Uniform Certificate of Authority Application (UCAA)

The Uniform Certificate of Authority Application (UCAA) allows insurers to electronically file copies of the same application for admission in numerous states. Each state that accepts the UCAA is designated as a uniform state. While each uniform state still performs its own independent review of each application, the need to file different applications, in different formats, has been eliminated for all states that accept the uniform application.

There are several types of UCAA filings that can be reviewed and approved with iSite+.

The Expansion Application is used by companies in good standing in their state of domicile that wish to expand their business into other uniform states.

Regulators in those states where a company is applying for admission can use the UCAA utility to review the company's application online, download an entire filing or individual forms, and indicate the status of the application in that state. Regulators in the company's state of domicile can use the UCAA utility to complete the Certificate of Compliance and Certificate of Deposit forms.

The Corporate Amendments Application is designed for use by an existing insurer for requesting amendments to its Certificate of Authority. The Uniform Certificate of Authority Corporate Amendments Application can be used to file more than one change in the same submission.

The online version of UCAA Corporate Amendments takes the uniformity of the paper version and transfers it into the ease of an online application. The electronic application includes features that are information based and not form based. These features minimize duplicate data entry and are user friendly. In an electronic UCAA application there are three participants: company, state of domicile, and participating state(s). Once the company has submitted the filing electronically, the state of domicile will then receive an email notification that the application has been completed and requires certifications. The state of domicile may then login to UCAA through iSite+ and complete the Certificate of Compliance (Form 6). When completed, an email notification is sent to all the participating state(s) specified in the application. The application will be accepted or closed for each state. An email notification, for each state, is automatically sent back to the submitting company once a determination is made.

Stand-alone applications for a mailing address or contact information change (Form 14) and updates to the uniform consent to service of process (Form 12) can also be filed electronically.

NOTE: An application in "amended" status, (meaning the company has re-opened a previously submitted application and is currently making modifications/corrections) is not accessible/viewable until the company has resubmitted the application.

• Access the UCAA
• View/Print UCAA Forms
• View Application Status
• Complete Certifications (State of Domicile Only)
• Change/View Application Status
• UCAA Summary Report

Access UCAA

1. Enter your login ID & Password, then click the Uniform Certificate of Authority link under the Tools tab.
2. Highlight a Company Code from the drop list and click Proceed.
3. Choose a tracking number from the drop list and click Expansion or Corp. Amendments.

1. Search for an entity or entities by performing a Company/Firm Search.
2. Highlight which entity/entities you want reports on , found in the Company List box .
3. Click the Uniform Certificate of Authority link from the Categories Frame.

1. Access UCAA
2. From the UCAA Application Selection page you can view either an Expansion, Corporate Amendments application, Form 14 notification or a Form 12 notification by clicking the appropriate link.
3. There may be several application types filed for each Cocode.
4. Choose a tracking number listed under the application type.
5. The Main Menu will display.
6. The View/Print/Download UCAA Forms options will allow you to look at the UCAA forms and then print them, if you choose to do so or select the link to. "Download the entire application in a single archive" link will allow you to download the entire application as a zip file.

1. Access UCAA
2. Choose View Application Status from the Main Menu.
3. To update a status, from the Main Menu, select the appropriate state link and enter the date for each status.
4. To return to the UCAA Main Menu, click the Main Menu.

1. Access UCAA.
2. From the Main Menu, select Complete Certifications.
3. The Certificates can be completed separately in the application and will validate the page, complete the checklist and update the status separately, although both appear on the same page.
4. Use the Attachment button for any additional information.
5. There is no limit on the number of attachments per attachment button.
6. All states involved with the filing will be able to see the change in status.
7. To return to the UCAA Main Menu, click the Main Menu.

1. Access UCAA.
2. Choose the appropriate status from the following on the Main Menu:
   a) Filing Fees Received
   b) Third Party Investigative Report Received
   c) Accepted for Completeness
   d) Approved for Admission
   e) Application Closed
3. Click the option to change the status. Confirm your request. Then enter the date of the status change.
4. Notifications will be sent to the expansion states identified for the filing and the new status will be posted to the application status screen.
5. To return to the UCAA Main Menu, click the Main Menu.

UCAA Summary Report
This report lists UCAA applications that have been submitted for either licensure expansion, corporate amendments Form 14 or updated Consent to Service of Process, Form 12as an option. The Uniform Certificate of Authority Application process is designed to allow insurers to file copies of the same application for admission in numerous states.

1. At the iSite+ Log-In page enter your iSite+ User Name and Password in the appropriate fields.
2. Click the Summary Reports link or if you are already logged in, click the Summary Reports link in the categories section of the Company/Firm search page or from the common links at the top of many pages within iSite+. The Summary Reports page will display.
3. Click the UCAA Summary option listed under Licensing.
4. The UCAA Summary report options will display. The following report options are available for customizing your report results:

STATE: Select a state. Filings that specify the state you select will be listed in the report. Click "All" under the state option to return filings from all NAIC member jurisdiction.

STATUS: This option allows you to focus on filings of a particular status. To limit the list of filings specify the status you would like. Select ALL to return all statuses.

APPLICATION TYPE: This option allows you to limit your report list the type of filing you specify. Select ALL to return all types. The status column includes the type of change for Corporate Amendments filings.

DATE: Specify the time period. Filings are limited to the date range indicated based on the filings Submission Date.

Enter Date Range: This option becomes active when the Enter Date: mm/dd/yyyy option is selected for the DATE option above. This allows you to limit your report list to the date range specified. A beginning date and an ending date must be specified.

1. Click the Submit button to generate the report.
2. The search results then display the following fields based upon you search criteria: CoCode, company name, amendment number, tracking number, date of submission, filing status, application type, state, domiciled (Yes/No) , and the application status.

NOTE: The tracking number for filings listed with your state may appear as hyperlinks. These links will take you from the report listing to the application filed online. Filings that have not been submitted yet or are being amended will not have their tracking number display as a hyperlink.

Summary Report Column Headings

Summary Report Abbreviations

UCAA Forms for Expansion Applications

Select Lines of Business (3)
This form shows the lines of business that the applicant company is authorized to transact, is currently transacting or is applying for authorization to transact in an expansion state. To view Form E-3 for a different state, select the state from the drop down list at the top of the page and click the Submit button to the right.

• Home Office
• Administrative Office
• Mailing Address
• Premium Tax Statement
• Producer Licensing
• Rate and Form Filing
• Consumer Affairs

• Date Incorporated
• Form of Organization
• State or Country of Domicile
• Date Organized
• Date of Last Amendment
• Date of Last Financial Examination
• Date of Last Market Regulation Examination
• Par Value of Issued Stock
• Surplus as Regards Policyholders
• Certificate of Deposit (Home State)
• Ultimate Owner/Holding Company
• Information on whether the company has been refused admission prior to this application

Company Authorized Representative (2E)
This form provides the name and contact information for the person authorized to represent the application before the Insurance Department in the expansion state.

Pending Applications (2E)
This form provides a listing of all other applications filed by the applicant, or any of its affiliates, which are pending before the Insurance Department in a specific expansion state. To view Form E-2D for a different state, select the state from the drop down list at the top of the page and click the Submit button to the right.

Officer Information (2E)
This form provides the names and signatures of the applicant company's officers.

Certificate of Compliance (6)
This form certifies that the applicant company is authorized to write specified lines of business in the state of domicile. This form is completed by the applicant company's state of domicile.

Questionnaire (8)
This form provides an extensive questionnaire regarding the business practices of the applicant company.

Biographical Affidavit (11)
This form provides background information regarding the officers of the applicant company. To view Form A-11 for a different officer, select the name from the drop down list at the top of the page and click the Submit button to the right.

Certificate of Deposit (7)
This form certifies that the applicant company has sufficient securities on deposit with the state of domicile to satisfy any claims or debts. This form is completed by the applicant company's state of domicile.

UCAA Forms for Corporate Amendments Applications will depend on the type of change selected. Refer to the UCAA Corporate Amendment Instructions for a list of appropriate/required forms for each change type.

Certificate of Compliance Form (6)
This form certifies that the applicant company is authorized to write specified lines of business in the state of domicile. This form is completed by the applicant company's state of domicile.

Application for Corporate changes (2C)
This form will identify who the participating states are, and what types of changes are to be made.

Consent to Service of Process (12)
The Uniform Consent to Service of Process (Form 12C) identifies the state regulatory officer, resident agent and/or insurer representative to be served with Service of Process in the event of a lawsuit against the insurer. This form also requires the insurer's forwarding information in the event the state regulatory officer or resident agent receives initial service