appendix iv quality assurance and program integrity - RMA USDA ...

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2014 SRA—Appendix IV 07-01-13(E)Monitoring. The Company shall articulate the process used tomonitor their Quality Control Plan. The process will assess thequality of the Company’s performance during each reinsuranceyear. This is accomplished through ongoing monitoring activities,separate evaluations, or a combination of the two. The processwill also identify how quality control deficiencies are reported upthrough the chain of command and how the most serious mattersare reported to the Company’s top management.(2) Quality control review information:(A)(B)(C)The name and title of the official in charge of quality control;The types of reviews that will be conducted and the time periodwhen such eligible crop insurance contracts will be selected foreach review; andA complete description of the process to be followed by thereviewers for conducting each of the reviews.(b)Approval of the quality control information required in subsection (a) provided bythe Company in its Plan of Operations is not a determination of the sufficiency ofthe Company’s quality controls. The sufficiency of the Company’s qualitycontrols will be determined through compliance reviews that evaluate theeffectiveness of the Quality Control Plan to ensure compliance with thisAgreement.SECTION II. TRAINING OF AGENTS, LOSS ADJUSTERS, AND OTHER PERSONNEL(a)General Company Responsibilities(1) The Company is responsible for establishing a “Training and PerformanceEvaluation Plan” (TPEP) and submitting the TPEP in the Company’s Planof Operations, in accordance with Appendix II. Nothing in theserequirements precludes the Company from providing training that exceedsthese requirements.(2) The TPEP shall:(A)State the measurement standards acceptable for:(i)(ii)Test proficiency; andSatisfactory work performance.2
2014 SRA—Appendix IV 07-01-13(B)(C)(D)Describe the internal control measures used to assign work andtrack, monitor and evaluate work performance against themeasurement standards under subparagraph (a)(2)(A);Describe the additional training and monitoring applicable to anyindividual who fails to meet the measurement standards specifiedin subparagraph (a)(2)(A);Describe the training curriculum developed from subsections (b)and (c) for:(i)(ii)(iii)(iv)New agents and new loss adjusters;Experienced agents and experienced loss adjusters;Agents and loss adjusters with deficient work performanceto meet the standards established in subsection (a)(2)(A);andEmployees performing functions relating to sales andservice, loss adjustment, and underwriting.(E)(F)(G)(H)(I)Describe the individual training for employees, agents, lossadjusters, or other affiliates with respect to specific crops, areas,and plans of insurance serviced by such individuals;List the names of the individuals responsible for the training underthe TPEP;Provide a timeline for training all individuals identified insubsection (a)(2)(D)(i-iv) prior to the time the work is performed;Describe the Company’s plan for taking corrective, follow-up, orremedial actions when additional training does not correct theidentified deficiencies.Describe the procedure for the Company to maintain, retain, andprovide to FCIC upon request:(i)(ii)The tracking and evaluations of the historical performanceof individuals identified in subsection (a)(2)(D); andRecords of all corrective, follow-up, or remedial actionstaken with respect to any individual identified in subsection(a)(2)(D).3
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