Using Lloyd s Direct Reporting. User Guide

Transcription

1 Using Lloyd s Direct Reporting User Guide AUGUST 2013

2 2 Contents CONTENTS 2 LLOYD S DIRECT REPORTING 3 ABOUT THIS SERVICE 3 FURTHER HELP AND SUPPORT 3 USER GUIDE 4 ACCESSING LLOYD S DIRECT REPORTING 4 Route 1 Core Market Returns 4 Route 2 Direct URL Login 4 ACORD VALIDATION 7 Downloading the ACORD Validator 7 Online Validation 9 USING LLOYD S DIRECT REPORTING 10 Uploading a File 11 Unsuccessful Validation 12 Successful Validation 12 LLOYD S VALIDATION 13 Pending 13 Accepted 13 Failed 13 Warnings 13 ERRORS AND WARNINGS 14 Errors 14 Types of Error 16 Warnings 17 Outstanding Warnings 19 REVIEWING SUBMISSIONS 20 Return File 20 Searching for Previously Uploaded Files 20 Viewing Details of Previously Uploaded Files 21 COMPLETION 22 Logging out 22

3 3 Lloyd s Direct Reporting About this service The Lloyd s Direct Reporting service allows Managing Agents to submit their Service Company tax and regulatory data directly to Lloyd s. Further Help and Support If you have any questions or problems with Lloyd s Direct Reporting then please contact the Lloyd s Direct Reporting team on or via at Direct.Reporting@Lloyds.com Please note: A list of FAQs for Lloyd s Direct Reporting are available via the Lloyd s Direct Reporting website. Please refer to this list before contacting the Lloyd s Direct Reporting team with any queries.

4 4 User Guide Accessing Lloyd s Direct Reporting You can access Lloyd s Direct Reporting in two ways: through the Core Market Returns homepage or through a direct URL. Route 1 Core Market Returns 1 With the Core Market Returns homepage open, select the Direct Reporting hyperlink. 2 Follow the instructions from step 7 of Route 2 Direct URL Login, below. Route 2 Direct URL Login 1 Launch your web browser. 2 Enter the following URL in the address bar: 3 You will be asked to log in to your Lloyd s account:

5 5 4 In the Address field enter the address used for your Lloyd s account. 5 In the Password field enter your Lloyd s account password. 6 Click Log in securely. 7 The first time you access Lloyd s Direct Reporting through your Lloyd s account you will be taken to the Lloyd s Direct Reporting Terms and Conditions page. You will be asked to accept the Terms and Conditions before you are able to proceed to the Lloyd s Direct Reporting homepage. 8 When you have reviewed the Lloyd s Direct Reporting Terms and Conditions, please check the box next to I accept these terms and conditions and click Submit.

6 6 9 Once you have logged in successfully you will be taken to the Lloyd s Direct Reporting homepage (shown below).

7 7 ACORD Validation Before loading your file onto the Lloyd s Direct Reporting page it should be validated using the ACORD validator. If your file does not pass the ACORD validator you will need to make changes to it before it can be submitted. Downloading the ACORD Validator In order to use the ACORD validator from within XML editing software, users must download and save a local copy of the ACORD validator file. Other users should see the Online Validation section, below. Please note that the ACORD validator is periodically updated. If a newer version of the validator is required, you may receive an error message when uploading your file into the Lloyd s Direct Reporting Portal. In this instance you will need to download the latest version and run the validator again. We recommend that you validate your XML file against the ACORD validator before loading it into Lloyd s Direct Reporting, as this will provide you with details on any errors in the XML (which you will not get if your file fails the ACORD validator on the Lloyd s Direct Reporting site). 1 You will be able to download the ACORD validator from the Direct Reporting homepage ( by selecting the ACORD Validator link in the sidebar.

8 8 2 The following window will appear. Select Save as to save a local copy of the zip folder. 3 Once you have saved a local copy of the ACORD validator file, you will be returned to the Lloyd s Direct Reporting homepage. 4 You will now be able to assign the ACORD validator to XML files from within your XML editing software.

9 9 Online Validation If you do not have an XML validator tool installed, you can use a facility on the ACORD website to validate your file. 1 Enter the following URL into your address bar: 2 You will be taken to the ACORD validation page (shown below). Click Browse, and from the resulting pop-up window select the file you wish to validate and click Open. 3 Once your file has appeared in the Validate Message box, click Validate Message.

10 10 Using Lloyd s Direct Reporting The following provides details on the links available from the Lloyd s Direct Reporting home page: 1 Direct Reporting Instructions: Opens instructions on using Lloyd s Direct Reporting in a new tab. 2 ACORD Validator: Opens a link to the latest version of the ACORD validator for download. 3 FAQ s: Provides a list of Frequently Asked Questions. 4 Browse: Browses files to upload onto Lloyd s Direct Reporting (see Uploading a File for further details). 5 Upload: Uploads a selected document to Lloyd s Direct Reporting (see Uploading a File for further details). 6 Search: Searches previous submissions to Lloyd s Direct Reporting (see Searching for Previously Uploaded Files ). 7 Reset: Resets the search filters to blank (see Searching for Previously Uploaded Files ).

11 11 Uploading a File 1 From the Lloyd s Direct Reporting home page, click on Browse. 2 From the resulting pop-up window, select the file you wish to validate and click Open. (This should be an.xml file no other file format will be accepted.) 3 The selected file will now be displayed next to the Browse button and the Upload button will become active. 4 Before uploading the file you may want to add a description. This may help by providing details on what you are uploading for any users who need to review the submission: 5 Click on Upload to begin uploading the file. 6 The following pop up will appear, please read and check the boxes in order to proceed. If you cannot confirm all of the boxes, you should wait until the necessary actions have been taken before continuing. Once all of the boxes have been checked, click Confirm. 7 The file will now be checked against the ACORD validator.

12 12 ACORD Validation The ACORD validator checks the overall structure of the file and ensures that all mandatory fields and relevant conditional fields have been completed in the appropriate format. Files which pass ACORD validation will be passed to the Submissions Table, where they will undergo Lloyd s validation. No records will be kept for files which fail ACORD validation. Unsuccessful Validation If the file does not pass the validation the following error message will appear: 1 Click on the relevant link either to return to the Lloyd s Direct Reporting homepage or to download the latest ACORD validator (if this has not been done previously, or if a newer validator is available to download). 2 You will need to check your XML file against the ACORD validator from within your XML editing software in order to obtain details of any errors and their locations. 3 Once any errors have been corrected, save the file and repeat the steps given in the Loading a File section. Successful Validation 1 Once the file has passed the ACORD validator on the Direct Reporting Page, you will be presented with the following pop-up: 2 Click on OK, and the file will appear as Pending in the Status column of the submissions table. 3 The file will now be validated against the Lloyd s internal validator.

13 13 Lloyd s Validation Once the file has passed the ACORD validation, it will be processed through Lloyd s Direct Reporting using an additional validator. This performs extra validations not carried out by the ACORD validator, including checks against previous related submissions. Uploaded files are displayed in the submissions table (shown below). Files are ordered by submission date, with the most recently uploaded file listed at the top. The Status column indicates the status of the submission. It can read either Pending, Accepted, Failed, or Warnings. Pending During the validation process, the Status column of the submissions table will read as Pending. The status of the file will change to one of those listed below once the process is completed (this may take a few minutes). Accepted If the Status column reads as Accepted, the file has been validated and processed successfully. Details on reviewing submissions can be found in the Reviewing Submissions section. Failed If the Status column reads as Failed, file validation has been unsuccessful because of errors (or errors and warnings) within the file. See the Errors and Warnings section for information on what to do when this occurs. Warnings If the Status column reads as Warnings, warning messages must be reviewed by the user before the file is either confirmed or withdrawn. See the Errors and Warnings section for information on what to do when this occurs. N.B. If a file contains both errors and warnings, the Status column will display Failed.

14 14 Errors and Warnings The following sections offer help on identifying and correcting the errors and warnings found in uploaded files (displayed as Failed or Warnings in the submissions table). Errors Errors will only be displayed should the submitted file fail the Lloyd s validator (shown as Failed in the status column of the submissions table). 1 To view the errors click on the View hyperlink in the row of the file you have submitted. 2 After clicking View, Return Information will be displayed (as shown below in point 3 of this section). In this example, the validator has encountered 3 errors, shown by the (3). 3 To view error details, click on the + icon. This will open a second panel below the Error panel. 4 Alternatively, clicking on the Extract Details button will download a.csv file in Microsoft Excel, detailing all of the errors in the download. This option should be used if there are more than 10 errors within a single error category in a file, as detailed error information is limited to a maximum of 10 errors per error category on the Lloyd s Direct Reporting Return Information page. In such a case, the following message will appear: 5 Clicking on the + icon opens a second panel below the Error panel. In this example, all of the errors concern Uniqueness. Clicking on the + icon in the second row will display a breakdown of the types of error encountered.

15 15 6 Below the Uniqueness panel more specific error information is visible. To the right of each error, the number of times it occurs is given. Clicking the down arrow to the right of the number provides information on the location of the error. 7 With the location of the errors now visible (as below), these can be found within the XML file and amended. 8 Once all errors have been amended, the file can be resubmitted to Lloyd s Direct Reporting for validation. To return to the Lloyd s Direct Reporting homepage, click on the Direct Reporting Home link at the top of the page: 9 More information on submitting a file can be found in the Using Lloyd s Direct Reporting section.

16 16 Types of Error A variety of errors may be present within a submitted file. These errors can refer to the submitted file alone, or to other related files which have been submitted previously. Each type of error is explained in the table below: Associated Tax Missing Expected Value Mismatch Referential Integrity The tax(es) identified require additional taxes to be reported in conjunction. The value identified does not match the value the system is expecting to be submitted. The value identified is not valid. Referred Transaction Referencing Uniqueness Value Consistency The previous transaction referred to does not exist, or does not match the referred transaction (the transaction may not be referring to the last premium or claim transaction). The reference or value identified has been used previously when it should be unique. The value identified does not match that previously submitted. Files cannot be submitted to Lloyd s Direct Reporting until all errors have been amended.

17 17 Warnings Warnings appear when the validator identifies a possible problem with the file given. The user is then given the choice either to submit the file despite the warnings, or to withdraw it and make changes. If there are only warnings in a file, and no errors, the submissions table will show a Warnings status. If there are both errors and warnings, or only errors, it will show Failed. 1 To view the warnings, click on the View hyperlink in the row of the file you have submitted. 2 After clicking View, Return Information will be displayed (shown below). In the Validations section, the user selects either: OR I confirm I have reviewed the warning messages and that the return can be accepted with those warnings. I confirm I DO NOT want the return to be accepted with warnings and want to withdraw the file. Before making this decision, the user should read the warning details. As with errors, more information about these warnings can be found by clicking the + icon.

18 18 3 Selecting the + again will uncover another layer of detail in which information about the type of warning is presented (as shown below). The number to the right-hand side of this information indicates the number of times this type of warning is incurred within the file. By selecting the down arrow to the right of this number, the location of the data meriting the warning is displayed. 4 With the location of the relevant data now known (as below), the XML file can be amended if necessary. 5 Once the Warnings have been reviewed, the user can decide whether to confirm or withdraw the file (as shown in point 2 of this section). 6 If the file is confirmed, its status will read Accepted in the submissions table. In this case, a Return File will be generated, and can be downloaded by the user. More information on this can be found in the Reviewing Submissions section. 7 If the file is withdrawn, its status will read Withdrawn. The user has the option to amend the file and resubmit it once changes have been made.

19 19 N.B. If both warnings and errors are present, the user will not have the option to confirm or withdraw the file. This is because file cannot be accepted when there are errors present. The user will still be able to view information on both warnings and errors if this is the case (as shown below). Outstanding Warnings If there are outstanding warnings against a file loaded by users in your organisation, you will see a warning message on the Lloyd s Direct Reporting homepage (shown below). The warnings will need to be addressed before any further files can be processed. Further submissions can be made, but will appear in the table as Pending (so long as they have passed the ACORD validator). This status will not progress to another status ( Accepted, Failed, or Warnings ) until the outstanding warnings have been dealt with.

20 20 Reviewing Submissions Return File Once a file has passed the Lloyd s Direct Reporting validator, the status of the file will be marked as Accepted and a Return File will be available to download. This can be completed by clicking on the Download hyperlink in the Return File column of the submissions table. Searching for Previously Uploaded Files Lloyd s Direct Reporting provides a search facility for locating previously submitted files. The files can be filtered in a number of ways, and multiple filters can be used simultaneously. The filters are explained below: 1 Submission Year: Filters the submission files by the year they were submitted (as shown in the Submission Date column of the submissions table). Use the drop down arrow to view files from a particular year. 2 Submission Month: Filters the submission files by the month they were submitted (as shown in the Submission Date column of the submissions table). Use the drop down arrow to view files from a particular month. 3 Status: Filters the submission files by their status (as shown in the Status column of the submissions table). Use the drop down arrow to view files with a particular status. Only files with that status will be displayed. Accepted Failed Warnings Withdrawn Searches for files for which Status = Accepted. Searches for files for which Status = Failed. Searches for files for which Status = Warnings. Searches for files for which Status = Withdrawn. 4 Filename: If you know the file name (or part of the file name) you can enter text into the search bar. The search will return results containing the text you have entered. Once you have chosen your filters, begin the search by clicking Search. To Reset the Filters, click Reset. Users can also scroll through the pages in the table to view submitted files. The table is sorted by submission date, with the latest submission at the top of page 1.

21 21 Viewing Details of Previously Uploaded Files The table displays all previously submitted files which have passed the ACORD validator. These files will display a status either of Pending, Accepted, Failed, Warnings, or Withdrawn. Once it has been located, the user can view more details about the file. 1 Locate the file using the search facility (as discussed in Searching for Previous Submissions ). 2 In the Details column of the submissions table, click on the View hyperlink in the same row as the file. 3 For those files with an Accepted status, the following Return Information message will be displayed (shown below). Click on the here hyperlink to return to the Lloyd s Direct Reporting homepage. 4 Submissions with an Accepted status can be downloaded from the Lloyd s Direct Reporting home page as a Return File. To download the file, click on the Download hyperlink in the Return File column of the submissions table. 5 Submissions with a status of Failed, Warnings or Withdrawn are not available to download as they have not been processed. Although a Download hyperlink is not displayed for files with these statuses, it is still possible to view details of these files by clicking on the View hyperlink. For further information on viewing files with these statuses see the Errors and Warnings section.

22 22 Completion Logging out 6 Once you have finished your session, you can log out by clicking the LOGOUT link at the top of the page. 7 This will direct you to the Logout Confirmation page.