§ 1003.200 Basis for civil money penalties, assessments, and exclusions. ( a ) The OIG may impose a penalty, assessment, and an exclusion against any person who it determines has knowingly presented, or caused to be presented, a claim that was for— ( 1 ) An item or service that the person knew, or should have known, was not provided as claimed, including a claim that was part of a pattern or practice of claims based on codes that the person knew, or should have known, would result in greater payment to the person than the code applicable to the item or service actually provided;
( 2 ) An item or service for which the person knew, or should have known, that the claim was false or fraudulent;
( 3 ) An item or service furnished during a period in which the person was excluded from participation in the Federal health care program to which the claim was presented;
( 4 ) A physician's services (or an item or service) for which the person knew, or should have known, that the individual who furnished (or supervised the furnishing of) the service— ( i ) Was not licensed as a physician;
( ii ) Was licensed as a physician, but such license had been obtained through a misrepresentation of material fact (including cheating on an examination required for licensing); or
( iii ) Represented to the patient at the time the service was furnished that the physician was certified by a medical specialty board when he or she was not so certified; or
( 5 ) An item or service that a person knew, or should have known was not medically necessary, and which is part of a pattern of such claims.
( b ) The OIG may impose a penalty; an exclusion; and, where authorized, an assessment against any person who it determines— ( 1 ) Has knowingly presented, or caused to be presented, a request for payment in violation of the terms of— ( i ) An agreement to accept payments on the basis of an assignment under section 1842(b)(3)(B)(ii) of the Act;
( ii ) An agreement with a State agency or other requirement of a State Medicaid plan not to charge a person for an item or service in excess of the amount permitted to be charged;
( iii ) An agreement to be a participating physician or supplier under section 1842(h)(1) of the Act; or
( iv ) An agreement in accordance with section 1866(a)(1)(G) of the Act not to charge any person for inpatient hospital services for which payment had been denied or reduced under section 1886(f)(2) of the Act;
( 2 ) Has knowingly given, or caused to be given, to any person, in the case of inpatient hospital services subject to section 1886 of the Act, information that he or she knew, or should have known, was false or misleading and that could reasonably have been expected to influence the decision when to discharge such person or another person from the hospital;
( 3 ) Is an individual who is excluded from participating in a Federal health care program under section 1128 or 1128A of the Act, and who— ( i ) Knows, or should know, of the action constituting the basis for the exclusion and retains a direct or indirect ownership or control interest of 5 percent or more in an entity that participates in a Federal health care program or
( ii ) Is an officer or a managing employee (as defined in section 1126(b) of the Act) of such entity;
( 4 ) Arranges or contracts (by employment or otherwise) with an individual or entity that the person knows, or should know, is excluded from participation in Federal health care programs for the provision of items or services for which payment may be made under such a program;
( 5 ) Has knowingly and willfully presented, or caused to be presented, a bill or request for payment for items and services furnished to a hospital patient for which payment may be made under a Federal health care program if that bill or request is inconsistent with an arrangement under section 1866(a)(1)(H) of the Act or violates the requirements for such an arrangement;
( 6 ) Orders or prescribes a medical or other item or service during a period in which the person was excluded from a Federal health care program, in the case when the person knows, or should know, that a claim for such medical or other item or service will be made under such a program;
( 7 ) Knowingly makes, or causes to be made, any false statement, omission, or misrepresentation of a material fact in any application, bid, or contract to participate or enroll as a provider of services or a supplier under a Federal health care program, including contracting organizations, and entities that apply to participate as providers of services or suppliers in such contracting organizations;
( 8 ) Knows of an overpayment and does not report and return the overpayment in accordance with section 1128J(d) of the Act;
( 9 ) Knowingly makes, uses, or causes to be made or used, a false record or statement material to a false or fraudulent claim for payment for items and services furnished under a Federal health care program; or
( 10 ) Fails to grant timely access to records, documents, and other material or data in any medium (including electronically stored information and any tangible thing), upon reasonable request, to the OIG, for the purpose of audits, investigations, evaluations, or other OIG statutory functions. Such failure to grant timely access means: ( i ) Except when the OIG reasonably believes that the requested material is about to be altered or destroyed, the failure to produce or make available for inspection and copying the requested material upon reasonable request or to provide a compelling reason why they cannot be produced, by the deadline specified in the OIG's written request, and
( ii ) When the OIG has reason to believe that the requested material is about to be altered or destroyed, the failure to provide access to the requested material at the time the request is made.
( c ) The OIG may impose a penalty against any person who it determines, in accordance with this part, is a physician and who executes a document falsely by certifying that a Medicare beneficiary requires home health services when the physician knows that the beneficiary does not meet the eligibility requirements in section 1814(a)(2)(C) or 1835(a)(2)(A) of the Act.
( d ) The OIG may impose a penalty against any person who it determines knowingly certifies, or causes another individual to certify, a material and false statement in a resident assessment pursuant to sections 1819(b)(3)(B) and 1919(b)(3)(B).