---
kind: "section"
citation: "42 U.S.C. § 1320a–3"
title: "42"
title_heading: "The Public Health and Welfare"
number: "1320a–3"
heading: "Disclosure of ownership and related information; procedure; definitions; scope of requirements"
release: "119-102"
date: "2026-07-12"
url: "https://uscodex.org/usc/42/1320a-3"
units:
  - "Chapter 7 — Social Security"
  - "Subchapter XI — General Provisions, Peer Review, and Administrative Simplification"
  - "Part A — General Provisions"
---

# §1320a–3. Disclosure of ownership and related information; procedure; definitions; scope of requirements

- (a) **In general—**
  - (1) The [Secretary](/usc/42/1301.md?p=a-6) shall by regulation or by contract provision provide that each [disclosing entity](#a-2) (as defined in [paragraph (2)](#a-2)) shall—
    - (A) as a condition of the [disclosing entity](#a-2)’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](#a-2) and the [Secretary](/usc/42/1301.md?p=a-6) or the appropriate [State agency](/usc/42/629a.md?p=a-3) under any of the programs established under subchapters V, XVIII, and XIX,

    supply the [Secretary](/usc/42/1301.md?p=a-6) or the appropriate [State agency](/usc/42/629a.md?p=a-3) with full and complete information as to the identity of each [person with an ownership or control interest](#a-3) (as defined in [paragraph (3)](#a-3)) in the entity or in any subcontractor (as defined by the [Secretary](/usc/42/1301.md?p=a-6) in regulations) in which the entity directly or indirectly has a 5 per centum or more ownership interest and supply the [Secretary](/usc/42/1301.md?p=a-6) with the[^1] both the employer identification number (assigned pursuant to section 6109 of the Internal Revenue Code of 1986) and [social](/usc/42/1397j.md?p=20) security account number (assigned under [section 405(c)(2)(B) of this title](/usc/42/405.md?p=c-2-B)) of the [disclosing entity](#a-2), each [person with an ownership or control interest](#a-3) (as defined in [subsection (a)(3)](#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—
    - (A) a provider of services (as defined in [section 1395x(u) of this title](/usc/42/1395x.md?p=u), other than a fund), an independent clinical laboratory, a renal disease [facility](#c-5-B), a managed care entity, as defined in [section 1396u–2(a)(1)(B) of this title](/usc/42/1396u–2.md?p=a-1-B), or a health maintenance organization (as defined in [section 300e(a) of this title](/usc/42/300e.md?p=a));
    - (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](/usc/42/619.md?p=5) plan approved under subchapter XIX; or
    - (C) a carrier or other [agency](/usc/42/1397n–12.md?p=1) 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](/usc/42/619.md?p=5) plan approved under subchapter XIX) pursuant to (i) an agreement under [section 1395h of this title](/usc/42/1395h.md), (ii) a contract under [section 1395u of this title](/usc/42/1395u.md), or (iii) an agreement with a single [State agency](/usc/42/629a.md?p=a-3) administering or supervising the [administration](/usc/42/1301.md?p=a-10) of a [State](/usc/42/619.md?p=5) 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](/usc/42/1301.md?p=a-3) who—
    - (A)
      - (i) has directly or indirectly (as determined by the [Secretary](/usc/42/1301.md?p=a-6) in regulations) an ownership interest of 5 per centum or more in the entity; or
      - (ii) is the [owner](/usc/42/13641.md?p=4) 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](/usc/42/11851.md?p=5) of the entity, if the entity is organized as a [corporation](/usc/42/1301.md?p=a-4); or
    - (C) is a partner in the entity, if the entity is organized as a partnership.
- (b) **Other disclosing entities—** To the extent determined to be feasible under regulations of the [Secretary](/usc/42/1301.md?p=a-6), a [disclosing entity](#a-2) shall also include in the information supplied under [subsection (a)(1)](#a-1), with respect to each [person with an ownership or control interest](#a-3) in the entity, the name of any other [disclosing entity](#a-2) with respect to which the [person](/usc/42/1301.md?p=a-3) is a [person with an ownership or control interest](#a-3).
- (c) **Required disclosure of ownership and additional disclosable parties information—**
  - (1) **Disclosure—** A [facility](#c-5-B) shall have the information described in [paragraph (2)](#c-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)](/usc/42/6101.md) of the Patient Protection and Affordable Care Act for submission to the [Secretary](/usc/42/1301.md?p=a-6), the Inspector General of the Department of Health and Human Services, the [State](/usc/42/619.md?p=5) in which the [facility](#c-5-B) is located, and the [State long-term care ombudsman](/usc/42/1397j.md?p=22) in the case where the [Secretary](/usc/42/1301.md?p=a-6), the Inspector General, the [State](/usc/42/619.md?p=5), or the [State long-term care ombudsman](/usc/42/1397j.md?p=22) requests such information; and
    - (B) beginning on the effective date of the final regulations promulgated under [paragraph (3)(A)](#c-3-A), for reporting such information in accordance with such final regulations.

    Nothing in [subparagraph (A)](#c-1-A) shall be construed as authorizing a [facility](#c-5-B) to dispose of or delete information described in such subparagraph after the effective date of the final regulations promulgated under [paragraph (3)(A)](#c-3-A).

  - (2) **Information described—**
    - (A) **In general—** The following information is described in this paragraph:
      - (i) The information described in subsections [(a)](#a) and [(b)](#b), subject to [subparagraph (C)](#c-2-C).
      - (ii) The identity of and information on—
        - (I) each member of the governing body of the [facility](#c-5-B), [including](/usc/42/1301.md?p=b) the name, title, and period of service of each such member;
        - (II) each [person](/usc/42/1301.md?p=a-3) or entity who is an officer, [director](/usc/42/11851.md?p=5), member, partner, trustee, or [managing employee](#c-5-C) of the [facility](#c-5-B), [including](/usc/42/1301.md?p=b) the name, title, and period of service of each such [person](/usc/42/1301.md?p=a-3) or entity; and
        - (III) each [person](/usc/42/1301.md?p=a-3) or entity who is an [additional disclosable party](#c-5-A) of the [facility](#c-5-B).
      - (iii) The [organizational structure](#c-5-D) of each [additional disclosable party](#c-5-A) of the [facility](#c-5-B) and a description of the relationship of each such [additional disclosable party](#c-5-A) to the [facility](#c-5-B) and to one another.
    - (B) **Special rule where information is already reported or submitted—** To the extent that information reported by a [facility](#c-5-B) to the Internal Revenue Service on Form 990, information submitted by a [facility](#c-5-B) to the Securities and Exchange Commission, or information otherwise submitted to the [Secretary](/usc/42/1301.md?p=a-6) or any other Federal [agency](/usc/42/1397n–12.md?p=1) contains the information described in clauses [(i)](#c-2-A-i), [(ii)](#c-2-A-ii), or [(iii)](#c-2-A-iii) of subparagraph (A), the [facility](#c-5-B) may provide such Form or such information submitted to meet the requirements of [paragraph (1)](#c-1).
    - (C) **Special rule—** In applying [subparagraph (A)(i)](#c-2-A-i)—
      - (i) with respect to subsections [(a)](#a) and [(b)](#b), “ownership or control interest” shall include direct or indirect interests, [including](/usc/42/1301.md?p=b) such interests in intermediate entities; and
      - (ii) [subsection (a)(3)(A)(ii)](#a-3-A-ii) shall include the [owner](/usc/42/13641.md?p=4) 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.
  - (3) **Reporting—**
    - (A) **In general—** Not later than the date that is 2 years after March 23, 2010, the [Secretary](/usc/42/1301.md?p=a-6) shall promulgate final regulations requiring, effective on the date that is 90 days after the date on which such final regulations are published in the Federal Register, a [facility](#c-5-B) to report the information described in [paragraph (2)](#c-2) to the [Secretary](/usc/42/1301.md?p=a-6) in a standardized format, and such other regulations as are necessary to carry out this subsection. Such final regulations shall ensure that the [facility](#c-5-B) certifies, as a condition of participation and payment under the program under subchapter XVIII or XIX, that the information reported by the [facility](#c-5-B) in accordance with such final regulations is, to the best of the [facility](#c-5-B)’s knowledge, accurate and current.
    - (B) **Guidance—** The [Secretary](/usc/42/1301.md?p=a-6) shall provide guidance and technical assistance to [States](/usc/42/619.md?p=5) on how to adopt the standardized format under [subparagraph (A)](#c-3-A).
  - (4) **No effect on existing reporting requirements—** Nothing in this subsection shall reduce, diminish, or alter any reporting requirement for a [facility](#c-5-B) that is in effect as of March 23, 2010.
  - (5) **Definitions—** In this subsection:
    - (A) **Additional disclosable party—** The term “additional disclosable party” means, with respect to a [facility](#c-5-B), any [person](/usc/42/1301.md?p=a-3) or entity who—
      - (i) exercises operational, financial, or managerial control over the [facility](#c-5-B) or a part thereof, or provides policies or procedures for any of the operations of the [facility](#c-5-B), or provides financial or cash management services to the [facility](#c-5-B);
      - (ii) leases or subleases real property to the [facility](#c-5-B), 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](#c-5-B).
    - (B) **Facility—** The term “facility” means a [disclosing entity](#a-2) which is—
      - (i) a skilled [nursing facility](/usc/42/1397j.md?p=17-A) (as defined in [section 1395i–3(a) of this title](/usc/42/1395i–3.md?p=a)); or
      - (ii) a [nursing facility](/usc/42/1397j.md?p=17-A) (as defined in [section 1396r(a) of this title](/usc/42/1396r.md?p=a)).
    - (C) **Managing employee—** The term “managing employee” means, with respect to a [facility](#c-5-B), an individual ([including](/usc/42/1301.md?p=b) a general manager, business manager, [administrator](/usc/42/4005.md?p=1), [director](/usc/42/11851.md?p=5), or consultant) who directly or indirectly manages, advises, or supervises any element of the [practices](/usc/42/17061.md?p=19), finances, or operations of the [facility](#c-5-B).
    - (D) **Organizational structure—** The term “organizational structure” means, in the case of—
      - (i) a [corporation](/usc/42/1301.md?p=a-4), the officers, [directors](/usc/42/11851.md?p=5), and [shareholders](/usc/42/1301.md?p=a-5) of the [corporation](/usc/42/1301.md?p=a-4) who have an ownership interest in the [corporation](/usc/42/1301.md?p=a-4) which is equal to or exceeds 5 percent;
      - (ii) a limited liability company, the members and managers of the limited liability company ([including](/usc/42/1301.md?p=b), 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](/usc/42/1301.md?p=a-3) or entity, such information as the [Secretary](/usc/42/1301.md?p=a-6) determines appropriate.

## Footnotes

[^1]: So in original. The word “the” probably should not appear.

## Source credit

(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.)

## Notes

### Editorial Notes

### References in Text

The Internal Revenue Code of 1986, referred to in subsec. (a)(1), is classified generally to Title 26, Internal Revenue Code.

Section 6101(b) of the Patient Protection and Affordable Care Act, referred to in subsec. (c)(1)(A), is section 6101(b) of Pub. L. 111–148, which is set out as a note below.

### Amendments

2010—Subsec. (c). Pub. L. 111–148 added subsec. (c).

1997—Subsec. (a)(1). Pub. L. 105–33, § 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)), and any subcontractor in which the entity directly or indirectly has a 5 percent or more ownership interest.” The insertion 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, § 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, § 2353(i)(1), substituted in subpars. (A) and (B) “and XIX” for “XIX, and XX”.

Subsec. (a)(2)(D). Pub. L. 97–35, § 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”.

### Statutory Notes and Related Subsidiaries

### Effective Date of 1997 Amendment

Pub. L. 105–33, title IV, § 4313(e), Aug. 5, 1997, 111 Stat. 389, provided that: 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]. 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

Pub. L. 95–142, § 3(e), Oct. 25, 1977, 91 Stat. 1179, 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 [42 U.S.C. 701 et seq., 1395 et seq., 1396 et seq., 1397 et seq.] 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.”

### Public Availability of Information

Pub. L. 111–148, title VI, § 6101(b), Mar. 23, 2010, 124 Stat. 702, provided that: “Not later than the date that is 1 year after the date on which the final regulations promulgated under section 1124(c)(3)(A) of the Social Security Act [42 U.S.C. 1320a–3(c)(3)(A)], as added by subsection (a), are published in the Federal Register, the Secretary of Health and Human Services shall make the information reported in accordance with such final regulations available to the public in accordance with procedures established by the Secretary.”

### Report on Confidentiality of Social Security Account Numbers

Pub. L. 105–33, title IV, § 4313(d), Aug. 5, 1997, 111 Stat. 389, 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.”