
From the U.S. Code Online via GPO Access
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[Laws in effect as of January 23, 2000]
[Document not affected by Public Laws enacted between
  January 23, 2000 and December 4, 2001]
[CITE: 42USC1320a-3]

 
                 TITLE 42--THE PUBLIC HEALTH AND WELFARE
 
                       CHAPTER 7--SOCIAL SECURITY
 
   SUBCHAPTER XI--GENERAL PROVISIONS, PEER REVIEW, AND ADMINISTRATIVE 
                             SIMPLIFICATION
 
                       Part A--General Provisions
 
Sec. 1320a-3. Disclosure of ownership and related information; 
        procedure; definitions; scope of requirements
        
    (a)(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 of this chapter, 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 of this chapter,

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\ 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) of this section), and any subcontractor in which the entity 
directly or indirectly has a 5 percent or more ownership interest.
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    \1\ So in original. The word ``the'' probably should not appear.
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    (2) As used in this section, the term ``disclosing entity'' means an 
entity which is--
        (A) a provider of services (as defined in section 1395x(u) of 
    this title, other than a fund), an independent clinical laboratory, 
    a renal disease facility, a managed care entity, as defined in 
    section 1396u-2(a)(1)(B) of this title, or a health maintenance 
    organization (as defined in section 300e(a) of this title);
        (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 of this chapter or under a State plan approved under 
    subchapter XIX of this chapter; 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 of 
    this chapter, or both, or for purposes of a State plan approved 
    under subchapter XIX of this chapter) 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 of this chapter.

    (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.

    (b) To the extent determined to be feasible under regulations of the 
Secretary, a disclosing entity shall also include in the information 
supplied under subsection (a)(1) of this section, with respect to each 
person with an ownership or control interest in the entity, the name of 
any other disclosing entity with respect to which the person is a person 
with an ownership or control interest.

(Aug. 14, 1935, ch. 531, title XI, Sec. 1124, as added Pub. L. 95-142, 
Sec. 3(a)(1), Oct. 25, 1977, 91 Stat. 1177; amended Pub. L. 96-499, 
title IX, Sec. 912(a), Dec. 5, 1980, 94 Stat. 2619; Pub. L. 97-35, title 
XXIII, Sec. 2353(i), Aug. 13, 1981, 95 Stat. 872; Pub. L. 100-93, 
Sec. 11, Aug. 18, 1987, 101 Stat. 697; Pub. L. 105-33, title IV, 
Secs. 4313(a), 4707(c), Aug. 5, 1997, 111 Stat. 388, 506.)

                       References in Text

    The Internal Revenue Code of 1986, referred to in subsec. (a)(1), is 
classified generally to Title 26, Internal Revenue Code.
    Parts A and B of subchapter XVIII of this chapter, referred to in 
subsec. (a)(2)(C), are classified to sections 1395c et seq. and 1395j et 
seq. of this title.


                               Amendments

    1997--Subsec. (a)(1). Pub. L. 105-33, Sec. 4313(a), inserted before 
period at end of concluding provisions ``and supply the Secretary with 
the 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) of this section), and any subcontractor 
in which the entity directly or indirectly has a 5 percent or more 
ownership interest.'' The substitution was made to reflect the probable 
intent of Congress, in the absence of closing quotations designating the 
provisions to be inserted.
    Subsec. (a)(2)(A). Pub. L. 105-33, Sec. 4707(c), inserted ``a 
managed care entity, as defined in section 1396u-2(a)(1)(B) of this 
title,'' after ``renal disease facility,''.
    1987--Subsec. (a)(3)(A)(ii). Pub. L. 100-93 struck out ``$25,000 
or'' after ``exceeds''.
    1981--Subsec. (a)(1). Pub. L. 97-35, Sec. 2353(i)(1), substituted in 
subpars. (A) and (B) ``and XIX of this chapter'' for ``XIX, and XX of 
this chapter''.
    Subsec. (a)(2)(D). Pub. L. 97-35, Sec. 2353(i)(2)(C), struck out 
subpar. (D) which included within term ``disclosing entity'' an entity, 
other than an individual practitioner or group of practitioners, that 
furnishes, or arranges for the furnishing of, health related services 
with respect to which payment may be claimed by the entity under a State 
plan or program approved under subchapter XX of this chapter.
    1980--Subsec. (a)(3)(A)(ii). Pub. L. 96-499 substituted ``of a whole 
or part interest'' for ``(in whole or in part) of an interest of 5 per 
centum or more'' and inserted ``, which whole or part interest is equal 
to or exceeds $25,000 or 5 per centum of the total property and assets 
of the entity''.


                    Effective Date of 1997 Amendment

    Section 4313(e) of Pub. L. 105-33 provided that:
    ``(1) Disclosure requirements.--The amendment made by subsection (a) 
[amending this section] shall apply to the application of conditions of 
participation, and entering into and renewal of contracts and 
agreements, occurring more than 90 days after the date of submission of 
the report under subsection (d) [set out as a note below].
    ``(2) Other providers.--The amendments made by subsection (b) 
[amending section 1320a-3a of this title] shall apply to payment for 
items and services furnished more than 90 days after the date of 
submission of such report.''
    Amendment by section 4707(c) of Pub. L. 105-33 effective Aug. 5, 
1997, and applicable to contracts entered into or renewed on or after 
Oct. 1, 1997, see section 4710 of Pub. L. 105-33, set out as a note 
under section 1396b of this title.


                    Effective Date of 1987 Amendment

    Amendment by Pub. L. 100-93 effective at end of fourteen-day period 
beginning Aug. 18, 1987, and inapplicable to administrative proceedings 
commenced before end of such period, see section 15(a) of Pub. L. 100-
93, set out as a note under section 1320a-7 of this title.


                    Effective Date of 1981 Amendment

    Amendment by Pub. L. 97-35 effective Oct. 1, 1981, except as 
otherwise explicitly provided, see section 2354 of Pub. L. 97-35, set 
out as an Effective Date note under section 1397 of this title.


                             Effective Date

    Section 3(e) of Pub. L. 95-142 provided that: ``The amendment made 
by subsection (a)(1) [enacting this section] shall apply with respect to 
certifications and recertifications made (and participation in the 
programs established by titles V, XVIII, XIX, and XX of the Social 
Security Act [subchapters V, XVIII, XIX, and XX of this chapter] 
pursuant to certifications and recertifications made), and fiscal 
intermediary or agent agreements or contracts entered into or renewed, 
on and after the date of the enactment of this Act [Oct. 25, 1977]. The 
remaining amendments made by this section [amending sections 1395x and 
1395cc of this title] shall take effect on the date of the enactment of 
this Act [Oct. 25, 1977]; except that the amendments made by subsections 
(c) and (d) [amending sections 1396a, 1396b, 1397a, and 1397b of this 
title] shall become effective January 1, 1978.''


      Report on Confidentiality of Social Security Account Numbers

    Section 4313(d) of Pub. L. 105-33 provided that: ``Before the 
amendments made by this section [amending this section and section 
1320a-3a of this title] may become effective, the Secretary of Health 
and Human Services shall submit to Congress a report on steps the 
Secretary has taken to assure the confidentiality of social security 
account numbers that will be provided to the Secretary under such 
amendments.''

                  Section Referred to in Other Sections

    This section is referred to in sections 300e-17, 1320a-3a, 1320a-7, 
1395i-3, 1395m, 1395w-27, 1395bbb, 1396a, 1396b, 1396r, 1396t, 1397gg of 
this title.
