Preliminary Checklist For Advisory Opinion Requests(1)

Updated July 1999, this checklist reflects the OIG final regulations published in the Federal Register on July 16, 1998 (63 FR 38311). This version of the checklist is not substantially different from the previous versions set forth. The checklist is for informational purposes only, and should not be a substitute for reading the regulations on issuance of OIG advisory opinions.

A. Technical Requirements

  1. The requestor is a party to the arrangement. (42 CFR 1008.11) ______
  2. The request is for an existing arrangement or one which the requestor in good faith plans to undertake. (42 CFR 1008.15(a)) ______
  3. The requestor has included:
    1. A non-refundable check or money order for $250, payable to the Treasury of the United States. (42 CFR 1008.31(b) and 1008.36(b)(6)) ______ [No longer required (73 FR 15937)]
    2. A request for a written estimate of the cost involved in processing the advisory opinion. (Optional) (42 CFR 1008.31(d)(2)) ______
    3. A designated triggering dollar amount. (Optional) (42 CFR 1008.31(d)(3)) ______
    4. An original and two copies. (42 CFR 1008.36(a)) ______
    5. The name and addresses of the requestor and all other actual and potential parties to the extent known to the requestor. (42 CFR 1008.36(b)(1)) ______
    6. The name, title, address, and daytime telephone number of a contact person. (42 CFR 1008.36(b)(2)) ______
    7. Each requesting party's Taxpayer Identification Number. (42 CFR 1008.36(b)(8)) ______
    8. Full and complete information as to the identity of each entity owned or controlled by the individual, and of each person with an ownership or control interest in the entity. (42 CFR 1008.37) ______
    9. If applicable, a statement that some or all of the information or documents provided are trade secrets or are privileged or confidential commercial or financial information and are not subject to disclosure under the Freedom of Information Act (42 CFR 1008.36(b)(4)(v)) _____

B. Describing the Issues & the Arrangement

The request includes:

  1. A declaration of the subject category or categories for which the opinion is requested. (42 CFR 1008.36(b)(3)) ______
  2. A complete and specific description of all relevant information bearing on the arrangement and on the circumstances of the conduct. (42 CFR 1008.36(b)(4)) ______
  3. All relevant background information. (42 CFR 1008.36(b)(4)(i)) ______
  4. Complete copies of all operative documents, if applicable, or narrative descriptions of those documents. (42 CFR 1008.36(b)(4)) ______
  5. Detailed statements of all collateral or oral understandings (if any). (42 CFR 1008.36(b)(4)(iii)) ______

C. Certifications

  1. The request includes a signed certification that all of the information provided is true and correct and constitutes a complete description of the facts regarding which an advisory opinion is sought. (42 CFR 1008.38(a)) ______
  2. The certification is signed by -
    1. The requestor if the requestor is an individual. (42 CFR 1008.38(c)(1)) ______
    2. The CEO or comparable officer if the requestor is a corporation.(42 CFR 1008.38(c)(2)) ______
    3. The managing partner if the requestor is a partnership. (42 CFR 1008.38(c)(3)) ______
  3. If the request is for a proposed arrangement, it contains a signed certification that the arrangement is one that the requestor in good faith plans to undertake. (42 CFR 1008.38(b)) ______


1. The Office of Inspector General reserves the right to modify this checklist at any time or to request additional information not specified on this checklist.