Ready for Review - Submission Requirements of SDU Filings


This week is the first in a series to help you determine whether your filing submission is “ready for review”. Ready for review means the filing contains all attachments, certifications, and filing components necessary to perform substantive review. Filings that are submitted ready for review can help avoid objections and are assigned to the reviewer team quicker

This week we will focus on the submission requirements of a Supporting Documentation Update (SDU) filing submission.

If you need to make updates to items on the Supporting Documentation tab, and no forms are being amended, then the Supporting Documentation Update filing type should be selected. The name of the filing type helps you prepare your filing correctly if only supporting documentation items are being updated. The submission requirements are specific to the Type of Insurance (TOI) and Filing Type combination selected when creating your filing. Filings using the Supporting Documentation Update filing type have specific submission requirements which must be properly addressed.

Two of the most commonly issued, and easily avoidable, objection are for bypassing the submission requirements below. These submission requirements must be satisfied and a comment must be entered to address the requirements.  Please notice that these Supporting Documentation items have specific instructions in their description boxes.  These instructions must be followed, such as providing the word “confirmed.”  Do not use a description such as “N/A.”

If you have any questions about these SDU submission requirements or filing with the Compact, please contact the Insurance Compact Office.

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