Cms 1513 Form PDF Details

The CMS 1513 form plays a critical role in maintaining transparency and integrity within the healthcare system. It serves as a formal document required by the Department of Health and Human Services and the Centers for Medicare & Medicaid Services (CMS) to disclose ownership and control interests in healthcare entities. Entities participating in Medicare, Medicaid, and certain other health programs must complete this form to declare their ownership structures, financial interests, and any changes in provider status. The form ensures accountability, aiming to prevent conflicts of interest and fraud within federally funded health programs. It covers a wide array of information, including direct and indirect ownership, controlling interests, changes in management or ownership, and affiliations with chain organizations. Additionally, the form mandates annual submission, ensuring that all data provided is current and accurately reflects the entity’s operational and ownership status. Moreover, failure to accurately disclose required information can lead to severe consequences, including the denial of participation in federal health programs or termination of existing agreements. Through these measures, the CMS 1513 form upholds program integrity and safeguards public resources against misuse.

QuestionAnswer
Form NameCms 1513 Form
Form Length4 pages
Fillable?No
Fillable fields0
Avg. time to fill out1 min
Other names1513 form department, cms disclosure of ownership form, cms form 1513, disclosure of ownership form 1513

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Form Approved

CENTERS FOR MEDICARE & MEDICAID SERVICES

OMB No. 0938-0086

INSTRUCTIONS FOR COMPLETING DISCLOSURE OF

OWNERSHIP AND CONTROL INTEREST STATEMENT (CMS-1513)

Completion and submission of this form is a condition of participation, certification, or recertification under any of the programs established by titles V, XVIII, XIX, and XX, or as a condition of approval or renewal of a contractor agreement between the disclosing entity and the Secretary of appropriate State agency under any of the above-titled programs, a full and accurate disclosure of ownership and financial interest is required. Failure to submit requested information may result in a refusal by the Secretary or appropriate State agency to enter into an agreement or contract with any such institution or in termination of existing agreements.

SPECIAL INSTRUCTIONS FOR TITLE XX PROVIDERS

All title XX providers must complete part II (a) and (b) of this form. Only those title XX providers rendering medical, remedial, or health related home- maker services must complete parts II and III. Title V providers must complete parts II and Ill.

General Instructions

For definitions, procedures and requirements, refer to the appropriate Regulations:

Title V

–

42CFR 51a.144

 

Title XVIII –

42CFR 420.200

– 206

Title XIX

–

42CFR

455.100

– 106

Title XX

–

45CFR

228.72 – 73

Please answer all questions as of the current date. If the yes block for any item is checked, list requested additional information under the Remarks section on page 2, referencing the item number to be continued. If additional space is needed use an attached sheet.

Return the original and second and third copies to the State agency; retain the first copy for your files.

This form is to be completed annually. Any substantial delay in completing the form should be reported to the State survey agency.

DETAILED INSTRUCTIONS

These instructions are designed to clarify certain questions on the form. Instructions are listed in question order for easy reference. No instructions have been given for questions considered self-explanatory.

IT IS ESSENTIAL THAT ALL APPLICABLE QUESTIONS BE ANSWERED ACCURATELY AND THAT ALL INFORMATION BE CURRENT.

Item I (a) Under identifying information specify in what capacity the entity is doing business as (DBA), example, name of trade or corporation.

(b)For Regional Office Use Only. If the yes box is checked for item VII, the Regional Office will enter the 5-digit

number assigned by CMS to chain organizations.

Item II - Self-explanatory.

Item III - List the names of all individuals and organizations having direct or indirect ownership interests, or controlling interest separately or in combination amounting to an ownership interest of 5 percent or more in the disclosing entity.

Direct ownership interest is defined as the possession of stock, equity in capital or any interest in the profits of the disclosing entity. A disclosing entity is defined as a Medicare provider or supplier, or other entity that furnishes services or arranges for furnishing services under Medicaid or the Maternal and Child Health program, or health related services under the social services program.

Indirect ownership interest is defined as ownership interest in an entity that has direct or indirect ownership interest in the disclosing entity. The amount of indirect ownership in the disclosing entity that is held by any other entity is determined by multiplying the percentage of ownership interest at each level. An indirect ownership interest must be reported if it equates to an ownership interest of 5 percent or more in the disclosing entity. Example: if A owns 10 percent of the stock in a corporation that owns 80 percent of the stock of the disclosing entity, A's interest equates to an 8 percent indirect ownership and must be reported.

Controlling interest is defined as the operational direction or management of a disclosing entity which may be maintained by any or all of the following devices: the ability or authority, expressed or reserved, to amend or change the corporate identity (i.e., joint venture agreement, unincorporated business status) of the disclosing entity; the ability or authority to nominate or name members of the Board of Directors or Trustees of the disclosing entity; the ability or authority, expressed or reserved, to amend or change the by-laws, constitution, or other operating or management direction of the disclosing entity; the right to control any or all of the assets or other property of the disclosing entity upon the sale or dissolution of that entity; the ability or authority, expressed or reserved, to control the sale of any or all of the assets, to encumber such assets by way of mortage or other indebtedness, to dissolve the entity, or to arrange for the sale or transfer of the disclosing entity to new ownership or control.

Items IV – VII - Changes in Provider Status

Change in provider status is defined as any change in management control. Examples of such changes would include: a change in Medical or Nursing Director, a new Administrator, contracting the operation of the facility to a management corporation, a change in the composition of the owning partnership which under applicable State law is not considered a change in ownership, or the hiring or dismissing of any employees with 5 percent or more financial interest in the facility or in an owning corporation, or any change of ownership.

For Items IV – VII, if the yes box is checked, list additional information requested under Remarks. Clearly identify which item is being continued.

Item IV - (a & b) If there has been a change in ownership within the last year or if you anticipate a change, indicate the date in the appropriate space.

Item V - If the answer is yes, list name of the management firm and employer identification number (EIN), or the name of the leasing organization. A management company is defined as any organization that operates and manages a business on behalf of the owner of that business, with the owner retaining ultimate legal responsibility for operation of the facility.

Item VI - If the answer is yes, identify which has changed (Administrator, Medical Director, or Director of Nursing) and the date the change was made. Be sure to include name of the new Administrator, Director of Nursing or Medical Director, as appropriate.

Item VII - A chain affiliate is any free-standing health care facility that is either owned, controlled, or operated under lease or contract by an organization consisting of two or more free-standing health care facilities organized within or across State lines which is under the ownership or through any other device, control and direction of a common party. Chain affiliates include such facilities whether public, private, charitable or proprietary. They also include subsidiary organizations and holding corporations. Provider-based facilities, such as hospital-based home health agencies, are not considered to be chain affiliates.

Item VIII - If yes, list the actual number of beds in the facility now and the previous number.

Chain Affiliate No.
Street Address
(b) (To be completed by CMS Regional Office)
D/B/A
I. Identifying Information
(a) Name of Entity

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Form Approved

CENTERS FOR MEDICARE & MEDICAID SERVICES

OMB NO. 0938-0086

DISCLOSURE OF OWNERSHIP AND CONTROL INTEREST STATEMENT

Provider No.

Vendor No.

Telephone No.

City, County, State

Zip Code

■ ■ ■ ■ ■ LB1

II.Answer the following questions by checking "Yes" or "No." If any of the questions are answered "Yes," list names and addresses of individuals or corporations under Remarks on page 2. Identify each item number to be continued.

(a)Are there any individuals or organizations having a direct or indirect ownership or control interest of 5 percent or more in the institution, organizations, or agency that have been convicted of a criminal offense related to the involvement of such persons, or organizations in any of the programs established by titles XVIII, XIX, or XX?

■ Yes ■ No

LB2

(b)Are there any directors, officers, agents, or managing employees of the institution, agency or organization who have ever been convicted of a criminal offense related to their involvement in such programs established by titles XVIII, XIX, or XX?

■ Yes ■ No

LB3

(c)Are there any individuals currently employed by the institution, agency, or organization in a managerial, accounting, auditing, or similar capacity who were employed by the institution's, organization's, or agency's fiscal intermediary or carrier within the previous 12 months? (Title XVIII providers only)

■ Yes ■ No

LB4

Ill. (a) List names, addresses for individuals, or the EIN for organizations having direct or indirect ownership or a controlling interest in the entity. (See instructions for definition of ownership and controlling interest.) List any additional names and addresses under "Remarks" on page 2. If more than one individual is reported and any of these persons are related to each other, this must be reported under Remarks.

Name

Address

EIN

LB5

(b) Type of Entity:

■ Sole Proprietorship

■ Partnership

■ Corporation

LB6

■ Unincorporated Associations

■ Other (Specify)

 

 

 

 

 

(c) If the disclosing entity is a corporation, list names, addresses of the Directors, and EINs for corporations under Remarks.

Check appropriate box for each of the following questions:

(d)Are any owners of the disclosing entity also owners of other Medicare/Medicaid facilities? (Example: sole proprietor, partnership or members of Board of Directors.) If yes, list names, addresses of individuals and provider numbers.

■ Yes ■ No

LB7

Name

Address

Provider Number

CMS-1513 (5/86)

Page 1

DEPARTMENT OF HEALTH AND HUMAN SERVICES

 

 

Form Approved

CENTERS FOR MEDICARE & MEDICAID SERVICES

 

 

OMB NO. 0938-0086

IV. (a) Has there been a change in ownership or control within the last year?

 

 

 

If yes, give date _____________

■ Yes

■ No

LB8

 

 

 

 

(b) Do you anticipate any change of ownership or control within the year?

 

 

 

If yes, when? _______________

■ Yes

■ No

LB9

 

 

 

 

(c) Do you anticipate filing for bankruptcy within the year?

 

 

 

If yes, when? _______________

■ Yes

■ No

LB10

 

 

 

 

V. Is this facility operated by a management company, or leased in whole or part by another organization?

 

 

 

If yes, give date

of change in operations ____________

■ Yes

■ No

LB11

 

 

 

 

VI. Has there been a change in Administrator, Director of Nursing, or Medical Director within the last year?

 

 

 

 

 

■ Yes

■ No

LB12

 

 

 

 

VII. (a) Is this facility chain affiliated? (If yes, list name, address of Corporation, and EIN)

 

 

 

Name

EIN #

■ Yes

■ No

LB13

Address

 

 

 

 

 

 

 

 

LB14

 

 

 

 

VII. (b) If the answer to Question VII.a. is No, was the facility ever affiliated with a chain?

 

 

 

(If yes, list Name, Address of Corporation, and EIN)

 

 

 

Name

EIN #

■ Yes

■ No

LB18

Address

LB19

VIII. Have you increased your bed capacity by 10 percent or more or by 10 beds, whichever is greater, within the last 2 years?

■ Yes ■ No

LB15

If yes, give year of change ____________

Current beds _____________ LB16 Prior beds _____________ LB17

WHOEVER KNOWINGLY AND WILLFULLY MAKES OR CAUSES TO BE MADE A FALSE STATEMENT OR REPRESENTATION OF THIS STATEMENT, MAY BE PROSECUTED UNDER APPLICABLE FEDERAL OR STATE LAWS. IN ADDITION, KNOWINGLY AND WILLFULLY FAILING TO FULLY AND ACCURATELY DISCLOSE THE INFORMATION REQUESTED MAY RESULT IN DENIAL OF A REQUEST TO PARTICIPATE OR WHERE THE ENTITY ALREADY PARTICIPATES, A TERMINATION OF ITS AGREEMENT OR CONTRACT WITH THE STATE AGENCY OR THE SECRETARY, AS APPROPRIATE.

Name of Authorized Representative (Typed)

Title

Signature

Date

Remarks

CMS-1513 (5/86)

Page 2

According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it displays a valid 0MB control number. The valid 0MB control number for this information collection is 0938-0086. The time required to complete this information collection is estimated to average 30 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, 7500 Security Boulevard, N2-14-26, Baltimore, Maryland 21244-1850.

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1. When filling in the cms 1513, make sure to include all needed fields within its corresponding section. This will help facilitate the work, allowing for your information to be processed without delay and correctly.

Writing segment 1 of disclosure of ownership form template

2. Right after finishing the previous section, head on to the subsequent step and fill out all required details in all these fields - Name, Address, EIN, b Type of Entity, Sole Proprietorship, Partnership Other Specify, Corporation, c If the disclosing entity is a, Check appropriate box for each of, of Directors If yes list names, Yes No, Name, Address, and Provider Number.

Filling in segment 2 of disclosure of ownership form template

Concerning EIN and c If the disclosing entity is a, ensure that you take a second look in this section. These are the key fields in the form.

3. This subsequent segment is fairly straightforward, DEPARTMENT OF HEALTH AND HUMAN, If yes give date, b Do you anticipate any change of, If yes when, c Do you anticipate filing for, If yes when, V Is this facility operated by a, If yes give date of change in, VI Has there been a change in, VII a Is this facility chain, Name, Address, EIN, Yes No, and Yes No - each one of these fields needs to be filled in here.

Part number 3 for completing disclosure of ownership form template

4. Filling out If yes give year of change, Current beds LB Prior beds LB, WHOEVER KNOWINGLY AND WILLFULLY, Name of Authorized Representative, Title, Signature, Remarks, and Date is key in this fourth part - make sure to be patient and fill out every single empty field!

disclosure of ownership form template conclusion process explained (stage 4)

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