Excess Line Placements - Form EfL-1 Submissions (Reg 41)
This report is due by March 15, Annually
| El-1 Report instructions (MS Excel) | General instructions for completing the report |
| El-1 Workbook (MS Excel) | The main data file to be completed and returned to the Department. |
| Policy Codes (MS Excel) | A list of policy codes and their equivalent policy type. |
| Excess Lines Brokers List (MS Excel) | A list of licensed excess lines brokers (as of December 2025). |
| El-1 Affirmation (MS Excel) | Affirmation which must be signed and returned to the Department in PDF Format. |
Instructions
Complete and submit the El-1 Workbook (MS Excel) and El-1 Affirmation (MS Excel) online.
To get started, save the file EL-1 Workbook to your computer. Open the blank report and enter the required data. Save the Affirmation to your computer as well. Fill it out as instructed in the file, and print and sign the Affirmation.
Entering Data
All data entry areas are formatted as labels.
Columns O&P (Effective & Expiration Dates): Enter dates in the form MM/DD/YY.
Column Q (Written Premium): Premiums are to be numeric, no ‘$’, no ‘.’ Use whole numbers only. If a negative value, use ‘-‘ before the number. Do not use parentheses or red.
Saving Files
A maximum of 65,000 records may be entered in each file. Each line of data describing a policy is one record.
When the file exceeds the 65,000 records limit, save each EL-1 file using your NAIC Code Number followed by three sequential digits to designate the number of the file you are saving. For example, if your NAIC Code number is 12345 and you create and save three files, they should be saved in Microsoft Excel as: 12345001.XLS; 12345002.XLS; 12345003.XLS
Specific Instructions
Do not insert blank lines; do not provide totals; do not include any text statements.
| Column A | Data Year | Year (20xx) for which data is being submitted. | 4 digit year of the report. |
|---|---|---|---|
| Column B | NAIC Code | NAIC number | Five character code as it appears on its Annual Statement. |
| Column C | Insurer Name | Company's name as it appears on its Annual Statement. | |
| Column D | Policy Code | Use the policy code numbers shown in the file "CODES.XLS". | Use single code per line. |
| Column E | Insured's Last Name | Last name of each insured or company's name | |
| Column F | Insured's First Name, MI | First name and middle initial (if any) of the insured. Otherwise leave blank. | |
| Column G | Insured's Address | The street address or PO Box of the insured. | |
| Column H | City | The city of domicile of the insured. | |
| Column I | State | The state of domicile of the insured, in two letter postal abbreviated form. | |
| Column J | Zip Code | The zip code of the insured. | Five digit only. |
| Column K | Insured's Policy # | The policy number of the insured. | |
| Column L | Broker's Last Name | Last name of the broker or Company name | |
| Column M | Broker's First Name, MI | First name and middle initial (if any) of the broker. | |
| Column N | Broker's License Number | Only enter the broker's license as a 6 or 7 digit number (No Letters). | See the file "BROKERLIST.XLS" for list of licensed excess line brokers. If a broker is not on the list, click on this link to search for the broker's licensing status: https://myportal.dfs.ny.gov/nylinxext/elprocesssearch.alice |
| Column O | Effective Date | The inception date of the policy. | Enter dates in the form MM/DD/YY. |
| Column P | Expiration Date | The expiration date of the policy. | Enter dates in the form MM/DD/YY. |
| Column Q | Written Premium | Enter gross premiums, including policy fees, plus additional premiums less return premiums. Premiums are to be numeric, no ‘$’, no ‘.’ Use whole numbers only. If a negative value, use ‘-‘ before the number. Do not use parentheses or red. | For multi state policies, when the insured's home state is New York, report the total gross premium for the policy. "Do Not allocate". |
| Column R | Direct Procured Policy | Indicate "DP" in this column, otherwise leave blank. | |
| Column S | Multi State Policy | On multi state policies, indicate "MS" in this column, otherwise leave blank. | |
| Column T | Home State | Indicate the insured's Home State for the policy. |
How to File the EL-1 report online
All excess line insurers are required to file the EL-1 report and Affirmation online through the Excess Line – Upload application on the DFS Portal.
Portal Applications and Accounts
To access the DFS Portal, you must have a portal account. Select the DFS Portal button below to log into or create your portal account. (You may need to disable any “pop-up” prevention software you have running before using this application.)
After signing in, follow these steps to obtain access to file EL-1 Excess Line – Upload report online application:
- Select “REQUEST APPS” tab.
- Select “Excess Line – Upload” to request access to the application.
- Enter either the company name or NAIC number of the company, you will see the company name and NAIC number. (If you did not see the name of company you entered, please email the company name and NAIC number to the Department for the addition.)
- Select company, then “Submit Request”.
- You will receive a message stating “your request for access has been received. You will receive an email when the request(s) is/are processed”.
After you receive the email notification granting you access, follow these steps to upload your EL-1 report online:
- Sign in using your User ID and password,
- Select “Excess Line – Upload” under the Tab “MY APPS”,
- Select the company from the list, and then select “Browse” to upload your company's file.
- After the document is loaded, choose the “Document Type” which is either EL-1 or affirmation,
- Select “Browse” to upload another file, after the document is loaded, please choose the “Document Type”, repeat this step if you have more documents.
- “Submit” after all documents have been uploaded.
- You will see a confirmation that the documents have been submitted to the Department.
After you submit all documents, the Department will review the filing and send a confirmation if the filing is complete. If the filing is incomplete, you will receive an email to revise and resubmit.
Questions?
If you have any questions,email [email protected].