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This tip focuses on reinforcing a key purpose of the Associated Filings feature - denoting the products with which a form will be used. Updating associated filings is a faster and easier way to address a change than making a new filing simply to extend the use of a form to an additional product(s). Plus, filing associations can be added without reopening an approved filing. The purpose of this functionality is not a difference in the new SERFF platform.

By way of background, the Compact is a prior review and approval framework based on the Uniform Standards. The informational filing type is not available, and the Associated Filings feature takes its place for the purpose of extending the use of an approved form. If you have previously approved Compact product components to be used with new product components, use the Associated Filings feature to tie the filings together.

When drafting the new filing, tie the previously approved Compact product components to the new submission with the Associated Filing feature. Also, in the Filing Description, please provide details as to how the product components will be used together. The filing should communicate, by tracking number, the filing containing the most recently approved version of the component being used.  It is a best practice to provide this level of detail in the Filing Description and explain how the product components will be used. Filers can include either, or both, the SERFF or State Tracking Number(s), as well as form attachment name. 

Example language for Filing Description:
The forms in this filing will be used with previously approved Compact product components. The approved [application, rider/amendment/endorsement] can be found in filing SERFF ABCD-22222222, State tracking number IC19-32222, approved January 22, 1999. This filing is included as an associated filing.

Reminder for filers: Response deadlines in Compact filings are lifted during the transition period into the new SERFF platform for Compact filings. Until further notice, it is not necessary to request an extension of time to respond. If you experience a technical barrier or error message when submitting a response, please contact serffmodernizationquestions@naic.org.

If you have any additional questions, please reach out to the Compact Office via comments@insurancecompact.org.