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HHS/OIG RIN: 0936-AA04 Publication ID: Fall 2013 
Title: ●Medicare and State Health Care Programs: Fraud and Abuse; Revisions to the Office of the Inspector General's Civil Monetary Penalty Rules 
Abstract: This rule makes changes to the Civil Monetary Penalties Law (CMPL) regulations at 42 CFR 1003 to implement authorities under the Affordable Care Act (ACA) and other statutes. ACA provides for CMPs, assessments, and exclusion for: •Failure to grant access timely access to OIG; •Ordering or prescribing while excluded; •Making false statements, omissions, or misrepresentations in an enrollment application; •Failure to return an overpayment; and •Making or using a false record or statement that is material to a false or fraudulent claim. These statutory changes are reflected in the proposed regulations. We also propose a reorganization of 42 CFR 1003 to make the regulations more accessible to the public and to add clarity to the regulatory scheme. We propose an alternate methodology for calculating penalties and assessments for employing excluded individuals in positions in which the individuals do not directly bill the Federal health care programs for furnishing items or services. We also clarify the liability guidelines under OIG authorities, including the CMPL, the Emergency Medical Treatment and Labor Act; section 1140 of the Social Security Act for conduct involving electronic mail, Internet, and telemarketing solicitations; and section 1927 of the Social Security Act for late or incomplete reporting of drug-pricing information. 
Agency: Department of Health and Human Services(HHS)  Priority: Substantive, Nonsignificant 
RIN Status: First time published in the Unified Agenda Agenda Stage of Rulemaking: Proposed Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
CFR Citation: 42 CFR 1003 and 1005   
Legal Authority: 42 USC 262a    42 USC 405(a)    42 USC 405(b)    42 USC 1302    42 USC 1320a–7    42 USC 1320a-7a    42 USC 1320a-7(c)    42 USC 1320b-10    42 USC 1320c–5    42 USC 1395dd(d)(1)    42 USC 1395mm    42 USC 1395nn(g)    42 USC 1395ss(d)    42 USC 1395w-112(b)(3)(E)    42 USC 1395w-141(i)(3)    42 USC 1395w-27(g)    42 USC 1395y(b)(3)(B)    42 USC 1396b(m)    42 USC 1396r-7(b)(3)(B)    42 USC 1396r-7(b)(3)(C)    42 USC 1396t(i)(3)    42 USC 11131c    42 USC 11137(b)(2)   
Legal Deadline:  None
Action Date FR Cite
NPRM  04/00/2014 
Regulatory Flexibility Analysis Required: No  Government Levels Affected: None 
Small Entities Affected: No  Federalism: No 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Agency Contact:
Patrice S. Drew
Regulations Analyst
Department of Health and Human Services
Office of the Inspector General
330 Independence Avenue SW.,
Washington, DC 20201
Phone:202 619-1368