3 Resources

Servicing Carrier On-Site Audit

Explanation of the on-site servcing carrier audit process.

Please refer to NCCI circular NCCI POOL-IN-2017-01 titled "Pool - Indiana - 2018 On-Site Audit Servicing Carrier Audit Rating System."

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.

Audit Objectives
The on‐site servicing carrier audit process is designed to assess the effectiveness of a company’s controls and procedures for carrying out its servicing carrier responsibilities and to ensure compliance with:
  • Applicable NCCI and/or state‐specific Servicing Carrier Performance Standards
  • NCCI’s Assigned Carrier Performance Standards
  • NCCI’s Statistical Plan—2008 Edition
  • NCCI’s Servicing Carrier Reference Guide
  • Service enhancements committed to by the servicing carrier as part of the servicing carrier bid or solicitation
  • process, if applicable
  • Applicable statutes, regulations, and rules
  • Reasonable business practices as determined by NCCI and the Pool
  • Data reporting requirements and effectiveness of the carrier’s system(s) used to report data and/or information to
  • the Pool
  • Recommendations from prior on‐site servicing carrier audits performed by NCCI’s Carrier Audit Services

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