Form CMS-2728 ESRD Medical Evidence Report/Medicare Entitlement and Pa

DEPARTMENT OF HEALTH AND HUMAN SERVICES
CENTERS FOR MEDICARE & MEDICAID SERVICES

Form Approved

OMB No. 0938-0046

END STAGE RENAL DISEASE MEDICAL EVIDENCE REPORT

MEDICARE ENTITLEMENT AND/OR PATIENT REGISTRATION

A. COMPLETE FOR ALL ESRD PATIENTS

Check one:

Initial

Re-entitlement

Supplemental

1. Name (Last, First, Middle Initial)
2. Medicare Claim Number

3. Social Security Number

4. Date of Birth (mm/dd/yyyy)

5. Patient Mailing Address (Include City, State and Zip)

6. Phone Number (including area code)

7. Sex

9. Country/Area of Origin or Ancestry

8. Ethnicity

Male
Female
Not Hispanic or Latino
10. Race (Check all that apply)
White
Black or African American
American Indian/Alaska Native

Hispanic or Latino (Complete Item 9)
Asian
Native Hawaiian or Other Pacific Islander*

11. Is patient applying for
ESRD Medicare coverage?
Yes

No

*complete Item 9

Print Name of Enrolled/Principal Tribe ______________________________

12. Current Medical Coverage (Check all that apply)
13. Height
Medicaid
Medicare
Employer Group Health Insurance INCHES ______ OR
DVA
Medicare Advantage
Other
None
CENTIMETERS ______

Pr

io
Cu r
rr
en

t

16. Employment Status (6 mos prior and
current status)

Unemployed
Employed Full Time
Employed Part Time
Homemaker
Retired due to Age/Preference
Retired (Disability)
Medical Leave of Absence
Student

14. Dry Weight

15. Primary Cause of Renal
Failure (Use code from back of form)

POUNDS ______ OR
KILOGRAMS ______

17. Co-Morbid Conditions (Check all that apply currently and/or during last 10 years) *See instructions
a.
Congestive heart failure
n.
Malignant neoplasm, Cancer
b.
Atherosclerotic heart disease ASHD
o.
Toxic nephropathy
c.
Other cardiac disease
p.
Alcohol dependence
d.
Cerebrovascular disease, CVA, TIA*
q.
Drug dependence*
e.
Peripheral vascular disease*
r.
Inability to ambulate
f.
History of hypertension
s.
Inability to transfer
g.
Amputation
t.
Needs assistance with daily activities
h.
Diabetes, currently on insulin
u.
Institutionalized
i.
Diabetes, on oral medications
1. Assisted Living
j.
Diabetes, without medications
2. Nursing Home
k.
Diabetic retinopathy
3. Other Institution
l.
Chronic obstructive pulmonary disease v.
Non-renal congenital abnormality
w.
None
m.
Tobacco use (current smoker)

18. Prior to ESRD therapy:
a. Did patient receive exogenous erythropoetin or equivalent?
b. Was patient under care of a nephrologist?
c. Was patient under care of kidney dietitian?
d. What access was used on first outpatient dialysis:
If not AVF, then: Is maturing AVF present?
Is maturing graft present?

Yes
Yes
Yes
AVF
Yes
Yes

No
No
No
Graft
No
No

Unknown
Unknown
Unknown
Catheter

If Yes, answer:
If Yes, answer:
If Yes, answer:
Other

6-12 months
6-12 months
6-12 months

>12 months
>12 months
>12 months

19. Laboratory Values Within 45 Days Prior to the Most Recent ESRD Episode. (Lipid Profile within 1 Year of Most Recent ESRD Episode).

LABORATORY TEST

VALUE

DATE

LABORATORY TEST

a.1. Serum Albumin (g/dl)

___ . ___

d. HbA1c

a.2. Serum Albumin Lower Limit

___ . ___

e. Lipid Profile

a.3. Lab Method Used (BCG or BCP)

VALUE

DATE

___ ___ . ___%
TC

___ ___ ___

LDL

___ ___ ___

b.

Serum Creatinine (mg/dl)

___ ___ . ___

HDL

c.

Hemoglobin (g/dl)

___ ___ . ___

TG

___ ___
___ ___ ___ ___

B. COMPLETE FOR ALL ESRD PATIENTS IN DIALYSIS TREATMENT
20. Name of Dialysis Facility

21. Medicare Provider Number (for item 20)

22. Primary Dialysis Setting

23. Primary Type of Dialysis

Home

Dialysis Facility/Center

SNF/Long Term Care Facility

24. Date Regular Chronic Dialysis Began (mm/dd/yyyy)
26. Has patient been informed
of kidney transplant options?
Yes

No

FORM CMS-2728-U3 (03/06)

Hemodialysis (Sessions per week____/hours per session____)
CAPD
CCPD
Other
25. Date Patient Started Chronic Dialysis at Current Facility (mm/dd/yyyy)

27. If patient NOT informed of transplant options, please check all that apply:
Medically unfit
Patient has not been assessed

Patient declines information
Psychologically unfit

Unsuitable due to age
Other
1

C. COMPLETE FOR ALL kIDNEY TRANSPLANT PATIENTS
28. Date of Transplant (mm/dd/yyyy)

29. Name of Transplant Hospital

30. Medicare Provider Number for Item 29

Date patient was admitted as an inpatient to a hospital in preparation for, or anticipation of, a kidney transplant prior to the
date of actual transplantation.
31. Enter Date (mm/dd/yyyy)

32. Name of Preparation Hospital

34. Current Status of Transplant (if functioning, skip items 36 and 37)
Functioning

Non-Functioning

33. Medicare Provider number for Item 32

35. Type of Donor:
Deceased

Living Related

Living Unrelated

36. If Non-Functioning, Date of Return to Regular Dialysis (mm/dd/yyyy) 37. Current Dialysis Treatment Site
Home

Dialysis Facility/Center

SNF/Long Term Care Facility

D. COMPLETE FOR ALL ESRD SELF-DIALYSIS TRAINING PATIENTS (MEDICARE APPLICANTS ONLY)
38. Name of Training Provider

39. Medicare Provider Number of Training Provider (for Item 38)

40. Date Training Began (mm/dd/yyyy)

41. Type of Training
Hemodialysis a.
CAPD
CCPD

42. This Patient is Expected to Complete (or has completed) Training
and will Self-dialyze on a Regular Basis.
Yes

Home b.
Other

In Center

43. Date When Patient Completed, or is Expected to Complete, Training
(mm/dd/yyyy)

No

I certify that the above self-dialysis training information is correct and is based on consideration of all pertinent medical, psychological, and
sociological factors as reflected in records kept by this training facility.
44. Printed Name and Signature of Physician personally familiar with the patient’s training
a.) Printed Name

b.) Signature

45. UPIN of Physician in Item 44

c.) Date (mm/dd/yyyy)

E. PHYSICIAN IDENTIFICATION
46. Attending Physician (Print)

47. Physician’s Phone No. (include Area Code)

48. UPIN of Physician in Item 46

PHYSICIAN ATTESTATION
I certify, under penalty of perjury, that the information on this form is correct to the best of my knowledge and belief. Based on diagnostic
tests and laboratory findings, I further certify that this patient has reached the stage of renal impairment that appears irreversible and
permanent and requires a regular course of dialysis or kidney transplant to maintain life. I understand that this information is intended for
use in establishing the patient’s entitlement to Medicare benefits and that any falsification, misrepresentation, or concealment of essential
information may subject me to fine, imprisonment, civil penalty, or other civil sanctions under applicable Federal laws.
50. Date (mm/dd/yyyy)
49. Attending Physician’s Signature of Attestation (Same as Item 46)
51. Physician Recertification Signature

52. Date (mm/dd/yyyy)

53. Remarks

F. OBTAIN SIGNATURE FROM PATIENT
I hereby authorize any physician, hospital, agency, or other organization to disclose any medical records or other information about my
medical condition to the Department of Health and Human Services for purposes of reviewing my application for Medicare entitlement
under the Social Security Act and/or for scientific research.
54. Signature of Patient (Signature by mark must be witnessed.)

55. Date (mm/dd/yyyy)

G. PRIVACY STATEMENT
The collection of this information is authorized by Section 226A of the Social Security Act. The information provided will be used to determine if an
individual is entitled to Medicare under the End Stage Renal Disease provisions of the law. The information will be maintained in system No. 09-70­
0520, “End Stage Renal Disease Program Management and Medical Information System (ESRD PMMIS)”, published in the Federal Register, Vol. 67, No.
116, June 17, 2002, pages 41244-41250 or as updated and republished. Collection of your Social Security number is authorized by Executive Order 9397.
Furnishing the information on this form is voluntary, but failure to do so may result in denial of Medicare benefits. Information from the ESRD PMMIS
may be given to a congressional office in response to an inquiry from the congressional office made at the request of the individual; an individual or
organization for research, demonstration, evaluation, or epidemiologic project related to the prevention of disease or disability, or the restoration
or maintenance of health. Additional disclosures may be found in the Federal Register notice cited above. You should be aware that P.L.100-503, the
Computer Matching and Privacy Protection Act of 1988, permits the government to verify information by way of computer matches.
FORM CMS-2728-U3 (03/06)

2

LIST OF PRIMARY CAUSES OF END STAGE RENAL DISEASE

Item 15. Primary Cause of Renal Failure should be completed by the attending physician from the list below. Enter the
ICD-9-CM code to indicate the primary cause of end stage renal disease. If there are several probable causes of renal
failure, choose one as primary. Code effective as of September 2003.

ICD-9

NARRATIVE

ICD-9

NARRATIVE

DIABETES

CYSTIC/HEREDITARY/CONGENITAL DISEASES

25040
25041

75313
75314
75316
7595
7598
2700
2718
2727
7533
5839
75321
75322
75329
7530
75671
75989

Diabetes with renal manifestations Type 2
Diabetes with renal manifestations Type 1

GLOMERULONEPHRITIS
5829
5821
5831
58321
58322
58381
58382
5834
5800
5820

Glomerulonephritis (GN)
(histologically not examined)
Focal glomerulosclerosis, focal sclerosing GN
Membranous nephropathy
Membranoproliferative GN type 1, diffuse MPGN
Dense deposit disease, MPGN type 2
IgA nephropathy, Berger’s disease
(proven by immunofluorescence)
IgM nephropathy (proven by immunofluorescence)
With lesion of rapidly progressive GN
Post infectious GN, SBE
Other proliferative GN

SECONDARY GN/VASCULITIS
7100
2870
7101
28311
4460
4464
58392
44620
44621
58391

Lupus erythematosus, (SLE nephritis)
Henoch-Schonlein syndrome
Scleroderma
Hemolytic uremic syndrome
Polyarteritis
Wegener’s granulomatosis
Nephropathy due to heroin abuse and related drugs
Other Vasculitis and its derivatives
Goodpasture’s syndrome
Secondary GN, other

INTERSTITIAL NEPHRITIS/PYELONEPHRITIS
9659
5830
9849
5909
27410
5920
5996
5900
58389
58089
5929
27549

Analgesic abuse
Radiation nephritis
Lead nephropathy
Nephropathy caused by other agents
Gouty nephropathy
Nephrolithiasis
Acquired obstructive uropathy
Chronic pyelonephritis, reflux nephropathy
Chronic interstitial nephritis
Acute interstitial nephritis
Urolithiasis
Other disorders of calcium metabolism

HYPERTENSION/LARGE VESSEL DISEASE
40391
4401
59381
59383

Unspecified with renal failure
Renal artery stenosis
Renal artery occlusion
Cholesterol emboli, renal emboli

FORM CMS-2728-U3 (03/06)

Polycystic kidneys, adult type (dominant)
Polycystic, infantile (recessive)
Medullary cystic disease, including nephronophthisis
Tuberous sclerosis
Hereditary nephritis, Alport’s syndrome
Cystinosis
Primary oxalosis
Fabry’s disease
Congenital nephrotic syndrome
Drash syndrome, mesangial sclerosis
Congenital obstruction of ureterpelvic junction
Congenital obstruction of uretrovesical junction
Other Congenital obstructive uropathy
Renal hypoplasia, dysplasia, oligonephronia
Prune belly syndrome
Other (congenital malformation syndromes)

NEOPLASMS/TUMORS
1890
1899
2230
2239
23951
23952
20280
20300
20308
2773
99680
99681
99682
99683
99684
99685
99686
99687
99689

Renal tumor (malignant)
Urinary tract tumor (malignant)
Renal tumor (benign)
Urinary tract tumor (benign)
Renal tumor (unspecified)
Urinary tract tumor (unspecified)
Lymphoma of kidneys
Multiple myeloma
Other immuno proliferative neoplasms
(including light chain nephropathy)
Amyloidosis
Complications of transplanted organ unspecified
Complications of transplanted kidney
Complications of transplanted liver
Complications of transplanted heart
Complications of transplanted lung
Complications of transplanted bone marrow
Complications of transplanted pancreas
Complications of transplanted intestine
Complications of other specified transplanted organ

MISCELLANEOUS CONDITIONS
28260
28269
64620
042
8660
5724
5836
59389
7999

Sickle cell disease/anemia
Sickle cell trait and other sickle cell (HbS/Hb other)
Post partum renal failure
AIDS nephropathy
Traumatic or surgical loss of kidney(s)
Hepatorenal syndrome
Tubular necrosis (no recovery)
Other renal disorders
Etiology uncertain

3

INSTRUCTIONS FOR COMPLETION OF END STAGE RENAL DISEASE MEDICAL EVIDENCE REPORT

MEDICARE ENTITLEMENT AND/OR PATIENT REGISTRATION

For whom should this form be completed:
This form SHOULD NOT be completed for those patients who
are in acute renal failure. Acute renal failure is a condition
in which kidney function can be expected to recover after a
short period of dialysis, i.e., several weeks or months.
This form MUST BE completed within 45 days for ALL patients
beginning any of the following:
Check the appropriate block that identifies the reason for
submission of this form.

Initial
For all patients who initially receive a kidney transplant
instead of a course of dialysis.
For patients for whom a regular course of dialysis has been
prescribed by a physician because they have reached that
stage of renal impairment that a kidney transplant or regular
course of dialysis is necessary to maintain life. The first date
of a regular course of dialysis is the date this prescription
is implemented whether as an inpatient of a hospital, an
outpatient in a dialysis

center or facility, or a home patient. The form should be
completed for all patients in this category even if the patient
dies within this time period.

Re-entitlement
For beneficiaries who have already been entitled to ESRD
Medicare benefits and those benefits were terminated
because their coverage stopped 3 years post transplant
but now are again applying for Medicare ESRD benefits
because they returned to dialysis or received another kidney
transplant.
For beneficiaries who stopped dialysis for more than 12
months, have had their Medicare ESRD benefits terminated
and now returned to dialysis or received a kidney transplant.
These patients will be reapplying for Medicare ESRD benefits.

Supplemental
Patient has received a transplant or trained for self-care
dialysis within the first 3 months of the first date of dialysis
and initial form was submitted.

All items except as follows: To be completed by the attending physician, head nurse, or social worker involved in this

patient’s treatment of renal disease.

Items 15, 17-18, 26-27, 49-50: To be completed by the attending physician.

Item 44: To be signed by the attending physician or the physician familiar with the patient’s self-care dialysis training.

Items 54 and 55: To be signed and dated by the patient.

1. Enter the patient’s legal name (Last, first, middle initial). Name
should appear exactly the same as it appears on patient’s
social security or Medicare card.
2. If the patient is covered by Medicare, enter his/her Medicare
claim number as it appears on his/her Medicare card.
3. Enter the patient’s own social security number. This number
can be verified from his/her social security card.
4. Enter patient’s date of birth (2-digit Month, Day, and 4-digit
Year). Example 07/25/1950.
5. Enter the patient’s mailing address (number and street or post
office box number, city, state, and ZIP code.)
6. Enter the patient’s home area code and telephone number.
7. Check the appropriate block to identify sex.
8. Check the appropriate block to identify ethnicity. Definitions
of the ethnicity categories for Federal statistics are as follows:
Not Hispanic or Latino—A person of culture or origin not
described below, regardless of race.
Hispanic or Latino—A person of Cuban, Puerto Rican, or
Mexican culture or origin regardless of race. Please complete
Item 9 and provide the country, area of origin, or ancestry to
which the patient claims to belong.
9. Country/Area of origin or ancestry—Complete if information is
available or if directed to do so in question 8.

10. Check the appropriate block(s) to identify race. Definitions of
the racial categories for Federal statistics are as follows:
White—A person having origins in any of the original white
peoples of Europe, the Middle East or North Africa.
Black or African American—A person having origins in any
of the black racial groups of Africa. This includes native-born
Black Americans, Africans, Haitians and residents of nonSpanish speaking Caribbean Islands of African descent.
American Indian/Alaska Native—A person having origins
in any of the original peoples of North America and South
America (including Central America) and who maintains tribal
affiliation or community attachment. Print the name of the
enrolled or principal tribe to which the patient claims to be a
member.
Asian—A person having origins in any of the original peoples
of the Far East, Southeast Asia or the Indian subcontinent
including, for example, Cambodia, China, India, Japan, Korea,
Malaysia, Pakistan, the Philippine Islands, Thailand and
Vietnam.
Native Hawaiian or Other Pacific Islander—A person having
origins in any of the original peoples of Hawaii, Guam, Samoa,
or other Pacific Islands. Please complete Item 9 and provide
the country, area of origin, or ancestry to which the patient
claims to belong.

DISTRIBUTION OF COPIES:
• Forward the first part (blue) of this form to the Social Security office servicing the claim.
• Forward the second part (green) of this form to the ESRD Network Organizations.
• Retain the last part (white) in the patient’s medical records file.
According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it displays a valid OMB control
number. The valid OMB control number for this information is 0938-0046. The time required to complete this information collection estimated to average
45 minutes per response, including the time to review instructions, search existing data resources, gather the data needed, and complete and review the
information collection. If you have any comments concerning the accuracy of the time estimate(s) or suggestions for improving this form, please write to: CMS,
Attention: PRA Reports Clearance Officer, 7500 Security Boulevard, Baltimore, Maryland 21244-1850.
FORM CMS-2728-U3 (03/06)

4

11. Check the appropriate yes or no block to indicate if patient is
applying for ESRD Medicare. Note: Even though a person may
already be entitled to general Medicare coverage, he/she
should reapply for ESRD Medicare coverage.
12. Check all the blocks that apply to this patient’s current

medical insurance status.

Medicaid—Patient is currently receiving State Medicaid
benefits.

19a1. Enter the serum albumin value (g/dl) and date test was taken.
This value and date must be within 45 days prior to first
dialysis treatment or kidney transplant.
19a2. Enter the lower limit of the normal range for serum albumin
from the laboratory which performed the serum albumin test
entered in 19a1.
19a3. Enter the serum albumin lab method used (BCG or BCP).

Medicare—Patient is currently entitled to Federal Medicare
benefits.

19b. Enter the serum creatinine value (mg/dl) and date test was
taken. THIS FIELD MUST BE COMPLETED. Value must be within
45 days prior to first dialysis treatment or kidney transplant.

Employer Group Health Insurance—Patient receives medical
benefits through an employee health plan that covers
employees, former employees, or the families of employees or
former employees.

19c. Enter the hemoglobin value (g/dl) and date test was taken.
This value and date must be within 45 days prior to the first
dialysis treatment or kidney transplant.

DVA—Patient is receiving medical care from a Department of
Veterans Affairs facility.
Medicare Advantage—Patient is receiving medical benefits
under a Medicare Advantage organization.
Other Medical Insurance—Patient is receiving medical benefits
under a health insurance plan that is not Medicare, Medicaid,
Department of Veterans Affairs, HMO/M+C organization, nor
an employer group health insurance plan. Examples of other
medical insurance are Railroad Retirement and CHAMPUS
beneficiaries.
None—Patient has no medical insurance plan.
13. Enter the patient’s most recent recorded height in inches

OR centimeters at time form is being completed. If entering

height in centimeters, round to the nearest centimeter.

Estimate or use last known height for those unable to be

measured. (Example of inches - 62. DO NOT PUT 5’2”) NOTE:

For amputee patients, enter height prior to amputation.

19d. Enter the HbA1c value and the date the test was taken. The
date must be within 1 year prior to the first dialysis treatment
or kidney transplant.
19e. Enter the Lipid Profile values and date test was taken. These
values: TC–Total Cholesterol; LDL–LDL Cholesterol; HDL–HDL
Cholesterol; TG–Triglycerides, and date must be within 1 year
prior to the first dialysis treatment or kidney transplant.
20.

Enter the name of the dialysis facility where patient is
currently receiving care and who is completing this form for
patient.

21.

Enter the 6-digit Medicare identification code of the dialysis
facility in item 20.

22.

If the person is receiving a regular course of dialysis treatment,
check the appropriate anticipated long-term treatment setting
at the time this form is being completed.

23.

If the patient is, or was, on regular dialysis, check the
anticipated long-term primary type of dialysis: Hemodialysis,
(enter the number of sessions prescribed per week and
the hours that were prescribed for each session), CAPD
(Continuous Ambulatory Peritoneal Dialysis) and CCPD
(Continuous Cycling Peritoneal Dialysis), or Other. Check only
one block. NOTE: Other has been placed on this form to be
used only to report IPD (Intermittent Peritoneal Dialysis) and
any new method of dialysis that may be developed prior to
the renewal of this form by Office of Management
and Budget.

24.

Enter the date (month, day, year) that a “regular course of
chronic dialysis” began. The beginning of the course of dialysis
is counted from the beginning of regularly scheduled dialysis
necessary for the treatment of end stage renal disease (ESRD)
regardless of the dialysis setting. The date of the first dialysis
treatment after the physician has determined that this patient
has ESRD and has written a prescription for a “regular course
of dialysis” is the “Date Regular Chronic Dialysis Began”
regardless of whether this prescription was implemented in a
hospital/ inpatient, outpatient, or home setting and regardless
of any acute treatments received prior to the implementation
of the prescription.

14. Enter the patient’s most recent recorded dry weight in pounds
OR kilograms at time form is being completed. If entering
weight in kilograms, round to the nearest kilogram.
NOTE: For amputee patients, enter actual dry weight.
15. To be completed by the attending physician. Enter the ICD­
9-CM from back of form to indicate the primary cause of end

stage renal disease. These are the only acceptable causes of

end stage renal disease.

16. Check the first box to indicate employment status 6 months
prior to renal failure and the second box to indicate current
employment status. Check only one box for each time period.
If patient is under 6 years of age, leave blank.
17. To be completed by the attending physician. Check all

co-morbid conditions that apply.

*Cerebrovascular Disease includes history of stroke/
cerebrovascular accident (CVA) and transient ischemic attack
(TIA).
*Peripheral Vascular Disease includes absent foot pulses,
prior typical claudication, amputations for vascular disease,
gangrene and aortic aneurysm.
*Drug dependence means dependent on illicit drugs.
18. Prior to ESRD therapy, check the appropriate box to indicate
whether the patient received Exogenous erythropoetin (EPO)
or equivalent, was under the care of a nephrologist and/or was
under the care of a kidney dietitian. Provide vascular access
information as to the type of access used (Arterio-Venous Fistula
(AVF), graft, catheter (including port device) or other type of
access) when the patient first received outpatient dialysis. If an
AVF access was not used, was a maturing AVF or graft present?
NOTE: For those patients re-entering the Medicare program after
benefits were terminated, Items 19a thru 19c should contain initial
laboratory values within 45 days prior to the most recent ESRD
episode. Lipid profiles and HbA1c should be within 1 year of the
most recent ESRD episode. Some tests may not be required for
patients under 21 years of age.
FORM CMS-2728-U3 (03/06)

NOTE: For these purposes, end stage renal disease means
irreversible damage to a person’s kidneys so severely affecting
his/her ability to remove or adjust blood wastes that in order to
maintain life he or she must have either a course of dialysis or a
kidney transplant to maintain life.
If re-entering the Medicare program, enter beginning date of the
current ESRD episode. Note in Remarks, Item 53, that patient is
restarting dialysis.
25.

Enter date patient started chronic dialysis at current facility of
dialysis services. In cases where patient transferred to current
dialysis facility, this date will be after the date in Item 24.

26.

Enter whether the patient has been informed of their options
for receiving a kidney transplant.

27.

If the patient has not been informed of their options
(answered “no” to Item 26), then enter all reasons why a
kidney transplant was not an option for this patient at
this time.
5

28.

Enter the date(s) of the patient’s kidney transplant(s). If
reentering the Medicare program, enter current transplant
date.

47.

Enter the area code and telephone number of the physician
who is supervising the patient’s renal treatment at the time
this form is completed.

29.

Enter the name of the hospital where the patient received a
kidney transplant on the date in Item 28.

48.

Enter the physician’s UPIN assigned by CMS.

30.

Enter the 6-digit Medicare identification code of the hospital
in Item 29 where the patient received a kidney transplant on
the date entered in Item 28.

31.

Enter date patient was admitted as an inpatient to a hospital in
preparation for, or anticipation of, a kidney transplant prior to the
date of the actual transplantation. This includes hospitalization for
transplant workup in order to place the patient on a transplant
waiting list.

32.

Enter the name of the hospital where patient was admitted
as an inpatient in preparation for, or anticipation of, a kidney
transplant prior to the date of the actual transplantation.

33.

Enter the 6-digit Medicare identification number for hospital in
Item 32.

34.
35.

36.

If transplant is nonfunctioning, enter date patient returned to
a regular course of dialysis. If patient did not stop dialysis post
transplant, enter transplant date.

37.

If applicable, check where patient is receiving dialysis
treatment following transplant rejection. A nursing home or
skilled nursing facility is considered as home setting.

A system of physician identifiers is mandated by Section 9202
of the Consolidated Omnibus Budget Reconciliation Act of
1985. It requires a unique identifier for each physician who
provides services for which Medicare payment is made. An
identifier is assigned to each physician regardless of his or her
practice configuration. The UPIN is established in a national
Registry of Medicare Physician Identification and Eligibility
Records (MPIER). Transamerica Occidental Life Insurance
Company is the Registry Carrier that establishes and maintains
the national registry of physicians receiving Part B Medicare
payment. Its address is: UPIN Registry, Transamerica Occidental
Life, P.O. Box 2575, Los Angeles, CA 90051-0575.
49.

To be signed by the physician supervising the patient’s kidney
treatment. Signature of physician identified in Item 46. A
stamped signature is unacceptable.

Check the appropriate functioning or non-functioning block.

50.

Enter date physician signed this form.

Enter the type of kidney transplant organ donor, Deceased,
Living Related or Living Unrelated, that was provided to
the patient.

51.

To be signed by the physician who is currently following the
patient. If the patient had decided initially not to file an application
for Medicare, the physician will be re-certifying that the patient is
end stage renal, based on the same medical evidence, by signing
the copy of the CMS-2728 that was originally submitted and
returned to the provider. If you do not have a copy of the original
CMS-2728 on file, complete a new form.

52.

The date physician re-certified and signed the form.

53.

This remarks section may be used for any necessary comments
by either the physician, patient, ESRD Network or social
security field office.

54.

The patient’s signature authorizing the release of information
to the Department of Health and Human Services must
be secured here. If the patient is unable to sign the form,
it should be signed by a relative, a person assuming
responsibility for the patient or by a survivor.

55.

The date patient signed form.

Self-dialysis Training Patients (Medicare Applicants Only)
Normally, Medicare entitlement begins with the third month
after the month a patient begins a regular course of dialysis
treatment. This 3-month qualifying period may be waived if a
patient begins a self-dialysis training program in a Medicare
approved training facility and is expected to self-dialyze after
the completion of the training program. Please complete items
38-43 if the patient has entered into a self-dialysis training
program. Items 38-43 must be completed if the patient is
applying for a Medicare waiver of the 3-month qualifying
period for dialysis benefits based on participation in a self-care
dialysis training program.
38.

Enter the name of the provider furnishing self-care dialysis
training.

39.

Enter the 6-digit Medicare identification number for the
training provider in Item 38.

40.

Enter the date self-dialysis training began.

41.

Check the appropriate block which describes the type of selfcare dialysis training the patient began. If the patient trained
for hemodialysis, enter whether the training was to perform
dialysis in the home setting or in the facility (in center). If the
patient trained for IPD (Intermittent Peritoneal Dialysis), report
as Other.

42.

Check the appropriate block as to whether or not the
physician certifies that the patient is expected to complete the
training successfully and self-dialyze on a regular basis.

43.

Enter date patient completed or is expected to complete selfdialysis training.

44.

Enter printed name and signature of the attending physician
or the physician familiar with the patient’s self-care dialysis
training.

45.

Enter the Unique Physician Identification Number (UPIN) of
physician in Item 44. (See Item 48 for explanation of UPIN.)

46.

Enter the name of the physician who is supervising the
patient’s renal treatment at the time this form is completed.

FORM CMS-2728-U3 (03/06)

6