UCAA Functionality by Role

State Interface Roles, Expansion Application

Role UCAA Role Name Privileges
Compliance Certificate Preparer UCAA_STATE_COMPLIANCE_PREPARER E6 Certificate
Deposit Certificate Preparer UCAA_STATE_DEPOSIT_PREPARER E11 Certificate
Analyst/Examiner UCAA_STATE_ANALYST_EXAMINER Index of Forms
Download Filing
Download Form
Status
Send Email
View Email
Administrator UCAA_STATE_ADMINISTRATOR Receive Filing
Accept Filing
Index of Forms
Manager UCAA_STATE_MANAGER Approve Filing
Close Filing
Index of Forms

State Interface Roles, Corportate Amendments Application

Role UCAA Role Name Privileges
Compliance Certificate Preparer UCAA_CORP_STATE_COMP_PREPARER E6 Certificate
Deposit Certificate Preparer UCAA_CORP_STATE_DEP_PREPARER E11 Certificate
Analyst/Examiner UCAA_CORP_STATE_EXAMINER Index of Forms
Download Filing
Download Form
Status
Send Email
View Email
Administrator UCAA_CORP_STATE_ADMINISTRATOR Receive Filing
Accept Filing
Index of Forms
Manager UCAA_CORP_STATE_MANAGER Approve Filing
Close Filing
Index of Forms

Company Interface Roles

Role UCAA Role Name Privileges
Analyst/Examiner UCAA_COMPANY_ANALYST_EXAMINER Start New UCAA Application
View Existing UCAA Application

Manager

UCAA_COMPANY_MANAGER Complete Existing UCAA application
Amend Existing UCAA Application

UCAA Functionality Privileges Defined

Regulator (State) side

Function Definition
Index of Forms Ability to view all company submitted E forms including E6 & E11
Download Filing Ability to create a zipped (compressed) file on the users PC
Download Form Ability to download/print individual forms
Status Ability to view status information about the filing
Send Email Ability to edit email send screen and submit
View Email Ability to view email index for a filing, and view selected emails in detail
E6 Certificate Ability to complete and submit the Certificate of Compliance
E11 Certificate Ability to complete and submit the Certificate of Deposit
Receive filing Ability to indicate that all hardcopies and filing fees have been received
Accept Filing Ability to indicate that a filing has been accepted for completeness
Approve Filing Ability to indicate that a filing has been approved for admission
Close Filing Ability to indicate that a filing has been closed

Industry (Company) side

Function Definition
Checklist Functionality Access all E forms ( Either Edit or View)
Perform 6 attachments from checklist. ( Minimum Paid In Capital & Surplus requirements, Name
Approval, Narrative, Holding Company Form B Registration Statement, Statutory Membership,
Business Character Reports)
Download/Print Electronic forms
Send Email
View Email
Finish Application
Check Status
Start New UCAA Application Ability to create (edit) a filing before submission (pressing finish button). Includes all checklist functionality except finish application.
Complete Existing UCAA Application Ability to edit and view an existing filing, and submit the filing. Includes all checklist functionality
View Existing UCAA Application Ability to view the current version of a submitted filing, no edit capabilities. Checklist functionality will include access to all E forms in view mode as well as the ability to download/print all E forms. Status of the filing will also be accessible.
Amend Existing UCAA Application Ability to create a new version of a submitted filing (Amend) This implies edit capabilities as well as the ability to submit (finish button) a filing which has already been previously submitted. Includes all checklist functionality.