§ 1007.17 Annual recertification of Unit. ( a ) *Information required annually for recertification.* To continue receiving payments under this part, a Unit must submit to OIG: ( 1 ) *Reapplication for recertification.* Reapplication is due at least 60 days prior to the expiration of the 12-month certification period. A reapplication must include: ( i ) A brief narrative that evaluates the Unit's performance, describes any specific problems it has had in connection with the procedures and agreements required under this part, and discusses any other matters that have impaired its effectiveness. The narrative should include any extended investigative authority approvals obtained pursuant to § 1007.11(a)(2).
( ii ) For those Units approved to conduct data mining under § 1007.20, all costs expended by the Unit attributed to data mining activities; the amount of staff time devoted to data mining activities; the number of cases generated from those activities; the outcome and status of those cases, including the expected and actual monetary recoveries (both Federal and non-Federal share); and any other relevant indicia of return on investment from such activities.
( iii ) Information requested by OIG to assess compliance with this part and adherence to MFCU performance standards, including any significant changes in the information or documentation provided to OIG in the previous reporting period.
( 2 ) *Statistical reporting.* By November 30 of each year, the Unit will submit statistical reporting for the Federal fiscal year that ended on the prior September 30 containing the following statistics: ( i ) *Unit staffing.* The number of Unit employees, categorized by attorneys, investigators, auditors, and other employees, on board, and total number of approved Unit positions;
( ii ) *Caseload.* The number of open, new, and closed cases categorized by type of case and the number of open criminal and civil cases categorized by type of provider;
( iii ) *Criminal case outcomes.* The number of criminal convictions and indictments categorized by type of case and by type of provider; the number of acquittals, dismissals, referrals for prosecution, sentences, and other nonmonetary penalties categorized by type of case; and the amount of total ordered criminal recoveries categorized by type of provider; the amount of ordered Medicaid restitution, fines ordered, investigative costs ordered, and other monetary payment ordered categorized by type of case;
( iv ) *Civil case outcomes.* The number of civil settlements and judgments and recoveries categorized by type of provider; the number of global (coordinated among a group of States) civil settlements and successful judgments; the amount of global civil recoveries to the Medicaid program; the amount of other global civil monetary recoveries; the number of other civil cases opened, filed, or referred for filing; the number of other civil case settlements and successful judgments; the amount of other civil case recoveries to the Medicaid program; the amount of other monetary recoveries; and the number of other civil cases declined or closed without successful settlement or judgment;
( v ) *Collections.* The monies actually collected on criminal and civil cases categorized by type of case; and
( vi ) *Referrals.* The number of referrals received categorized by source of referral and type of case; the number of cases opened categorized by source of referral and type of case; and the number of referrals made to other agencies categorized by type of case.
( b ) *Other information reviewed for recertification.* In addition to reviewing information required at § 1007.17(a), OIG will review, as appropriate, the following information when considering recertification of a Unit: ( 1 ) Information obtained through onsite reviews and
( 2 ) Other information OIG deems necessary or warranted.
( c ) *Basis for recertification.* In reviewing the information described at § 1007.17(a) and (b), OIG will evaluate whether the Unit has demonstrated that it effectively carries out the functions and requirements described in section 1903(q) of the Act as implemented by this part. In making that determination, OIG will take into consideration the following factors: ( 1 ) Unit's compliance with this part and other Federal regulations, including those specified in § 1007.23;
( 2 ) Unit's compliance with OIG policy transmittals;
( 3 ) Unit's adherence to MFCU performance standards as published in the Federal Register;
( 4 ) Unit's effectiveness in using its resources in investigating cases of possible fraud in the administration of the Medicaid program, the provision of medical assistance, or the activities of providers of medical assistance under the State Medicaid plan, and in prosecuting cases or cooperating with the prosecuting authorities; and
( 5 ) Unit's effectiveness in using its resources in reviewing and investigating, referring for investigation or prosecution, or criminally prosecuting complaints alleging abuse or neglect of patients or residents in health care facilities receiving payments under the State Medicaid plan and, at the Unit's option, in board and care facilities.
( d ) *Notification.* OIG will notify the Unit by the Unit's recertification date of approval or denial of the recertification reapplication. ( 1 ) *Approval subject to conditions.* OIG may impose special conditions or restrictions and may require corrective action, as provided in 45 CFR 75.207, before approving a reapplication for recertification.
( 2 ) *Written explanation for denials.* If the reapplication is denied, OIG will provide a written explanation of the findings on which the denial was based.
( e ) *Reconsideration of denial of recertification.* ( 1 ) A Unit may request that OIG reconsider a decision to deny recertification by providing written information contesting the findings on which the denial was based.
( 2 ) Within 30 days of receipt of the request for reconsideration, OIG will provide a final decision in writing, explaining its basis for approving or denying the reconsideration of recertification.