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Oversight and Enforcement Policies and Procedures for QEs为减小监管与执行的政策与程序.docx

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Oversight and Enforcement Policies and Procedures for QEs为减小监管与执行的政策与程序

Oversight EnforcementPolicies and Procedures for QEsVersion 1.1REVISED 10/25/13As developed through the New York Statewide Collaboration Process (SCP)INTRODUCTIONThe purpose of this document is to provide a high level description of the procedures by which the Oversight Entity (as defined below) or its designee will perform basic oversight over Qualified Entities (QEs).? This includes requirements for routine internal QE self-audits, procedures for complaint handling, external monitoring, audits, and investigations as well as any enforcement actions that may result from those activities by the Oversight Entity. ?? Out of scope for this document are activities related to (a)?responding to allegations of privacy breaches, which are to be handled in accordance with applicable law and theStatewide Policy Guidance Privacy and Security Policies and Procedures for QEs and their Participants, (b)?investigations in response to subpoenas from law enforcement and other government agencies and (c) responding to allegations of breach of the Qualified Entity Participation Agreement.Alleged privacy breaches and investigations by government agencies are to be reported to the Oversight Entity and may result in the Oversight Entity initiating additional investigations and audits as it sees fit to perform adequate oversight.??Those additional investigations and audits would follow the procedures described in the external audit and/or investigation section of the policies and procedures described herein. In order for a QE to participate in the SHIN-NY, a QE must comply with applicable State and Federal law and the Certification Requirements, which are designed to protect and maintain the reliability, accuracy and integrity of the SHIN-NY. The Certification Requirements fall into the following four categories, and such categories are more specifically described in the Qualified Entity (QE) Organizational Characteristics Requirements, as amended from time-to-time:Organizational Chara