[Federal Register Volume 69, Number 127 (Friday, July 2, 2004)]
[Notices]
[Pages 40386-40391]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-15058]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Office of Inspector General


Statement of Organization, Functions, and Delegations of 
Authority

    This notice amends Part A (Office of the Secretary) of the 
Statement of Organization, Functions, and Delegations of Authority for 
the Department of Health and Human Services (HHS) to reflect a 
realignment of functions within the Office of Inspector General's (OIG) 
Immediate Office of the Inspector General (IOIG), Office of Management 
and Policy (OMP), Office of Evaluation and Inspections (OEI), Office of 
Counsel to the Inspector General (OCIG), Office of Audit Services 
(OAS), and Office of Investigations (OI). The statement of 
organization, functions, and delegations of authority conforms to and 
carries out the statutory requirements for operating OIG. Chapter AF 
was last published in its entirety on October 28, 1997.
    The realignment of functions within IOIG, OMP, OEI, OCIG, OAS, and 
OI has been done to allow greater staff flexibility and to better 
reflect the current work environment and priorities within OIG. In 
addition, this notice sets forth a number of technical changes in 
Chapter AF that serve to update references to office titles and clarify 
OIG's organizational structure and responsibilities with respect to 
information technology.
    As amended, Chapter AF now reads as follows:

Section AF.00, Office of Inspector General--Mission

    The Office of Inspector General (OIG) was established by law as an 
independent and objective oversight unit of the Department to carry out 
the mission of promoting economy, efficiency and effectiveness through 
the elimination of waste, abuse and fraud. In furtherance of this 
mission, the organization:
    A. Conducts and supervises audits, investigations, inspections and 
evaluations relating to HHS programs and operations.
    B. Identifies systemic weaknesses giving rise to opportunities for 
fraud and abuse in HHS programs and operations and makes 
recommendations to prevent their recurrence.
    C. Leads and coordinates activities to prevent and detect fraud and 
abuse in HHS programs and operations.
    D. Detects wrongdoers and abusers of HHS programs and beneficiaries 
so appropriate remedies may be brought to bear.
    E. Keeps the Secretary and the Congress fully and currently 
informed about problems and deficiencies in the administration of HHS 
programs and operations and about the need for and progress of 
corrective action, including imposing sanctions against providers of 
health care under Medicare and Medicaid who commit certain prohibited 
acts.
    In support of its mission, OIG carries out and maintains an 
internal quality assurance system and a peer review system with other 
Offices of Inspectors General, including periodic quality assessment 
studies and quality control reviews, to provide reasonable assurance 
that applicable laws, regulations, policies, procedures, standards, and 
other requirements are followed, are effective, and are functioning as 
intended in OIG operations.

Section AF.10, Office of Inspector General--Organization

    There is at the head of OIG a statutory Inspector General, 
appointed by the President and confirmed by the Senate. This office 
consists of six organizational units:
    A. Immediate Office of the Inspector General (AFA).
    B. Office of Management and Policy (AFC).
    C. Office of Evaluation and Inspections (AFE).
    D. Office of Counsel to the Inspector General (AFG).
    E. Office of Audit Services (AFH).
    F. Office of Investigations (AFJ).

Section AF.20, Office of Inspector General--Functions

    The component sections that follow describe the specific functions 
of the organization.

Section AFA.00, Immediate Office of the Inspector General--Mission

    The Immediate Office of the Inspector General (IOIG) is directly 
responsible for meeting the statutory mission of OIG as a whole and for 
promoting effective OIG internal quality assurance systems, including 
quality assessment studies and quality control reviews of OIG processes 
and products. The office also plans, conducts and participates in a 
variety of interagency cooperative projects and undertakings relating 
to fraud and abuse with the Department of Justice (DOJ), the Centers 
for Medicare & Medicaid Services (CMS) and other governmental agencies, 
and is responsible for the reporting and legislative and regulatory 
review functions required by the Inspector General Act.

Section AFA.10, Immediate Office of the Inspector General--Organization

    IOIG is comprised of the Inspector General, the Principal Deputy 
Inspector General and an immediate office staff, including the Office 
of External Affairs.

Section AFA.20, Immediate Office of the Inspector General--Functions

    As the senior official of the organization, the Inspector General 
supervises the Chief Counsel to the Inspector General and the Deputy 
Inspectors General who head the major OIG components. The Inspector 
General is appointed by the President, with the advice and consent of 
the Senate, and reports to and is under the general supervision of the 
Secretary or, to the extent such authority is delegated, the Deputy 
Secretary, but does not report to and is not subject to supervision by 
any other officer in the Department. In keeping with the independence 
conferred by the Inspectors General Act, the Inspector General assumes 
and exercises, through line management, all functional authorities 
related to the administration and management of OIG and all mission-
related authorities stated or implied in the law or delegated directly 
from the Secretary.
    The Inspector General provides executive leadership to the 
organization and exercises general supervision over the personnel and 
functions of its major components. The Inspector General determines the 
budget needs of OIG, sets OIG policies and priorities, oversees OIG 
operations and provides reports to the Secretary and the Congress. By 
statute, the Inspector General exercises general personnel authority, 
e.g., selection, promotion, and assignment of employees, including 
members of the senior executive service. The Inspector General 
delegates related authorities as appropriate.
    The Principal Deputy Inspector General assists the Inspector 
General in the management of OIG, and during the absence of the 
Inspector General, acts as the Inspector General.
    The Office of External Affairs is comprised of three components--
Public Affairs, Legislative and Regulatory Affairs, and the Executive 
Secretariat. The office conducts and coordinates reviews of existing 
and proposed legislation and regulations related to HHS programs and 
operations to

[[Page 40387]]

identify their impact on economy and efficiency and their potential for 
fraud and abuse. It serves as contact for the press and electronic 
media and serves as OIG congressional liaison. The office prepares or 
coordinates congressional testimony and confers with officials in the 
Office of the Secretary staff divisions on congressional relations, 
legislation and public affairs. The office compiles the Office of 
Inspector General Semiannual Report to the Congress and certain 
legislatively mandated reports to the Congress. It develops and 
publishes OIG newsletters and other issuances to announce and promote 
OIG activities and accomplishments. The office also has primary 
responsibility for developing and promulgating all OIG regulations for 
codification into the Code of Federal Regulations, and for preparing 
all OIG related notices and other documents for Federal Register 
publication.

Section AFC.00, Office of Management and Policy--Mission

    The Office of Management and Policy (OMP) provides mission support 
services to the Inspector General and other components. The office 
formulates and executes the budget, develops functional policies for 
the general management of OIG, and manages information technology 
resources.
    In support of its mission, the office carries out and maintains an 
internal quality assurance system. The system includes quality control 
reviews of OMP processes and products to ensure that policies and 
procedures are followed effectively and function as intended.

Section AFC.10, Office of Management and Policy--Organization

    The office is directed by the Deputy Inspector General for 
Management and Policy and the Assistant Inspector General for 
Information Technology. The office is comprised of the following 
components:
    A. Administrative Operations.
    B. Information Technology.
    C. Planning and Performance.

Section AFC.20, Office of Management and Policy--Functions

A. Administrative Operations

    The office formulates and oversees the execution of the budget and 
confers with the Office of the Secretary, the Office of Management and 
Budget, and the Congress on budget issues. It issues quarterly grants 
to States for Medicaid Fraud Control Units. It conducts management 
studies and analyzes and establishes and coordinates general management 
policies for OIG and publishes those policies in the OIG Administrative 
Manual. It serves as OIG liaison to the Office of the Secretary for 
personnel issues and other administrative policies and practices, and 
on equal employment opportunity and other civil rights matters. It 
coordinates internal control reviews for OIG.

B. Information Technology

    The office is responsible for information resources management 
(IRM), as defined by the Paperwork Reduction Act, OMB Circular A-130, 
the Federal Information Resources Management regulations, the Computer 
Security Act of 1987, the Clinger-Cohen Act, the Federal Information 
Security Management Act of 2002, HHS IRM Circulars, and by related 
guidance. The office also provides nationwide information technology 
support to OIG through management of its local area networks, provision 
of computer end-user and direct mission information technology (IT) 
support, maintenance of OIG information systems, and safeguarding 
sensitive information and IT resources. The Assistant Inspector General 
for Information Technology, who reports to the Inspector General 
through the Deputy Inspector General for Management and Policy, serves 
as Chief Information Officer. In addition, the office operates a toll-
free hotline for OIG to permit individuals to call in suspected fraud, 
waste, or abuse; refers the calls for appropriate action by HHS 
agencies or other OIG components; and analyzes the body of calls to 
identify trends and patterns of fraud and abuse needing attention.

C. Planning and Performance

    This office coordinates the development of the work planning 
process, including strategic long-range planning, tactical planning and 
the annual work plan coordination and production. It also is 
responsible for overseeing emergency operations and national security 
classification policy, and for coordinating updates of the Red Book, 
which addresses unimplemented OIG recommendations to reduce fraud, 
waste and abuse.

Section AFE.00, Office of Evaluation and Inspections--Mission

    The Office of Evaluation and Inspections (OEI) is responsible for 
conducting a comprehensive set of in-depth evaluations of HHS programs, 
operations and processes to identify vulnerabilities, to prevent and 
detect fraud, waste and abuse, and to promote efficiency and 
effectiveness in HHS programs and operations.

Section AFE.10, Office of Evaluation and Inspections--Organization

    This office is comprised of the following components:
    A. Immediate Office.
    B. Policy and Oversight Division.
    C. Program Evaluations Division.
    D. Regional Operations.
    E. Technical Support Staff.

Section AFE.20, Office of Evaluation and Inspections--Functions

A. Immediate Office of the Deputy Inspector General for OEI

    This office is directed by the Deputy Inspector General for OEI 
who, with the assistance of an Assistant Inspector General, is 
responsible for carrying out OIG's evaluations mission and supervises 
the Directors for Policy and Oversight, Program Evaluations, Regional 
Operations, and Technical Support. This office is also responsible for 
the oversight of the State Medicaid Fraud Control Units and for 
certifying and recertifying these units and for auditing their Federal 
funding.

B. Policy and Oversight

    This office develops OEI's evaluation and inspection policies, 
procedures and standards. It manages OEI's human and financial 
resources; develops and monitors OEI's management information systems; 
and conducts management reviews within the HHS/OIG and for other OIGs 
upon request. The office carries out and maintains an internal quality 
assurance system. The system includes quality assessment studies and 
quality control reviews of OEI processes and products to ensure that 
policies and procedures are effective, are followed, and are 
functioning as intended.

C. Program Evaluations

    This office manages OEI's work planning process, and develops and 
reviews legislative, regulatory and program proposals to reduce 
vulnerabilities to fraud, waste and mismanagement. It develops 
evaluation techniques and coordinates projects with other OIG and 
Departmental components. It provides programmatic expertise and 
information on new programs, procedures, regulations and statutes to 
OEI regional offices. It maintains liaison with other components in the 
Department, follows up on implementation of corrective action 
recommendations, evaluates the actions taken to resolve problems and 
vulnerabilities identified, and provides additional data or corrective 
action options, where appropriate.

[[Page 40388]]

D. Regional Operations

    This office is responsible for OEI's mission in the field. The 
regional offices conduct extensive evaluations of HHS programs and 
produce the results in inspection reports. They conduct data and trend 
analyses of major HHS initiatives to determine the effects of current 
policies and practices on program efficiency and effectiveness. They 
recommend changes in program policies, regulations and laws to improve 
efficiency and effectiveness, and to prevent fraud, abuse, waste and 
mismanagement. They analyze existing policies to evaluate options for 
future policy, regulatory and legislative improvement.

E. Technical Support

    This office provides statistical and database advice and services 
for inspections conducted by the regional offices. It carries out 
analyses of large databases to identify potential areas of fraud and 
abuse and provides technical assistance to the regional offices for 
these purposes.

Section AFG.00, Office of Counsel to the Inspector General--Mission

    The Office of Counsel to the Inspector General (OCIG) is 
responsible for providing all legal services and advice to the 
Inspector General, Principal Deputy Inspector General and all the 
subordinate components of the Office of Inspector General, in 
connection with OIG operations and administration, OIG fraud and abuse 
enforcement and compliance activities, and OIG activities designed to 
promote efficiency and economy in the Department's programs and 
operations. OCIG is also responsible for proposing and litigating civil 
money penalty (CMP) and program exclusion cases within the jurisdiction 
of OIG, for coordinating False Claims Act and criminal, civil and 
administrative fraud and abuse law enforcement matters, and for 
resolving voluntary disclosure cases. OCIG develops guidance to assist 
providers in establishing compliance programs; monitors ongoing 
compliance of providers subject to integrity agreements; and promotes 
industry awareness through the issuance of advisory opinions, fraud 
alerts, and special advisory bulletins.

Section AFG.10, Office of Counsel to the Inspector General--
Organization

    The office is directed by the Chief Counsel to the Inspector 
General and the Assistant Inspector General for Legal Affairs. The 
office is comprised of the following components:
    A. Advice.
    B. Administrative and Civil Remedies.
    C. Industry Guidance.

Section AFG.20, Office of Counsel to the Inspector General--Functions

A. Advice

    This office provides legal advice to the various components of OIG 
on issues that arise in the exercise of OIG's responsibilities under 
the Inspector General Act of 1978. Such issues include the scope and 
exercise of the Inspector General's authorities and responsibilities; 
investigative techniques and procedures (including criminal procedure); 
the sufficiency and impact of legislative proposals affecting OIG; and 
the conduct and resolution of investigations, audits and inspections. 
The office evaluates the legal sufficiency of OIG recommendations and 
develops formal legal opinions to support these recommendations. When 
appropriate, the office coordinates formal legal opinions with the HHS 
Office of the General Counsel. The office provides legal advice on OIG 
internal administration and operations, including appropriations, 
delegations of authority, ethics, OIG regulations, personnel matters, 
the disclosure of information under the Freedom of Information Act and 
the safeguarding of information under the Privacy Act. The office is 
responsible for conducting and coordinating litigation activities on 
personnel and Equal Employment Opportunity matters and Federal tort 
actions involving OIG employees. The office is responsible for the 
clearance and enforcement of subpoenas issued by OIG, and defends OIG 
in litigation matters as necessary.

B. Administrative and Civil Remedies

    1. This office is responsible for determining whether to propose or 
implement administrative sanctions, including CMPs within the 
jurisdiction of OIG, assessments, and program exclusions. The office, 
in conjunction with the Office of Investigations (OI), effectuates all 
mandatory and permissive exclusions from participation in Federal 
health care programs under the Social Security Act; decides on all 
requests for reinstatement from, or waiver of, exclusions; and 
participates in developing standards governing the imposition of these 
exclusion authorities. The office litigates appeals of program 
exclusions before the Departmental Appeals Board and assists DOJ in 
handling any subsequent appeals of such cases to the Federal courts.
    2. The office reviews all cases referred by CMS under the patient 
anti-dumping authority of the Social Security Act and, where 
appropriate, proposes and litigates CMPs with respect to hospitals, and 
CMPs and program exclusions with respect to physicians, for violations 
of the patient anti-dumping statute.
    3. The office proposes and litigates CMPs, assessments and program 
exclusions under the CMP law and other CMP authorities delegated to 
OIG.
    4. In coordination with DOJ, the office handles all False Claims 
Act cases, including qui tam cases, and is responsible for final sign-
off on False Claims Act settlements for the Department, including the 
resolution of the CMP and program exclusion authorities that have been 
delegated to OIG. It participates in settlement negotiations and 
provides litigation support. The office, in conjunction with OI, 
coordinates resolution of all voluntary disclosure cases, both under 
the OIG Self-Disclosure Protocol and otherwise, through: Liaison 
activities with DOJ and the U.S. Attorney's office; the disclosure 
verification efforts of the Office of Audit Services (OAS) and OI; and 
final disposition and sign-off of the matter. The office is responsible 
for developing and maintaining a comprehensive and coordinated database 
on all settled and pending False Claims Act and CMP cases under its 
authority.
    5. The office also develops and monitors corporate and provider 
integrity programs adopted as part of settlement agreements, conducts 
on-site reviews, and develops audit and investigative review standards 
for monitoring such plans in cooperation with other OIG components. The 
office resolves breaches of integrity agreements through the 
development of corrective action plans and through the imposition of 
sanctions.

C. Industry Guidance

    This office is responsible for drafting and issuing advisory 
opinions to the health care industry and members of the public on 
whether an activity (or proposed activity) would constitute grounds for 
the imposition of a sanction under the anti-kickback statute, the CMP 
law or the program exclusion authorities, and on other issues 
pertaining to the anti-kickback statute. The office develops and 
updates procedures for the submission of requests for advisory opinions 
and for determining the fees that will be imposed. The office solicits 
and responds to proposals for new regulatory safe harbors to the anti-
kickback statute, modifications to existing safe harbors, and new fraud 
alerts. The office consults with DOJ on all proposed advisory opinions 
and safe

[[Page 40389]]

harbors before issuance or publication. The office provides legal 
advice to the various components of OIG, other offices of the 
Department, and DOJ concerning matters involving the interpretation of 
the anti-kickback statute and other legal authorities, and assists 
those components or offices in analyzing the applicability of the anti-
kickback statute to various practices or activities under review.

Section AFH.00 Office of Audit Services--Mission

    The Office of Audit Services (OAS) provides policy direction for 
and conducts and oversees comprehensive audits of HHS programs, 
operations, grantees and contractors, following generally accepted 
government auditing standards (GAGAS), the Single Audit Act of 1984, 
applicable Office of Management and Budget (OMB) circulars and other 
legal, regulatory and administrative requirements. This includes 
investigative audit work performed in conjunction with other OIG 
components. The office maintains an internal quality assurance system, 
including periodic quality assessment studies and quality control 
reviews, to provide reasonable assurance that applicable laws, 
regulations, policies, procedures, standards and other requirements are 
followed in all audit activities performed for, or on behalf of, the 
Department. In furtherance of this mission, the organization engages in 
a number of activities:
    A. The office coordinates and confers with officials of the central 
Federal management agencies (OMB, the General Accounting Office (GAO), 
the Office of Personnel Management (OPM) and the Department of the 
Treasury) on audit matters involving HHS programs and operations. It 
provides technical assistance to Federal, State and local investigative 
offices on matters involving HHS programs and operations. It 
participates in interagency efforts implementing OMB Circular 133, 
which calls for use of the single audit concept for most external 
audits, as well as reviews the quality of those audits as they pertain 
to HHS oversight responsibilities. It performs audits of activities 
administered by other Federal departments, following the system of 
audit cognizance administered by OMB. It participates in the 
President's Council on Integrity and Efficiency (PCIE) initiatives and 
other governmentwide projects; works with other OIG components on 
special assignments and projects; and responds to congressional 
oversight interests related to audit matters in the Department.
    B. The office provides comprehensive audit services to HHS 
operating divisions (OPDIVs) and the Office of the Secretary staff 
divisions (STAFFDIVs) in their development of program policies and 
management of grants and procurement and in their establishment of 
indirect cost rates. The office also performs pre-award audits of grant 
or contract proposals to determine the financial capability of the 
grantees or contractors and conducts post-award audits.
    C. The office reviews legislative, regulatory and policy proposals 
for audit implications. It recommends improvements in the 
accountability and integrity features of legislation, regulations and 
policy. It prepares reports of audits and special studies for the 
Secretary, heads of HHS OPDIVs, regional directors and others. It 
gathers data on unresolved audit findings for the statutorily required 
semiannual reports to the Congress and reconciles resolution data with 
the Department OPDIVs as required by the Inspector General Act of 1978, 
as amended by Inspector General Act Amendments of 1988 (Pub. L. 100-
504). It conducts follow-up examinations and special analyses of 
actions taken on previously reported audit findings and recommendations 
to ensure completeness and propriety. The office provides input to the 
Office of Inspector General Semiannual Report to the Congress and 
produces summaries for both (1) the Orange Book--a summary of 
unimplemented program and management improvements recommended--and (2) 
the Red Book--a summary of significant monetary recommendations not yet 
implemented.
    D. The office serves as the focal point for all financial 
management audit activity within the Department and provides the 
primary liaison conduit between the OIG and Departmental management. It 
also provides overall leadership and direction in carrying out the 
responsibilities mandated under the Chief Financial Officers Act 
relating to financial statement audits.

Section AFH.10, Office of Audit Services--Organization

    The office is comprised of the following components:
    A. Immediate Office.
    B. Financial Management, Regional Operations, and Information 
Technology Audits
    C. Centers for Medicare and Medicaid Services Audits.
    D. Grants and Internal Activities Audits.
    E. Audit Management and Policy.

Section AFH.20. Office of Audit Services--Functions

A. Immediate Office of the Deputy Inspector General for Audit Services

    This office is directed by the Deputy Inspector General for Audit 
Services who carries out the functions designated in the law (section 
3(d)(1) of the Inspectors General Act) for the position, Assistant 
Inspector General for Auditing. The Deputy Inspector General for Audit 
Services is responsible to the Inspector General for carrying out OIG's 
audit mission and supervises the Assistant Inspectors General heading 
OAS offices described below.

B. Financial Management, Regional Operations, and Information 
Technology Audits

    This office is directed by the Assistant Inspector General for 
Financial Management and Regional Operations. In addition to directing 
this office, the Assistant Inspector General supervises the eight 
Regional Inspectors General for Audit Services. The office's principal 
functions include the direct-line responsibility for audits of 
financial statements and financial statement-related audits, including 
internal audits of functional areas within the Department, and 
directing field audit operations.
    1. The office serves as the focal point for all financial statement 
and financial statement-related audit activity within the Department 
and serves as the primary liaison conduit between OIG and Departmental 
management.
    2. The office provides oversight for audits of governments, 
universities and nonprofit organizations conducted by non Federal 
auditors (external audit resources) and those under contract with OIG.
    3. The office reviews the design, development and maintenance of 
Department computer-based systems through the conduct of comprehensive 
audits of general and application controls in accordance with GAO's 
Federal Information System Controls Audit Manual and develops and 
applies advanced computer-based audit techniques for use in detecting 
fraud, waste and abuse in HHS programs.
    4. The office maintains an internal quality assurance system that 
provides reasonable assurance that applicable laws, regulations, 
policies, procedures, standards and other requirements are followed in 
all financial management audit activities performed by the office, or 
on behalf of the Department.

[[Page 40390]]

C. Centers for Medicare and Medicaid Services Audits

    This office is directed by the Assistant Inspector General for 
Centers for Medicare and Medicaid Services (CMS) Audits. The office 
conducts audits of CMS program operations and oversees nationwide the 
audits of the Medicare and Medicaid programs, their contractors, and 
providers of services and products. It maintains an internal quality 
assurance system to provide reasonable assurance that applicable laws, 
regulations, policies, procedures, standards and other requirements are 
followed in all CMS audit activities performed by, or on behalf of, the 
Department.

D. Grants and Internal Activities Audits

    This office is directed by the Assistant Inspector General for 
Grants and Internal Activities Audits. The office conducts and oversees 
audits of the operations and programs of the Administration for 
Children and Families, the Administration on Aging, and the Public 
Health programs, as well as Statewide cost allocation plans. It 
maintains an internal quality assurance system, including periodic 
quality control reviews, to provide reasonable assurance that 
applicable laws, regulations, policies, procedures, standards and other 
requirements are followed in its audit activities.

E. Audit Management and Policy

    This office is directed by the Assistant Inspector General for 
Audit Management and Policy. The office manages the human and financial 
resources of OAS, including developing staffing allocation plans and 
issuing policy for, coordinating and monitoring all budget, staffing, 
recruiting, and training activities of the office. It maintains a 
professional development program for office staff, which meets the 
requirements of Government auditing standards. The office evaluates 
audit work, including performing quality control reviews of audit 
reports, and coordinates the development of and monitors audit work 
plans. It operates and maintains an OAS-wide quality assurance program 
that includes the conduct of periodic quality control reviews. It 
develops audit policy, procedures, standards, criteria and instructions 
to be followed by OAS staff in conducting audits of Departmental 
programs, grants, contracts or operations. Such policy is developed in 
accordance with GAGAS and other legal, regulatory and administrative 
requirements. The office tracks, monitors and reports on audit 
resolution and follow-up in accordance with OMB Circular A-50, ``Audit 
Follow-up,'' and the 1988 Inspector General Act Amendments. The office 
coordinates with other OIG components in developing the Work Plan and 
provides input to the Office of Inspector Semiannual Report to the 
Congress.

Section AFJ.00, Office of Investigations--Mission

    The Office of Investigations (OI) is responsible for conducting and 
coordinating investigative activities related to allegations of fraud, 
waste, abuse and mismanagement in HHS programs by applicants, grantees, 
contractors, or by HHS employees in the performance of their official 
duties. It serves as OIG liaison to DOJ on all matters relating to 
investigations of HHS programs and personnel, and reports to the 
Attorney General when OIG has reasonable grounds to believe Federal 
criminal law has been violated. The office serves as a liaison with 
CMS, State licensing boards, and other outside organizations and 
entities with regard to exclusion, compliance and enforcement 
activities. It works with other investigative agencies and 
organizations on special projects and assignments. In support of its 
mission, the office carries out and maintains an internal quality 
assurance system. The system includes quality assessment studies and 
quality control reviews of OI processes and products to ensure that 
policies and procedures are followed effectively, and are functioning 
as intended.

Section AFJ.10, Office of Investigations--Organization

    This office comprises the following components:
    A. Immediate Office.
    B. Investigative Operations.
    C. Investigative Oversight and Support.

Section AFJ.20, Office of Investigations--Functions

A. Immediate Office of the Deputy Inspector General for Investigations

    This office is directed by the Deputy Inspector General for 
Investigations who is responsible for the functions designated in the 
law for the position, Assistant Inspector General for Investigations. 
The Deputy Inspector General for Investigations supervises the 
Assistant Inspector General for Investigative Operations and the 
Assistant Inspector General for Investigative Oversight and Support who 
head the offices described below.
    The Deputy Inspector General for Investigations is responsible to 
the Inspector General for carrying out the investigative mission of OIG 
and for leading and providing general supervision to the investigative 
component. The Immediate Office coordinates quality assurance studies 
to ensure that applicable laws, regulations, policies, procedures, 
standards and other requirements are followed in all investigative 
activities performed by, or on behalf of, the Department.

B. Investigative Operations

    The Assistant Inspector General for Investigative Operations, who 
supervises a headquarters staff and the Special Agents in Charge, 
directs this office.
    1. The headquarters staff assists the Deputy Inspector General for 
Investigations in establishing investigative priorities, evaluating the 
progress of investigations, and reporting to the Inspector General on 
the effectiveness of investigative efforts. It develops and implements 
investigative techniques, programs, guidelines, and policies. It 
provides programmatic expertise and issues information on new programs, 
regulations and statutes. It directs and coordinates the investigative 
regional offices.
    2. The headquarters staff reviews completed reports of 
investigations to ensure accuracy and compliance with guidelines. It 
issues the reports to pertinent agencies, management officials and the 
Secretary and recommends appropriate debarment actions, administrative 
sanctions, CMPs and other civil actions, or prosecution under criminal 
law. It identifies systemic and programmatic vulnerabilities in the 
Department's operations and makes recommendations for change to the 
appropriate managers. The office reviews proposed legislation, 
regulations, policies and procedures to identify vulnerabilities and 
recommends modification where appropriate. The office coordinates with 
the other OIG components in developing the Work Plan and provides input 
to the Office of Inspector General Semiannual Report to the Congress. 
It reviews investigative files in response to Privacy and Freedom of 
Information Act requests, and serves as OIG liaison to the Office of 
the Secretary for Freedom of Information and Privacy Act requests.
    3. The staff provides for the personal protection of the Secretary.
    4. The regional offices conduct investigations of allegations of 
fraud, waste, abuse, mismanagement and violations of standards of 
conduct within the jurisdiction of OIG in their assigned geographic 
areas. They coordinate investigations and confer

[[Page 40391]]

with HHS operating divisions, staff divisions, OIG counterparts and 
other investigative and law enforcement agencies. They prepare 
investigative and management improvement reports.
    5. The office maintains an automated data and management 
information system used by all OI managers and investigators. It 
provides technical expertise on computer applications for 
investigations and coordinates and approves investigative computer 
matches with other agencies. The office directs and manages criminal 
investigations into electronic and/or computer-related violations.
    6. The office develops all health care mandatory and permissive 
program exclusions, and ensures enforcement of exclusions imposed 
through liaison with CMS, DOJ and other governmental and private sector 
entities. It is responsible for developing, improving and maintaining a 
comprehensive OIG database on all OIG exclusion actions, and promptly 
and accurately reports all exclusion actions within its authority to 
the database. It informs appropriate regulatory agencies, health care 
providers and the general public of all OIG exclusion actions, and is 
responsible for improving public access to information on these 
exclusion actions to ensure that excluded individuals and entities are 
effectively barred from program participation.

C. Investigative Oversight and Support

    This office is directed by the Assistant Inspector General for 
Investigative Oversight and Support who performs the general management 
functions of the office.
    1. This office manages the human and financial resources of OI, 
including developing staffing allocation plans and issuing policy for 
coordination and monitoring all budget, staffing and recruiting.
    2. This office plans, develops, implements and evaluates all levels 
of employee training for investigators, managers, support staff and 
other personnel. It oversees a law enforcement techniques and equipment 
program.
    3. This office coordinates the general management processes, 
implements policies and procedures published in the OIG Administrative 
Manual and elsewhere. It also coordinates a national inspection program 
to ensure compliance with the Federal Managers Financial Integrity Act, 
the President's Council on Integrity and Efficiency, and Attorney 
General guidelines.

    Dated: June 1, 2004.
Dara Corrigan,
Acting Principal Deputy Inspector General.
[FR Doc. 04-15058 Filed 7-1-04; 8:45 am]
BILLING CODE 4152-01-P