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Servicing Carrier On-Site Audit

Explanation of the on-site servcing carrier audit process.

The attached document contains NCCI PLAN-2004-01 titled "Plan--2004 On-Site Audit Rating System for Servicing Carriers of the National Workers Compensation Reinsurance Pool."

A uniform rating system was developed to measure compliance with NCCI’s and/or state specific
Operational Performance Standards, Coal Mine Occupational Disease (CMOD) Performance Standards, and Reporting Requirements and Procedures tested during the on-site audit.

The on-site servicing carrier audit process is designed to assess the effectiveness of a company’s controls and procedures to carry out its servicing carrier responsibilities and to ensure compliance with:
    • Applicable Indiana Servicing Carrier Performance Standards and NCCI’s Workers Compensation Statistical Plan
    • Service enhancements committed to by the carrier as a part of the servicing carrier bid or solicitation process
    • Applicable statutes, regulations, and rules
    • Recognized “best business practices”
    • Data reporting requirements and the effectiveness of the carrier’s reporting systems used to submit data and/or
    • information to the Plan and/or Pool Administrator(s) as outlined in the Servicing Carrier Reference Guide
    • Recommendations resulting from prior on-site servicing carrier audits performed by NCCI, Inc.

Related Files

The material in this document has been prepared and shared for informational purposes only and should not be relied upon as legal advice on any particular situation.