Office of the Medicaid Inspector General
Compliance Certification
Deficit Reduction Act (DRA) Certification

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DRA Certification

DRA Certification FAQs


This form must be completed by entities subject to the requirements of the Federal Deficit Reduction Act (DRA) of 2005 Section 6032 (42 USC §1396a(a)(68)).

This form CANNOT be used to certify that Medicaid providers have an effective compliance program as required by NYS Social Services Law (SSL) §363-d and 18 NYCRR Part 521. To determine if you must certify under §363-d and Part 521, please see the NYS Mandatory Compliance Programs Frequently Asked Questions (FAQs).

Directions:

  1. All fields marked “Required Field” must be completed before the form can be submitted.

  2. When asked for a Federal Employer Identification Number (FEIN) or Social Security Number (SSN), please use the FEIN or SSN associated with Medicaid payments. FEINs or SSNs can be found on remittance statements or the 1099 form received annually from the Medicaid program.

    If you are unsure of the correct FEIN or SSN, you may be able to confirm it by checking with your accounting or billing department. Please refer to FAQs #1 through #12 on the federal link referred to below to determine if an entity must submit a separate certification for each location or provider number.

    Your entry should not include any letters or special characters–numbers only.

  3. The Compliance Officer Information section should identify the employee of the Medicaid provider who carries out the functions required by the DRA. This person is not necessarily the person identified as the Compliance Officer for purposes of the SSL compliance program requirements.

  4. The Certifying Official should be different from the Compliance Officer for most entities. OMIG expects that the Certifying Official is a person with knowledge of the entity’s obligations under the DRA and with the entity’s performance in meeting the DRA requirements. As a result, the Certifying Official for the DRA Certification may be different from the Certifying Official used by the provider for the certification required by NYS Social Services Law (SSL) §363-d and 18 NYCRR Part 521.

  5. The Certification must be completed by the Certifying Official, not the Compliance Officer or some other person on behalf of the Medicaid provider.

  6. The Certification of compliance with the DRA’s requirements must be completed during the December that follows each federal fiscal year that the Medicaid provider directly receives or makes $5 million or more in Medicaid payments. The federal fiscal year starts on October 1 and ends on September 30.

  7. Federal FAQs related to the DRA Requirement are available at:
    Federal Link

Corporation/Provider Information

* Required Field

Federal Employer Identification Number (FEIN) (SSN IF 1099):* Re-Enter FEIN or SSN:*

Corporation/Provider Name:* , hereinafter "Provider"


Compliance Officer Information

* Required Field

First Name:* Middle Initial:
Last Name:* Suffix:
Title:*
Phone Number: (e.g.(123) 456-7890)*
Email Address:*
Re-Enter Email Address:*

Certifying Official Information

* Required Field

First Name:* Middle Initial:
Last Name:* Suffix:
Title:*
Phone Number: (e.g.(123) 456-7890)*
Email Address:*
Re-Enter Email Address:*


DRA Questions

* Required Field

In order to assist you as you complete the certification form, OMIG offers the following summary questions related to the requirements of the DRA. The summary questions are derived from 42 USC §1396a (a)(68). Once you respond to each of the following questions, the certification portion of the form will be enabled to allow you to complete the certification. Please consider each question fully and if necessary, please consult DRA authorities that are included on OMIG's website which includes links to federal websites, for more details.

* 1. Does your entity have written policies for all employees, including management, and any contractor or agent of the entity, that provide detailed information about, the Federal False Claims Act, remedies for false claims and statements, and state laws pertaining to civil or criminal penalties for false claims and statements? Yes No
* 2. Do your written policies referred to in question 1 address whistleblower protections under the Federal False Claims Act and state laws? Yes No
* 3. Do your written policies referred to in question 1 address the role of the Federal False Claims Act and state laws in preventing and detecting fraud, waste, and abuse in Federal health care programs? Yes No
* 4. Do your written policies referred to in question 1 include detailed provisions regarding the entity’s policies and procedures for detecting and preventing fraud, waste, and abuse? Yes No
* 5. Does your entity have an employee handbook? Yes No
* 6. Does the employee handbook include a specific discussion of the state and federal laws referenced above? Yes No N/A
* 7. Does the employee handbook include a specific discussion of the rights of employees to be protected as whistleblowers? Yes No N/A
* 8. Does the employee handbook include a specific discussion of the entity’s policies and procedures for detecting fraud, waste, and abuse? Yes No N/A

Certification

* Required Field

IMPORTANT: Making a false statement in this certification may subject you to criminal prosecution for a misdemeanor or felony under the New York State Penal Law or federal laws and regulations.

The person selecting the button below, declares, affirms and certifies (hereinafter “certification”) that the information entered as part of this form is true and that:

 

  1. he/she is the Certifying Official whose name and contact information appears above;
  2. the Certifying Official has undertaken due diligence and conducted all reasonable inquiry prior to making any of the statements in this certification and has sufficient knowledge to complete this form; and
  3. the Certifying Official on his/her own behalf and on behalf of the entity certifies that:
    • the entity and its affiliates have established and maintain written policies, and any employee handbook, required in accordance with 42 USC §1396a(a)(68); and
    • that the written policies and any employee handbook, required in accordance with 42 USC §1396a(a)(68) have been properly adopted and published by the entity and/or its affiliates, and disseminated among employees, contractors and agents; and
    • the written policies and any employee handbook shall be retained for a period of six years from the latter of the due date or the actual date of submission of this certification.

 

*   I agree.

Captcha

 

When you click the Submit button, a Confirmation Page will appear. Please print a copy of the Confirmation Page for your records.

Please note if you are subject to the terms of the NYS Social Services Law Section 363-d mandatory compliance program obligations, you must complete a separate SSL certification. Please return to OMIG’s Web site to complete the SSL certification if you have not already done so.