Medicare and Medicaid Program; Revisions to Certain Patient's Rights Conditions of Participation and Conditions for Coverage, 73873-73878 [2014-28268]
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Federal Register / Vol. 79, No. 239 / Friday, December 12, 2014 / Proposed Rules
DEPARTMENT OF HEALTH AND
HUMAN SERVICES
Centers for Medicare & Medicaid
Services
42 CFR Part 416, 418, 482, 483, and 485
[CMS–3302–P]
RIN 0938–AS29
Medicare and Medicaid Program;
Revisions to Certain Patient’s Rights
Conditions of Participation and
Conditions for Coverage
Centers for Medicare &
Medicaid Services (CMS), HHS.
ACTION: Proposed rule.
AGENCY:
This proposed rule would
revise the applicable conditions of
participation (CoPs) for providers,
conditions for coverage (CfCs) for
suppliers, and requirements for longterm care facilities, to ensure that
certain requirements are consistent with
the Supreme Court decision in United
States v. Windsor, 570 U.S.12, 133 S.Ct.
2675 (2013), and HHS policy.
Specifically, we propose to revise
certain definitions and patient’s rights
provisions, in order to ensure that samesex spouses in legally-valid marriages
are recognized and afforded equal rights
in Medicare and Medicaid participating
facilities.
DATES: To be assured consideration,
comments must be received at one of
the addresses provided below, no later
than 5 p.m. on February 10, 2015.
ADDRESSES: In commenting, please refer
to file code CMS–3302–P. Because of
staff and resource limitations, we cannot
accept comments by facsimile (FAX)
transmission.
You may submit comments in one of
four ways (please choose only one of the
ways listed):
1. Electronically. You may submit
electronic comments on this regulation
to https://www.regulations.gov. Follow
the ‘‘Submit a comment’’ instructions.
2. By regular mail. You may mail
written comments to the following
address only: Centers for Medicare &
Medicaid Services, Department of
Health and Human Services, Attention:
CMS–3302–P, P.O. Box 8013, Baltimore,
MD 21244–8013.
Please allow sufficient time for mailed
comments to be received before the
close of the comment period.
3. By express or overnight mail. You
may send written comments to the
following address only: Centers for
Medicare & Medicaid Services,
Department of Health and Human
Services, Attention: CMS–3302–P, Mail
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SUMMARY:
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Stop C4–26–05, 7500 Security
Boulevard, Baltimore, MD 21244–1850.
4. By hand or courier. Alternatively,
you may deliver (by hand or courier)
your written comments only to the
following addresses prior to the close of
the comment period:
a. For delivery in Washington, DC—
Centers for Medicare & Medicaid
Services, Department of Health and
Human Services, Room 445–G, Hubert
H. Humphrey Building, 200
Independence Avenue SW.,
Washington, DC 20201.
(Because access to the interior of the
Hubert H. Humphrey Building is not
readily available to persons without
Federal government identification,
commenters are encouraged to leave
their comments in the CMS drop slots
located in the main lobby of the
building. A stamp-in clock is available
for persons wishing to retain a proof of
filing by stamping in and retaining an
extra copy of the comments being filed.)
b. For delivery in Baltimore, MD—
Centers for Medicare & Medicaid
Services, Department of Health and
Human Services, 7500 Security
Boulevard, Baltimore, MD 21244–
1850.
If you intend to deliver your
comments to the Baltimore address, call
telephone number (410) 786–9994 in
advance to schedule your arrival with
one of our staff members.
Comments erroneously mailed to the
addresses indicated as appropriate for
hand or courier delivery may be delayed
and received after the comment period.
For information on viewing public
comments, see the beginning of the
SUPPLEMENTARY INFORMATION section.
FOR FURTHER INFORMATION CONTACT:
Ronisha Davis, (410) 786–6882.
SUPPLEMENTARY INFORMATION:
Inspection of Public Comments: All
comments received before the close of
the comment period are available for
viewing by the public, including any
personally identifiable or confidential
business information that is included in
a comment. We post all comments
received before the close of the
comment period on the following Web
site as soon as possible after they have
been received: https://
www.regulations.gov. Follow the search
instructions on that Web site to view
public comments.
Comments received timely will also
be available for public inspection as
they are received, generally beginning
approximately 3 weeks after publication
of a document, at the headquarters of
the Centers for Medicare & Medicaid
Services, 7500 Security Boulevard,
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73873
Baltimore, Maryland 21244, Monday
through Friday of each week from 8:30
a.m. to 4 p.m. To schedule an
appointment to view public comments,
phone 1–800–743–3951.
Table of Contents
This proposed rule is organized as follows:
I. Background
A. United States v. Windsor Decision
B. Statutory and Regulatory Authority
II. Provisions of the Proposed Regulation
A. Ambulatory Surgical Centers Condition
for Coverage—Patient Rights (§ 416.50)
B. Hospice Care (Part 418)
C. Conditions of Participation for Hospitals
(Part 482)
D. Requirements for States and Long-Term
Care (LTC) Facilities (Part 483)
E. Conditions of Participation: Community
Mental Health Centers (CMHCs) (Part
485, Subpart J)
III. Collection of Information Requirements
IV. Response to Comments
V. Regulatory Impact Statement
Regulations Text
I. Background
A. United States v. Windsor Decision
In United States v. Windsor, 570 U.S.
12, 133 S. Ct. 2675 (2013), the Supreme
Court held that section 3 of the Defense
of Marriage Act (DOMA) is
unconstitutional because it violates the
Fifth Amendment (See Windsor, 133 S.
Ct.2675, 2695). Section 3 of DOMA,
provided that in determining the
meaning of any Act of the Congress, or
of any ruling, regulation, or
interpretation of the various
administrative bureaus and agencies of
the United States, the word ‘marriage’
meant only a legal union between one
man and one woman as husband and
wife, and the word ‘spouse’ could refer
only to a person of the opposite sex who
was a husband or a wife (1 U.S.C. 7).
The Supreme Court concluded that
this section, by prohibiting Federal
recognition of same-sex marriages that
were lawfully entered into or recognized
under state law, ‘‘undermines both the
public and private significance of statesanctioned same-sex marriages’’ and
found that ‘‘no legitimate purpose’’
overcomes section 3’s ‘‘purpose and
effect to disparage and to injure those
whom the State, by its marriage laws,
sought to protect’’ (Windsor, 133 S. Ct.
at 2694–95). Following the Supreme
Court’s opinion in Windsor, the Federal
government is permitted to recognize
the validity of same-sex marriages when
administering Federal statutes and
programs. And HHS has adopted a
policy of treating same-sex marriages on
the same terms as opposite-sex
marriages to the greatest extent
reasonably possible.
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Federal Register / Vol. 79, No. 239 / Friday, December 12, 2014 / Proposed Rules
This proposed rule would revise
certain conditions of participation
(CoPs) for providers, conditions for
coverage (CfCs) for suppliers, and
requirements for long-term care
facilities to ensure that the requirements
at issue are consistent with the Windsor
decision and HHS policy to treat samesex marriages on the same terms as
opposite-sex marriages to the greatest
extent reasonably possible. As discussed
in detail below, we propose to revise
certain definitions and patient’s rights
provisions to ensure that legally married
same-sex spouses are recognized and
afforded equal rights in Medicare and
Medicaid participating facilities. For all
Medicare and Medicaid provider and
supplier types, we have conducted a
review of the Code of Federal
Regulations (CFR) for instances in
which our regulations draw on state law
for purposes of defining
‘‘representative’’, ‘‘spouse’’, and similar
terms in which reference to a spousal
relationship is explicit or implied. We
have identified 9 provisions that we
believe should be revised in light of the
Windsor decision and HHS policy.
Currently, these provisions could be
interpreted to support the denial of
Federal rights and privileges to a samesex spouse if the state of residence does
not recognize same-sex marriages. If we
do not make these revisions, our
regulations would not afford equal
treatment in Medicare and Medicaid
participating facilities to same-sex
spouses whose marriages were lawfully
celebrated in jurisdictions that
recognize same-sex marriage. In light of
the Windsor decision and HHS policy,
we believe that it is appropriate to
revise these CoPs, CfCs, and
requirements to ensure that these valid
same-sex marriages are treated on the
same terms as opposite-sex marriages in
these Federal programs. The applicable
provisions are located in the CoPs and
CfCs for Ambulatory Surgical Centers
(ASCs), Hospices, Hospitals, Long-Term
Care (LTC) facilities, and Community
and Mental Health Centers (CMHCs).
We note that we did not find any
regulations that we believe require
amendment to achieve our policy goals
for equal treatment within the CoPs and
CfCs for the other provider and supplier
types; therefore they are not included in
this regulation. However, we want to
emphasize that the Windsor decision
and HHS policy affect all provider and
supplier types. In addition, on
December 12, 2014, CMS issued
guidance to state survey agencies
regarding the impact of the Supreme
Court’s decision in United States v.
Windsor on how references to terms
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such as ‘‘spouse’’, ‘‘marriage’’, ‘‘family’’,
and ‘‘representative’’ should be
interpreted in our regulations and the
associated guidance concerning current
CoPs, CfCs, and requirements except
where the applicable regulation
specifically requires application or
interpretation in accordance with state
law. With respect to those regulations
that did not explicitly bar such an
interpretation, we have taken the
approach in our guidance that such
terms include a same-sex spouse,
regardless of where the couple resides
or the jurisdiction in which the provider
or supplier providing health care
services to the individual is located, if
the same-sex marriage was lawful where
entered into and, if the marriage was
celebrated in a foreign jurisdiction, it
would be recognized in at least one
state.
We also note that on September 27,
2013 and May 30, 2014, we issued
Windsor-related guidance regarding
Medicaid eligibility determinations
(SHO #13–006, available at https://
medicaid.gov/Federal-Policy-Guidance/
Downloads/SHO-13-006.pdf and SHO
#14–005, available at https://
www.medicaid.gov/Federal-PolicyGuidance/Downloads/SMD-14-005.pdf)
on the implications of the Windsor
decision for state flexibility regarding
the recognition of same-sex marriages in
determining eligibility for Medicaid and
the Children’s Health Insurance
Program (CHIP). We note that Medicaid
eligibility and CoP/CfC policies
addressed in this proposed rule are
administered by different statutes and
are administered by state Medicaid
agencies and CMS, respectively.
This proposed rule addresses certain
regulations governing Medicare and
Medicaid participating providers and
suppliers where current regulations look
to state law in a matter that implicates
(or may implicate) a marital
relationship. Our goal is to provide
equal treatment to spouses, regardless of
their sex, whenever the marriage was
valid in the jurisdiction in which it was
entered into, without regard to whether
the marriage is also recognized in the
state of residence or the jurisdiction in
which the health care provider or
supplier is located, and where the
Medicare program explicitly or
impliedly provides for specific
treatment of spouses.
B. Statutory and Regulatory Authority
Various sections of the Social Security
Act (the Act) define the various terms
that the Medicare program employs
with respect to each provider and
supplier type and list the requirements
that each provider and supplier must
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meet to be eligible for Medicare and
Medicaid participation. Each statutory
provision also specifies that the
Secretary of Health and Human Services
(the Secretary) may establish other
requirements as the Secretary finds
necessary in the interest of the health
and safety of patients, although the
exact wording of such authority may
differ slightly among different provider
and supplier types.
Given the desire to expedite the
proposed changes and the common
rationale for each proposed change, we
believe the most prudent course of
action is to publish these proposed
revisions concerning the different
providers and suppliers at issue in a
single proposed rule. The following are
the statutory authorities for the
regulatory revisions we are proposing:
• Ambulatory Surgical Centers
(ASCs)—section 1832(a)(2)(F)(i) of the
Act.
• Hospices—section 1861(dd)(2)(G) of
the Act.
• Hospitals—section 1861(e)(9) of the
Act.
• Long-Term Care (LTC) Facilities:
Skilled Nursing Facilities (SNFs)—
section 1819(d)(4)(B) of the Act, Nursing
Facilities (NFs)—section 1919(d)(4)(B)
of the Act.
• Community Mental Health Centers
(CMHCs)—section 1861(ff)(3)(B)(iv) of
the Act, section 1913(c)(1) of the Public
Health Service Act (42 U.S.C. 201 et
seq.).
II. Provisions of the Proposed
Regulations
Consistent with the U.S. Supreme
Court’s holding in United States v.
Windsor and HHS policy, for purposes
of the CoPs and CfCs at issue, we are
proposing to recognize marriages
between individuals of the same sex
who were lawfully married under the
law of the state, territory, or foreign
jurisdiction where the marriage was
entered into (‘‘celebration rule’’)
(assuming at least one state would
recognize the marriage), regardless of
where the couple resides or the
jurisdiction in which the provider or
supplier providing health care services
to the individual is located, regardless
of any state law to the contrary. We are
proposing revisions to provisions
throughout the CoPs and CfCs that draw
on state-law definitions of
‘‘representative’’, ‘‘spouse,’’ or similar
terms that can implicate a spousal
relationship. These revisions would
promote equality and ensure the
recognition of the validity of same-sex
marriages when administering the
patient rights and services at issue.
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Federal Register / Vol. 79, No. 239 / Friday, December 12, 2014 / Proposed Rules
Below, we describe each of the
proposed revisions.
A. Ambulatory Surgical Centers
Condition for Coverage—Patient Rights
(§ 416.50)
Section 416.50 sets forth the
requirements that an ASC must follow
when informing a patient or a patient’s
representative or surrogate of the
patient’s rights. Current regulations at
§ 416.50(e)(3) look to state law to
determine a patient’s legal
representative or surrogate in situations
where a state court has not adjudged a
patient incompetent. We propose to add
language at paragraph (e)(3) that would
establish the requirement that the samesex spouse of a patient must be afforded
treatment equal to that afforded to an
opposite-sex spouse if the marriage was
valid in the jurisdiction in which it was
celebrated.
B. Hospice Care (42 CFR Part 418)
1. Definitions (§ 418.3)
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Section 418.3 sets forth the definition
of ‘‘representative’’ when used
throughout Part 418 as related to
hospice care. Currently, the definition
provides that a representative is an
individual who has the authority under
state law (whether by statute or
pursuant to an appointment by the
courts of the state) to authorize or
terminate medical care or to elect or
revoke the election of hospice care on
behalf of a terminally ill patient who is
mentally or physically incapacitated; in
addition, the term may include a
guardian under the regulatory
definition. We propose to revise the
definition of ‘‘representative’’ to provide
that a same-sex spouse in a marriage
that was valid in the jurisdiction in
which it was celebrated must be treated
as a ‘‘spouse’’ wherever state law
authorizes a ‘‘spouse’’ to be a
representative, but a court has not
appointed a specific representative. We
intend for the hospice to use a
celebration rule in recognizing the
same-sex spouse of a patient, regardless
of whether the law in the jurisdiction
where the patient or spouse resides or
where the hospice is located recognizes
the same-sex spouse.
2. Condition of Participation: Patient’s
Rights (§ 418.52(b)(3))
Section 418.52 sets forth the
requirements for a hospice to inform a
patient of his or her rights. Current
regulations at § 418.52(b)(3) require a
hospice to allow a patient’s legal
representative to exercise the patient’s
rights to the extent allowed by state law,
if the patient has not been adjudged
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incompetent by a state court.
Regulations at § 418.52(b)(3) refer to a
representative ‘‘designated by the
patient in accordance with state law.’’
We propose to add at paragraph (b)(3),
language that establishes the
requirement that the same-sex spouse of
a patient must be afforded treatment
equal to that afforded to an opposite-sex
spouse if the marriage was valid in the
jurisdiction in which it was celebrated.
C. Conditions of Participation for
Hospitals (Part 482)
1. Condition of Participation: Patient’s
Rights (482.13)
Regulations at § 482.13 set forth the
requirements that a hospital must meet
to protect and promote each patient’s
rights. Sections 482.13(a)(1) and
§ 482.13(b)(2), respectively, require a
hospital to ‘‘inform each patient, or,
when appropriate, the patient’s
representative (as allowed under state
law), of the patient’s rights, in advance
of furnishing or discontinuing care,’’
and afford the patient ‘‘the right to make
informed decisions regarding his or her
care.’’ We propose to add at
§ 482.13(a)(1) and § 482.13(b)(2) the
requirement that the same-sex spouse of
a patient must be afforded treatment
equal to that afforded to an opposite-sex
spouse if the marriage is valid in the
jurisdiction in which it was celebrated.
2. Condition of Participation: Laboratory
Services (§ 482.27)
Regulations at § 482.27 require that a
hospital must maintain, or have
available, adequate laboratory services
to meet the needs of its patients.
Regulations at § 482.27(b) require
hospitals to screen blood and blood
products for potentially infectious
diseases (specifically, the HIV virus and
Hepatitis C virus) and to notify donors
and patients as necessary. Section
482.27(b)(10) addresses notification
both when the patient has been
adjudged incompetent by a state court
and when the patient is competent. In
the case of a patient who is adjudged
incompetent by a state court, the
physician or hospital must notify a
‘‘legal representative designated in
accordance with state law.’’ When the
patient is competent, but state law
permits a legal representative or relative
to receive the information on the
patient’s behalf, the physician or
hospital must notify the patient or
patient’s legal representative or relative.
We propose to add at § 482.27(b)(10) the
requirement that the same-sex spouse of
a patient must be afforded treatment
equal to that afforded to an opposite-sex
spouse if the marriage is valid in the
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jurisdiction in which it was celebrated.
This requirement would apply when
state law designates or identifies a
‘‘spouse’’ as a legal representative in
case of either competency or
incompetency.
D. Requirements for States and LongTerm Care (LTC) Facilities (42 CFR Part
483)
1. Resident Rights (§ 483.10)
Regulations at § 483.10 give residents
the right to a dignified existence, selfdetermination, and communication with
and access to persons and services
inside and outside a facility. The
regulations also require LTC facilities to
protect and promote the rights of each
resident. Under § 483.10(a)(4), when a
resident has not been adjudged
incompetent, any ‘‘legal surrogate
designated in accordance with state
law’’ may exercise such rights to the
extent provided by state law. We
propose to add language to
§ 483.10(a)(4) that would establish a
requirement that, the same-sex spouse
of a resident must be afforded treatment
equal to that afforded to an opposite-sex
spouse if the marriage was valid in the
jurisdiction in which it was celebrated.
2. Preadmission Screening and Resident
Review (PASRR) Evaluation Criteria
(§ 483.128)
Regulations at § 483.128 set forth the
criteria for a PASRR (currently
abbreviated as PASARR in the
regulations) evaluation. Section
483.128(c) specifies who must
participate in the evaluation process,
and paragraph (c)(2) requires that the
individual’s legal representative must
participate, if one has been designated
under state law. At § 483.128(c)(2), we
propose to clarify that a same-sex
spouse would be recognized and treated
the same as an opposite-sex spouse if
the marriage was valid in the
jurisdiction in which it was celebrated.
In addition, regulations at
§ 483.128(k) require that for both
categorical and individualized
determinations, findings of the
evaluation must be interpreted and
explained to the individual and, where
applicable, a legal representative
designated under state law. We propose
a similar revision here to provide that,
a same-sex spouse would be recognized
and treated the same as an opposite-sex
spouse if the same-sex marriage was
valid in the jurisdiction in which it was
celebrated.
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E. Conditions of Participation:
Community Mental Health Centers
(CMHCs) (Part 485, Subpart J)
with a subsequent document, we will
respond to the comments in the
preamble to that document.
1. Definitions (§ 485.902)
Regulations at § 485.902 set forth the
definition of ‘‘representative’’ when
used throughout Part 485, subpart J as
related to care in CMHCs. We propose
to revise the definition of
‘‘representative’’ to provide that the
same-sex spouse of a client must be
afforded treatment equal to that afforded
to an opposite-sex spouse if the
marriage was valid in the jurisdiction in
which it was celebrated.
V. Regulatory Impact Statement
We have examined the impact of this
rule as required by Executive Order
12866 on Regulatory Planning and
Review (September 30, 1993), Executive
Order 13563 on Improving Regulation
and Regulatory Review (January 18,
2011), the Regulatory Flexibility Act
(RFA) (September 19, 1980, Pub. L. 96–
354), section 1102(b) of the Social
Security Act, section 202 of the
Unfunded Mandates Reform Act of 1995
(March 22, 1995; Pub. L. 104–4),
Executive Order 13132 on Federalism
(August 4, 1999) and the Congressional
Review Act (5 U.S.C. 804(2)).
Executive Orders 12866 and 13563
direct agencies to assess all costs and
benefits of available regulatory
alternatives and, if regulation is
necessary, to select regulatory
approaches that maximize net benefits
(including potential economic,
environmental, public health and safety
effects, distributive impacts, and
equity). A regulatory impact analysis
(RIA) must be prepared for major rules
with economically significant effects
($100 million or more in any 1 year).
This rule does not reach the economic
threshold and thus is not considered a
major rule.
The RFA requires agencies to analyze
options for regulatory relief of small
entities. For purposes of the RFA, small
entities include small businesses,
nonprofit organizations, and small
governmental jurisdictions. Most
hospitals and most other providers and
suppliers are small entities, either by
nonprofit status or by having revenues
of less than $7.0 million to $35.5
million in any 1 year. Individuals and
States are not included in the definition
of a small entity. We are not preparing
an analysis for the RFA because we have
determined, and the Secretary certifies,
that this proposed rule would not have
a significant economic impact on a
substantial number of small entities.
In addition, section 1102(b) of the
Social Security Act requires us to
prepare a regulatory impact analysis if
a rule may have a significant impact on
the operations of a substantial number
of small rural hospitals. This analysis
must conform to the provisions of
section 603 of the RFA. For purposes of
section 1102(b) of the Act, we define a
small rural hospital as a hospital that is
located outside of a Metropolitan
Statistical Area for Medicare payment
regulations and has fewer than 100
beds. We are not preparing an analysis
for section 1102(b) of the Act because
2. Condition of Participation: Client
Rights (485.910(b)(3))
Regulations at § 485.910 require
CMHCs to inform a client of his or her
rights and protect and promote the
exercise of these client rights. Section
485.910(b)(3) requires that, in the case
of a client who has not been adjudged
incompetent by the State court, ‘‘any
legal representative designated by the
client in accordance with state law’’
may exercise the client’s rights to the
extent allowed under state law. We
propose to add to this provision the
requirement that the same-sex spouse of
a client must be afforded treatment
equal to that afforded to an opposite-sex
spouse if the marriage was lawful in the
jurisdiction in which it was celebrated.
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III. Collection of Information
Requirements
This document does not impose any
new information collection
requirements, that is, reporting,
recordkeeping or third-party disclosure
requirements, as defined under the
Paperwork Reduction Act of 1995 (44
U.S.C. ch. 35). However, it does make
reference to existing information
collection requirements; specifically,
this document references disclosure
requirements contained in § 482.13(a)(1)
and § 482.27(b)(10). These requirements
are already accounted for in the ICR
associated with OMB control number
0938–0328. We are in the process of
reinstating the ICR under 0938–0328
and will complete that process under
notice and comment periods separate
from those associated with this notice of
proposed rulemaking.
IV. Response to Comments
Because of the large number of public
comments we normally receive on
Federal Register documents, we are not
able to acknowledge or respond to them
individually. We will consider all
comments we receive by the date and
time specified in the DATES section of
this preamble, and, when we proceed
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we have determined, and the Secretary
certifies, that this proposed rule would
not have a significant impact on the
operations of a substantial number of
small rural hospitals.
Section 202 of the Unfunded
Mandates Reform Act of 1995 also
requires that agencies assess anticipated
costs and benefits before issuing any
rule whose mandates require spending
in any 1 year of $100 million in 1995
dollars, updated annually for inflation.
In 2014, that threshold is approximately
$141 million. This rule will have no
consequential effect on State, local, or
tribal governments or on the private
sector.
Executive Order 13132 establishes
certain requirements that an agency
must meet when it promulgates a
proposed rule (and subsequent final
rule) that imposes substantial direct
requirement costs on State and local
governments, preempts State law, or
otherwise has Federalism implications.
Since this regulation does not impose
any costs on State or local governments,
the requirements of Executive Order
13132 are not applicable.
In accordance with the provisions of
Executive Order 12866, this regulation
was reviewed by the Office of
Management and Budget.
List of Subjects
42 CFR Part 416
Health facilities, Health professions,
Medicare, Reporting and recordkeeping
requirements.
42 CFR Part 418
Health facilities, Hospice care,
Medicare, Reporting and recordkeeping
requirements.
42 CFR Part 482
Grant programs—health, Hospitals,
Medicaid, Medicare, Reporting and
recordkeeping requirements.
42 CFR Part 483
Grant programs—health, Health
facilities, Health professions, Health
records, Medicaid, Medicare, Nursing
homes, Nutrition, Reporting and
recordkeeping requirements, Safety.
42 CFR Part 485
Grant programs—health, Health
facilities, Medicaid, Medicare,
Reporting and recordkeeping
requirements.
For the reasons set forth in the
preamble, the Centers for Medicare &
Medicaid Services proposes to amend
42 CFR chapter IV as set forth below:
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Federal Register / Vol. 79, No. 239 / Friday, December 12, 2014 / Proposed Rules
PART 416—AMBULATORY SURGICAL
SERVICES
1. The authority citation for Part 416
continues to read as follows:
■
Authority: Secs. 1102 and 1871 of the
Social Security Act (42 U.S.C. 1302 and
1395hh).
2. In § 416.50 paragraph (e)(3) is
revised to read as follows:
■
§ 416.50
rights.
Condition for coverage: Patient’s
*
*
*
*
*
(e) * * *
(3) If a State court has not adjudged
a patient incompetent, any legal
representative or surrogate designated
by the patient may exercise the patient’s
rights to the extent allowed by state law
regarding the scope of legal
representation. The same-sex spouse of
a patient must be afforded treatment
equal to that afforded to an opposite-sex
spouse if the marriage was valid in the
jurisdiction in which it was celebrated.
*
*
*
*
*
PART 418—HOSPICE CARE
3. The authority citation for Part 418
continues to read as follows:
■
Authority: Secs. 1102 and 1871 of the
Social Security Act (42 U.S.C. 1302 and
1395hh).
4. Section 418.3 is amended by
revising the definition of
‘‘representative’’ to read as follows:
■
§ 418.3
Definitions.
rljohnson on DSK3VPTVN1PROD with PROPOSALS
*
*
*
*
*
Representative means an individual
who has the authority under State law
(whether by statute or pursuant to an
appointment by the courts of the State)
to authorize or terminate medical care
or to elect or revoke the election of
hospice care on behalf of a terminally ill
patient who is mentally or physically
incapacitated. This may include a legal
guardian. The same-sex spouse of a
patient must be afforded treatment equal
to that afforded to an opposite-sex
spouse if the marriage was valid in the
jurisdiction in which it was celebrated.
If a state court has appointed a
representative, that person is the
representative for these purposes.
*
*
*
*
*
■ 5. In § 418.52, paragraph (b)(3) is
revised to read as follows:
§ 418.52 Condition of participation:
Patient’s rights.
*
*
*
*
*
(b) * * *
(3) If a state court has not adjudged a
patient incompetent, any legal
representative designated by the patient
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14:41 Dec 11, 2014
Jkt 235001
in accordance with state law may
exercise the patient’s rights to the extent
allowed by state law. The same-sex
spouse of a patient must be afforded
treatment equal to that afforded to an
opposite-sex spouse if the marriage was
valid in the jurisdiction in which it was
celebrated.
*
*
*
*
*
PART 482—CONDITIONS OF
PARTICIPATION FOR HOSPITALS
6. The authority citation for part 482
continues to read as follows:
■
Authority: Secs. 1102, 1871, and 1881 of
the Social Security Act (42 U.S.C. 1302,
1395hh, and 1395rr), unless otherwise noted.
7. In 482.13, revise paragraph (a)(1)
and (b)(2) to read as follows:
■
73877
law. If the patient is competent, but
State law permits a legal representative
or relative to receive the information on
the patient’s behalf, the physician or
hospital must notify the patient or his
or her legal representative or relative.
The same-sex spouse of a patient must
be afforded treatment equal to that
afforded to an opposite-sex spouse if the
marriage was valid in the jurisdiction in
which it was celebrated. For possible
HIV infectious transfusion beneficiaries
that are deceased, the physician or
hospital must inform the deceased
patient’s legal representative or relative.
If the patient is a minor, the parents or
legal guardian must be notified.
*
*
*
*
*
§ 482.13 Condition of participation:
Patient’s rights.
PART 483—REQUIREMENTS FOR
STATES AND LONG TERM CARE
FACILITIES
*
■
*
*
*
*
(a) * * *
(1) A hospital must inform each
patient, or when appropriate, the
patient’s representative (as allowed
under State law), of the patient’s rights,
in advance of furnishing or
discontinuing patient care whenever
possible. The same-sex spouse of a
patient must be afforded treatment equal
to that afforded to an opposite-sex
spouse if the marriage was valid in the
jurisdiction in which it was celebrated.
*
*
*
*
*
(b) * * *
(2) The patient or his or her
representative (as allowed under State
law) has the right to make informed
decisions regarding his or her care. The
same-sex spouse of a patient must be
afforded treatment equal to that afforded
to an opposite-sex spouse if the
marriage was valid in the jurisdiction in
which it was celebrated. The patient’s
rights include being informed of his or
her health status, being involved in care
planning and treatment, and being able
to request or refuse treatment. This right
must not be construed as a mechanism
to demand the provision of treatment or
services deemed medically unnecessary
or inappropriate.
*
*
*
*
*
■ 8. In 482.27, paragraph (b)(10) is
revised to read as follows:
§ 482.27 Condition of participation:
Laboratory services.
*
*
*
*
*
(b) * * *
(10) Notification to legal
representative or relative. If the patient
has been adjudged incompetent by a
State court, the physician or hospital
must notify a legal representative
designated in accordance with State
PO 00000
Frm 00025
Fmt 4702
Sfmt 4702
9. The authority citation for part 483
continues to read as follows:
Authority: Secs. 1102, 1128I and 1871 of
the Social Security Act (42 U.S.C. 1302,
1320a–7j, and 1395hh).
10. In § 483.10, paragraph (a)(4) is
revised to read as follows:
■
§ 483.10
Resident’s rights.
*
*
*
*
*
(a) * * *
(4) In the case of a resident who has
not been adjudged incompetent by the
state court, any legal-surrogate
designated in accordance with state law
may exercise the resident’s rights to the
extent provided by state law. The samesex spouse of a resident must be
afforded treatment equal to that afforded
to an opposite-sex spouse if the
marriage was valid in the jurisdiction in
which it was celebrated.
*
*
*
*
*
■ 11. In § 483.128, paragraphs (c)(2) and
(k) are revised to read as follows:
§ 483.128
PASARR evaluation criteria.
*
*
*
*
*
(c) * * *
(2) The individual’s legal
representative, if one has been
designated under state law. The samesex spouse of a patient must be afforded
treatment equal to that afforded to an
opposite-sex spouse if the marriage was
valid in the jurisdiction in which it was
celebrated; and
*
*
*
*
*
(k) Interpretation of findings to
individual. For both categorical and
individualized determinations, findings
of the evaluation must be interpreted
and explained to the individual and,
where applicable, to a legal
representative designated under state
law. The same-sex spouse of a resident
E:\FR\FM\12DEP1.SGM
12DEP1
73878
Federal Register / Vol. 79, No. 239 / Friday, December 12, 2014 / Proposed Rules
must be afforded treatment equal to that
afforded to an opposite-sex spouse if the
marriage was valid in the jurisdiction in
which it was celebrated.
*
*
*
*
*
PART 485—CONDITIONS OF
PARTICIPATION: SPECIALIZED
PROVIDERS
12. The authority citation for part 485
continues to read as follows:
■
Authority: Secs. 1102 and 1871 of the
Social Security Act (42 U.S.C. 1302 and
1395(hh)).
13. Section 485.902 is amended by
revising the definition of
‘‘representative’’ to read as follows:
■
Definitions.
*
rljohnson on DSK3VPTVN1PROD with PROPOSALS
§ 485.902
*
*
VerDate Sep<11>2014
*
*
14:41 Dec 11, 2014
Jkt 235001
Representative means an individual
who has the authority under State law
to authorize or terminate medical care
on behalf of a client who is mentally or
physically incapacitated. This includes
a legal guardian. The same-sex spouse of
a client must be afforded treatment
equal to that afforded to an opposite-sex
spouse if the marriage was valid in the
jurisdiction in which it was celebrated.
*
*
*
*
*
■ 14. In § 485.910, paragraph (b)(3) is
revised to read as follows:
§ 485.910
rights.
Condition of participation: Client
*
*
*
*
*
(b) * * *
(3) If the State court has not adjudged
a client incompetent, any legal
representative designated by the client
PO 00000
Frm 00026
Fmt 4702
Sfmt 9990
is accordance with State law may
exercise the client’s rights to the extent
allowed under State law. The same-sex
spouse of a client must be afforded
treatment equal to that afforded to an
opposite-sex spouse if the marriage was
valid in the jurisdiction in which it was
celebrated.
*
*
*
*
*
Dated: June 12, 2014.
Marilyn Tavenner,
Administrator, Centers for Medicare &
Medicaid Services.
Approved: June 18, 2014.
Sylvia M. Burwell,
Secretary, Department of Health and Human
Services.
[FR Doc. 2014–28268 Filed 12–11–14; 8:45 am]
BILLING CODE 4120–01–P
E:\FR\FM\12DEP1.SGM
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Agencies
[Federal Register Volume 79, Number 239 (Friday, December 12, 2014)]
[Proposed Rules]
[Pages 73873-73878]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-28268]
[[Page 73873]]
=======================================================================
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Centers for Medicare & Medicaid Services
42 CFR Part 416, 418, 482, 483, and 485
[CMS-3302-P]
RIN 0938-AS29
Medicare and Medicaid Program; Revisions to Certain Patient's
Rights Conditions of Participation and Conditions for Coverage
AGENCY: Centers for Medicare & Medicaid Services (CMS), HHS.
ACTION: Proposed rule.
-----------------------------------------------------------------------
SUMMARY: This proposed rule would revise the applicable conditions of
participation (CoPs) for providers, conditions for coverage (CfCs) for
suppliers, and requirements for long-term care facilities, to ensure
that certain requirements are consistent with the Supreme Court
decision in United States v. Windsor, 570 U.S.12, 133 S.Ct. 2675
(2013), and HHS policy. Specifically, we propose to revise certain
definitions and patient's rights provisions, in order to ensure that
same-sex spouses in legally-valid marriages are recognized and afforded
equal rights in Medicare and Medicaid participating facilities.
DATES: To be assured consideration, comments must be received at one of
the addresses provided below, no later than 5 p.m. on February 10,
2015.
ADDRESSES: In commenting, please refer to file code CMS-3302-P. Because
of staff and resource limitations, we cannot accept comments by
facsimile (FAX) transmission.
You may submit comments in one of four ways (please choose only one
of the ways listed):
1. Electronically. You may submit electronic comments on this
regulation to https://www.regulations.gov. Follow the ``Submit a
comment'' instructions.
2. By regular mail. You may mail written comments to the following
address only: Centers for Medicare & Medicaid Services, Department of
Health and Human Services, Attention: CMS-3302-P, P.O. Box 8013,
Baltimore, MD 21244-8013.
Please allow sufficient time for mailed comments to be received
before the close of the comment period.
3. By express or overnight mail. You may send written comments to
the following address only: Centers for Medicare & Medicaid Services,
Department of Health and Human Services, Attention: CMS-3302-P, Mail
Stop C4-26-05, 7500 Security Boulevard, Baltimore, MD 21244-1850.
4. By hand or courier. Alternatively, you may deliver (by hand or
courier) your written comments only to the following addresses prior to
the close of the comment period:
a. For delivery in Washington, DC--Centers for Medicare & Medicaid
Services, Department of Health and Human Services, Room 445-G, Hubert
H. Humphrey Building, 200 Independence Avenue SW., Washington, DC
20201.
(Because access to the interior of the Hubert H. Humphrey Building
is not readily available to persons without Federal government
identification, commenters are encouraged to leave their comments in
the CMS drop slots located in the main lobby of the building. A stamp-
in clock is available for persons wishing to retain a proof of filing
by stamping in and retaining an extra copy of the comments being
filed.)
b. For delivery in Baltimore, MD--Centers for Medicare & Medicaid
Services, Department of Health and Human Services, 7500 Security
Boulevard, Baltimore, MD 21244-1850.
If you intend to deliver your comments to the Baltimore address,
call telephone number (410) 786-9994 in advance to schedule your
arrival with one of our staff members.
Comments erroneously mailed to the addresses indicated as
appropriate for hand or courier delivery may be delayed and received
after the comment period.
For information on viewing public comments, see the beginning of
the SUPPLEMENTARY INFORMATION section.
FOR FURTHER INFORMATION CONTACT: Ronisha Davis, (410) 786-6882.
SUPPLEMENTARY INFORMATION:
Inspection of Public Comments: All comments received before the
close of the comment period are available for viewing by the public,
including any personally identifiable or confidential business
information that is included in a comment. We post all comments
received before the close of the comment period on the following Web
site as soon as possible after they have been received: https://www.regulations.gov. Follow the search instructions on that Web site to
view public comments.
Comments received timely will also be available for public
inspection as they are received, generally beginning approximately 3
weeks after publication of a document, at the headquarters of the
Centers for Medicare & Medicaid Services, 7500 Security Boulevard,
Baltimore, Maryland 21244, Monday through Friday of each week from 8:30
a.m. to 4 p.m. To schedule an appointment to view public comments,
phone 1-800-743-3951.
Table of Contents
This proposed rule is organized as follows:
I. Background
A. United States v. Windsor Decision
B. Statutory and Regulatory Authority
II. Provisions of the Proposed Regulation
A. Ambulatory Surgical Centers Condition for Coverage--Patient
Rights (Sec. 416.50)
B. Hospice Care (Part 418)
C. Conditions of Participation for Hospitals (Part 482)
D. Requirements for States and Long-Term Care (LTC) Facilities
(Part 483)
E. Conditions of Participation: Community Mental Health Centers
(CMHCs) (Part 485, Subpart J)
III. Collection of Information Requirements
IV. Response to Comments
V. Regulatory Impact Statement
Regulations Text
I. Background
A. United States v. Windsor Decision
In United States v. Windsor, 570 U.S. 12, 133 S. Ct. 2675 (2013),
the Supreme Court held that section 3 of the Defense of Marriage Act
(DOMA) is unconstitutional because it violates the Fifth Amendment (See
Windsor, 133 S. Ct.2675, 2695). Section 3 of DOMA, provided that in
determining the meaning of any Act of the Congress, or of any ruling,
regulation, or interpretation of the various administrative bureaus and
agencies of the United States, the word `marriage' meant only a legal
union between one man and one woman as husband and wife, and the word
`spouse' could refer only to a person of the opposite sex who was a
husband or a wife (1 U.S.C. 7).
The Supreme Court concluded that this section, by prohibiting
Federal recognition of same-sex marriages that were lawfully entered
into or recognized under state law, ``undermines both the public and
private significance of state-sanctioned same-sex marriages'' and found
that ``no legitimate purpose'' overcomes section 3's ``purpose and
effect to disparage and to injure those whom the State, by its marriage
laws, sought to protect'' (Windsor, 133 S. Ct. at 2694-95). Following
the Supreme Court's opinion in Windsor, the Federal government is
permitted to recognize the validity of same-sex marriages when
administering Federal statutes and programs. And HHS has adopted a
policy of treating same-sex marriages on the same terms as opposite-sex
marriages to the greatest extent reasonably possible.
[[Page 73874]]
This proposed rule would revise certain conditions of participation
(CoPs) for providers, conditions for coverage (CfCs) for suppliers, and
requirements for long-term care facilities to ensure that the
requirements at issue are consistent with the Windsor decision and HHS
policy to treat same-sex marriages on the same terms as opposite-sex
marriages to the greatest extent reasonably possible. As discussed in
detail below, we propose to revise certain definitions and patient's
rights provisions to ensure that legally married same-sex spouses are
recognized and afforded equal rights in Medicare and Medicaid
participating facilities. For all Medicare and Medicaid provider and
supplier types, we have conducted a review of the Code of Federal
Regulations (CFR) for instances in which our regulations draw on state
law for purposes of defining ``representative'', ``spouse'', and
similar terms in which reference to a spousal relationship is explicit
or implied. We have identified 9 provisions that we believe should be
revised in light of the Windsor decision and HHS policy. Currently,
these provisions could be interpreted to support the denial of Federal
rights and privileges to a same-sex spouse if the state of residence
does not recognize same-sex marriages. If we do not make these
revisions, our regulations would not afford equal treatment in Medicare
and Medicaid participating facilities to same-sex spouses whose
marriages were lawfully celebrated in jurisdictions that recognize
same-sex marriage. In light of the Windsor decision and HHS policy, we
believe that it is appropriate to revise these CoPs, CfCs, and
requirements to ensure that these valid same-sex marriages are treated
on the same terms as opposite-sex marriages in these Federal programs.
The applicable provisions are located in the CoPs and CfCs for
Ambulatory Surgical Centers (ASCs), Hospices, Hospitals, Long-Term Care
(LTC) facilities, and Community and Mental Health Centers (CMHCs). We
note that we did not find any regulations that we believe require
amendment to achieve our policy goals for equal treatment within the
CoPs and CfCs for the other provider and supplier types; therefore they
are not included in this regulation. However, we want to emphasize that
the Windsor decision and HHS policy affect all provider and supplier
types. In addition, on December 12, 2014, CMS issued guidance to state
survey agencies regarding the impact of the Supreme Court's decision in
United States v. Windsor on how references to terms such as ``spouse'',
``marriage'', ``family'', and ``representative'' should be interpreted
in our regulations and the associated guidance concerning current CoPs,
CfCs, and requirements except where the applicable regulation
specifically requires application or interpretation in accordance with
state law. With respect to those regulations that did not explicitly
bar such an interpretation, we have taken the approach in our guidance
that such terms include a same-sex spouse, regardless of where the
couple resides or the jurisdiction in which the provider or supplier
providing health care services to the individual is located, if the
same-sex marriage was lawful where entered into and, if the marriage
was celebrated in a foreign jurisdiction, it would be recognized in at
least one state.
We also note that on September 27, 2013 and May 30, 2014, we issued
Windsor-related guidance regarding Medicaid eligibility determinations
(SHO #13-006, available at https://medicaid.gov/Federal-Policy-Guidance/Downloads/SHO-13-006.pdf and SHO #14-005, available at https://www.medicaid.gov/Federal-Policy-Guidance/Downloads/SMD-14-005.pdf) on
the implications of the Windsor decision for state flexibility
regarding the recognition of same-sex marriages in determining
eligibility for Medicaid and the Children's Health Insurance Program
(CHIP). We note that Medicaid eligibility and CoP/CfC policies
addressed in this proposed rule are administered by different statutes
and are administered by state Medicaid agencies and CMS, respectively.
This proposed rule addresses certain regulations governing Medicare
and Medicaid participating providers and suppliers where current
regulations look to state law in a matter that implicates (or may
implicate) a marital relationship. Our goal is to provide equal
treatment to spouses, regardless of their sex, whenever the marriage
was valid in the jurisdiction in which it was entered into, without
regard to whether the marriage is also recognized in the state of
residence or the jurisdiction in which the health care provider or
supplier is located, and where the Medicare program explicitly or
impliedly provides for specific treatment of spouses.
B. Statutory and Regulatory Authority
Various sections of the Social Security Act (the Act) define the
various terms that the Medicare program employs with respect to each
provider and supplier type and list the requirements that each provider
and supplier must meet to be eligible for Medicare and Medicaid
participation. Each statutory provision also specifies that the
Secretary of Health and Human Services (the Secretary) may establish
other requirements as the Secretary finds necessary in the interest of
the health and safety of patients, although the exact wording of such
authority may differ slightly among different provider and supplier
types.
Given the desire to expedite the proposed changes and the common
rationale for each proposed change, we believe the most prudent course
of action is to publish these proposed revisions concerning the
different providers and suppliers at issue in a single proposed rule.
The following are the statutory authorities for the regulatory
revisions we are proposing:
Ambulatory Surgical Centers (ASCs)--section
1832(a)(2)(F)(i) of the Act.
Hospices--section 1861(dd)(2)(G) of the Act.
Hospitals--section 1861(e)(9) of the Act.
Long-Term Care (LTC) Facilities: Skilled Nursing
Facilities (SNFs)--section 1819(d)(4)(B) of the Act, Nursing Facilities
(NFs)--section 1919(d)(4)(B) of the Act.
Community Mental Health Centers (CMHCs)--section
1861(ff)(3)(B)(iv) of the Act, section 1913(c)(1) of the Public Health
Service Act (42 U.S.C. 201 et seq.).
II. Provisions of the Proposed Regulations
Consistent with the U.S. Supreme Court's holding in United States
v. Windsor and HHS policy, for purposes of the CoPs and CfCs at issue,
we are proposing to recognize marriages between individuals of the same
sex who were lawfully married under the law of the state, territory, or
foreign jurisdiction where the marriage was entered into (``celebration
rule'') (assuming at least one state would recognize the marriage),
regardless of where the couple resides or the jurisdiction in which the
provider or supplier providing health care services to the individual
is located, regardless of any state law to the contrary. We are
proposing revisions to provisions throughout the CoPs and CfCs that
draw on state-law definitions of ``representative'', ``spouse,'' or
similar terms that can implicate a spousal relationship. These
revisions would promote equality and ensure the recognition of the
validity of same-sex marriages when administering the patient rights
and services at issue.
[[Page 73875]]
Below, we describe each of the proposed revisions.
A. Ambulatory Surgical Centers Condition for Coverage--Patient Rights
(Sec. 416.50)
Section 416.50 sets forth the requirements that an ASC must follow
when informing a patient or a patient's representative or surrogate of
the patient's rights. Current regulations at Sec. 416.50(e)(3) look to
state law to determine a patient's legal representative or surrogate in
situations where a state court has not adjudged a patient incompetent.
We propose to add language at paragraph (e)(3) that would establish the
requirement that the same-sex spouse of a patient must be afforded
treatment equal to that afforded to an opposite-sex spouse if the
marriage was valid in the jurisdiction in which it was celebrated.
B. Hospice Care (42 CFR Part 418)
1. Definitions (Sec. 418.3)
Section 418.3 sets forth the definition of ``representative'' when
used throughout Part 418 as related to hospice care. Currently, the
definition provides that a representative is an individual who has the
authority under state law (whether by statute or pursuant to an
appointment by the courts of the state) to authorize or terminate
medical care or to elect or revoke the election of hospice care on
behalf of a terminally ill patient who is mentally or physically
incapacitated; in addition, the term may include a guardian under the
regulatory definition. We propose to revise the definition of
``representative'' to provide that a same-sex spouse in a marriage that
was valid in the jurisdiction in which it was celebrated must be
treated as a ``spouse'' wherever state law authorizes a ``spouse'' to
be a representative, but a court has not appointed a specific
representative. We intend for the hospice to use a celebration rule in
recognizing the same-sex spouse of a patient, regardless of whether the
law in the jurisdiction where the patient or spouse resides or where
the hospice is located recognizes the same-sex spouse.
2. Condition of Participation: Patient's Rights (Sec. 418.52(b)(3))
Section 418.52 sets forth the requirements for a hospice to inform
a patient of his or her rights. Current regulations at Sec.
418.52(b)(3) require a hospice to allow a patient's legal
representative to exercise the patient's rights to the extent allowed
by state law, if the patient has not been adjudged incompetent by a
state court. Regulations at Sec. 418.52(b)(3) refer to a
representative ``designated by the patient in accordance with state
law.'' We propose to add at paragraph (b)(3), language that establishes
the requirement that the same-sex spouse of a patient must be afforded
treatment equal to that afforded to an opposite-sex spouse if the
marriage was valid in the jurisdiction in which it was celebrated.
C. Conditions of Participation for Hospitals (Part 482)
1. Condition of Participation: Patient's Rights (482.13)
Regulations at Sec. 482.13 set forth the requirements that a
hospital must meet to protect and promote each patient's rights.
Sections 482.13(a)(1) and Sec. 482.13(b)(2), respectively, require a
hospital to ``inform each patient, or, when appropriate, the patient's
representative (as allowed under state law), of the patient's rights,
in advance of furnishing or discontinuing care,'' and afford the
patient ``the right to make informed decisions regarding his or her
care.'' We propose to add at Sec. 482.13(a)(1) and Sec. 482.13(b)(2)
the requirement that the same-sex spouse of a patient must be afforded
treatment equal to that afforded to an opposite-sex spouse if the
marriage is valid in the jurisdiction in which it was celebrated.
2. Condition of Participation: Laboratory Services (Sec. 482.27)
Regulations at Sec. 482.27 require that a hospital must maintain,
or have available, adequate laboratory services to meet the needs of
its patients. Regulations at Sec. 482.27(b) require hospitals to
screen blood and blood products for potentially infectious diseases
(specifically, the HIV virus and Hepatitis C virus) and to notify
donors and patients as necessary. Section 482.27(b)(10) addresses
notification both when the patient has been adjudged incompetent by a
state court and when the patient is competent. In the case of a patient
who is adjudged incompetent by a state court, the physician or hospital
must notify a ``legal representative designated in accordance with
state law.'' When the patient is competent, but state law permits a
legal representative or relative to receive the information on the
patient's behalf, the physician or hospital must notify the patient or
patient's legal representative or relative. We propose to add at Sec.
482.27(b)(10) the requirement that the same-sex spouse of a patient
must be afforded treatment equal to that afforded to an opposite-sex
spouse if the marriage is valid in the jurisdiction in which it was
celebrated. This requirement would apply when state law designates or
identifies a ``spouse'' as a legal representative in case of either
competency or incompetency.
D. Requirements for States and Long-Term Care (LTC) Facilities (42 CFR
Part 483)
1. Resident Rights (Sec. 483.10)
Regulations at Sec. 483.10 give residents the right to a dignified
existence, self-determination, and communication with and access to
persons and services inside and outside a facility. The regulations
also require LTC facilities to protect and promote the rights of each
resident. Under Sec. 483.10(a)(4), when a resident has not been
adjudged incompetent, any ``legal surrogate designated in accordance
with state law'' may exercise such rights to the extent provided by
state law. We propose to add language to Sec. 483.10(a)(4) that would
establish a requirement that, the same-sex spouse of a resident must be
afforded treatment equal to that afforded to an opposite-sex spouse if
the marriage was valid in the jurisdiction in which it was celebrated.
2. Preadmission Screening and Resident Review (PASRR) Evaluation
Criteria (Sec. 483.128)
Regulations at Sec. 483.128 set forth the criteria for a PASRR
(currently abbreviated as PASARR in the regulations) evaluation.
Section 483.128(c) specifies who must participate in the evaluation
process, and paragraph (c)(2) requires that the individual's legal
representative must participate, if one has been designated under state
law. At Sec. 483.128(c)(2), we propose to clarify that a same-sex
spouse would be recognized and treated the same as an opposite-sex
spouse if the marriage was valid in the jurisdiction in which it was
celebrated.
In addition, regulations at Sec. 483.128(k) require that for both
categorical and individualized determinations, findings of the
evaluation must be interpreted and explained to the individual and,
where applicable, a legal representative designated under state law. We
propose a similar revision here to provide that, a same-sex spouse
would be recognized and treated the same as an opposite-sex spouse if
the same-sex marriage was valid in the jurisdiction in which it was
celebrated.
[[Page 73876]]
E. Conditions of Participation: Community Mental Health Centers (CMHCs)
(Part 485, Subpart J)
1. Definitions (Sec. 485.902)
Regulations at Sec. 485.902 set forth the definition of
``representative'' when used throughout Part 485, subpart J as related
to care in CMHCs. We propose to revise the definition of
``representative'' to provide that the same-sex spouse of a client must
be afforded treatment equal to that afforded to an opposite-sex spouse
if the marriage was valid in the jurisdiction in which it was
celebrated.
2. Condition of Participation: Client Rights (485.910(b)(3))
Regulations at Sec. 485.910 require CMHCs to inform a client of
his or her rights and protect and promote the exercise of these client
rights. Section 485.910(b)(3) requires that, in the case of a client
who has not been adjudged incompetent by the State court, ``any legal
representative designated by the client in accordance with state law''
may exercise the client's rights to the extent allowed under state law.
We propose to add to this provision the requirement that the same-sex
spouse of a client must be afforded treatment equal to that afforded to
an opposite-sex spouse if the marriage was lawful in the jurisdiction
in which it was celebrated.
III. Collection of Information Requirements
This document does not impose any new information collection
requirements, that is, reporting, recordkeeping or third-party
disclosure requirements, as defined under the Paperwork Reduction Act
of 1995 (44 U.S.C. ch. 35). However, it does make reference to existing
information collection requirements; specifically, this document
references disclosure requirements contained in Sec. 482.13(a)(1) and
Sec. 482.27(b)(10). These requirements are already accounted for in
the ICR associated with OMB control number 0938-0328. We are in the
process of reinstating the ICR under 0938-0328 and will complete that
process under notice and comment periods separate from those associated
with this notice of proposed rulemaking.
IV. Response to Comments
Because of the large number of public comments we normally receive
on Federal Register documents, we are not able to acknowledge or
respond to them individually. We will consider all comments we receive
by the date and time specified in the DATES section of this preamble,
and, when we proceed with a subsequent document, we will respond to the
comments in the preamble to that document.
V. Regulatory Impact Statement
We have examined the impact of this rule as required by Executive
Order 12866 on Regulatory Planning and Review (September 30, 1993),
Executive Order 13563 on Improving Regulation and Regulatory Review
(January 18, 2011), the Regulatory Flexibility Act (RFA) (September 19,
1980, Pub. L. 96-354), section 1102(b) of the Social Security Act,
section 202 of the Unfunded Mandates Reform Act of 1995 (March 22,
1995; Pub. L. 104-4), Executive Order 13132 on Federalism (August 4,
1999) and the Congressional Review Act (5 U.S.C. 804(2)).
Executive Orders 12866 and 13563 direct agencies to assess all
costs and benefits of available regulatory alternatives and, if
regulation is necessary, to select regulatory approaches that maximize
net benefits (including potential economic, environmental, public
health and safety effects, distributive impacts, and equity). A
regulatory impact analysis (RIA) must be prepared for major rules with
economically significant effects ($100 million or more in any 1 year).
This rule does not reach the economic threshold and thus is not
considered a major rule.
The RFA requires agencies to analyze options for regulatory relief
of small entities. For purposes of the RFA, small entities include
small businesses, nonprofit organizations, and small governmental
jurisdictions. Most hospitals and most other providers and suppliers
are small entities, either by nonprofit status or by having revenues of
less than $7.0 million to $35.5 million in any 1 year. Individuals and
States are not included in the definition of a small entity. We are not
preparing an analysis for the RFA because we have determined, and the
Secretary certifies, that this proposed rule would not have a
significant economic impact on a substantial number of small entities.
In addition, section 1102(b) of the Social Security Act requires us
to prepare a regulatory impact analysis if a rule may have a
significant impact on the operations of a substantial number of small
rural hospitals. This analysis must conform to the provisions of
section 603 of the RFA. For purposes of section 1102(b) of the Act, we
define a small rural hospital as a hospital that is located outside of
a Metropolitan Statistical Area for Medicare payment regulations and
has fewer than 100 beds. We are not preparing an analysis for section
1102(b) of the Act because we have determined, and the Secretary
certifies, that this proposed rule would not have a significant impact
on the operations of a substantial number of small rural hospitals.
Section 202 of the Unfunded Mandates Reform Act of 1995 also
requires that agencies assess anticipated costs and benefits before
issuing any rule whose mandates require spending in any 1 year of $100
million in 1995 dollars, updated annually for inflation. In 2014, that
threshold is approximately $141 million. This rule will have no
consequential effect on State, local, or tribal governments or on the
private sector.
Executive Order 13132 establishes certain requirements that an
agency must meet when it promulgates a proposed rule (and subsequent
final rule) that imposes substantial direct requirement costs on State
and local governments, preempts State law, or otherwise has Federalism
implications. Since this regulation does not impose any costs on State
or local governments, the requirements of Executive Order 13132 are not
applicable.
In accordance with the provisions of Executive Order 12866, this
regulation was reviewed by the Office of Management and Budget.
List of Subjects
42 CFR Part 416
Health facilities, Health professions, Medicare, Reporting and
recordkeeping requirements.
42 CFR Part 418
Health facilities, Hospice care, Medicare, Reporting and
recordkeeping requirements.
42 CFR Part 482
Grant programs--health, Hospitals, Medicaid, Medicare, Reporting
and recordkeeping requirements.
42 CFR Part 483
Grant programs--health, Health facilities, Health professions,
Health records, Medicaid, Medicare, Nursing homes, Nutrition, Reporting
and recordkeeping requirements, Safety.
42 CFR Part 485
Grant programs--health, Health facilities, Medicaid, Medicare,
Reporting and recordkeeping requirements.
For the reasons set forth in the preamble, the Centers for Medicare
& Medicaid Services proposes to amend 42 CFR chapter IV as set forth
below:
[[Page 73877]]
PART 416--AMBULATORY SURGICAL SERVICES
0
1. The authority citation for Part 416 continues to read as follows:
Authority: Secs. 1102 and 1871 of the Social Security Act (42
U.S.C. 1302 and 1395hh).
0
2. In Sec. 416.50 paragraph (e)(3) is revised to read as follows:
Sec. 416.50 Condition for coverage: Patient's rights.
* * * * *
(e) * * *
(3) If a State court has not adjudged a patient incompetent, any
legal representative or surrogate designated by the patient may
exercise the patient's rights to the extent allowed by state law
regarding the scope of legal representation. The same-sex spouse of a
patient must be afforded treatment equal to that afforded to an
opposite-sex spouse if the marriage was valid in the jurisdiction in
which it was celebrated.
* * * * *
PART 418--HOSPICE CARE
0
3. The authority citation for Part 418 continues to read as follows:
Authority: Secs. 1102 and 1871 of the Social Security Act (42
U.S.C. 1302 and 1395hh).
0
4. Section 418.3 is amended by revising the definition of
``representative'' to read as follows:
Sec. 418.3 Definitions.
* * * * *
Representative means an individual who has the authority under
State law (whether by statute or pursuant to an appointment by the
courts of the State) to authorize or terminate medical care or to elect
or revoke the election of hospice care on behalf of a terminally ill
patient who is mentally or physically incapacitated. This may include a
legal guardian. The same-sex spouse of a patient must be afforded
treatment equal to that afforded to an opposite-sex spouse if the
marriage was valid in the jurisdiction in which it was celebrated. If a
state court has appointed a representative, that person is the
representative for these purposes.
* * * * *
0
5. In Sec. 418.52, paragraph (b)(3) is revised to read as follows:
Sec. 418.52 Condition of participation: Patient's rights.
* * * * *
(b) * * *
(3) If a state court has not adjudged a patient incompetent, any
legal representative designated by the patient in accordance with state
law may exercise the patient's rights to the extent allowed by state
law. The same-sex spouse of a patient must be afforded treatment equal
to that afforded to an opposite-sex spouse if the marriage was valid in
the jurisdiction in which it was celebrated.
* * * * *
PART 482--CONDITIONS OF PARTICIPATION FOR HOSPITALS
0
6. The authority citation for part 482 continues to read as follows:
Authority: Secs. 1102, 1871, and 1881 of the Social Security
Act (42 U.S.C. 1302, 1395hh, and 1395rr), unless otherwise noted.
0
7. In 482.13, revise paragraph (a)(1) and (b)(2) to read as follows:
Sec. 482.13 Condition of participation: Patient's rights.
* * * * *
(a) * * *
(1) A hospital must inform each patient, or when appropriate, the
patient's representative (as allowed under State law), of the patient's
rights, in advance of furnishing or discontinuing patient care whenever
possible. The same-sex spouse of a patient must be afforded treatment
equal to that afforded to an opposite-sex spouse if the marriage was
valid in the jurisdiction in which it was celebrated.
* * * * *
(b) * * *
(2) The patient or his or her representative (as allowed under
State law) has the right to make informed decisions regarding his or
her care. The same-sex spouse of a patient must be afforded treatment
equal to that afforded to an opposite-sex spouse if the marriage was
valid in the jurisdiction in which it was celebrated. The patient's
rights include being informed of his or her health status, being
involved in care planning and treatment, and being able to request or
refuse treatment. This right must not be construed as a mechanism to
demand the provision of treatment or services deemed medically
unnecessary or inappropriate.
* * * * *
0
8. In 482.27, paragraph (b)(10) is revised to read as follows:
Sec. 482.27 Condition of participation: Laboratory services.
* * * * *
(b) * * *
(10) Notification to legal representative or relative. If the
patient has been adjudged incompetent by a State court, the physician
or hospital must notify a legal representative designated in accordance
with State law. If the patient is competent, but State law permits a
legal representative or relative to receive the information on the
patient's behalf, the physician or hospital must notify the patient or
his or her legal representative or relative. The same-sex spouse of a
patient must be afforded treatment equal to that afforded to an
opposite-sex spouse if the marriage was valid in the jurisdiction in
which it was celebrated. For possible HIV infectious transfusion
beneficiaries that are deceased, the physician or hospital must inform
the deceased patient's legal representative or relative. If the patient
is a minor, the parents or legal guardian must be notified.
* * * * *
PART 483--REQUIREMENTS FOR STATES AND LONG TERM CARE FACILITIES
0
9. The authority citation for part 483 continues to read as follows:
Authority: Secs. 1102, 1128I and 1871 of the Social Security
Act (42 U.S.C. 1302, 1320a-7j, and 1395hh).
0
10. In Sec. 483.10, paragraph (a)(4) is revised to read as follows:
Sec. 483.10 Resident's rights.
* * * * *
(a) * * *
(4) In the case of a resident who has not been adjudged incompetent
by the state court, any legal-surrogate designated in accordance with
state law may exercise the resident's rights to the extent provided by
state law. The same-sex spouse of a resident must be afforded treatment
equal to that afforded to an opposite-sex spouse if the marriage was
valid in the jurisdiction in which it was celebrated.
* * * * *
0
11. In Sec. 483.128, paragraphs (c)(2) and (k) are revised to read as
follows:
Sec. 483.128 PASARR evaluation criteria.
* * * * *
(c) * * *
(2) The individual's legal representative, if one has been
designated under state law. The same-sex spouse of a patient must be
afforded treatment equal to that afforded to an opposite-sex spouse if
the marriage was valid in the jurisdiction in which it was celebrated;
and
* * * * *
(k) Interpretation of findings to individual. For both categorical
and individualized determinations, findings of the evaluation must be
interpreted and explained to the individual and, where applicable, to a
legal representative designated under state law. The same-sex spouse of
a resident
[[Page 73878]]
must be afforded treatment equal to that afforded to an opposite-sex
spouse if the marriage was valid in the jurisdiction in which it was
celebrated.
* * * * *
PART 485--CONDITIONS OF PARTICIPATION: SPECIALIZED PROVIDERS
0
12. The authority citation for part 485 continues to read as follows:
Authority: Secs. 1102 and 1871 of the Social Security Act (42
U.S.C. 1302 and 1395(hh)).
0
13. Section 485.902 is amended by revising the definition of
``representative'' to read as follows:
Sec. 485.902 Definitions.
* * * * *
Representative means an individual who has the authority under
State law to authorize or terminate medical care on behalf of a client
who is mentally or physically incapacitated. This includes a legal
guardian. The same-sex spouse of a client must be afforded treatment
equal to that afforded to an opposite-sex spouse if the marriage was
valid in the jurisdiction in which it was celebrated.
* * * * *
0
14. In Sec. 485.910, paragraph (b)(3) is revised to read as follows:
Sec. 485.910 Condition of participation: Client rights.
* * * * *
(b) * * *
(3) If the State court has not adjudged a client incompetent, any
legal representative designated by the client is accordance with State
law may exercise the client's rights to the extent allowed under State
law. The same-sex spouse of a client must be afforded treatment equal
to that afforded to an opposite-sex spouse if the marriage was valid in
the jurisdiction in which it was celebrated.
* * * * *
Dated: June 12, 2014.
Marilyn Tavenner,
Administrator, Centers for Medicare & Medicaid Services.
Approved: June 18, 2014.
Sylvia M. Burwell,
Secretary, Department of Health and Human Services.
[FR Doc. 2014-28268 Filed 12-11-14; 8:45 am]
BILLING CODE 4120-01-P