Reporting of Actions
Instructions for Producer

General Information:

  • Access to this product is through the Attachments Warehouse Home Page on NIPR.com.
  • Producer may view any document files that have been previously submitted to the Attachments Warehouse for the producer.
  • Producer must have an active resident license to add document files to Reporting of Actions.
  • Please use buttons provided in the application. Browser "Back" button will not work in all situations and may cause data to be lost or session to end.
  • Screen titles on the top right can be used as reference.
  • Session will time out with 30 minutes of no activity.
  • If session has not been paid, pending attachments and information for new or updated Reporting of Actions will be deleted when session ends.
  • Links at the top of most screens:
    • Participating States – Lists all states that are participating in this product.
    • Instructions – Opens this page "Instructions for Producer."
    • Fees – Provides information about fees.
    • Contact Us – NIPR contacts for help.
    • FAQs – Frequently Asked Questions.
    • My Contacts – Allows changes to producer contact information.
    • Logout – Returns user to the Attachments Warehouse Home Page.

Click on a link below for more information

  1. Sign-In
  2. Review/Update producer contact information
  3. View previously entered information or attachments
  4. Add new Reporting of Actions
  5. Add attachments to existing Reporting of Actions
  6. Associate a file already in Attachments Warehouse to a Reporting of Action
  7. Pay for session to save attachments uploaded in the session
  8. End Session
  9. Glossary
A. Sign-In
Location(s) Go to NIPR website at http://www.nipr.com/ and click on "Attachments Warehouse" Select "Reporting of Actions" to go to this product. USE AGREEMENT will be displayed.
Step 1: Read and Accept the USE AGREEMENT
  • "Accept" to continue to sign-in.
  • "Decline" to return to NIPR web page.
Step 2: REPORTING OF ACTIONS SIGN-IN:
Select one of the following methods to sign-in.
  • INDIVIDUAL AND AGENCY SIGN-IN WITH NPN (National Producer Number). (Defaults to this selection)
    • Resident State (any state in which producer has active resident license).
    • Resident License Number.
    • National Producer Number (NPN).
    • Link to obtain NPN: National Producer Number (NPN)
    • SSN/FEIN (Last 4 digits) (Must be on Producer Database (PDB).
  • Or AGENCY SIGN-IN WITHOUT NPN.
    • FEIN (Complete FEIN)
    • Firm Name
Complete fields for sign-in option selected. Note following:
  • Individual Producers and some Agency Producers can find the NPN using. the "National Producer Number" search link.
  • Producers must have an active resident license on NIPR’s PDB.
  • Full Firm Name may not be required. The portion of the name entered must be unique and match PDB.
"Sign-In" to complete login.
"Reset" to clear all log-in information.

* If the information is incomplete or not found in the Producer Data Base (PDB) you may receive a message "Could not find an active resident license with this data. Please contact your resident state's department of insurance licensing department." After successful sign-in REVIEW PRODUCER CONTACT DETAILS Screen is displayed.

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B. Review/Update Contact Information   This contact information will be available for the State regulators to use to contact the producer if necessary. Any information provided will not be used to update the Producer Database (PDB) or any State database.
Step 1: Complete Sign-In (Step A)
REVIEW PRODUCER CONTACT DETAILS screen displays
Step 2: New User:
  • Click on "Edit" to go to EDIT PRODUCER CONTACT DETAILS screen.
  • Add contact information (* indicates required fields).
  • "Update" adds contact information.
  • "Cancel" returns user to REVIEW PRODUCER CONTACT DETAILS screen.
*Contact information must be provided before User can continue in the application.

Returning User:
  • "Edit" goes to screen to make changes to contact information.
  • "Continue" goes to the main screen MAIN MENU.
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C. View Previously Entered Information or Attachments
Step 1: Complete Sign-In (Step A)
Complete Review/Update Contact Information (Step B)
Step 2: MAIN MENU screen is displayed.
  • Displays producer’s personal information at the top from NIPR’s PDB.
  • Displays all documents previously submitted for the Producer to the Attachments Warehouse as associated to Reporting of Actions or Application Type/Background Questions.
Note- Information previously entered into the Attachments Warehouse may not be deleted or changed.
Reporting of Actions (First Section)
If no Reporting of Actions has been entered into the Attachments Warehouse the message "No Records Found" will be displayed.
  • View Reporting of Action Details - Click on a specific link under "View Reporting of Action Details" column to review previous action. Information about the Reporting of Actions will be displayed as well as links to the associated attachment(s).
  • View Document Details - Click on the icon next to the document in the View/Download Document to review information about that document.
    • Click on the document link in the "Document to view" section to see the actual document. (See View Attachment below)
    • "Submit" is only used when attaching the document to another ROA that is selected in the "Available Reporting of Actions to attach" section.
    • "Back" returns to the Main Menu screen.
  • View Attachment - Click on a specific link in column "View/Download Document" to go directly to the attachment; or click on the document link on VIEW ATTACHMENT DETAILS screen.
  • File Download pop-up appears.
    • "Open" displays document.
    • "Save" allows document to be saved to a hard drive.
    • "Cancel" removes the pop-up.

Background Questions (Second Section)
  • View Background Question Text – Click on link to specific background question to see the text.
  • View Document– Click on the document link in the "View/Download Document" column to go directly to the attachment.
  • File Download pop-up appears.
    • "Open" displays document.
    • "Save" allows document to be saved to a hard drive.
    • "Cancel" removes the pop-up.
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D. Add a New Reporting of Actions
Step 1: Complete Sign-In (Step A)
Complete Review/Update Contact Information (Step B)
MAIN MENU screen displays
Click on "Add New Reporting of Action" button on Main Menu
Step 2: PRODUCER/AUTHORIZED SUBMITTER SCREEN
  • Identify if you are the "Producer" or an "Authorized Submitter.".
  • If you are a Producer you do not need to enter additional information.
  • If you are an Authorized Submitter you must provide your contact information.
"Continue" to add details for a new Reporting of Actions on the ADD NEW REPORTING OF ACTIONS page.
"Main Menu" at the top of the page to return to the MAIN MENU Screen.
Step 3: ADD NEW REPORTING OF ACTION – Provide details for Reporting of Actions
a. Choose the category that will apply to the new attachment.
  • Civil Action – non-criminal adjudication by a judiciary toward a producer.
  • Administrative – adjudicated action by a regulatory body toward a producer.
  • Criminal Action – criminal adjudication by a judiciary toward a producer.
b. State(s) displayed in which producer has active license(s) on PDB and that are NOT participating in Reporting of Actions. (Producer is responsible for notifying these states).
c. Complete "Date of Action". Future dates are not allowed. Date must be in the format shown.
d. Complete "Producer’s Information for Regulators" to provide state regulators additional information.
Click on icon beside field for additional information.
Step 4: Producer’s Information for Regulators
Enter a description of the Reporting of Action. The "Producer’s Information for Regulators" can not be modified after submittal.
Step 5: Document Description by Producer
Enter a description of the document to be uploaded in the file. Document To Upload
  • Browse for the document to upload using the "Browse" button.
  • Select the document to upload.
  • Click "Upload" to upload the document.
Step 6: UPLOAD NEW DOCUMENT – Enter additional documents for the same Reporting of Actions.
*Repeat Step 5 above until all documents have been entered.
Click "Continue-View Summary" to continue to the INITIAL SUMMARY page.
Step 7: The INITIAL SUMMARY page includes:
  • Summary of Actions: New Documents for New and Existing Reporting of Actions.
  • States to be Notified: States that will be notified of your Reporting of Action.
  • States NOT Notified: States that will NOT be notified of your Reporting of Action.
Click "Main Menu" to upload more documents or "Continue" to submit these documents and continue to the payment portion of your session.
Step 8: Read the NON-PARTICIPATING STATE DISCLAIMER and "Accept and Continue."
Step 9: Read the ATTESTATION and "Accept and Continue."
Step 10: Read the NON-PARTICIPATING STATE DISCLAIMER REMINDER and "Accept and Continue" to Payment Process.
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E. Add documents to existing Reporting of Actions
Step 1: Complete Sign-In
Complete Review/Update Contact Information (Step B)

MAIN MENU SCREEN DISPLAYS
Step 2: User clicks the existing Reporting of Action ("Add Document to this Reporting of Action" column) for which he needs to add an additional attachment from the list displayed.
Step 3: UPLOAD NEW DOCUMENT – Enter additional documents for the same Reporting of Actions.
Enter Date of Action (MM-DD-YYYY).
Step 4: Enter a description of the attachment to be uploaded into "Document Description by Producer." The "Document Description by Producer" can not be modified after submittal.
Step 5: Document To Upload
Enter a description of the document to be uploaded in the file.
  • Browse for the document to upload using the "Browse" button.
  • Select the document to upload.
  • "Upload" to upload the document.
Step 6: UPLOAD NEW DOCUMENT – Enter additional documents for the same Reporting of Actions.
*Repeat 4 and 5 above until all documents have been entered.
"Continue-View Summary" to continue to the INITIAL SUMMARY page.
Step 7: The INITIAL SUMMARY page includes:
  • Summary of Actions: New Documents for New and Existing Reporting of Actions.
  • States to be Notified: States that will be notified of your Reporting of Action.
  • States NOT Notified: States that will NOT be notified of your Reporting of Action.
"Main Menu" to upload more documents or "Continue" to submit these documents and continue to the payment portion of your session.
Step 8: If applicable, Read the NON-PARTICIPATING STATE DISCLAIMER and "Accept and Continue."
Step 9: Read the ATTESTATION and "Accept"
Step 10: If applicable, Read the NON-PARTICIPATING STATE DISCLAIMER REMINDER
Note: Only displayed if the producer has an active license in a non-participating state "Accept and Continue" to Pay for Session to save documents uploaded in the session (G)
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F. Associate a file already in Attachments Warehouse to a Reporting of Action
Step 1: Complete Sign-In (Step A)
Complete Review/Update Contact Information (Step B)
MAIN MENU screen displays
Step 2: Click on icon "Add Document to this Reporting of Action"
Step 3: PRODUCER/AUTHORIZED SUBMITTER
  • Identify if you are the "Producer" or an "Authorized Submitter."
  • If you are a Producer you do not need to enter your information again.
  • If you are an Authorized Submitter you must provide your contact information.
"Continue" to add details for a new Reporting of Actions on the UPLOAD NEW DOCUMENT page.
"Main Menu" at the top of the page to return to the MAIN MENU Screen.
Step 4: UPLOAD NEW DOCUMENT
Enter Date of Action (MM-DD-YYYY).
Step 5: Enter a description of the attachment to be uploaded into "Document Description by Producer." The "Document Description by Producer" can not be modified after submittal.
Step 6: Document To Upload
  • Documents in the Attachments Warehouse that may be associated with this Reporting of Action are shown in the "Existing Documents" [select] section.
  • Select a document.
  • "Upload"
  • Updated screen is displayed. Status will be "No Payment Req" if user is only associating a document that is already in the "Attachments Warehouse."
  • "Continue-View Summary."
Step 7: The INITIAL SUMMARY page includes:
  • Summary of Actions: New Documents for New and Existing Reporting of Actions.
  • States to be Notified: States that will be notified of your Reporting of Action.
  • States NOT Notified: States that will NOT be notified of your Reporting of Action.
"Main Menu" to upload more documents or "Continue" to submit these documents and continue to the payment portion of your session.
Step 8: Read the NON-PARTICIPATING STATE DISCLAIMER and "Accept and Continue."
*Note: It is the Producer's responsibility to notify these states as these states are not participating in this application.
Step 9: Read the ATTESTATION and "Accept"
Step 10: Read the NON-PARTICIPATING STATE DISCLAIMER REMINDER
Note: Only displayed if the producer has an active license in a non-participating state "Accept and Continue"
*Note: It is the Producer's responsibility to notify these states as these states are not participating in this application.
Step 11: "Continue" to Pay for Session to save documents uploaded in the session (G)
Note: No payment is required if no new documents were added in this session. Print summary for your records.
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G. Pay for Session to Save Documents Uploaded in the Session
Step 1: Complete Sign-In (Step A)
Complete Review/Update Contact Information (Step B)
Complete Add New Reporting of Action (Step D) or Add Document to an Existing Reporting of Action (Step E)
Step 2: *Reporting of Actions submitted during a session will NOT be saved without a required payment.
CHOOSE PAYMENT METHOD screen displayed
  • "Credit Card" – to pay with a credit card
  • "Electronic Check" to pay with an electronic check.
Step 3: PAY BY CREDIT CARD
DOCUMENT SUBMISSION Screen
  • Enter Credit Card Information
  • Verify authorization to use credit card by clicking box "Yes"
  • "Continue" to complete payment.
  • "Back" to return to the previous screen.
  • "Reset" to clear information entered.
  • Confirm credit card information on next screen and click on "Submit Payment" to continue (click only ONCE)
On the pop-up box click:
  • "OK" button to continue with payment.
  • "Cancel" to cancel credit card payment
Wait for the credit card authorization.
  • Print page as transaction receipt
"Continue" to return to Document Submission. Attachment added should be displayed. Additional attachments can be added in this session without additional fees.
If your credit card is not approved for any reason, you will either be able to "Go Back and Try Again" or "Cancel" the transaction and your documents will not be saved.
Step 4: PAY BY ELECTRONIC CHECK
CHECK PAYMENT FORM Screen
  • Complete check information using information from your checking account
  • "Cancel" returns to CHOOSE PAYMENT METHOD screen
  • "Reset" to clear information entered
  • "Continue" to complete payment
Click on link "Please review the oCheque FAQ" to view Electronic Check FAQ: (Electronic Check FAQ)
  • Click on box by "I Agree" to indicate your authorization to use the Checking Account Entered
  • "Edit Information" to correct check information
  • "Cancel" to cancel check payment
  • "Submit Payment" to continue process
Step 5: PAYMENT SUBMISSION
  • "Submit Payment" button to confirm the credit card information and click – only ONCE.
  • Wait for the credit card authorization.
On the pop-up box click:
  • "OK" button to continue with payment.
  • "Cancel" to cancel credit card payment
"Make Changes" link to make any changes to your billing information.
Step 6: PAYMENT CONFIRMATION & FINAL SUMMARY – After the credit card payment has been accepted your receipt will display. Please print this page as your record of payment and verification of information added to the Attachments Warehouse.
"Logout" to exit the application.
  • Documents in the Attachments Warehouse that may be associated with this Reporting of Action are shown in the "Existing Documents" [select] section.
  • Select a document.
  • "Upload"
  • Updated screen is displayed. Status will be "No Payment Req" if user is only associating a document that is already in the "Attachments Warehouse."
  • "Continue-View Summary."
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H. End Session
Step 1: Click on the "Logout" button at the bottom of the PAYMENT CONFIRMATIONpage or on the top right of any to return to the application's Use Agreement.
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I. Glossary
Adjudication A finalized judgment in a legal proceeding.
Administrative Action An adjudicated action by a regulatory body toward a producer. The document(s) that represent the final disposition of a regulatory action taken against the producer by any insurance Regulatory Official or by another governmental agency. Examples: consent Order, settlement Agreement, or any other relevant administrative documents.
Attachments Warehouse A NIPR mechanism for storing electronic documents. Allows USER to electronically complete and submit additional information or documents for review by the appropriate state insurance departments.
Attestation A declaration used to authenticate the identity of the sender and acknowledge acceptance of the terms of use stated.
Authorized Submitter A person or third party authorized by and acting on behalf of the producer. Authorized submitters will have the same privileges as producers. Authorized Submitters must provide contact information.
Background Question Background questions contained in the Background Information Section of the NAIC Uniform Applications. Text of each background question is available.
Background Question Supporting Documentation *Everywhere documents are requested by the State in response to answering "yes" to one or more of the Uniform Application's background questions, the electronic documents can be submitted where they can be viewed by each participating State. Only electronic documents can be submitted. If a state has additional requirements other than electronic submission of your requested documentation, those states will contact you directly. Documents previously submitted to the NAIC/NIPR Attachments Warehouse do not need to be resubmitted.
*Documents that provide additional information relating to a specific background question on the NAIC Uniform application used by States to further review and determine if the license will be issued or renewed.
Category The Administrative, Civil or Criminal action adjudicated by a regulatory body or judiciary toward a producer.
Civil Action Non-criminal adjudication by a judiciary toward a producer. A non-criminal action taken against a producer by a civil court. i.e. Child Support Order, Bankruptcy Order (do not include personal bankruptcies unless they involve funds held on behalf of others), and any other civil Judgment that would be deemed a reportable action by a particular jurisdiction that the active license(s) is held.
Criminal (Action) Criminal adjudication by a judiciary toward a producer. A proceeding that results in a criminal conviction of the producer in any jurisdiction. Conviction includes but not limited to: having been found guilty by verdict of a judge or jury, or having entered a plea of guilty or nolo contendere. Conviction also includes any order imposing probation, community service, a suspended sentence or a fine.
Date of Action Date of Adjudication or The "date of final disposition of the matter" for administrative (and civil) actions and "date of initial pretrial hearing" for criminal actions per NAIC Producer Licensing Model Act Section 17.
Federal Employer Identification Number (FEIN) Federal Tax Identification Number: Used to identify a business entity.
National Producer Number (NPN) *The NPN is a unique sequential number that identifies each producer entity in PDB. It was initially created to provide a solution to privacy issues surrounding the use of the Social Security Number. The NPN is a 10-digit number without leading zeros that is assigned to individual producers, as well as agencies
*This is the primary identifier of the producer and is the number that has been assigned to this producer by the NIPR.
Producer Data Base (PDB) The PDB is a central repository of producer licensing information owned by NIPR.
Reporting of Actions The purpose of this product is to provide an electronic means to allow producers to satisfy their requirements with respect to the notification and reporting of all administrative, criminal and civil (if applicable) actions. Pursuant to states laws, the requirement of the duty to report the action and provide documentation is required within thirty (30) days, consistent with the language found in the NAIC Producer Licensing Model Act Section 17.
Participating States ROA: States that have agreed to receive and accept the electronic Reporting of Actions submitted by the producers to satisfy their regulatory requirements for the notification and reporting of administrative, criminal or civil actions. States may also require additional documentation and if so, will notify producer of any additional state requirements. States must also be signed up for PICS to be considered a participating state.
Social Security Number (SSN) A 9-digit number issued by the Social Security Administration for taxation purposes. Used as an identification number.
Use Agreement An agreement accepted by a producer or the producer's authorized submitter, acknowledging the terms and conditions stated as a condition for using the Attachments Warehouse application.
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