default namespace = "http://ws.slacal.org/schema/slacal_batch/2007/10/15" ## ## This is the schema for a complete BATCH ## start = element SLACAL_BATCH { ## BATCH_COVER is the equivalent of the Broker Batch Cover Sheet ## and must occur exactly once at the beginning of the batch. element BATCH_COVER { ## Name of the Brokerage element Brokerage_Name { text }?, ## The SLA Broker Number for the Broker or Brokerage element SLA_Broker_Number { xsd:integer }, ## Broker Batch Date and Id are optional, but recommended ## fields used by the Broker to uniquely identify this batch element Broker_Batch_Date { text }?, element Broker_Batch_Id { text }?, ## ItemSummaries is a list of all premium-bearing items in ## the batch. Non-premium endorsements should be added at the ## end of the batch and do not need to be included in the ## ItemSummaries nor in the count of CoverSheetItems element Item_Summaries { ## ItemNumber should be a sequential, positive ## integer numbering each item in the batch. ## Note: the order in which items are listed on the ## batch cover sheet should match the order in which ## the items appear within the batch. element Item_Number { xsd:integer }, ## ItemType specifies the type of the item as ## N - New Policy ## R - Renewal ## X - Extension Endorsement ## C - Cancellation ## A - Audit Endorsement ## E - Endorsement ## O - Offset / Adjustment ## The single character abbreviation is preferred element Item_Type { text }?, ## PolicyNumber element Policy_Number { text }?, ## InsuredName element Insured_Name { text }?, ## PremiumAmount should be the sum of the CA premium ## and all fees that were included in the StampingFee ## calculation element Premium_Amount { xsd:decimal }?, ## CA State Tax is the California State Tax based on ## PremiumAmount element CA_State_Tax { xsd:decimal }?, ## Stamping Fee as calculated by the broker based on ## the PremiumAmount and the Stamping Fee Percentage ## in effect at the item effective date element Stamping_Fee { xsd:decimal }, ## InvoiceDate as defined by California Insurance Code ## Section 1774(c). See also SLA Bulletin 1061 element Invoice_Date { text }? }*, ## CoverSheetItemCount is the number of items on the batch cover ## sheet (listed as ItemSummaries above) and does not include ## any of the non-premium endorsements that may be attached at ## the end of the batch. element Cover_Sheet_Item_Count { xsd:integer }?, ## TotalItemCount is the number of all items included in this ## batch (including non-premium endorsements not listed on the ## cover sheet. element Total_Item_Count { xsd:integer }?, ## TotalPremium is the sum of all PremiumAmounts in the batch element Total_Premium { xsd:decimal }?, ## TotalStampingFee is the sum of all StampingFees in the batch element Total_Stamping_Fee { xsd:decimal }?, ## LateFilingExplanation is an option that allows to explain ## the reason why the this batch was not filed on time element Late_Filing_Explanation { text }*, ## If this batch is filed on behalf of someone else please ## identify that Broker or Brokerage. See SLA Bulletin 1123 element Courtesy_Filing_For { text }?, ## BrokerBatchNotes is an option that allows a Broker to ## provide information to the SLA Analyst processing this batch element Broker_Batch_Notes { text }* }, ## One or more BATCH_ITEM follow the BATCH_COVER. We recommend a size ## of approximately 40 items per batch (and no more than twice that), ## but there is no hard limit. There has to be at least one item to ## make it a valid batch. element BATCH_ITEM { ## item_type_any is suitable for all item types since the ## elements are marked as optional. Only provide the XML ## elements that are applicable for the item item_type_any }+ } ## ## This is the schema for a single item of any kind ## item_type_any = element item_type_any { ## Each item within a batch must be uniquely numbered ## (preferably sequential positive integers starting at 1). ## The item number in the XML batch must match the item number ## specified when uploading the corresponding document images. ## For premium bearing items the item number must match the ## item number given in the batch cover sheet element Item_Number { xsd:integer }, ## ItemType specifies the type of the item as ## N - New Policy ## R - Renewal ## X - Extension Endorsement ## C - Cancellation ## A - Audit Endorsement ## E - Endorsement ## O - Offset / Adjustment ## The single character abbreviation is preferred element Item_Type { text }?, ## For New and Renewal: is this a master policy ? element Item_is_Master_Policy { empty }?, ## For New and Renewal of Policies enter the policy number ## of this item (Do not enter Binder numbers!). ## For Endorsements enter the number of the policy effected element Policy_Number { text }?, ## For Renewals: previous policy number element Previous_Policy_Number { text }?, ## For Endorsements enter the endorsement number element Endorsement_Number { text }?, ## If the submitted item is a Binder please enter the binder ## number here. If the actual policy number is also known enter ## it in the PolicyNumber field above. element Binder_Number { text }?, ## For New, Renewal and eXtension endorsements: effective date element Policy_Effective_Date { text }?, ## Specify 'Good Till Cancelled' if this policy is open ended ## and does not have an expiration date. Note that even without ## an explicit renewal policy that SL-1/SL-2 Forms are still ## need to be filed every year for such a policy. element Policy_is_Good_Till_Cancelled { empty }?, ## For New, Renewal and eXtension endorsements: expiration date element Policy_Expiration_Date { text }?, ## For Cancellations: cancellation date element Cancellation_Date { text }?, ## For Endorsements other then extension endorsements please ## enter the endorsement effective date element Endorsement_Effective_Date { text }?, ## For Binders: binder effective date element Binder_Effective_Date { text }?, ## For Binders: binder expiration date element Binder_Expiration_Date { text }?, ## Certificates providing the same coverage with the same ## insurer can be entered as a single item in a batch element Certificates { ## Master Policy Number element Master_Policy_Number { text }?, ## Master Policy Effective Date element Master_Policy_Effective_Date { text }?, ## Details for each Certificate element Certificate { ## Certificate Number element Certificate_Number { text }?, ## Certificate Insured Name element Certificate_Insured_Name { text }?, ## Certificate Insured Address element Certificate_Insured_Address { address }?, ## Certificate effective date element Certificate_Effective_Date { text }?, ## Certificate expiration date element Certificate_Expiration_Date { text }?, ## Certificate Premium element Certificate_Premium { xsd:decimal }? }+, ## Sum of all Certificate Premiums element Total_Certificate_Premium { xsd:decimal }? }?, ## InvoiceDate as defined by California Insurance Code ## Section 1774(c). See also SLA Bulletin 1061 element Invoice_Date { text }?, ## Insured Name is a list of all insureds under this policy ## Please list any primary insured first ## If the insured is a business list registered name and ## any known DBA names. If the insured is an individual ## the preferred format is lastname, firstname [middlename]. element Insured_Name { text }*, ## Insured Address is address of the primary insured given ## on the policy or endorsement. However if provided, a list ## of addresses can be entered here. element Insured_Address { address }*, ## For statistical purposes please help to classify the ## insured by specifying either the SIC (Standard Industrial ## Classification) or NAICS (North American Industry ## Classification System) code that is most relevant. ## In 1997 the NAICS replaced the SIC as the official standard ## for the U.S. Census Bureau (SIC was last updated in 1987). ## The SIC codes however are still in common use and for the ## statistics compiled by the SLA either code is fine. ( ## SIC Code: 4 digit classification of businesses. ## The SLA uses the following 4 non-standard codes ## to classify insured individuals: ## 0300 - Personal Belongings ## 0400 - Private Homeowners ## 0500 - Private Auto ## 0600 - Personal - All Others element SIC_Code { text }| ## NAICS Code: 6 digit classification element NAICS_Code { text } )?, ## LateFilingExplanation is an option that allows to explain ## the reason why the this item was not filed on time element Late_Filing_Explanation { text }*, ## If this item is filed on behalf of someone else please ## identify that Broker or Brokerage. See SLA Bulletin 1123 element Courtesy_Filing_For { text }?, ## BrokerItemNotes is an option that allows a Broker to ## provide information to the SLA Analyst related to this Item element Broker_Item_Notes { text }*, ## List all Coverages on the policy if they are listed with ## individual premium amounts. If only a combined premium ## amount is shown list the coverage with the appropriate ## combination coverage code. element Coverage { ## Coverage Description element Coverage_Description { text }?, ## Coverage Code (Closest match to SLA published list) element Coverage_Code { xsd:integer }?, ## Insurance Company or Layering of Insurance Companies ( Insurance_Company | Layering_Group )?, ## Coverage Premium ## This should be the insurance premium for this ## coverage exlusive of fees. For multistate policies ## only enter the amount allocated to California and ## also fill in the multistate details. element Coverage_Premium { xsd:decimal }? }*, ## Total Coverage Premium is the sum of Coverage_Premium element Total_Coverage_Premium { xsd:decimal }?, ## Fees element Fee { ## Fee Description element Fee_Description { text }?, ## Fee Amount element Fee_Amount { xsd:decimal }?, ## Fee Included in State Tax and Stamping Fee ## calculations ? See SLA Bulletin 997 element Fee_Included_In_Total_Item_Premium { empty } }*, ## Total Item Premium includes the sum of all Coverage Premiums ## as well as those Fees that are included in the calculation ## of the California Surplus Line Tax and Stamping Fee. element Total_Item_Premium { xsd:decimal }?, ## For policies that cover risks in multiple states or ## countries please provide the following details element Multistate_Details { ## Method of allocation used CIC 1775.5 element Multistate_Allocation_Method { text }?, ## One entry for each state covered ## For coverage outside of US name the country or ## combine into a single entry named 'other' ## Either State_Premium or State_Percent is sufficient ## but it should be the same for all entries. element State { ## 2 letter abbreviation for US State ## otherwise name of Country or 'other' element State_Name { text }?, ( ## Premium for this state element State_Premium { xsd:decimal }?| ## Percentage for this state element State_Percent { xsd:decimal }? ) }*, ## Total_Premium_all_States element Total_Premium_all_States { xsd:decimal }? }?, ## New Policies, Renewals and Extension Endorsements (unless ## exempt under CIC 1763(g)) need to include a Confidential ## Report (SL-1 Form). element SL1Form { sl1form }?, ## New Policies, Renewals and Extension Endorsements (unless ## exempt under CIC 1763(g)) need to include a Diligent Search ## Report (SL-2 Form) unless the covered risk is on the export ## list CIC 1763.1(a). element SL2Form { sl2form }? } Insurance_Company = element Insurance_Company { element Company_Name { text }?, element NAIC_Number { text }? } Layering_Group = element Layering_Group { element Group_Description { text }?, element Group_Member { ( Layering_Group | Insurance_Company ), element Percentage { xsd:decimal } }* } ## ## This represents the XML version of the SL-1 Form: ## CONFIDENTIAL REPORT OF SURPLUS LINE PLACEMENT ## It is based on the revision from January 16, 1997 ## sl1form = element sl1form { ## Header: Please enter the Policy Number and the California Premium. element Policy_Number { text }?, element California_Premium { xsd:decimal }?, ## Section 0: Please check ONE box only: ## For XML please include the corresponding tag for each checkbox ( ## Section 0.a: ## "The following information, accompanied by a copy of the ## declarations page or certificate or binder, is submitted ## for an insurance coverage or risk listed on the current ## California Department of Insurance Export List. ## (Calfornia Insurance Code Section 1763.1)" element Coverage_on_Export_List { empty } | ## Section 0.b: ## "The following information, accompanied by a copy of the ## declarations page or certificate or binder, and a fully ## executed copy of the diligent search report (SL-2 Form), ## is submitted in accordance with California Insurance Code ## Section 1763(a)." element Diligent_Search_Report { empty } )?, ## Section 1: Please enter the name of the Broker element Broker_Name { text }, ## "hereby submits that he/she is:" (( ## Section 1(A): ## "a duly licensed surplus line broker, license number" element Broker_License_Number { text } ) | ## or, ( ## Section 1(B): ## "a transactor on the surplus line license of" element Brokerage_Name { text }, # Name of Organization ## Section 1(C): element Brokerage_License_Number { text } # License Number ))?, ## "and, that he/she or said organizational licensee was engaged by ## the insured, or the insured's broker, named herein, to obtain ## insurance against certain risk as described in this report." ## Section 2: "Risk Description" ## Section 2(A): "Name of Insured" ## Please list all names. If there is a primary insured name it should ## be listed first. element Insured_Name { text }*, ## Section 2(B): "Address of Insured" ## Multiple addresses can be provided (if applicable), however primary ## insured's address should be listed first. element Insured_Address { address }*, ## Section 2(C): "Description of the Risk ## (e.g. Laundramat, Liqor Store, - NOT TYPE OF COVERAGE)" element Risk_Description { text }*, ## Section 2(D): "Location of Risk" ## Multiple addresses can be provided (if applicable). element Risk_Address { address }*, ## Section 2(E): "Export List Code or Coverage Code" ## Multiple export/coverage codes can be provided if applicable. element Export_or_Coverage_Code { xsd:integer }*, ## Section 3 "Placement Description ## List Nonadmitted Insurer(s) Underwriting This Policy with ## % of Premium." ## Please list all nonadmitted insurers: element NonAdmitted_Insurers { ## "Name of Nonadmitted Insurer(s)" element Insurance_Company { text }?, ## Full name element NAIC_Number { text }?, ## NAIC Number ## "% of Premium" element Premium_Percent { xsd:decimal } }*, ## "If Gap Provision applies please include Gap Exemption Form ## Attachment." element GapAttachment { gapform }?, ## Trailer ## "Date" the original SL-1 Form was signed by the person named in ## section 1. element Date_Signed { text }? } ## ## ## This represents the XML version of the GAP Form: ## GAP EXEMPTION FORM (Attachment to SL-1) ## It is based on the revision from 3/95 ## gapform = element gapform { ## Header: Please enter the Policy Number (should match the policy ## given on the SL-1 form which in turn should match the policy itself) element Policy_Number { text }?, ## Explanation: "Complete both Sections A and B if this is a layered ## risk. Complete only Section B if this is not a layered risk." ## Section A: "List all known layers if placed by your brokerage or not. ## The primary policy is the first layer. For additional layers, ## include an attachment." ## Note that there is no need for an attachment in the XML version of ## the form (the paper form is limited to 10 lines). element Known_Layer { ## Layer Number (Primary Policy is layer number 1) element Layer_Number { xsd:integer }?, ## Limit of Liability element Limit_of_Liability { xsd:decimal }?, ## Excess of (underlying limits) element Excess_Of { xsd:decimal }?, ## Percentage of Layer with GAP Insurers element GAP_Percent { xsd:decimal }? }*, ## For this type of insurance for this insured: ## Section A(a) Total Number of Layers element Total_Number_of_Layers { xsd:integer }?, ## Section A(b) Total Limits of Liability (for all layers combined) element Total_Limits_of_Liability { xsd:decimal }?, ## Section A(c) Total Percent of GAP Insurers (for all layers combined) element Total_Percent_of_GAP_Insurers { xsd:decimal }?, ## Section A(d) This submission is for layer number element This_submission_Layer_number { xsd:integer }?, ## Section B "List GAP Insurers participating on this layer or ## underwriting this policy:" element GAP_Insurers { ## "Name of GAP Insurer(s)" element Insurance_Company { text }?, ## Full name element NAIC_Number { text }?, ## NAIC Number ## "% of Participation this Layer/Policy" element Participation_Percent { xsd:decimal } }*, ## Trailer ## "Date" the original GAP Form was signed by the person named in ## section 1 of the associated SL-1 Form. element Date_Signed { text }? } ## ## This represents the XML version of the SL-2 Form: ## DILIGENT SEARCH REPORT ## It is based on the revision from 06/2004 ## sl2form = element sl2form { ## Section 0: Please check ONE box only: ## For XML please include the corresponding tag for each checkbox ( ## Section 0.a: ## "The following information, accompanied by a copy of the ## declarations page or certificate or binder, is submitted ## for an insurance coverage or risk listed on the current ## California Department of Insurance Export List. ## (Calfornia Insurance Code Section 1763.1)" element Coverage_on_Export_List { empty } | ## Section 0.b: ## "The following information, accompanied by a copy of the ## declarations page or certificate or binder, and a fully ## executed copy of the diligent search report (SL-2 Form), ## is submitted in accordance with California Insurance Code ## Section 1763(a)." element Diligent_Search_Report { empty } )?, ## Section 1: Please enter the name of the Broker element Broker_Name { text }, ## "hereby submits that he/she is:" (( ## Section 1(A): ## "a duly licensed surplus line broker, license number" element Broker_License_Number { text } ) | ## or, ( ## Section 1(B): ## "a transactor on the surplus line license of" element Brokerage_Name { text }, # Name of Organization ## Section 1(C): element Brokerage_License_Number { text } # License Number ))?, ## "and, that he/she or said organizational licensee was engaged by ## the insured, or the insured's broker, named herein, to obtain ## insurance against certain risk as described in this report." ## Section 2: "Risk Description" ## Section 2(A): "Name of Insured" ## Please list all names. If there is a primary insured name it should ## be listed first. element Insured_Name { text }*, ## Section 2(B): "Address of Insured" ## Multiple addresses can be provided (if applicable), however primary ## insured's address should be listed first. element Insured_Address { address }*, ## Section 2(C): "Description of the Risk ## (e.g. Laundramat, Liqor Store, - NOT TYPE OF COVERAGE)" element Risk_Description { text }*, ## Section 2(D): "Location of Risk" ## Multiple addresses can be provided (if applicable). element Risk_Address { address }*, ## Section 2(E): "Export List Code or Coverage Code" ## Multiple export/coverage codes can be provided if applicable. element Export_or_Coverage_Code { xsd:integer }*, ## Section 3 "If Private Passenger Automobile Liability Insurance ## is identified on line 2(E), complete the following:" ## Section 3(A): "Does the insured qualify as a 'Good Driver' under ## Section 1861.025 of the California Insurance Code? (Check One)" ( element Good_Driver_YES { empty } | element Good_Driver_NO { empty } )?, ## Section 3(B): "Does the coverage that you have placed include, ## in whole or in part, the limits of coverage provided under the ## California Automobile Assigned Risk Plan (CAARP)? (Check One)" ( element CAARP_Coverage_Included_YES { empty } | element CAARP_Coverage_Included_NO { empty } )?, ## Section 3(C): "If YES, has this risk been submitted to and found ## to be ineligible by CAARP? (Check One)" ( element CAARP_Ineligible_YES { empty } | element CAARP_Ineligible_NO { empty } )?, ## Section 4: "If Health Insurance is identified on line 2(E), does ## the insured qualify as a 'Small Employer' under Section 10700(x) ## of the California Insurance Code? (Check One)" ( element Small_Employer_YES { empty } | element Small_Employer_NO { empty } )?, ## Section 5: "If this insurance was placed pursuant to Section ## 125 et seq. of the California Insurance Code governing transactions ## with Risk Purchasing Groups authorized by the Federal Liability ## Risk Retention Act of 1986, complete the following:" ## Section 5(A): "Provide the name and address of the purchasing ## group of which the insured is a member" ( ## Name of the Risk Purchasing Group element RPG_Name { text }, ## Address of the Risk Purchasing Group element RPG_Address { address }? )?, ## Section 6(A): "Describe the diligent efforts made to place this ## coverage with admitted insurers and describe how the search was ## performed (please add additional pages if necessary):" element Efforts_Performed { text }*, ## Section 6(B): "If search was performed by someone other than the ## person named on line 1, please provide the full name of that ## individual:" element Search_Performed_By { text }?, ## Section 7(A): "Was the risk described in Section 2 submitted by ## you or someone under your supervision to at least (3) insurers ## that are admitted in California and who actually write the type ## of insurance described on lines 2(C) and 2(E)? (Check One)" ( element Submitted_to_3_Admitted_Insurers_YES { empty } | element Submitted_to_3_Admitted_Insurers_NO { empty } )?, ## Section 7(B): "If YES, please complete ALL sections of the following ## table; if NO, skip to Section 8:" element Admitted_Company { ## Full Name of Admitted Company element Insurance_Company { text }?, element NAIC_Number { text }?, ## First & Last Name of Company Representative element Company_Representative { text }?, ## Telephone Number "( ) - " element Telephone_Number { text }?, ## or Online Declination Website element Website { text }?, ## Check if Employee (E) or Agent (A) ( element Representative_is_Employee { empty } | element Representative_is_Agent { empty } )?, ## Month, Year of Declination "MM/YYYY" element Declination_Date { text }?, ## Declination Code ## 1 - Company's capacity reached ## 2 - underwriting reason ## 3 - refused to state ## 4 - other element Declination_Code { xsd:integer }? }*, ## Section 8: "If 7(A) was answered NO, complete the following:" ## Section 8(A): "Did you determine that fewer than 3 admitted insurers ## actually write the type of insurance described on lines 2(C) and ## 2(E)? (Check One)" ( element Fewer_than_3_Insurers_YES { empty } | element Fewer_than_3_Insurers_NO { empty } )?, ## Section 8(B): "If NO, please explain in detail why the risk was ## submitted to less than three admitted insurers in California that ## write this type of insurance." element Less_than_3_Explanation { text }*, ## Section 8(C): "If YES, please describe how you made this ## determination." element Less_than_3_Determination { text }*, ## Trailer ## "Date" the original SL-2 Form was signed by the person named in ## section 1. element Date_Signed { text }? } ## address = element address { ## One or more lines of address information element Address { text }+, ## Name of the city element City { text }?, ## State or Province ## For US and Canada please use official 2 character code ## For all other countries (were applicable) please use the full name element State_or_Province { text }?, ## Postal/ZIP Code ## For US use ZIP+4 (5 digits, hyphen, 4 digits) or just 5 digit code. ## For other countries enter postal code in the appropriate format. ## In some countries the space between parts of the postal code is ## significant and should not be omitted. element Postal_Code { text }?, ## Country Name element Country { text }? }