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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.


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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.