Filing Information | Surplus Lines Association of Washington

Filing Information

All surplus line insurance coverages written by members of the Association on Washington risks (per RCW48.15.120) are to be submitted to the Association office for examination.

The following Rules shall apply to such submissions:

(1) All submissions must be filed on forms prescribed and furnished by the Association.

(2) The certification form must be filed within sixty (60) days of the effective or procurement date.  Policy documents are to be filed with the certification form.  If these policy documents are not available within 60 days, these policy documents must be sent upon receipt by the member.  Policy documents required are:

Policy declarations, certificate or covernote declarations

Supplemental declarations

Schedule of forms and endorsements

Copy of the service of suit endorsement

(3)  Upon receipt of a complete submission, the Association office will either accept the same by registering the submission or will issue a “tag” for correction. Submissions “tagged” for amendment or correction must be corrected promptly.

(4)  When the Association office receives a certification form, the Association office will thereafter deliver a copy of the certification form to the Insurance Commissioner. Whether or not the submission is registered it will be considered filed with the Insurance Department for reporting and tax purposes. Changes to the certification form can be made until the account is registered.  This will complete the surplus line broker’s filing requirement under the Washington Insurance Code.

(5)  The policy will not be considered registered until the certification form and policy documents have been received and reviewed by the Association, any tags have been cleared, and registration confirmation has been sent to the broker.

(6)  The notice of a “Registered” certification form and a copy of coverages constitutes a complete copy of the filing for the broker’s records.

(7)  Endorsements or other modifications of coverages previously submitted must be promptly filed with the Association where the endorsement or other modification involves any additional or return premium, changes in security, or a change of policy number.

(a)  Endorsements having additional or return premiums must include details, e.g. premiums, state tax, stamping fee.

(b) Non-money endorsements need not be filed, except for changes of security or policy number.

(c)  Certifications should not be submitted with an endorsement.

(8) Itemization of Premium, Taxes and Fee: Each filing involving premium must include the following itemized charges:

  • Premium
  • Policy Fee
  • Any other applicable fees charged
  • State Tax – Refer to Rule 7
  • Stamping Fee – Refer to Rule 6

State tax and stamping fee are based on the sum of all premiums and fees, including but not limited to policy, broker and/or inspection fees.

(9)  Listing of Insurers in each Certificate of Coverage:  In each submission filed with the Association there shall appear in full the names of all insurers assuming liability, and the percentage of such liability respectively assumed by them, said names to appear both in the certificate and also in Item 3 of the certification form so that the Insurance Commissioner will be advised.

(10) All documents submitted shall be confidential information to the Association office, and shall not be divulged to, or to be open to inspection by any third party, except the Insurance Commissioner or other governmental agency having legal authority therefore. Provided, however, that the Board of Directors may, by resolution adopted by a majority of its members, allow or require the Executive Director to disclose specific types or categories of information in accordance with the terms, conditions and limitations of such resolution.