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<regulation prefix="Regulation" num=".06" citation="COMAR 32.02.01.06" title_num="32" subtitle_num="02" chapter_num="01" heading="Application for a Preliminary Certificate of Registration.">
  <paragraph num="A.">
    <text>Application. An application for a preliminary certificate of registration shall include the information described in this regulation.</text>
  </paragraph>
  <paragraph num="B.">
    <text>The names and addresses of the following shall be included:</text>
    <paragraph num="(1)">
      <text>The facility;</text>
    </paragraph>
    <paragraph num="(2)">
      <text>The provider;</text>
    </paragraph>
    <paragraph num="(3)">
      <text>Any affiliate, parent, or subsidiary person or business entity; and</text>
    </paragraph>
    <paragraph num="(4)">
      <text>The chief executive officer of the provider, the facility, and each affiliate, parent, or subsidiary person or business entity.</text>
    </paragraph>
  </paragraph>
  <paragraph num="C.">
    <text>The application shall describe the organizational structure and management of the provider, including:</text>
    <paragraph num="(1)">
      <text>If the provider is a corporation or limited liability company, the:</text>
      <paragraph num="(a)">
        <text>Name of the corporation or limited liability company, and</text>
      </paragraph>
      <paragraph num="(b)">
        <text>State in which the corporation is incorporated or the limited liability company is formed;</text>
      </paragraph>
    </paragraph>
    <paragraph num="(2)">
      <text>If the provider is a partnership, the:</text>
      <paragraph num="(a)">
        <text>Names of the general partners,</text>
      </paragraph>
      <paragraph num="(b)">
        <text>State governing the formation of the partnership, and</text>
      </paragraph>
      <paragraph num="(c)">
        <text>Name of the primary individual responsible for managing the partnership;</text>
      </paragraph>
    </paragraph>
    <paragraph num="(3)">
      <text>If the provider is an unincorporated association, the:</text>
      <paragraph num="(a)">
        <text>Names of the members,</text>
      </paragraph>
      <paragraph num="(b)">
        <text>State governing the association's activities, and</text>
      </paragraph>
      <paragraph num="(c)">
        <text>Name of the primary individual responsible for managing the association;</text>
      </paragraph>
    </paragraph>
    <paragraph num="(4)">
      <text>If the provider is a partnership having a corporation or limited liability company as one or more of its general partners, the:</text>
      <paragraph num="(a)">
        <text>Names of each corporation or limited liability company,</text>
      </paragraph>
      <paragraph num="(b)">
        <text>State in which each corporation is incorporated or the limited liability company is formed, and</text>
      </paragraph>
      <paragraph num="(c)">
        <text>Name of the chief executive officer of each;</text>
      </paragraph>
    </paragraph>
    <paragraph num="(5)">
      <text>If the provider is a trust, the:</text>
      <paragraph num="(a)">
        <text>Name of each trustee,</text>
      </paragraph>
      <paragraph num="(b)">
        <text>Names of the owners of beneficial interests in the trust,</text>
      </paragraph>
      <paragraph num="(c)">
        <text>State whose laws govern the trust, and</text>
      </paragraph>
      <paragraph num="(d)">
        <text>Name of the primary individual responsible for overseeing the trust's activities;</text>
      </paragraph>
    </paragraph>
    <paragraph num="(6)">
      <text>The names and occupations of:</text>
      <paragraph num="(a)">
        <text>The provider's officers, directors, trustees, managing or general partners, and non-stock corporation members, and</text>
      </paragraph>
      <paragraph num="(b)">
        <text>An individual having a 10 percent or greater equity or beneficial interest in the provider;</text>
      </paragraph>
    </paragraph>
    <paragraph num="(7)">
      <text>A description of each financial interest in, or occupation with, the provider of each individual identified under §C(6) of this regulation.</text>
    </paragraph>
  </paragraph>
  <paragraph num="D.">
    <text>Contracts with Related Entities.</text>
    <paragraph num="(1)">
      <text>If it is anticipated that a business entity will provide to either the facility or the provider goods, premises, or services with a value of $10,000 or more within any fiscal year, and if a person identified in §C(6) of this regulation has a financial interest of 10 percent or more in the business entity, the application shall include:</text>
      <paragraph num="(a)">
        <text>The name and address of the business entities;</text>
      </paragraph>
      <paragraph num="(b)">
        <text>A description of the goods, premises, or services; and</text>
      </paragraph>
      <paragraph num="(c)">
        <text>The anticipated yearly costs the facility or provider will incur for the goods, premises, or services.</text>
      </paragraph>
    </paragraph>
    <paragraph num="(2)">
      <text>Section D(1) of this regulation does not require the disclosure of salary, age, or benefit information of employees of the provider.</text>
    </paragraph>
  </paragraph>
  <paragraph num="E.">
    <text>The application shall include a copy of all current documentation concerning the legal organization of the provider, including the corporate charter, bylaws, partnership agreement, articles of association, membership agreement, trust agreement, or similar instruments or agreements.</text>
  </paragraph>
  <paragraph num="F.">
    <text>The application shall include certified financial statements of the provider for the three most recent fiscal years for which certified financial statements are obtainable under generally accepted accounting principles. If the provider's fiscal year ended more than 90 days before the date of the filing, then the application shall also include an income statement, which does not need to be certified, that covers a period that begins on the date the fiscal year ended and ends on a date that is within 90 days of the date of the filing.</text>
  </paragraph>
  <paragraph num="G.">
    <text>The application shall include a statement of any current or prior affiliation with a religious, charitable, or other nonprofit organization, and the extent, if any, to which the affiliate organization will be responsible for the financial and contractual obligations of the provider.</text>
  </paragraph>
  <paragraph num="H.">
    <text>The application shall include a copy of any proposed:</text>
    <paragraph num="(1)">
      <text>Agreements to be entered into between the provider and subscribers for continuing care; and</text>
    </paragraph>
    <paragraph num="(2)">
      <text>Priority admission agreements between the provider and any health care providers.</text>
    </paragraph>
  </paragraph>
  <paragraph num="I.">
    <text>A table of the most current fee structure, including escalator or other automatic adjustment provisions, shall accompany the application.</text>
  </paragraph>
  <paragraph num="J.">
    <text>A statement describing the current or proposed use of any insurance program or publicly funded benefit program in the financing of care shall accompany the application.</text>
  </paragraph>
  <paragraph num="K.">
    <text>A description of the physical facility shall accompany the application.</text>
  </paragraph>
  <paragraph num="L.">
    <text>The form and substance of any advertising campaign, advertisement, or other promotional material for the facility that has not been previously filed with the Department shall be submitted with the application.</text>
  </paragraph>
  <paragraph num="M.">
    <text>Any other reasonable and pertinent information that the Department requests in writing shall be submitted with the application.</text>
  </paragraph>
</regulation>