the next working day.
Submitting an EPA Work Package
All documents that have previously been loaded to the Market Repository for that UMR will
be presented for potential inclusion in the Work Package.
The user will select the document(s) to be associated with the Work Order by completing the
tick box next to each document. Documents that have been attached in this operation will be
automatically ticked, but can be de-selected if required.
When all the associated documents have been selected, the user will press the Submit Work
Order button to initiate the load to the Market Repository.
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On completion of the document load process a confirmation screen will be returned, to
inform the user that the document(s) have been successfully loaded to the Market
Repository. From this screen the user will be able to press the Direct Upload button to
submit further documents.
Email Confirmation of an EPA Work Package
When the broker has performed the load function, an email notification will be sent to the
Broker Contact Email address that was entered on the Work Order. The purpose of this is to
advise the broker’s technician, who may not be the same person who performed the
document load, of the presentation date for the work package.
The Market Repository will generate an email notification automatically when the Work Order
is loaded to the Market Repository.
The notification will include the following information:

UMR

Market (either Lloyd’s, Company Market or Mixed)

The class of business (one of Marine, Aviation or Non-Marine)

The type of contract (one of Binding Authority, Direct Insurance, Excess of Loss or
Facultative Reinsurance or Proportional Treaty.)

The type of submission (one of First Submission, Re-submission or Correction)

The processing requested (either Premium Only or S&A)

The presentation date
Repository Search (Appendix A Fig 4)
For Release 1 the only type of on-line search available that is applicable to A&S will be the
UMR search. This is dependent on users having access to the full features of the
Repository. Enhanced search capabilities, allowing all metadata, will be available in Release
2.
A full description of this functionality including screen flows and screen shots for Repository
Search are contained in the Accounting and Settlement Training Guide for Brokers.
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XCHANGING PROCESSING
Completion of Items
Completion of items will be notified back to the Broker by sending an email to the contact
detailed on the Work Order which will contain a scanned image of a document with the
Signing Number(s) and Date(s) added. An example of this document is attached as
Appendix D. When presenting claims to Xchanging Claims Services (XCS), the broker
should print out the document containing the SN&D(s) and submit it with the Claims. Any
documents already submitted with the email submission of closings will not need to be
resubmitted. This applies to both paper and electronic claim submissions.
Brokers will continue to receive their BSM signing advice, except where existing business
rules dictate otherwise, e.g. for delinked items.
The status of items will be available via the Tracker system.
The Market Repository will be updated each night with the original signing numbers and
dates (OSNDs) and associated data, which will be stored as standing data for the UMR.
In Release 1 the subsequent signing numbers and dates for APs and RPs will not be added.
This will be addressed in Release 2. Until then Xchanging will continue to email numbering
sheets for APs/RPs to brokers on a daily basis.
Advice of original signing numbers and dates (Report DL5089)
An advice of original premiums and FDOs signed that day is available to the broker.
This will be identified as report number ‘DL5089’, which will be emailed to brokers using
GENESYS (Generic Email System). This is an established XCHANGING 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 will be output at the end of each day containing both Lloyd’s and company
market signings for original premiums and FDOs submitted for EPA6. Brokers will need to
6
Future releases will contain information about subsequent transaction signing numbers and dates
Broker Processing Direct Load Procedures - Version 2.1Page 14
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register to receive this message7.
The following business data will be provided in the advice for each signing:
UMR
an.17
OSND
an15
Bureau
a2
DTI Code
an2
Risk Code
an4
Country of Origin (ISO)
a2
(Company market only)
FIL Code
a4
(Lloyd’s only)
Original Currency Code
a3
100% Gross Premium
n.13.n2
(value in original currency)
Status Code
n2
(new, corrected, cancelled)
(Lloyd’s, ILU, LIRMA)
Full details of the CSV file are contained in Appendix C of this document.
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.
De-linked Signings Advice - EDI message (IPCBSM)
This will be identified as a new message type, called ‘IPCBSM’ (International Process
Compliance Bureau Signing Message), for which brokers will need to register to
receive in addition to the normal BSM message8. 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
7
Contact the Service Desk (0870 3800830) if you wish to register to receive this message.
8
Contact the Service Desk (0870 3800830) if you wish to register to receive this message.
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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.
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.
De-linked Signings Advice - CSV File (Report DL5080)
This will be identified as report number ‘DL5080’, which will be emailed to brokers
using GENESYS (Generic Email System). This is an established Xchanging
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. Technical details of the
structure of this file are included as Appendix C.
A single message will be output at the end of each day containing both Lloyd’s and
company market signings. Brokers will need to register to receive this optional
message
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A batch extract will be produced from the combined de-linking trigger database. The
extract will be made after the database has been updated with both the Lloyd’s and
company market signings for the completed day. Signings will be output on the date
of signing and not again on the date of release into settlement.
The following business data will be provided in the advice for each signing:
Broker Code
X(04)
Bureau Id
X(02)
Signing Number & Date
X(15)
UMR
X(17)
Broker Reference 1
X(12)
Broker Reference 2
X(12)
Original Currency
X(03)
Bureau Net Premium in Original Currency
Z(12)9.99
Settlement Currency
X(03)
Bureau Net Premium in Settlement Currency
Z(12)9.99
Values for Bureau Id will be IL (ILU), LL (Lloyd’s) or LR (LIRMA).
The existing EDI signing messages are sent to brokers and underwriters.
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 within 24 hours 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.
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Business queries and rejections raised by Xchanging Technicians during the checking
process will be recorded on Tracker and communicated to the Broker by email.
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.
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.
If the email cannot be delivered for any reason (e.g. the address has been incorrectly
provided on the Work Order) the Xchanging technician will be notified. They will then be able
to amend and re-send as necessary.
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
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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:
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.
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
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will be sent to the broker to advise them that the item has been rejected and will need to be
re-submitted for processing.
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APPENDIX A – REPOSITORY SCREENS
Fig 1
Fig 2
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Fig 3
Fig 4
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Date: 19/07/06
APPENDIX B – 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 existing 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)

Slip Attachments (these will require underwriter authorisation
(M)
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

Slip Attachments (these will require underwriter authorisation
(M)
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)
Broker Processing Direct Load Procedures - Version 2.1Page 23
(M)
Date: 19/07/06
AP / RP Premium Endorsement

Endorsement (showing underwriter authorisation)

Calculations/Supporting Information

LPAN(s)
(M)
(M)
AP/RP Premium Adjustment

Endorsement (showing underwriter authorisation)

Calculations/Supporting Information

LPAN(s)
(M)
(M)
AP/RP Nil Adjustment

Endorsement (showing underwriter authorisation)

Calculations/Supporting Information

LPAN(s)
(M)
(M)
Non Premium Endorsement

Endorsement (showing underwriter authorisation)
(M)
Risk Market Change

Endorsement (showing underwriter authorisation)

Scanned/Imaged Slip Attachments

Calculations/Supporting Information.

LPAN(s)
(M)
(M)
Binding Authority

Binding Wording
(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)
Broker Processing Direct Load Procedures - Version 2.1Page 24
(M)
Date: 19/07/06
Lineslip

Slip

Slip Attachments (these will require underwriter authorisation
(M)
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)
(M)

LPAN(s)
(M)
Bordereau Declarations of a Lineslip/Binding Authority

Endorsement (showing underwriter authorisation)
(M)

Bordereau Document
(M)

Calculations/Supporting Information

LPAN(s)
(M)
Policy

Policy Control Form

Policy

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)
Broker Processing Direct Load Procedures - Version 2.1Page 25
Date: 19/07/06
APPENDIX C – ORIGINAL SIGNINGS ADVICE TO BROKERS
1.
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 Record
1
This is the second record in the
file.
Data Record
Many
These follow the column header
record.
The first field of each data record
will be the group identifier.
Footer Record
2.
1
This is the last record in the file.
Record Definitions
The following pages provide a list of the record types that will be provided in the file..
Each data element is identified, accompanies by the format of the element and an indication
of its usage.
Data formats are described using the following conventions:
‘X’
denotes an alphanumeric field
‘9’
denotes a numeric field
(nn)
indicates the number of characters permitted
Decimal points are explicitly shown and amount fields have a leading sign, signified by ‘S’.
HEADER RECORD
Field
Field Description
Field Value
1
Record Identifier
‘HDR’
2
Report Number
‘DL5089’
No.
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Date: 19/07/06
3
Report Name
OSND Advice
4
Date of Work
e.g. DD/MM/CCYY
5
Sequence Number
XCHANGING 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

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
‘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’
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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)
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)
FOOTER RECORD
The footer record has the following format:
‘End Of Report – N Detail Lines.’
where N = number of data records in the file
3.
Data Element Directory
BROKER NUMBER
The Lloyd’s code that uniquely identifies the broker.
BUREAU IDENTIFIER
A code to identify the market for which the transaction has been signed.
Values are:
‘I’ for ILU
‘L’ for Lloyd’s
‘P’ for LIRMA
Broker Processing Direct Load Procedures - Version 2.1Page 28
Date: 19/07/06
COUNTRY OF ORIGIN
The ISO code for the country from which the risk originates.
This element will only be provided for company market signings.
FIL CODE
A code that categorises the risk for regulatory reporting purposes.
This element will only be provided for company market signings.
DTI CODE
A code that defines where in the world the premium is paid.
GROSS PREMIUM
The 100% gross premium amount due in respect of this transaction, in original currency.
GROUP NUMBER
A code that identifies a broking organisation.
ORIGINAL CURRENCY
The ISO code for the original currency in which the transaction was closed to the bureau.
ORIGINAL SIGNING NUMBER & DATE
The bureau signing reference of an original premium/FDO transaction.
RISK CODE
A code that categorises the type of risk for statistical purposes.
STATUS CODE
A code that denotes whether a signing is being advised for the first time, is being corrected,
or has been cancelled.
Values are:
01 for signings being advised for the first time
02 for Lloyd’s corrections
03 for cancelled signings
UNIQUE MARKET REFERENCE
A reference allocated by the broker that uniquely identifies a risk placed in the London
Insurance Market.
Broker Processing Direct Load Procedures - Version 2.1Page 29
Date: 19/07/06
APPENDIX D – SIGNING NUMBERS AND DATES
Work package ID (UMR)
XCHANGING INS-SURE SERVICES (Lloyd's)
SIGNING NUMBER AND DATE
___________________
DETAILS
FIL code
Risk code
DTI code
Other
FIL code
Risk code
DTI code
Other
FIL code
Risk code
DTI code
Other
FIL code
Risk code
DTI code
Other
FIL code
Risk code
DTI code
Other
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Date: 19/07/06
Work package ID (UMR)
XCHANGING INS-SURE SERVICES (Company)
CHECKER
SIGNING NUMBER AND DATE
_________________
DETAILS
Label Here
Label Here
Label Here
Label Here
Label Here
Broker Processing Direct Load Procedures - Version 2.1Page 31
Date: 19/07/06
APPENDIX E – 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:
___
Broker
_______________________________________ Broker
________________________
E mail:
____
__
UMR
B
Class of
______ (M = Marine, N = Non-Marine, A = Aviation)
No:
Tele No:
________
Pseud:
Business
Type of
______ (B = Binding Auth, D = Direct, F = Fac RI, X = Excess of Loss, L = Lineslip, P =
Contract
Type of
Prop Tty)
______ (B = Broker Produced, P = LPSO Produced, S = Slip Policy, )
Policy
Wording
_______________________________________________
Type
No of
_____________
Copies
__
PPS Submissions
Full Policy/
Renewing (if applicable) show last years
Wording
SN&D
*
Standard
Wording
Jacket
Broker Processing Direct Load Procedures - Version 2.1Page 32
Date: 19/07/06
Countersignature Page
Yes / No
Required
Wording Wrapping Service
Standard
Special Instructions: (Please indicate here if contract was subject to a Xpresscheck)
Broker Processing Direct Load Procedures - Version 2.1Page 33
Date: 19/07/06