N.Y. Comp. Codes R. & Regs. tit. 15 § 141.6

Current through Register Vol. 46, No. 36, September 4, 2024

Section 141.6 - Monitoring adm courses

The department shall maintain high course standards to insure the integrity of the program. Sponsoring agencies shall allow and cooperate with the department's, or the department's designee's supervision and monitoring of motor vehicle accident prevention courses conducted for point and insurance reduction benefits. Sponsors must allow the department or its designee to make periodic unscheduled inspections of all sponsor facilities and records related to the delivery and administration of the ADM course.

(a) The department, the department's third party monitor, if one is selected, and the sponsors shall monitor the following areas:

(1) The parameters of program delivery and adherence to a sponsoring agency's approved course, to timeframes and internal controls and other measures to ensure that the participant receives a complete and effective course in full compliance with all applicable laws and regulations.

(2) Sponsoring agencies are responsible for policing their own program, in addition to any monitoring conducted by the department or a third party monitor selected by the department. Sponsors shall implement sufficient controls to ensure that the approved ADM course, including any timeframes, testing, identity and particiaption validation techniques, as well as customer service and support functions, remain accurate and functional at all times. System failures, unapproved changes, or absence of internal controls may result in suspension of the sponsor's ADM course.

(b) If the department is unable to engage a third party monitor, the sponsoring agencies shall procure an independent third party monitor to ensure program integrity at their own expense. The department will notify the sponsors when they will be required to procure a monitor or when a department monitor has been secured.

(1) A third party monitoring contract may include, but not be limited to the following types of oversight, as determined by the commissioner:

(i) third party monitor visits the sponsor locations on an annual basis to review compliance with DMV course requirements;

(ii) sponsors will give the third party access to information consistent with that provided to DMV;

(iii) third party monitor completes each course offering twice per quarter so as to verify all requirements are being met;

(iv) third party monitor receives regular data transmission according to a defined record format of student reporting requirements for ADM. The monitor will analyze data for trends and patterns of abuse;

(v) at least two onsite audits of the sponsor's data hosting/reporting process, policies and implementation, during the first and third year of the pilot to ensure data collected, stored and reported is consistent with what the sponsor received; and

(vi) during the onsite audit, third party monitors will review sponsor's security of motorist personal information to ensure adherence to security policies defined in Appendix A (section 141.14 of this Part).

(c) In the event that a course is monitored and found to be deficient, a review of data transmission is found to be suspect, or the review of the sponsor's hosting/reporting or security process appears deficient, a report of such deficiencies shall be reported in writing to both the department and sponsor within 24 hours of identification. When notified of a deficiency, sponsors must investigate, and where a deficiency is confirmed, provide the DMV with a remediation plan within 10 business days. The sponsor shall have 30 calendar days to correct the deficiency.

(d) DMV may periodically audit any and all sponsor records and third party monitor records related to the ADM course.

(e) DMV may, in the discretion of the commissioner, approve all third party monitors, including those procured by the sponsor. Monitors shall cooperate with the department's supervision and monitoring of ADM courses and shall allow the department access to all records related to such courses. DMV shall have the ability to contact sponsor's third party monitors directly, without prior approval of the sponsor.

(f) DMV reserves the right to review and approve the use of a third party database information for the purpose of validating student identity, including any contracts, agreements, security protocols and policies, and may consult the third party credit bureau or government data provider without permission from the sponsor.

N.Y. Comp. Codes R. & Regs. Tit. 15 § 141.6