DIRECT LOAD SUBMISSIONS
BROKER PROCESSING PROCEDURES
Version 3.2
Revision
date
10/05/06
15/06/06
19/07/06
11/12/06
21/12/06
09/03/07
Previous
revision
date
10/05/06
15/06/06
19/07/06
11/12/06
21/12/06
Summary of Changes
Changes
marked
First issue – Version 1.0
Version 2.0
Version 2.1
Version 3.0
Version 3.1 – Version 3.0 incorporating comments
Version 3.2 – amendments
Broker Processing Direct Load Procedures - Version 3.2Page 1
Author – Graham Sheppard
Date: 09/03/07
None
Yes
Yes
Yes
No
No
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 Insurers Market
Repository (IMR).
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 including
IUA Company Reinstatements
-
Policies, including Slip Policies
-
Binding Authorities and Lineslips
-
Non Premium Endorsements
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
Broker Processing Direct Load Procedures - Version 3.2Page 2
Author – Graham Sheppard
Date: 09/03/07
All excluded business types will be available during 2007.
Access to the Insurers 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. Users of the Direct Load method of
submission may opt for the latter but need to be aware they will not be able to view the items
loaded by means of a search facility.
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.
Business Process Rules
IT IS NOT INTENDED THAT CURRENT PROCESSING RULES EXISTING IN THE PAPER
ENVIRONMENT WILL BE CHANGED. THE USE OF DIRECT LOAD FUNCTIONALITY IS
REPLACING PLASTIC ENVELOPES AS A DELIVERY METHOD OF PREMIUM
ACCOUNTING DOCUMENTATION.
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.
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.
Broker Processing Direct Load Procedures - Version 3.2Page 3
Author – Graham Sheppard
Date: 09/03/07
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 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 submission.
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 LPANs 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.
Further Information and Contact Details
For further information regarding Accounting and Settlement please contact your Customer
Relationship Manager.
Broker Processing Direct Load Procedures - Version 3.2Page 4
Author – Graham Sheppard
Date: 09/03/07
All technical issues and support should be directed to Xchanging Service Desk on 0870 380
0830 or email to ‘servicedesk@Xchanging.com’.
Broker Processing Direct Load Procedures - Version 3.2Page 5
Author – Graham Sheppard
Date: 09/03/07
BROKER PROCESSING PROCEDURES
Preparation and Planning
Broker participants wishing to submit transactions will need to register their intent with
Xchanging.
Interested parties should contact Martin Robinson, Xchanging A & S Roll-Out Manager
(07717 487953 or by email to martin.robinson@xchanging.com)
Xchanging will work with the Broker to complete a checklist and produce a plan for take up
setting out:

The business types

Expected volumes

Timetable

Responsibilities

Key contact details

Registration process

Training requirements

Business readiness

Testing
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.
Broker Processing Direct Load Procedures - Version 3.2Page 6
Author – Graham Sheppard
Date: 09/03/07
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
through the application will be provided to all delegates. To book training sessions or obtain
a copy of the training guide brokers should contact Martin Robinson, Xchanging A & S RollOut Manager (07717487953 or by email to martin.robinson@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 and verify 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 and Xchanging are
required to action the submission, 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.
Broker Processing Direct Load Procedures - Version 3.2Page 7
Author – Graham Sheppard
Date: 09/03/07
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)
Broker Processing Direct Load Procedures - Version 3.2Page 8
Author – Graham Sheppard
Date: 09/03/07
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 signed items the broker will receive
an advice of OSNDs by a daily report,
DL5089 described in Appendix C by
email and the repository record will be
updated with the original signing
numbers and dates.
Rejection
For settled items the broker will receive
a BSM (except where existing business
rules dictate otherwise, e.g. delinked
items)
Broker Processing Direct Load Procedures - Version 3.2Page 9
Author – Graham Sheppard
For queried items the XIS 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
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.
Date: 09/03/07
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
Broker Processing Direct Load Procedures - Version 3.2Page 10
Author – Graham Sheppard
Date: 09/03/07
LPANs can be aggregated and sent in a single document, although it is Xchanging’s
preference that, where possible, LPANs are submitted individually.
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.
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 resent they will become duplicates since version control is not applied within the repository for
Release 1.
Legacy Processing
Where XIS have already processed submissions on a contract using paper media,
subsequent submissions can be submitted by Direct Load, 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 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
4
Each package must contain a statement that the documents are true, complete and up-to-date.
Broker Processing Direct Load Procedures - Version 3.2Page 11
Author – Graham Sheppard
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sample form. 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.
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.
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.
Correction Processing
All requests for correction processing, premium and policy, must be accompanied by a
Correction Form (see Appendix E). Failure to complete this form may result in Xchanging
being unable to process the correction fully.
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).
5
Contact Service Desk on 0870 380 0830 or ServiceDesk@xchanging.com
Broker Processing Direct Load Procedures - Version 3.2Page 12
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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.
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.
Broker Processing Direct Load Procedures - Version 3.2Page 13
Author – Graham Sheppard
Date: 09/03/07
Email Confirmation of an EPA Work Package
When the broker has performed the load function, the direct loader will get on-screen
confirmation that the Work Order has been submitted correctly.
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.
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
887899 and request the item is rejected. Once rejected the broker should then resubmit the
entire work package.
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.
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.
Broker Processing Direct Load Procedures - Version 3.2Page 14
Author – Graham Sheppard
Date: 09/03/07
XCHANGING PROCESSING
Completion of Items
Brokers will continue to receive their BSM signing advice, except where existing business
rules dictate otherwise, e.g. for delinked items.
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.
Package View User Interface (Appendix A Fig 5)
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
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
Broker Processing Direct Load Procedures - Version 3.2Page 15
Author – Graham Sheppard
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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-ofday extracts from POSH and LIDS with the details stored on the repository.
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 C. 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 original premiums and FDOs submitted for EPA.
Brokers will need to register to receive this optional message6. 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.
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.
6
Contact the Service Desk (0870 3800830) if you wish to register to receive this message.
Broker Processing Direct Load Procedures - Version 3.2Page 16
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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.
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”.
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.
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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 message7. 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.
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.
7
Contact the Service Desk (0870 3800830) if you wish to register to receive this message.
Broker Processing Direct Load Procedures - Version 3.2Page 18
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Date: 09/03/07
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 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.
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.
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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
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.
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Date: 09/03/07
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.
Process for Urgent Resubmissions of queried items
The broker will use the Direct Load 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.
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.
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Date: 09/03/07
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.
Broker Processing Direct Load Procedures - Version 3.2Page 22
Author – Graham Sheppard
Date: 09/03/07
APPENDIX A – REPOSITORY SCREENS
Fig 1
Fig 2
Broker Processing Direct Load Procedures - Version 3.2Page 23
Author – Graham Sheppard
Date: 09/03/07
Fig 3
Fig 4
Broker Processing Direct Load Procedures - Version 3.2Page 24
Author – Graham Sheppard
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Fig 5
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Author – Graham Sheppard
Date: 09/03/07
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)
(M)
AP / RP Premium Endorsement

Endorsement (showing underwriter authorisation)
Broker Processing Direct Load Procedures - Version 3.2Page 26
Author – Graham Sheppard
(M)
Date: 09/03/07

Calculations/Supporting Information

LPAN(s)
(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)
(M)
Lineslip

Slip (Note individual slips must have their own UMR)
(M)
Broker Processing Direct Load Procedures - Version 3.2Page 27
Author – Graham Sheppard
Date: 09/03/07

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)
(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 3.2Page 28
Author – Graham Sheppard
Date: 09/03/07
APPENDIX C – 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 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
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
Broker Processing Direct Load Procedures - Version 3.2Page 29
Author – Graham Sheppard
Date: 09/03/07
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
‘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.’
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Date: 09/03/07
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)
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
Broker Processing Direct Load Procedures - Version 3.2Page 31
Author – Graham Sheppard
Date: 09/03/07
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
Contact:
Broker
______ Broker
No:
_______________________________________ Broker
E mail:
________
Pseud:
________________________
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
Type of
Prop Tty)
______ (B = Broker Produced, P = LPSO Produced, S = Slip Policy, E = Policy
Policy
Wording
Endorsement, L = PPS Endorsement, T = Time On Risk)
_______________________________________________
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 3.2Page 32
Author – Graham Sheppard
Date: 09/03/07
Countersignature Page
Yes / No
Required
Wording Wrapping Service
Standard
Special Instructions: (Please indicate here if contract was subject to a Xpresscheck)
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.
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.
Broker Processing Direct Load Procedures - Version 3.2Page 33
Author – Graham Sheppard
Date: 09/03/07
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
Broker Processing Direct Load Procedures - Version 3.2Page 34
Author – Graham Sheppard
Date: 09/03/07
Countersigned page
Not required
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.
Broker Processing Direct Load Procedures - Version 3.2Page 35
Author – Graham Sheppard
Date: 09/03/07
APPENDIX E – CORRECTION FORM
Failure to complete this form may result in Xchanging being unable to process the correction
fully.
CORRECTION REQUEST
Broker
Contact:
_______________________________________ Broker
No:
Broker
E-mail:
______________________________________
UMR
B
Correctiv
e Action
Required
_____________________________________________________________________
________________________________________________________________________
________________________________________________________________________
Previous
Signing
History
(Please quote all original signing reference information i.e. OSND(s) to which the correction
relates)
_________________________________________________________________________
_________________________________________________________________________
_________________________________________________________________________
Broker
Tele
No:
_______
Broker
Pseud:
_______
_________________________
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.
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