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| Policy Compliance & Documentation (STEP) | | |
| Policy Effective Date (DATE) | | |
| Policy Expiration Date (DATE) | | |
| Policy Number (NUMBER) | | |
| Policy Form Type (SELECTION options: Standard Form, Customized Form, Endorsement Form) | | |
| Summary of Coverage Terms (TEXT) | | |
| Copy of Policy Document (UPLOAD) | | |
| Regulatory Compliance Status (SELECTION options: Compliant, Non-Compliant, Pending Review) | | |
| Jurisdiction/State (TEXT) | | |
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| Claims Management Process (STEP) | | |
| Date of Loss Reported (DATE) | | |
| Claim Number (NUMBER) | | |
| Claim Type (SELECTION options: Property Damage, Bodily Injury, Liability, Other) | | |
| Description of Loss (TEXT) | | |
| Estimated Loss Amount (NUMBER) | | |
| Claim Status (SELECTION options: Open, Investigation, Settled, Denied) | | |
| Date of First Payment (DATE) | | |
| Claims Adjuster Signature (SIGNATURE) | | |
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| Underwriting Practices (STEP) | | |
| Average Loss Ratio (Last 3 Years) (NUMBER) | | |
| Underwriting Guideline Adherence (SELECTION options: Fully Compliant, Partially Compliant, Not Compliant) | | |
| Last Underwriting Guideline Review Date (DATE) | | |
| Summary of Recent Underwriting Risks Identified (TEXT) | | |
| Types of Risks Currently Underwritten (SELECTION options: Property, Liability, Workers Compensation, Commercial Auto, Professional Liability) | | |
| Average Policy Premium (NUMBER) | | |
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| Reinsurance Program (STEP) | | |
| Total Reinsurance Recoverable (USD) (NUMBER) | | |
| Reinsurance Type (e.g., Proportional, Excess of Loss) (SELECTION options: Proportional, Excess of Loss, Quota Share, Unilateral Cash Collateral) | | |
| Last Reinsurance Treaty Renewal Date (DATE) | | |
| Summary of Key Reinsurance Treaty Terms (TEXT) | | |
| Reinsurance Treaty Document(s) (UPLOAD) | | |
| Primary Reinsurer Credit Rating (SELECTION options: AAA, AA, A, BBB, BB, Below Investment Grade) | | |
| Percentage of Risk Reinsured (NUMBER) | | |
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| Financial Reporting & Controls (STEP) | | |
| Total Premium Revenue (Year-to-Date) (NUMBER) | | |
| Net Income/Loss (Year-to-Date) (NUMBER) | | |
| Date of Last Financial Statement Review (DATE) | | |
| Audit Opinion Type (SELECTION options: Unqualified, Qualified, Adverse, Disclaimer) | | |
| Summary of Significant Accounting Policies (TEXT) | | |
| Supporting Financial Documentation (e.g., Trial Balance) (UPLOAD) | | |
| Reserve Adequacy Ratio (NUMBER) | | |
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| Regulatory Compliance (STEP) | | |
| Last Regulatory Exam Date (DATE) | | |
| Primary Regulatory Body (SELECTION options: State Insurance Department, Federal Government Agency, Other) | | |
| Summary of Findings from Last Exam (TEXT) | | |
| Number of Open Regulatory Issues (NUMBER) | | |
| Applicable Regulations (Select all that apply) (SELECTION options: NAIC Model Laws, GLBA, HIPAA, State-Specific Regulations) | | |
| Copy of Exam Report (UPLOAD) | | |
| Date of Next Scheduled Exam (DATE) | | |
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| Data Security & Privacy (STEP) | | |
| Compliance Framework Adherence (e.g., GDPR, CCPA) (SELECTION options: GDPR, CCPA, Other (Specify in Long Text)) | | |
| Specify 'Other' Compliance Framework (if selected above) (TEXT) | | |
| Number of Data Breach Incidents in Last Year (NUMBER) | | |
| Last Data Security Risk Assessment Date (DATE) | | |
| Data Encryption Methods Implemented (SELECTION options: At Rest, In Transit, None) | | |
| Data Access Controls (SELECTION options: Role-Based Access, Least Privilege, Other (Specify)) | | |
| Specify 'Other' Data Access Controls (if selected above) (TEXT) | | |
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| Business Continuity & Disaster Recovery (STEP) | | |
| Last BC/DR Plan Review Date (DATE) | | |
| Summary of Key Changes Since Last Review (TEXT) | | |
| BC/DR Plan Testing Frequency (SELECTION options: Annually, Bi-Annually, Quarterly, As Needed) | | |
| Date of Last BC/DR Test (DATE) | | |
| Summary of Test Results & Findings (TEXT) | | |
| Critical Systems Tested (SELECTION options: Core Insurance System, Claims Processing System, Customer Relationship Management (CRM), Financial Systems, Email Servers, Data Backup and Recovery Systems) | | |
| Recovery Time Objective (RTO) - Hours (NUMBER) | | |
| Recovery Point Objective (RPO) - Hours (NUMBER) | | |
| BC/DR Plan Document (UPLOAD) | | |
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| Customer Relationship Management (STEP) | | |
| Number of Customer Complaints Received (NUMBER) | | |
| Complaint Resolution Time Adherence (SELECTION options: Within SLA, Slightly Outside SLA, Significantly Outside SLA) | | |
| Summary of Recent Customer Feedback Trends (TEXT) | | |
| Channels Used for Customer Communication (SELECTION options: Email, Phone, Chat, Mail) | | |
| Date of Last Customer Satisfaction Survey (DATE) | | |
| Agent Training on Customer Service Best Practices (SELECTION options: Completed, In Progress, Not Started) | | |
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| Internal Controls Effectiveness (STEP) | | |
| Overall Internal Control Rating (SELECTION options: Satisfactory, Needs Improvement, Unsatisfactory) | | |
| Number of Control Deficiencies Identified (NUMBER) | | |
| Summary of Key Control Deficiencies (TEXT) | | |
| Management Response to Control Deficiencies (SELECTION options: Adequate, Needs Improvement, Not Provided) | | |
| Date of Last Control Self-Assessment (DATE) | | |
| Reviewer Signature (SIGNATURE) | | |