The SLA accepts filings from USPS and electronically through the SLIP portal at https://slip.slacal.com. Policy filings and required forms are not accepted via email, fax, or any other method, unless specifically requested by an SLA employee.
We encourage all filers to file using our Surplus Lines Information Portal (SLIP) electronic filing system. If you are not yet signed up for SLIP, please email support@slacal.org. In your email, please include the license number under which you will be filing.
For information on how to use SLIP, please see SLIP FAQs.
Submissions
Filings should be submitted in groups of no more than 75 transactions, with a cover sheet. For SLIP entries, the cover sheet is system generated. If filings exceed 100 items monthly it is recommended submissions should be filed weekly, or at least twice monthly.
The submission cover sheet should include the following information: the assigned SLA broker number, name of the insured, whether the insured is an exempt commercial purchaser (ECP)/commercial insured, transaction type, policy number, premium amount and stamping fee, invoice date*, and percentage of the risk allocable to California for each item in the submission, with a grand total of items being filed. The listing should be in the same order as the documents in the submission.
*The invoice date can be shown on your coversheet, declarations page, or endorsements; or a copy of the invoice can be attached to the policy or endorsement. (Refer to SLA Bulletin #1061.)
Click here for an example of a submission coversheet
The documents within a submission filing should be submitted in the following order: new and renewal policies, endorsements, and cancellation endorsements. The preferred document order for each new or renewal policy is as follows: the declaration page, cover note or binder, followed by forms or attachments to the policy if any, the SL-1 form, and SL-2 form (when applicable).
The state surplus line tax and stamping fee must be shown separately on the filing document.
For paper documents, all new and renewal policies and endorsements, including all non-money endorsements, for surplus line placement where California is the home state should be filed with the Surplus Line Association of California (SLA). Documents should be mailed to this address:
The Surplus Line Association of California
12667 Alcosta Boulevard, Suite 450
San Ramon, CA 94583
New Business and Renewals
For all new and renewal policies, the following documentation must be provided within 60 days of placing the insurance with a surplus lines insurer:
Paper filings must include a copy of the declaration page, certificate, cover note or binder, a completed copy of the Confidential Report of Placement (SL-1 form), and a completed copy of the Diligent Search Report (SL-2 form) unless the type of risk or coverage meets the Export List requirements and/or the insured qualifies under the NRRA Exempt Commercial Purchaser/Commercial Insured.
Electronic filings must include an uploaded copy of the declaration page, certificate, cover note or binder. Electronic submissions must include an uploaded copy of the completed Confidential Report of Placement (SL-1 form) or completion of the electronic SL-1 form, and an uploaded copy of the completed Diligent Search Report (SL-2 form) or completion of the electronic SL-2 form. (If the risk or type of coverage meets the Export List requirements and/or the insured qualifies under the NRRA definition of an Exempt Commercial Purchaser/Commercial Insured, the SL-2 form is not required.)
The surplus line broker who signs the SL-1 form must retain the original in his/her file. The agent, broker or surplus line broker who signs the SL-2 form must maintain the original and send copies to all other agents, brokers, or surplus line brokers involved in the transaction. (Refer to SLA Bulletin #831 for additional information.)
Scanned copies will meet the recordkeeping requirements of Section 2190 to 2190.7 of the California Code of Regulations. The scanned copies must be a full replica of the document, clearly legible, and in a format that does not allow editing. (Refer to SLA Bulletin #1127.)
Endorsements and Cancellations
For all endorsements and cancellations, the following documentation must be provided:
- Paper filings must include a copy of the addendum or endorsement.
- Electronic filings must include an uploaded copy of the addendum or endorsement.
Extensions Endorsements over 90 days in the Aggregate in a 12 Month Period
For all endorsements extending the policy term for more than 90 days in the aggregate in a 12 month period, the following documentation must be provided:
Paper filings must include a copy of the addendum or endorsement, a copy of the completed SL-1 Form, and a copy of the completed SL-2 Form (If the risk or type of coverage meets the Export List requirements and/or the insured meets the NRRA Exempt Commercial Purchaser/Commercial Insured qualifications, the SL-2 form is not required.)
Electronic filings must include an uploaded copy of the addendum or endorsement, an uploaded copy of the completed SL-1 form or completion of the electronic SL-1 form, and an uploaded copy of the completed SL-2 form or completion of the electronic SL-2 form. (If the risk or type of coverage meets the Export List requirements and/or the insured meets the NRRA Exempt Commercial Purchaser/Commercial Insured qualifications, the SL-2 form is not required.)
Non money or nil endorsements
Non-money or nil endorsements (with the exception of extension endorsements) should be submitted separately with a cover sheet that only states Non-money endorsements. Each non-money endorsement does not have to be listed on the cover sheet.