Each data provider – either an insurer or an authorized third-party entity (TPE) – must submit a test file for approval before beginning to report production policy files electronically. Please review the guidelines below and then contact the WCIRB Data Submission Analysts at [email protected] to arrange the test. Please note that before a TPE can submit policy data on behalf of an insurer, the insurer must enter into an indemnification agreement with the WCIRB. View the Using Third Parties page to learn more.
The purpose of the testing is to check for WCPOLS format compliance and preprocessing errors and to ensure that the policy data reported electronically matches the hard copy policy.
Testing is necessary under the following conditions:
Please take the following steps before beginning to test policy submission files:
Each policy data submission must contain an Electronic Transmittal Record (ETR). The ETR is the required first record in every submission file and some of WCIRB Connect’s policy preprocessing edits validate fields in the ETR. The ETR begins with the value “$!+WORKCOMP+!$” and includes identifying information about the submitter of the file and its data, such as Name of Data Provider Contact, Phone Number of Data Provider Contact, and Data Provider Type Code. The WCIO’s specifications for the ETR are not part of WCPOLS. Please refer to the Electronic Transmittal Record Specifications (ETR) on the WCIO website for the ETR fields and their attributes. All fields that are required for California should be reported in the ETR.
Information on PEEP can also be found on the CDX website after logging in. Access to PEEP will be granted along with CDX.
Policy Issuing Office Contact
The Policy Issuing Office Contact designated for each group will receive all policy audit correspondence, inspection and no coverage reports, and bulk policy correspondence. This is the default contact for all issues related to policy data reporting. An insurer group may also designate a separate Policy Data Submission Contact.
Policy Data Submission Contact (optional)
The Policy Data Submission Contact will receive all correspondence related to policy data submission files, including rejected transactions and submissions; issues with data reporting; and reports related to policy data submissions and preprocessing errors. This correspondence will be sent by email; an email address is required.
There are several steps to the policy data reporting process, including general preprocessing review, hard copy policy comparison review and endorsement reporting.
All test files should be submitted via CDX and the Submission Type Code (position 64 of the ETR) must have a value of T (“test”).
Actual policy data is preferred but fictitious test data will be accepted.
In order to obtain approval to start reporting policies and cancellations/reinstatements electronically, a test file must pass preprocessing with no errors. The file must contain the following 20 to 25 transactions with at least two examples of each of the following transactions:
Once a preprocessing file has been successfully submitted with no preprocessing errors, your company is approved to start submitting the transactions included in the file while continuing the testing process.
Simultaneously, either using the Preprocessing Testing file or a subsequent separate test file, your company must submit matching hard copy documents with the following test conditions:
20-25 Transaction Codes 01/02/06 (with at least one of each)
10-12 Transaction Code 05s (with a mix of types)
Included should be:
Once it has been verified that your company has successfully reported policy data electronically based on a comparison to the hard copy policy documents, the final phase of testing may begin.
During this final phase, 20 to 25 policy change endorsement transactions must be submitted in a test file with matching hard copy documents. These change endorsements may be reported as Transaction Codes 03, 08, 10, 14, and 15 depending on the type of transaction issued by your company and should contain at least two of each type of transaction intended for subsequent production reporting. The following test conditions must be included:
Once it has been verified that your company has successfully reported the above change conditions, approval for electronic reporting of Change Endorsements will be granted.