§ 1320a–3.
Disclosure of ownership and related information; procedure; definitions; scope of requirements
(a)
In general
(1)
The Secretary shall by regulation or by contract provision provide that each disclosing entity (as defined in paragraph (2)) shall—
(A)
as a condition of the disclosing entity’s participation in, or certification or recertification under, any of the programs established by subchapters V, XVIII, and XIX, or
(B)
as a condition for the approval or renewal of a contract or agreement between the disclosing entity and the Secretary or the appropriate State agency under any of the programs established under subchapters V, XVIII, and XIX,
supply the Secretary or the appropriate State agency with full and complete information as to the identity of each person with an ownership or control interest (as defined in paragraph (3)) in the entity or in any subcontractor (as defined by the Secretary in regulations) in which the entity directly or indirectly has a 5 per centum or more ownership interest and supply the Secretary with the
1
So in original. The word “the” probably should not appear.
both the employer identification number (assigned pursuant to section 6109 of the Internal Revenue Code of 1986) and social security account number (assigned under
section 405(c)(2)(B) of this title) of the disclosing entity, each person with an ownership or control interest (as defined in subsection (a)(3)), and any subcontractor in which the entity directly or indirectly has a 5 percent or more ownership interest.
(2)
As used in this section, the term “disclosing entity” means an entity which is—
(B)
an entity (other than an individual practitioner or group of practitioners) that furnishes, or arranges for the furnishing of, items or services with respect to which payment may be claimed by the entity under any plan or program established pursuant to subchapter V or under a State plan approved under subchapter XIX; or
(C)
a carrier or other agency or organization that is acting as a fiscal intermediary or agent with respect to one or more providers of services (for purposes of part A or part B of subchapter XVIII, or both, or for purposes of a State plan approved under subchapter XIX) pursuant to (i) an agreement under
section 1395h of this title, (ii) a contract under
section 1395u of this title, or (iii) an agreement with a single State agency administering or supervising the administration of a State plan approved under subchapter XIX.
(3)
As used in this section, the term “person with an ownership or control interest” means, with respect to an entity, a person who—
(A)
(i)
has directly or indirectly (as determined by the Secretary in regulations) an ownership interest of 5 per centum or more in the entity; or
(ii)
is the owner of a whole or part interest in any mortgage, deed of trust, note, or other obligation secured (in whole or in part) by the entity or any of the property or assets thereof, which whole or part interest is equal to or exceeds 5 per centum of the total property and assets of the entity; or
(B)
is an officer or director of the entity, if the entity is organized as a corporation; or
(C)
is a partner in the entity, if the entity is organized as a partnership.
(c)
Required disclosure of ownership and additional disclosable parties information
(1)
Disclosure
A facility shall have the information described in paragraph (2) available—
(A)
during the period beginning on March 23, 2010, and ending on the date such information is made available to the public under section 6101(b) of the Patient Protection and Affordable Care Act for submission to the Secretary, the Inspector General of the Department of Health and Human Services, the State in which the facility is located, and the State long-term care ombudsman in the case where the Secretary, the Inspector General, the State, or the State long-term care ombudsman requests such information; and
(B)
beginning on the effective date of the final regulations promulgated under paragraph (3)(A), for reporting such information in accordance with such final regulations.
Nothing in subparagraph (A) shall be construed as authorizing a facility to dispose of or delete information described in such subparagraph after the effective date of the final regulations promulgated under paragraph (3)(A).
(2)
Information described
(A)
In general
The following information is described in this paragraph:
(i)
The information described in subsections (a) and (b), subject to subparagraph (C).
(ii)
The identity of and information on—
(I)
each member of the governing body of the facility, including the name, title, and period of service of each such member;
(II)
each person or entity who is an officer, director, member, partner, trustee, or managing employee of the facility, including the name, title, and period of service of each such person or entity; and
(III)
each person or entity who is an additional disclosable party of the facility.
(iii)
The organizational structure of each additional disclosable party of the facility and a description of the relationship of each such additional disclosable party to the facility and to one another.
(B)
Special rule where information is already reported or submitted
(C)
Special rule
In applying subparagraph (A)(i)—
(i)
with respect to subsections (a) and (b), “ownership or control interest” shall include direct or indirect interests, including such interests in intermediate entities; and
(ii)
subsection (a)(3)(A)(ii) shall include the owner of a whole or part interest in any mortgage, deed of trust, note, or other obligation secured, in whole or in part, by the entity or any of the property or assets thereof, if the interest is equal to or exceeds 5 percent of the total property or assets of the entirety.
(4)
No effect on existing reporting requirements
(5)
Definitions
In this subsection:
(A)
Additional disclosable party
The term “additional disclosable party” means, with respect to a facility, any person or entity who—
(i)
exercises operational, financial, or managerial control over the facility or a part thereof, or provides policies or procedures for any of the operations of the facility, or provides financial or cash management services to the facility;
(ii)
leases or subleases real property to the facility, or owns a whole or part interest equal to or exceeding 5 percent of the total value of such real property; or
(iii)
provides management or administrative services, management or clinical consulting services, or accounting or financial services to the facility.
(B)
Facility
The term “facility” means a disclosing entity which is—
(D)
Organizational structure
The term “organizational structure” means, in the case of—
(i)
a corporation, the officers, directors, and shareholders of the corporation who have an ownership interest in the corporation which is equal to or exceeds 5 percent;
(ii)
a limited liability company, the members and managers of the limited liability company (including, as applicable, what percentage each member and manager has of the ownership interest in the limited liability company);
(iii)
a general partnership, the partners of the general partnership;
(iv)
a limited partnership, the general partners and any limited partners of the limited partnership who have an ownership interest in the limited partnership which is equal to or exceeds 10 percent;
(v)
a trust, the trustees of the trust;
(vi)
an individual, contact information for the individual; and
(vii)
any other person or entity, such information as the Secretary determines appropriate.
([Aug. 14, 1935, ch. 531], title XI, § 1124, as added [Pub. L. 95–142, § 3(a)(1)], Oct. 25, 1977, [91 Stat. 1177]; amended [Pub. L. 96–499, title IX, § 912(a)], Dec. 5, 1980, [94 Stat. 2619]; [Pub. L. 97–35, title XXIII, § 2353(i)], Aug. 13, 1981, [95 Stat. 872]; [Pub. L. 100–93, § 11], Aug. 18, 1987, [101 Stat. 697]; [Pub. L. 105–33, title IV], §§ 4313(a), 4707(c), Aug. 5, 1997, [111 Stat. 388], 506; [Pub. L. 111–148, title VI, § 6101(a)], Mar. 23, 2010, [124 Stat. 699].)