[Code of Federal Regulations] [Title 42, Volume 2] [Revised as of October 1, 2005] From the U.S. Government Printing Office via GPO Access [CITE: 42CFR411.1] [Page 376-379] TITLE 42--PUBLIC HEALTH CHAPTER IV--CENTERS FOR MEDICARE & MEDICAID SERVICES, DEPARTMENT OF HEALTH AND HUMAN SERVICES PART 411_EXCLUSIONS FROM MEDICARE AND LIMITATIONS ON MEDICARE PAYMENT --Table of Contents Subpart A_General Exclusions and Exclusion of Particular Services Sec. 411.1 Basis and scope. Subpart A_General Exclusions and Exclusion of Particular Services Sec. 411.1 Basis and scope. 411.2 Conclusive effect of QIO determinations on payment of claims. 411.4 Services for which neither the beneficiary nor any other person is legally obligated to pay. 411.6 Services furnished by a Federal provider of services or other Federal agency. 411.7 Services that must be furnished at public expense under a Federal law or Federal Government contract. 411.8 Services paid for by a Government entity. 411.9 Services furnished outside the United States. 411.10 Services required as a result of war. [[Page 377]] 411.12 Charges imposed by an immediate relative or member of the beneficiary's household. 411.15 Particular services excluded from coverage. Subpart B_Insurance Coverage That Limits Medicare Payment: General Provisions 411.20 Basis and scope. 411.21 Definitions. 411.23 Beneficiary's cooperation. 411.24 Recovery of conditional payments. 411.25 Third party payer's notice of mistaken Medicare primary payment. 411.26 Subrogation and right to intervene. 411.28 Waiver of recovery and compromise of claims. 411.30 Effect of third party payment on benefit utilization and deductibles. 411.31 Authority to bill third party payers for full charges. 411.32 Basis for Medicare secondary payments. 411.33 Amount of Medicare secondary payment. 411.35 Limitations on charges to a beneficiary or other party when a workers' compensation plan, a no-fault insurer, or an employer group health plan is primary payer. 411.37 Amount of Medicare recovery when a third party payment is made as a result of a judgment or settlement. Subpart C_Limitations on Medicare Payment for Services Covered Under Workers' Compensation 411.40 General provisions. 411.43 Beneficiary's responsibility with respect to workers' compensation. 411.45 Basis for conditional Medicare payment in workers' compensation cases. 411.46 Lump-sum payments. 411.47 Apportionment of a lump-sum compromise settlement of a workers' compensation claim. Subpart D_Limitations on Medicare Payment for Services Covered Under Liability or No-Fault Insurance 411.50 General provisions. 411.51 Beneficiary's responsibility with respect to no-fault insurance. 411.52 Basis for conditional Medicare payment in liability cases. 411.53 Basis for conditional Medicare payment in no-fault cases. 411.54 Limitation on charges when a beneficiary has received a liability insurance payment or has a claim pending against a liability insurer. Subpart E_Limitations on Payment for Services Covered Under Group Health Plans: General Provisions 411.100 Basis and scope. 411.101 Definitions. 411.102 Basic prohibitions and requirements. 411.103 Prohibition against financial and other incentives. 411.104 Current employment status. 411.106 Aggregation rules. 411.108 Taking into account entitlement to Medicare. 411.110 Basis for determination of nonconformance. 411.112 Documentation of conformance. 411.114 Determination of nonconformance. 411.115 Notice of determination of nonconformance. 411.120 Appeals. 411.121 Hearing procedures. 411.122 Hearing officer's decision. 411.124 Administrator's review of hearing decision. 411.126 Reopening of determinations and decisions. 411.130 Referral to Internal Revenue Service (IRS). Subpart F_Special Rules: Individuals Eligible or Entitled on the Basis of ESRD, Who Are Also Covered Under Group Health Plans 411.160 Scope. 411.161 Prohibition against taking into account Medicare eligibility or entitlement or differentiating benefits. 411.162 Medicare benefits secondary to group health plan benefits. 411.163 Coordination of benefits: Dual entitlement situations. 411.165 Basis for conditional Medicare payments. Subpart G_Special Rules: Aged Beneficiaries and Spouses Who Are Also Covered Under Group Health Plans 411.170 General provisions. 411.172 Medicare benefits secondary to group health plan benefits. 411.175 Basis for Medicare primary payments. Subpart H_Special Rules: Disabled Beneficiaries Who Are Also Covered Under Large Group Health Plans 411.200 Basis. 411.201 Definitions. 411.204 Medicare benefits secondary to LGHP benefits. [[Page 378]] 411.206 Basis for Medicare primary payments and limits on secondary payments. Subpart I [Reserved] Subpart J_Financial Relationships Between Physicians and Entities Furnishing Designated Health Services 411.350 Scope of subpart. 411.351 Definitions. 411.352 Group practice. 411.353 Prohibition on certain referrals by physicians and limitations on billing. 411.354 Financial relationship, compensation, and ownership or investment interest. 411.355 General exceptions to the referral prohibition related to both ownership/investment and compensation. 411.356 Exceptions to the referral prohibition related to ownership or investment interests. 411.357 Exceptions to the referral prohibition related to compensation arrangements. 411.361 Reporting requirements. Subpart K_Payment for Certain Excluded Services 411.370 Advisory opinions relating to physician referrals. 411.372 Procedure for submitting a request. 411.373 Certification. 411.375 Fees for the cost of advisory opinions. 411.377 Expert opinions from outside sources. 411.378 Withdrawing a request. 411.379 When CMS accepts a request. 411.380 When CMS issues a formal advisory opinion. 411.382 CMS's right to rescind advisory opinions. 411.384 Disclosing advisory opinions and supporting information. 411.386 CMS's advisory opinions as exclusive. 411.387 Parties affected by advisory opinions. 411.388 When advisory opinions are not admissible evidence. 411.389 Range of the advisory opinion. Subpart K_Payment for Certain Excluded Services 411.400 Payment for custodial care and services not reasonable and necessary. 411.402 Indemnification of beneficiary. 411.404 Criteria for determining that a beneficiary knew that services were excluded from coverage as custodial care or as not reasonable and necessary. 411.406 Criteria for determining that a provider, practitioner, or supplier knew that services were excluded from coverage as custodial care or as not reasonable and necessary. 411.408 Refunds of amounts collected for physician services not reasonable and necessary, payment not accepted on an assignment-related basis. Authority: Secs. 1102, 1860D-1 through 1860D-42, and 1871 of the Social Security Act (42 U.S.C. 1302, 1395 w-101 through 1395w-152, and 1395hh). Source: 54 FR 41734, Oct. 11, 1989, unless otherwise noted. (a) Statutory basis. Sections 1814(a) and 1835(a) of the Act require that a physician certify or recertify a patient's need for home health services but, in general, prohibit a physician from certifying or recertifying the need for services if the services will be furnished by an HHA in which the physician has a significant ownership interest, or with which the physician has a significant financial or contractual relationship. Sections 1814(c), 1835(d), and 1862 of the Act exclude from Medicare payment certain specified services. The Act provides special rules for payment of services furnished by the following: Federal providers or agencies (sections 1814(c) and 1835(d)); hospitals and physicians outside of the U.S. (sections 1814(f) and 1862(a)(4)); and hospitals and SNFs of the Indian Health Service (section 1880 of the Act). Section 1877 of the Act sets forth limitations on referrals and payment for designated health services furnished by entities with which the referring physician (or an immediate family member of the referring physician) has a financial relationship. (b) Scope. This subpart identifies: (1) The particular types of services that are excluded; (2) The circumstances under which Medicare denies payment for certain services that are usually covered; and [[Page 379]] (3) The circumstances under which Medicare pays for services usually excluded from payment. [54 FR 41734, Oct. 11, 1989, as amended at 60 FR 41978, Aug. 14, 1995; 60 FR 45361, Aug. 31, 1995; 66 FR 952, Jan. 4, 2001]