Audit Protocol Sample Clauses

Audit Protocol. The PH-MCO must inform all Network Providers of the Pennsylvania MA Provider Self Audit Protocol which allows Providers to voluntarily disclose overpayments or improper payments of MA funds. This includes, but is not limited to inclusion in the provider handbooks. The PH-MCO must provide written documentation that this action has been completed. The protocol is available on the Department’s Web site at xxx.XXX.xx.xxx/ under “About DHS-Fraud and Abuse.”
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Audit Protocol. The PH-MCO must inform all Network Providers of the Pennsylvania Medical Assistance Provider Self Audit Protocol which allows Providers to voluntarily disclose overpayments or improper payments of MA funds. The protocol is available on the Department’s Web site at xxx.xxx.xxxxx.xx.xx/ under “Fraud and Abuse.”
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Audit Protocol. To ensure compliance with this Contract, the Auditor must adhere to the following protocol: Review of records: To verify the requirements of this Contract, the auditor must review at a minimum the records specified below. Tribal retailer: financial statements or purchase invoices relating to purchases of cigarettes from licensed wholesalers or other wholesalers noted under a memorandum of agreement under Part VI, financial statements or sales invoices relating to sales of stamped cigarettes, sales of exempt cigarettes, cigarette inventory, records to verify whether Tribal cigarette and sales taxes were remitted to the Tribe for deposit into Tribal accounts, and records to verify that the retail selling price included the applicable tribal taxes. Tribe: records such as account records and contract invoices necessary to verify that all Tribal cigarette tax revenue was used to fund essential government services described in Part XIII, section 8 of this Contract. Self-certified out-of-state wholesaler, self-certified Tribal wholesaler, or Tribe as own wholesaler: records noted as subject to audit in a memorandum of agreement under Part VI of this Contract. Period under review: To verify the requirements of this Contract, the auditor may review records for all years during the current appropriate audit cycle. Records relating to the period before the effective date of the Tribal cigarette tax are not open to review under this Part. Audit cycle: The audit cycle shall be no more frequently than once every four years, unless otherwise specified below. Initial review: The first required review must cover the period starting on the effective date of the tax and ending December 31, 2004. The Auditor must provide its findings by April 1, 2005. This initial review shall include all of the activities covered by the protocol. Thereafter, reviews shall take place on the regular audit cycle. Use of Tribal cigarette tax revenue: The auditor will review records of the Tribe on an annual basis, consistent with the Tribe’s fiscal year, to verify that all Tribal cigarette tax revenue was used to fund essential government services.
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Audit Protocol. To ensure compliance with this Contract, the Auditor must adhere to the following protocol: Period under review: To verify the requirements of this Contract, the Auditor must review records for all years during the current appropriate audit cycle, and may review records for earlier years only as necessary for an internal reconciliation of the person’s books. However, records relating to the period before the effective date of the Tribal cigarette tax are not open to review except to verify the quarterly average sales baseline as described in subsection 7 of this Part. In situations where the Auditor is responsible for verifying records on less than an annual basis, the period under review shall not include years previously reviewed by the Auditor, except when a violation is alleged to have occurred during the period previously reviewed. Records to be examined: To verify the requirements of this Contract, the Auditor must review at a minimum the records specified below. In all situations, the Auditor is not responsible for examining records that do not relate to the stamping, selling, or taxing activities of the Squaxin Island Tribe, unless a review of the records is necessary for an internal reconciliation of the person's books. Self-certified wholesaler and self-certified tribal tribal wholesaler: records and invoices of stamp purchases, records and invoices of sales of stamped cigarettes, stamp inventory, and the stamping process. Stamp vendor: records and invoices of stamps purchased from the stamp manufacturer, records and invoices of sales of stamps to licensed wholesalers, manufacturers, self-certified wholesalers and self-certified tribal wholesalers, or Tribal retailers, and stamp inventory. Tribal retailers: records and invoices of cigarettes purchased from licensed wholesalers, self-certified wholesalers, self-certified Tribal tribal wholesalers and manufacturers, records and invoices of cigarettes sold, cigarette inventory, and additional records necessary to verify whether Tribal cigarette tax revenue was used in accordance with the requirements of Part XIII section 8 and records to verify that the retail selling price included the applicable tribal taxes. Tribe: records necessary to verify that all Tribal cigarette tax revenue was used to fund essential government services of the Tribe.
Sample 1
Audit Protocol. To verify the requirements of this Contract, the Auditor must review records during the current appropriate audit cycle, and may review records for earlier years after the date of the signing of the contract only as necessary for an internal reconciliation of the entity’s books. Records to be examined: To verify the requirements of this Contract, the Auditor must review at a minimum the records specified below. In all situations, the Auditor is not responsible for examining records that do not relate to the stamping, selling, or taxing activities of the Tribe, unless a review of the records is necessary for an internal reconciliation of the books: Self‑certified wholesaler and self‑certified tribal wholesaler: records and invoices of cigarettes; Tribal retailers: records and invoices of cigarettes purchased from licensed wholesalers, self‑certified wholesalers, self‑certified tribal wholesalers and manufacturers, records and invoices of cigarettes sold, cigarette inventory, and additional records necessary to verify whether Tribal cigarette tax revenue was used in accordance with the requirements of Part XIII section 8 and records to verify that the retail selling price included the applicable tribal taxes; and Tribe: records necessary to verify that all Tribal cigarette tax revenue was used to fund essential government services of the Tribe and records regarding tribal tax stamps.
Sample 1
Audit Protocol. 4.1 The Auditor shall conduct on-site Audits of all Facilities according to the schedule set forth in Section 5 of this Protocol. The purpose of the on-site Audits is to assess present compliance with the CWA and RCRA at the time of the Audits. The Audits shall cover, but are not limited to, the following: • WWTPs o CWA compliance ▪ Permit compliance (as applicable: pre-treatment permits, National Pollutant Discharge Elimination System (NPDES) permits, and associated documents such as stormwater pollution prevention plans) ▪ Trucked or hauled in waste ▪ Other applicable requirements o RCRA compliance ▪ Waste characterization ▪ Waste storage ▪ Waste transportation and treatment/disposal ▪ Other applicable requirements o General CWA and RCRA requirements ▪ Availability of permits ▪ Training ▪ License status of operators ▪ Recordkeeping ▪ Reporting • Feed Xxxxx o CWA compliance ▪ Stormwater permit compliance (permits and associated documents such as stormwater pollution prevention plans) ▪ Spill prevention requirements (including Spill Prevention, Control, and Countermeasure (SPCC) plans) ▪ Other applicable requirements o RCRA compliance ▪ Waste characterization ▪ Waste storage ▪ Waste transportation and treatment/disposal ▪ Other applicable requirements o General CWA and RCRA ▪ Availability of permits ▪ Training ▪ License status of operators (if any) ▪ Recordkeeping ▪ Reporting 4.2 EPA representative(s) are welcome to observe any Audit or part thereof without prior notice. 4.3 The Auditor shall produce a report in accordance with Section 5 of this Protocol documenting the specific Findings that existed at the time of the Audit. The Auditor may in its discretion report observations that do not rise to the level of Findings, but such observations shall be listed separately.
Sample 1
Audit Protocol. 4.3.1 The Council has the right to conduct both financial and operational audits of the Subsidiaries at its discretion. The Council will provide two weeks’ notice of any such audit. 4.3.2 The Subsidiaries shall grant to the Council or its auditors the right of reasonable access to any premises of the Subsidiaries which are used in connection with the performance of the Subsidiaries’ responsibilities and obligations together with a right to reasonable access to all records. 4.3.3 The Subsidiaries shall provide or procure the provision of all reasonable assistance at all times for the purposes of carrying out an audit of the Subsidiaries. 4.3.4 The Subsidiaries shall adopt any recommendations made by the Council to improve or change its processes and records. 4.3.5 In the event of an investigation into suspected fraudulent activity or other impropriety by the Subsidiaries the Council reserves for itself or any auditor the right of immediate access to the premises and of any documents and the Subsidiaries agrees to render all necessary assistance to the conduct of such investigation at all times. 4.3.6 The Council shall use all reasonable endeavours to ensure that its auditors cause the minimum amount of disruption to the business of the Subsidiaries. 4.3.7 The Council will invite the Subsidiaries to comment on the results of any audit exercise and any proposed publication material and will take account of those comments to the extent that it deems fit in any publication.
Sample 1
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Audit Protocol. To ensure compliance with this Compact, the Auditor must adhere to the following protocol: (a) Period under review: To verify the requirements of this Compact, the Auditor must review records for all years during the current appropriate audit cycle, and may review records for earlier years only as necessary for an internal reconciliation of the person’s books. However, records relating to the period before the effective date of the Tribal cigarette tax are not open to review. In situations where the Auditor is responsible for verifying records on less than an annual basis, the period under review shall not include years previously reviewed by the Auditor, except when a violation is alleged to have occurred during the period previously reviewed. (b) Records examined: To verify the requirements of this Compact, the Auditor must review at a minimum the records specified below. In all situations, the Auditor is not responsible for examining records that do not relate to the stamping, selling, or taxing activities of the Squaxin Island Tribe, unless a review of the records is necessary for an internal reconciliation of the person's books. (i) Self-certified wholesaler and self-certified tribal wholesaler: records and invoices of stamp purchases, records and invoices of sales of stamped cigarettes, stamp inventory, and the stamping process. (ii) Tribal retailers: records and invoices of cigarettes purchased from licensed wholesalers, self-certified wholesalers, self-certified tribal wholesalers and manufacturers, records and invoices of cigarettes sold, cigarette inventory, and additional records necessary to verify whether Tribal cigarette tax revenue was used in accordance with the requirements of Part XIII section 8 and records to verify that the retail selling price included the applicable tribal taxes. (iii) Tribe: records necessary to verify that all Tribal cigarette tax revenue was used to fund essential government services of the Tribe and records regarding Tribal stamps. (iv) Tribe as wholesaler: records and invoices of cigarettes purchased from any source; records and invoices of cigarettes provided to the Tribal retailer; records and invoices of cigarettes sold to other Tribes; cigarette inventory; and additional records necessary to verify that stamps were affixed and that tax revenue was accounted for and transmitted to the proper funds and accounts.
Sample 1

Related to Audit Protocol

  • Protocol The attached Protocol shall be an integral part of this Agreement.

  • Research Use Reporting To assure adherence to NIH GDS Policy, the PI agrees to provide annual Progress Updates as part of the annual Project Renewal or Project Close-out processes, prior to the expiration of the one (1) year data access period. The PI who is seeking Renewal or Close-out of a project agree to complete the appropriate online forms and provide specific information such as how the data have been used, including publications or presentations that resulted from the use of the requested dataset(s), a summary of any plans for future research use (if the PI is seeking renewal), any violations of the terms of access described within this Agreement and the implemented remediation, and information on any downstream intellectual property generated from the data. The PI also may include general comments regarding suggestions for improving the data access process in general. Information provided in the progress updates helps NIH evaluate program activities and may be considered by the NIH GDS governance committees as part of NIH’s effort to provide ongoing stewardship of data sharing activities subject to the NIH GDS Policy.

  • Money Market Fund Compliance Testing and Reporting Services Subject to the authorization and direction of the Trust and, in each case where appropriate, the review and comment by the Trust’s independent accountants and legal counsel, and in accordance with procedures that may be established from time to time between the Trust and the Administrator, the Administrator will:

  • Project Monitoring Reporting and Evaluation The Recipient shall furnish to the Association each Project Report not later than forty-five (45) days after the end of each calendar semester, covering the calendar semester.

  • Audit Report Audits will be conducted as provided by the Single Audit Act Amendments of 1996 and OMB Circular A-133. The Department of Justice and Department of the Treasury reserve the right to conduct periodic random audits. Under penalty of perjury, the undersigned officials certify that they have read and understand their obligations under the Equitable Sharing Agreement and that the information submitted in conjunction with this Document is an accurate accounting of funds received and spent by the Agency under the Justice and/or Treasury Guides during the reporting period and that the recipient Agency is in compliance with the National Code of Professional Conduct for Asset Forfeiture. The undersigned certify that the recipient Agency is in compliance with the nondiscrimination requirements of the following laws and their Department of Justice implementing regulations: Title VI of the Civil Rights Act of 1964 (42 U.S.C. § 2000d et seq.), Title IX of the Education Amendments of 1972 (20 U.S.C. § 1681 et seq.), Section 504 of the Rehabilitation Act of 1973 (29 U.S.C. § 794), and the Age Discrimination Act of 1975 (42 U.S.C. § 6101 et seq.), which prohibit discrimination on the basis of race, color, national origin, disability, or age in any federally assisted program or activity, or on the basis of sex in any federally assisted education program or activity. The Agency agrees that it will comply with all federal statutes and regulations permitting federal investigators access to records and any other sources of information as may be necessary to determine compliance with civil rights and other applicable statutes and regulations. judgment, or determination that the Agency discriminated against any person or group in violation of any of the federal civil rights statutes listed above; or (2) has the Agency entered into any settlement agreement with respect to any complaint filed with a court or administrative agency alleging that the Agency discriminated against any person or group in Signature: Name: XXXX XXXX XXXXXX Title: COMMANDER Date: E-mail: xxxx.xxxxxx@xxx.xx.xxx

  • Audit and Testing 4.1 The Contractor shall conduct tests of the processes and countermeasures contained in the Security Plan ("Security Tests") on an annual basis or as otherwise agreed by the Parties. The date, timing, content and conduct of such Security Tests shall be agreed in advance with the Authority. 4.2 The Authority shall be entitled to send a representative to witness the conduct of the Security Tests. The Contractor shall provide the Authority with the results of such tests (in a form approved by the Authority in advance) as soon as practicable after completion of each Security Test. 4.3 Without prejudice to any other right of audit or access granted to the Authority pursuant to this Contract, the Authority shall be entitled at any time and without giving notice to the Contractor to carry out such tests (including penetration tests) as it may deem necessary in relation to the Security Plan and the Contractor's compliance with and implementation of the Security Plan. The Authority may notify the Contractor of the results of such tests after completion of each such test. Security Tests shall be designed and implemented so as to minimise the impact on the delivery Services. If such tests impact adversely on its ability to deliver the Services to the agreed Service Levels, the Contractor shall be granted relief against any resultant under-performance for the period of the tests. 4.4 Where any Security Test carried out pursuant to paragraphs 4.2 or 4.3 above reveals any actual or potential security failure or weaknesses, the Contractor shall promptly notify the Authority of any changes to the Security Plan (and the implementation thereof) which the Contractor proposes to make in order to correct such failure or weakness. Subject to the Authority's approval in accordance with paragraph 3.12, the Contractor shall implement such changes to the Security Plan in accordance with the timetable agreed with the Authority or, otherwise, as soon as reasonably possible. For the avoidance of doubt, where the change to the Security Plan to address a non-compliance with the Security Policy or security requirements, the change to the Security Plan shall be at no additional cost to the Authority. For the purposes of this paragraph 4, a weakness means a vulnerability in security and a potential security failure means a possible breach of the Security Plan or security requirements.

  • Review Protocol A narrative description of how the Claims Review was conducted and what was evaluated.

  • Drug-Free Workplace Certification As required by Executive Order No. 90-5 dated April 12, 1990, issued by the Governor of Indiana, the Company hereby covenants and agrees to make a good faith effort to provide and maintain a drug-free workplace at the Project Location. The Company will give written notice to the IEDC within ten (10) days after receiving actual notice that the Company, or an employee of the Company in the State of Indiana, has been convicted of a criminal drug violation occurring in the workplace. False certification or violation of this certification may result in sanctions including, but not limited to, suspension of payments under the Agreement, termination of the Agreement and/or debarment of contracting opportunities with the State for up to three (3) years. In addition to the provisions of the above paragraph, if the total amount set forth in the Agreement is in excess of $25,000.00, the Company agrees that it will provide a drug-free workplace by: A. Publishing and providing to all of its employees a statement notifying them that the unlawful manufacture, distribution, dispensing, possession or use of a controlled substance is prohibited in the Company’s workplace, and specifying the actions that will be taken against employees for violations of such prohibition;

  • Conformity Assessment Procedures 1. Each Party shall give positive consideration to accepting the results of conformity assessment procedures of other Parties, even where those procedures differ from its own, provided it is satisfied that those procedures offer an assurance of conformity with applicable technical regulations or standards equivalent to its own procedures. 2. Each Party shall seek to enhance the acceptance of the results of conformity assessment procedures conducted in the territories of other Parties with a view to increasing efficiency, avoiding duplication and ensuring cost effectiveness of the conformity assessments. In this regard, each Party may choose, depending on the situation of the Party and the specific sectors involved, a broad range of approaches. These may include but are not limited to: (a) recognition by a Party of the results of conformity assessments performed in the territory of another Party; (b) recognition of co-operative arrangements between accreditation bodies in the territories of the Parties; (c) mutual recognition of conformity assessment procedures conducted by bodies located in the territory of each Party; (d) accreditation of conformity assessment bodies in the territory of another Party; (e) use of existing regional and international multilateral recognition agreements and arrangements; (f) designating conformity assessment bodies located in the territory of another Party to perform conformity assessment; and (g) suppliers’ declaration of conformity. 3. Each Party shall exchange information with other Parties on its experience in the development and application of the approaches in Paragraph 2(a) to (g) and other appropriate approaches with a view to facilitating the acceptance of the results of conformity assessment procedures. 4. A Party shall, upon request of another Party, explain its reasons for not accepting the results of any conformity assessment procedure performed in the territory of that other Party.

  • Audit Reports Promptly upon receipt thereof, one copy of each interim or special audit made by independent accountants of the books of the Company or any Subsidiary;

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