Submitting Fraud Prevention Plans
All new fraud prevention plans (Plans), revisions, amendments, and related correspondence should be submitted to the Criminal Investigations Unit using the Department’s secure portal.
To access the DFS Portal you will need a Portal account.
Access to the Fraud Prevention Plans application
After creating a portal account, Request access to the “Fraud Prevention Plans” application.
Submitting a Fraud Prevention Plan
Note: After a successful upload of Plan files, a Submission Receipt will appear on the screen. Save a copy of this receipt! You will not be able to view the files that you uploaded once files have been submitted. The Submission Receipt is proof of your submission.
- Log in to the Portal.
- Go to My Applications, where you will see a list of applications that you are approved to access.
- Select Fraud Prevention Plans. The Submit Fraud Plan Filings screen will appear.
- Select the type of filing you wish to submit. The types of filings are as follows:
- New Plan: Select this if the insurer has never filed a Plan before
- Total Revision: Select this if the insurer is updating the entire Fraud Prevention Plan
- Amendment: Select this if the insurer wants to submit pages to be substituted for pages of the Plan currently on file or if a small number of new pages should be added to the Plan on file
- Informational: Select this to advise the Department of changes to information related to the Plan but not part of the Plan itself, such as address changes, personnel changes or holding company changes
- Select an entity. If you filing on behalf of a group, any affiliated insurer may be selected but, please select only one insurer and submit the Plan only once. It is not possible to choose multiple companies when submitting the Plan filing (as is required for the Annual SIU Report); however, we request that as part of the filing, insurers provide a list of affiliated insurers that are covered by the Plan along with the corresponding NAIC numbers.
- Select the Choose File icon. Attach each document one at a time. As each file is uploaded you will be prompted to select one category of Plan file of 11 categories provided. If a category does not exactly match one of the 11 provided, choose one that is closest to the type of document
- Click Submit. Once all files have been uploaded and you are ready to submit the Plan, click Submit.
- Save your receipt. After submitting the files, a Submission Receipt will appear on your screen which shows all files that have been submitted. Retain a copy of this screen because it is the only way to confirm which files were submitted and the date they were submitted. You will not be able to view the files after they have been submitted.
The Criminal Investigations Unit will contact you upon review of the Plan.