Understanding Agency L&C Setup > Validation Rules

Jim Friend -

Validation rules define the requirements that a producer's profile must contain before that producer can create an appointment request in SureLC.  They do NOT affect an agency worker's ability to create appointment requests on behalf of the producer.  This article describes how to configure your agency's validation rules.   

 

Validation Rules 

To access the validation rules login to SureLC, select Agency L&C Setup and on the General Info tab click on the Validation Rules button. The following window will be shown which is made up of 2 sections. 

 

1. The top half of the validation rules window is used to first select what to review or modify such as the default settings assigned to new producers, or the required settings for a specific affiliation. 

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Please note that the default rules apply to all affiliations "by default". You can see which affiliations are inheriting the default rules by hovering your mouse pointer over the text below the top box as shown here:

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You can set different validation rules for each affiliation by selecting that affiliation, changing the options on the bottom half of the window, then clicking the Apply button. After doing so that affiliation will no longer appear in the list of those inheriting the default rules.

2. The bottom half of the Validation Rules screen shows the settings that can be mandated as required by producers BEFORE they can submit appointment requests. Any setting that has the check box selected is required. Please review the setting definitions below to become familiar with each setting BEFORE making any changes to these rules. 

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After making changes to ANY of these settings you MUST click the Apply button before they will go into effect. The following message will be shown on the bottom of the top box  after making changes as a reminder:

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Validation Rule Definitions

 

Signature 

Signature Authorization - When checked a signature authorization and digital signature MUST be provided by the producer within the producer profile on the Scan tab.  

Questions 

All Answered - When checked ALL questions MUST be answered on the questions tab within the producer profile.

Explanation - When checked ALL questions that were answered ‘yes’ MUST have an explanation attached.

Date - When checked ALL questions that were answered 'yes' MUST also have an incident date specified. 


EFT 

EFT Data - When checked and producer’s DBA setting is configured as either Individual or Business Entity they MUST provide the required EFT information in the producer (for an Individual) or firm (for a Business Entity) profile. This includes the bank transit/routing number, account number, and type to be used for electronic fund transfers. 

Voided Check - When checked a voided check MUST be provided as part of the EFT settings within the producer profile. This only applies to producers with DBA set to individual or business entity. 


E&O 

E&O Data -  When checked E&O (Errors & Omissions) policy information MUST be provided. This includes the policy #, certificate #, carrier name, case limit, total limit, effective date and expiration date.

E&O Certificate - When checked a copy of the E&O certificate MUST be provided along with the E&O data.

Training 

Finra - Selection of the “Finra” checkbox means that the producer MUST be registered with the Financial Industry Regulatory Authority and provide their CRD# within the producer profile on the Training tab.

AML - Selection of the “AML” checkbox means that producers are required to provide the required Anti-Money Laundering training course completion data (training provider & training completion date). AML training is regarded as expired if completed more than 2 years prior to the current date.

Annuity certificate - When checked an 'Annuity Certification' form must be uploaded on the SCAN tab of the producer profile.

LTC certificate - When checked an 'LTC' certificate form must be uploaded on the SCAN tab of the producer profile.

AHIP certificate - When checked an 'AHIP Certificate' form must be uploaded on the SCAN tab of the producer profile.

(Click here to learn more about the SCAN tab and how to specify the form type of uploaded documents.)

Articles of Incorporation

Articles of Incorporation - When checked an 'Articles of Incorporation’ document must be uploaded on the producer profile SCAN tab. 

 

 

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