Terms and Abbreviations

Term/Abbreviation

Definition
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 stated terms of use.
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.
Background Question Supporting Documentation (BQSD) Answering "yes" to certain background questions will result in the need to provide supporting documentation. In most circumstances, this documentation can be submitted electronically with this application. Such documents can then be viewed by the relevant states. States that require additional or alternative methods of submitting documentation will contact you directly regarding these requirements.
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 the particular jurisdiction where 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 is 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 Producer Database (PDB) is a central repository of producer licensing information, updated on a timely basis by state insurance departments. PDB is owned by NIPR.
Reporting of Actions (ROA) 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 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 producers 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.