Compliance Program Documentation Sample Clauses
Compliance Program Documentation. 1. Information relative to internal and external compliance investigations should be retained for at least six (6) years.
2. All communications with state agencies relative to compliance issues should be maintained indefinitely.
3. All telephone or oral communications with federal or state agencies relating to compliance, including fiscal intermediaries or carriers, should be confirmed in writing with such federal or state agency and shall include date and time of communication, person spoken to, and any information or comments relative to the issues being discussed and shall be maintained indefinitely.
4. All formal communications from federal or state agencies regarding specific compliance issues, including investigative demands, subpoenas, and other requests for records, should be retained indefinitely, along with the supporting documentation. Subject: Class: Number: Compliance Corporate Integrity Agreement Policies and 011 Information and Procedures Records Retention Policy ( ) Complete Revision Supersedes: Page 3 of 4 (x) Partial Revision ( ) New
5. Monitoring data relative to compliance indicators, random samples, and ongoing internal auditing should be retained for the same periods that related billing and reimbursement documentation is maintained.
6. Other documentation that would support the effectiveness and integrity of the compliance process should be maintained for at least six (6) years. This may include:
a. Training materials, educational information, presentation handouts, sign-in sheets, acknowledgment sheets, or other supporting materials;
b. Minutes of compliance committee meetings, sign in sheets, and handout materials;
c. Internal reports or plans of action relative to compliance issues;
d. External reports, audits, or assessments relative to the compliance process or specific investigative activity;
e. Final reports to the Corporate Compliance Committee regarding compliance assessments or investigations, findings, corrective actions, and other actions;
f. Complete copies of all documentation surrounding or supporting self-reporting of compliance issues to OIG and/or to federal or state agencies;
g. Copies of all reports and notices required by the CIA including but not limited to Reportable Events, annual and Implementation Reports, Notices of Closure or Establishment of business locations, reports of overpayments, changes in the Compliance Committee or job functions of the Compliance Officer, disclosure logs, and exclusion screening ...