Maintain Background Investigation

Displays summary information of the producer record currently open for review and/or updating.

Fields and controls in the Record Summary section include the following:

• Search Producer: Click the link to start a new search for a producer record. For more information, see Searching for Records.
• [Producer Name]: Displays the name of the individual or firm producer whose record currently is open in theReview/Update Producerpage. An icon to the left of the producer name signifies the producer's entity type, either individual () or firm ().Click the producer name link to refresh the producer record that is currently open in the Review/Update Producer page or to re-open the producer's record in the Review/Update Producer page from any other page in the system.
• Rating: If a producer has been assigned a productivity rating (no stars, meaning “not rated;” one star, “poor;” two stars, “satisfactory;” three stars, “good;” four stars, “outstanding;” or the symbol signifying a “Do Not Contract” alert), the display-only rating will appear to the right of the producer’s name.
• SSN: Individual producers only. Displays an individual producer's Social Security Number. The Social Security Number can be set per security role to mask the first five digits and display only the last four digits. For more information, see Maintain Security Role.
• EIN: Firm producers only. Displays a firm producer's Federal Employer Identification Number.
• External System ID: Displays the producer's identifier code in the external system that has been Vertafore-configured as your company's "preferred" system. For more information, see External System IDs, Configuration Options, and Advanced Producer Search.
• Active BU: Displays the short name of the business units to which a producer is actively assigned (sorted alphabetically). To expand the field to display all active business units, click the node ().
• NPN: Displays a producer's unique National Producer Number, assigned by the National Insurance Producer Registry (NIPR).
• Resident State/License: Displays the codes of the states that a producer claims as a resident state for licensing purposes (sorted alphabetically) and the producer's license numbers in those states. Includes active or inactive licenses. To expand the field to display all resident states and license numbers, click the node ().
• Additional States/Licenses: Displays the codes of the states in which the producer holds non-resident licenses (sorted alphabetically) and the license numbers in those states. Includes active or inactive licenses. To expand the field to display all resident states and license numbers, click the node ().
• Producer Contracting Workflow: If your company uses the onboarding and maintenance transaction component of the Sircon Platform, Producer Express, and a producer currently is associated with a request record in Producer Express, you can click the number in the field to launch Producer Express and view or work with the request record. (For more information, see the Sircon Producer Express Online Help.)
• Missing Required Information Alert: Displays an alert that the producer record lacks information that has been configured to be required in your company's deployment of the Sircon Platform. A producer record deficient of required information is considered "incomplete," and appointment or termination requests may not be submitted for the producer until the deficiency is corrected. Review the Quick Links box to identify and correct the specific details sections in the record with missing required information. For more information, see Configuration Options.
• CE Compliance: Display-only indication of a producer’s unfulfilled continuing education requirements. Indication will not appear if producer is current with continuing education requirements. Available by Vertafore configuration only; for more information, seeConfiguration Options.

Displays information about a selected background investigation on a producer that was either submitted through PLM (Producer Manager/Producer Express) or obtained offline and added manually to the producer's record.

Fields and controls include the following:

• BI Firm Name: Required. If the background investigation was submitted through PLM (Producer Manager/Producer Express), displays the name of the background investigation firm to which a BI request was submitted or from which BI results were returned and is not editable. If the background investigation was obtained offline and added manually to the producer's record, you may edit the value. Minimum 2 characters; maximum 72 characters. May not contain double quote characters.

• Request Date: Required. If the background investigation was submitted through PLM (Producer Manager/Producer Express), displays the date on which the BI was requested and is not editable. If the background investigation was obtained offline and added manually to the producer's record, you may edit the value. Use the mmddyyyy date format. Or, click the Calendar button () to open a popup calendar from which you can click to select a date. Must be on or before the Status Date.

• BI Status: Required. If the background investigation was submitted through PLM (Producer Manager/Producer Express), displays a value representing the current status of the BI request (e.g., BI Firm is Processing Request, Error, Processed, Pending Submission, Submitted) and is not editable. If the background investigation was obtained offline and added manually to the producer's record, you may edit the value.

• Status Date: Required. If the background investigation was submitted through PLM (Producer Manager/Producer Express), displays the date on which the value of the BI Status field last was updated and is not editable. If the background investigation was obtained offline and added manually to the producer's record, you may edit the value. Use the mmddyyyy date format. Or, click the Calendar button () to open a popup calendar from which you can click to select a date.

• BI Result: If the background investigation was submitted through PLM (Producer Manager/Producer Express), displays a value representing the result of the BI as reported by the BI firm (e.g., Fail, Pass, Review) and is not editable. If the background investigation was obtained offline and added manually to the producer's record, you may edit the value.

• BI Result Date: Required if a value is entered forBI Result. If the background investigation was submitted through PLM (Producer Manager/Producer Express), displays the date on which the value of the BI Result field last was updated and is not editable. If the background investigation was obtained offline and added manually to the producer's record, you may edit the value. Use the mmddyyyy date format. Or, click the Calendar button () to open a popup calendar from which you can click to select a date. Must be on or after the Status Date.

• Last Reviewed By: Display only. Displays the last name and first name of the staff member or name of the staff member who last updated the background investigation information.

• Last Reviewed On: Display only. Displays the date on which the background investigation information last was updated.

• Review Result: From the dropdown menu, select a value representing the result of your company's internal review of the BI results (e.g., Fail, Pass, Review).

• Result Details URL: If the background investigation was submitted through PLM (Producer Manager/Producer Express), displays the web address of the BI firm's website, where an authorized user may log in to review detailed BI results, and is not editable. If the background investigation was obtained offline and added manually to the producer's record, you may edit the value. Enter the address using the full, standard URL formatting (e.g., http://www.vertafore.com). Maximum 255 characters.

• View: Click the link to open in a separate browser window the web page associated with the web address displaying in the Result Details URL field.

• Result Comment: If the background investigation was submitted through PLM (Producer Manager/Producer Express), displays a comment returned with processing from the background investigation vendor and is not editable. If the background investigation was obtained offline and added manually to the producer's record, you may edit the value. Enter a free-form text comment. Maximum 1000 characters.

• Cost Center: Display only. Displays the cost center to which the fees for the background investigation transaction were assigned.

• SIRCON Request ID: Display only. Populated only if the background investigation was submitted through PLM (Producer Manager/Producer Express). Displays the system-internal identifier of the background investigation transaction.

• Error Description: Display only. Populated only if the background investigation was submitted through PLM (Producer Manager/Producer Express). If the value of the BI Status field is "Error," displays a description of the processing error.

• BI Types: At least one required. If the background investigation was submitted through PLM (Producer Manager/Producer Express), displays the specific background investigation types requested on the select producer and is not editable. If the background investigation was obtained offline and added manually to the producer's record, you may edit the value. Click to checkmark one or multiple checkboxes to select specific background investigation types to record for the select producer.

Displays a table listing all appointments or appointment requests that are tied to a selected background investigation.

Fields and controls include the following:

• : For each appointment listed, click to expand the record row to display additional information about an appointment and its related background investigation. Expanded fields include the following:

• BI Processing Instruction: Displays the user-selected action that the system will take on an appointment request based on the results of the selected background investigation.

• Processing Status: Displays the current processing status of an appointment request that is tied to the background investigation.

• Processed By: Displays the last and first name of the staff member who submitted a selected appointment.

• Processed On: Displays the date on which a selected appointment that is tied to the background investigation was submitted.

• : Click to collapse an expanded record row.

• State: For each appointment listed, displays the two-letter code abbreviation of the state to which the appointment request was submitted.

• Company Name: For each appointment listed, displays the name of the appointing company for which the appointment request was submitted.

• Appointment Type: For each appointment listed, displays the appointment type requested for the selected producer and submitted to the state.

• Request Type: For each appointment listed, displays the transmission method of the appointment request.

• Status: For each appointment listed, displays the processing status of the appointment request.

• Effective Date: For each appointment listed, displays the date on which the appointment was requested to become effective.

• Actions: For each appointment listed, displays the following controls:

• None: Click to trigger the system to perform no action on the appointment that is tied to the selected background investigation.

• Submit Appointment Request: Click to trigger the system to submit the appointment request.

• Abort Appointment Request: Click to trigger the system to cancel the appointment request.

• Terminate Appointments: Click to open the Terminate Appointments page, where you can record termination of the selected appointment(s) on the producer's record or submit electronic termination requests to the state.

[Topic Under Development]

Fields and controls include the following:

• Save: Click to validate entered information. If validation is successful, the information is saved and/or the system will perform the action specified in the Actions field of the Related Appointment Requests section. If validation fails, the related error messages are displayed when the page is refreshed.

• Return: Click to open the selected producer's record in the Review/Update Producer page. If you made updates or selections on the page but did not first click the Save button, the system will not save information or submit transactions.