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Government Resources

The federal government web sites are excellent sources of information concerning issues that are important to, or affect the operation of, corporate compliance programs. The following are just SOME (by no means all) of the web sites that contain documents and information with which all compliance professionals should be familiar.

A. Department of Health and Human Services – Office of Inspector General

OIG Workplan 2007 (outline of major projects, including audits, investigations, enforcement actions etc. to be undertaken by the OIG during the fiscal year): http://oig.hhs.gov/publications/docs/workplan/2007/Work%20Plan%202007.pdf

OIG Red Book 2002 (describes proposed cost saving measures and actions to be taken to save money in government funded healthcare programs): http://oig.hhs.gov/publications/docs/redbook/2002%20Red%20Book.pdf

OIG Semi-Annual Reports (description of activities including enforcement procedures concluded during the relevant period – most recent reports are April-Sept 2002 and Oct-March 2002): http://oig.hhs.gov/publications/semiannual.html#1

Compliance Guidances (proposed compliance plans for specific healthcare industry segments, e.g. hospitals, small physician practices, home health agencies, labs, etc.): http://www.oig.hhs.gov/fraud/complianceguidance.html

Fraud Alerts/Bulletins (OIG notices of issues or practices that are deemed suspect and which OIG is likely to investigate in the near future): http://www.oig.hhs.gov/fraud/fraudalerts.html

OIG Advisory Opinions (formal opinions from the OIG, concerning specific arrangements, programs or activities by providers, determining whether the identified practice or program would be subject to sanction under federal law): http://oig.hhs.gov/fraud/advisoryopinions/opinions.html (for 2003 and 2002 opinions)

B. DHHS – Centers for Medicare and Medicaid Services (Medicare and Medicaid Program Manuals and Memoranda): http://www.hcfa.gov/pubforms/progman.htm

C. HIPAA Privacy Regulations (final regs published in the Federal Register 12/28/00): 65 Fed. Reg. 82462-29; text found at: http://aspe.os.dhhs.gov/admnsimp/final/PvcTxt01.htm

Final Final Privacy Regulations (incorporating changes proposed in March 2002 and additional modifications): http://www.hhs.gov/ocr/hipaa/
Final HIPAA Security Regulations (published in Federal Register on February 20, 2003): http://www.access.gpo.gov/su_docs/fedreg/a030220c.html

Final Transactions and Code Sets Regulations (published February 20, 2003):
http://www.access.gpo.gov/su_docs/fedreg/a030220c.html

Model Compliance Plan and Instructions for Electronic Filing of Plan (to obtain one year extension on October 2002 deadline for electronic health care transactions requirements): http://www.cms.hhs.gov/hipaa/hipaa2/default.asp

Office of Civil Rights (up to date postings on government actions with regard to HIPAA including first Guidance document): http://www.hhs.gov/ocr/hipaa/

FAQ (Frequently Asked Questions) Guidance Memo from OCR published in October, 2002: http://www.hhs.gov/ocr/hipaa/assist.html


D. STARK II "Final Regulations" Phase 1 (published in the Federal Register on January 4, 2001) at 66 Fed. Reg. 856; text found under Health Care Financing Administration at : http://www.access.gpo.gov/su_docs/fedreg/a010104c.html

E. US Sentencing Commission

Federal Sentencing Guidelines (including description of elements of an "effective corporate compliance program"): http://www.ussc.gov/guidelin.htm

F. US Department of Justice

"What’s Hot" page (current issues of concern or interest to the Justice Department, including areas of heightened enforcement or investigation): http://www.usdoj.gov/01whatsnew/01_3.html

G. Federal Trade Commission

Privacy Initiatives (e.g. Children’s Online Privacy Protection Rule; Gramm-Leach-Bliley Act): http://www.ftc.gov/privacy/index.html

H. Government Accounting Office (GAO)

Daybook listings (publications of reports, audits, Congressional testimony by subject areas): http://www.gao.gov/daybook/daybook.htm

I. Sarbanes-Oxley

Federal statute: http://news.findlaw.com/hdocs/docs/gwbush/sarbanesoxley072302.pdf