Uniform Certificate of Authority Application (UCAA)

Uniform Certificate of Authority Application (UCAA)
Regulator UCAA Information
Electronic Application

The Uniform Certificate of Authority Application (UCAA) process is designed to allow insurers to file copies of the same application for admission in numerous states. Each state that accepts the UCAA is designated as a uniform state. While each uniform state still performs its own independent review of each application, the need to file different applications, in different formats, has been eliminated for all states that accept the uniform application.

The UCAA includes three applications. The Primary Application is for use by newly formed companies seeking a Certificate of Authority in their domicile state and by companies wishing to re-domesticate to a uniform state. The Expansion Application is for use by companies in good standing in their state of domicile that wish to expand their business into a uniform state. The Corporate Amendments Application is for use by an existing insurer for requesting amendments to its certificate of authority.

What are Uniform States?
A Uniform State is one that has committed to streamlining the application approval process by accepting the UCAA for company admissions. All states are accepting the UCAA and are considered Uniform States.

In the following web pages, you will find a detailed explanation of the various admission requirements for the Primary, Expansion and Corporate Amendments Applications. You will also find instructions designed to assist you with preparing and submitting the necessary documentation. Each state's review process may follow slightly different time lines to complete a comprehensive and detailed operational and financial review of the applicant's business. All Uniform States share a standard goal of processing Primary Applications within 90 days of receipt and Expansion and Corporate Amendments Applications within 60 days of receipt. Please be aware that due to the varying resources in each state, the actual length of review may vary by state.

Which application should I use?
If you are applying to admit a newly formed stand-alone or affiliate insurance company, or to re-domesticate into a Uniform State, you will need to file a Primary Application. Also, if you are applying to admit an alien insurer in its first state, you will need to file a Primary Application.

If you are an existing company and would like to obtain a Certificate of Authority in uniform states, please use the Expansion Application, available in electronic format . 

If you are an existing company and would like to amend your Certificate of Authority, such as adding or deleting lines of business, please use the Corporate Amendments Application, also available in electronic format.

What's New
Primary Application Instructions
Expansion Application Instructions
Corporate Amendments Application Instructions
State Retaliatory Information
Third-Party Vendors for Background Reports
Biographical Verification Report Instructions
REACAP - Review of Electronic Application Coordination and Processing
FAQs - General
FAQs - Biographical Affidavits
FAQs - Electronic Application
UCAA Manual
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UCAA Questions
Jane Barr
816-783-8413
jbarr@naic.org

Crystal Brown
816-783-8146
cbrown@naic.org

User ID/UCAA Roles

Help Desk
816-783-8500
help@naic.org

Instructions for Proposal Forms

UCAA Proposal Forms
UCAA Webinar Training
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UCAA Forms
Form # Form Name
Format
1P Primary Checklist
1E Expansion Checklist
1C Corporate Amendments Checklist
2P Primary Application
2E Expansion Application
2C Corporate Amendments Applications
3 Lines of Insurance
6 Certificate of Compliance
7 Certificate of Deposit
8 Questionnaire (Primary and Expansion)
8C Questionnaire (Corporate Amendments)
11 NAIC Biographical Affidavit
12 Uniform Consent to Service of Process (Expansion and Corporate Amendments Only)
13 ProForma Financial Statements
(Property/Casualty Companies)
13 ProForma Financial Statements
(Life/Health Companies)
13 ProForma Financial Statements
(Title Companies)
13 ProForma Financial Statements
(Health Companies)
14 Change of Address/ Contact Notification Form
15 Affidavit of Lost Certificate of Authority
16a Statement of Voluntary Dissolution
16a Statement of Voluntary Dissolution Instructions
16b Statement of Voluntary Dissolution-RRGs
17 Statement of Withdrawal

UCAA State Charts

Addresses and Contact Information for Submission of Application
Amended Articles-Bylaws
Certificate of Compliance and Certificate of Deposit Requirements
Change in Control of Foreign (Non-Domestic) Insurers
Deleting Lines of Business 
Filing Fees — Corporate Amendments 
Filing Fees Matrix — Corporate Amendments
Filing Fees — Primary or Expansion Application 
Fingerprints and Biographical Affidavit Requirements 
Foreign Insurance Company Withdrawal
Lines of Business Matrix
Minimum Capital and Surplus 
Name Approval 
Public Records Package 
Redomestication
Reports of Examination 
Seasoning Requirements
Signature Requirements - Biographical Affidavits and Uniform Consent to Service of Process
Statutory Deposit
Statutory Membership 
Use of Fictitious Names
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UCAA State-Specific Information

Some jurisdictions may require additional authorizations other than a Certificate of Authority. The information provided in this section is intended to assist applicants in obtaining all necessary approvals. Click the links below to access specific information for that state. Click here to link to the state department of insurance main web sites.

Alabama Kentucky North Dakota
Alaska Louisiana Ohio
Arizona Maine Oklahoma
Arkansas Maryland Oregon
California Massachusetts Pennsylvania
Colorado Michigan Puerto Rico
Connecticut Minnesota Rhode Island
Delaware Mississippi South Carolina
District of Columbia Missouri South Dakota
Florida Montana Tennessee
Georgia Nebraska Texas
Hawaii Nevada Utah
Idaho New Hampshire Vermont
Illinois New Jersey Virginia
Indiana New Mexico Washington
Iowa New York West Virginia
Kansas North Carolina Wisconsin
    Wyoming
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