OAR 410-141-5170
CAPITALIZATION: Capital and Surplus


(1) A CCO shall possess and thereafter maintain capital or surplus or any combination thereof equal to no less than $2.5 million.
(2) A CCO applying for its original CCO contract this state shall possess, when so applying, additional capital or surplus, or any combination thereof, of not less than $500,000.
(3) Notwithstanding a CCO’s compliance with subsections (1) and (2), a CCO shall at all times also comply with the risk-based capital standards set forth at OAR 410-141-5295 (CCO HOLDING COMPANY REGULATION: Form and Contents of Registration Statement) to 5320.
(4) For the protection of the public, the Authority may require a CCO to possess and maintain capital or surplus, or any combination thereof, in excess of the amounts otherwise required under this section owing to the type, volume and nature of business transacted by the CCO. For the purpose of determining the reasonableness and adequacy of a CCO’s capital and surplus, the Authority may consider the following factors, as among others:
(a) The size of the CCO, as measured by its assets, capital and surplus, reserves, capitated revenue and other appropriate criteria.
(b) The number of Members covered by the CCO.
(c) The extent of the geographical dispersion of the Members covered by the CCO.
(d) The nature and extent of the reinsurance program of the CCO.
(e) The quality, diversification and liquidity of the investment portfolio of the CCO.
(f) The recent past and projected future trend in the size of the investment portfolio of the CCO.
(g) The combined capital and surplus maintained by comparable CCOs.
(h) The adequacy of the reserves of the CCO.
(i) The quality and liquidity of investments in affiliates. The Authority may treat any such investment as a disallowed asset for purposes of determining the adequacy of combined capital and surplus whenever in the judgment of the Authority the investment so warrants.
(j) The quality of the earnings of the CCO and the extent to which the reported earnings include extraordinary items.
(5) The factors set forth in this rule for the purpose of determining the reasonableness and adequacy of the CCO’s capital and surplus are not intended to be an exhaustive list. In determining the adequacy and reasonableness of ’s capital and surplus, no single factor is necessarily controlling. Instead, the Authority shall consider the net effect of all of such factors and also other factors bearing on the financial condition of the CCO. In comparing the capital and surplus maintained by other CCOs, the Authority shall consider the extent to which each of such factors varies from CCO to CCO. In determining the quality and liquidity of investments in subsidiaries, the Authority shall consider the individual subsidiary and may discount or disallow its valuation to the extent that the individual investments so warrant.

Source: Rule 410-141-5170 — CAPITALIZATION: Capital and Surplus, https://secure.­sos.­state.­or.­us/oard/view.­action?ruleNumber=410-141-5170.

410‑141‑3500
Definitions
410‑141‑3501
Administration of Oregon Integrated and Coordinated Health Care Delivery System Regulation
410‑141‑3505
Use of Subcontractors
410‑141‑3510
Provider Contracting and Credentialing
410‑141‑3515
Network Adequacy
410‑141‑3520
Record Keeping and Use of Health Information Technology
410‑141‑3525
Outcome and Quality Measures
410‑141‑3530
Sanctions
410‑141‑3540
Member Protections
410‑141‑3545
Coordinated Care Organization Behavioral Health Provider, Treatment and Facility Certification and Licensure
410‑141‑3550
Resolving Disputes between MCEs and the Authority
410‑141‑3555
Resolving Disputes between Health Care Entities and CCOs that Concern CCO Contact Award
410‑141‑3560
Resolving Contract Disputes Between Health Care Entities and CCOs
410‑141‑3565
Managed Care Entity Billing
410‑141‑3566
Telehealth Service and Reimbursement Requirements
410‑141‑3570
Managed Care Entity Encounter Claims Data Reporting
410‑141‑3575
MCE Member Relations: Marketing
410‑141‑3580
MCE Member Relations: Potential Member Information
410‑141‑3585
MCE Member Relations: Education and Information
410‑141‑3590
MCE Member Relations: Member Rights and Responsibilities
410‑141‑3600
MCE Assessment: Definitions
410‑141‑3601
MCE Assessment: General Administration
410‑141‑3605
MCE Assessment: Disclosure of Information
410‑141‑3610
MCE Assessment: Calculation, Report, Due Date, Verification
410‑141‑3615
MCE Assessment: Filing an Amended Report
410‑141‑3620
MCE Assessment: Determining the Date Filed
410‑141‑3625
MCE Assessment: Authority to Audit Records
410‑141‑3630
MCE Assessment: Determining Assessment Liability on Failure to File
410‑141‑3635
MCE Assessment: Financial Penalty for Failure to File a Report or Failure to Pay Assessment When Due
410‑141‑3640
MCE Assessment: Notice of Proposed Action
410‑141‑3645
MCE Assessment: Hearing Process
410‑141‑3650
MCE Assessment: Final Order of Payment
410‑141‑3655
Assessment: Remedies Available after Final Order of Payment
410‑141‑3700
CCO Application and Contracting Procedures
410‑141‑3705
Criteria for CCOs
410‑141‑3710
Contract Termination and Close-Out Requirements
410‑141‑3715
CCO Governance
410‑141‑3720
Service Area Change for Existing CCOs
410‑141‑3725
CCO Contract Renewal Notification
410‑141‑3730
Community Health Assessment and Community Health Improvement Plans
410‑141‑3735
Social Determinants of Health and Equity
410‑141‑3740
Traditional Health Workers
410‑141‑3800
CCO Enrollment for Children Receiving Health Services
410‑141‑3805
Mandatory MCE Enrollment Exceptions
410‑141‑3810
Disenrollment from MCEs
410‑141‑3815
CCO Enrollment for Temporary Out-of-Area Behavioral Health Treatment Services
410‑141‑3820
Covered Services
410‑141‑3825
Excluded Services and Limitations
410‑141‑3830
Prioritized List of Health Services
410‑141‑3835
MCE Service Authorization
410‑141‑3840
Emergency and Urgent Care Services
410‑141‑3845
Health-Related Services
410‑141‑3850
Transition of Care
410‑141‑3855
Pharmaceutical Services
410‑141‑3860
Integration and Coordination of Care
410‑141‑3865
Care Coordination Requirements
410‑141‑3870
Intensive Care Coordination
410‑141‑3875
MCE Grievances & Appeals: Definitions and General Requirements
410‑141‑3880
Grievances & Appeals: Grievance Process Requirements
410‑141‑3885
Grievances & Appeals: Notice of Action/Adverse Benefit Determination
410‑141‑3890
Grievances & Appeals: Appeal Process
410‑141‑3895
Grievances & Appeals: Expedited Appeal
410‑141‑3900
Grievances & Appeals: Contested Case Hearings
410‑141‑3905
Grievances & Appeals: Expedited Contested Case Hearings
410‑141‑3910
Grievances & Appeals: Continuation of Benefits
410‑141‑3915
Grievances & Appeals: System Recordkeeping
410‑141‑3920
Transportation: NEMT General Requirements
410‑141‑3925
Transportation: Vehicle Equipment and Driver Standards
410‑141‑3930
Transportation: Out-of-Service Area and Out-of-State Transportation
410‑141‑3935
Transportation: Attendants for Child and Special Needs Transports
410‑141‑3940
Transportation: Secured Transports
410‑141‑3945
Transportation: Ground and Air Ambulance Transports
410‑141‑3955
Transportation: Member Service Modifications and Rights
410‑141‑3960
Transportation: Member Reimbursed Mileage, Meals, and Lodging
410‑141‑3965
Reports and Documentation
410‑141‑5000
FINANCIAL SOLVENCY REGULATION: Definitions
410‑141‑5005
FINANCIAL SOLVENCY REGULATION: CCO Financial Solvency Requirements
410‑141‑5010
FINANCIAL SOLVENCY REGULATION: Procedure for General Financial Reporting and for Determining Financial Solvency Matters
410‑141‑5015
FINANCIAL SOLVENCY REGULATION: Financial Statement Reporting
410‑141‑5020
FINANCIAL SOLVENCY REGULATION: Annual Audited Financial Statements and Auditor’s Report
410‑141‑5025
FINANCIAL SOLVENCY REGULATION: Qualifications of Independent Certified Public Accountant
410‑141‑5030
FINANCIAL SOLVENCY REGULATION: Notification of Adverse Financial Condition
410‑141‑5035
FINANCIAL SOLVENCY REGULATION: Accountant’s Letter of Qualifications
410‑141‑5040
FINANCIAL SOLVENCY REGULATION: Independent Certified Public Accountants Workpapers
410‑141‑5045
FINANCIAL SOLVENCY REGULATION: Corporate Governance Annual Disclosure Filing
410‑141‑5050
FINANCIAL SOLVENCY REGULATION: Requirements for Reinsurance
410‑141‑5055
FINANCIAL SOLVENCY REGULATION: Requirements for Obtaining Credit for Reinsurance
410‑141‑5060
FINANCIAL SOLVENCY REGULATION: Qualified Trust Agreements
410‑141‑5065
FINANCIAL SOLVENCY REGULATION: Letters of Credit
410‑141‑5070
FINANCIAL SOLVENCY REGULATION: Assets, Liabilities, Reserves
410‑141‑5075
FINANCIAL SOLVENCY REGULATION: Disallowance of Certain Reinsurance Transactions
410‑141‑5080
FINANCIAL SOLVENCY REGULATION: Transparency
410‑141‑5085
ASSET VALUATION AND PERMITTED INVESTMENTS: Definitions
410‑141‑5090
ASSET VALUATION AND PERMITTED INVESTMENTS: Calculation of Value
410‑141‑5095
ASSET VALUATION AND PERMITTED INVESTMENTS: Assets Other Than Securities
410‑141‑5100
ASSET VALUATION AND PERMITTED INVESTMENTS: Investments Used to Provide Compensating Balances
410‑141‑5105
ASSET VALUATION AND PERMITTED INVESTMENTS: Investment of Required Capitalization
410‑141‑5110
ASSET VALUATION AND PERMITTED INVESTMENTS: Investment in Mortgage Loans
410‑141‑5115
ASSET VALUATION AND PERMITTED INVESTMENTS: Investment in Real Property
410‑141‑5120
ASSET VALUATION AND PERMITTED INVESTMENTS: Investment in Corporate Stocks
410‑141‑5125
ASSET VALUATION AND PERMITTED INVESTMENTS: Loans
410‑141‑5130
ASSET VALUATION AND PERMITTED INVESTMENTS: Investments
410‑141‑5135
ASSET VALUATION AND PERMITTED INVESTMENTS: Personal Property
410‑141‑5140
ASSET VALUATION AND PERMITTED INVESTMENTS: “Prudent Investor” Standard
410‑141‑5145
ASSET VALUATION AND PERMITTED INVESTMENTS: Prohibited Conduct by Directors, Trustees, Officers, Agents or Employees
410‑141‑5150
ASSET VALUATION AND PERMITTED INVESTMENTS: Investment of Funds in Obligations That Are Not Investment Quality
410‑141‑5155
ASSET VALUATION AND PERMITTED INVESTMENTS: Approval by Board
410‑141‑5160
ASSET VALUATION AND PERMITTED INVESTMENTS: Record of Investments
410‑141‑5165
ASSET VALUATION AND PERMITTED INVESTMENTS: Prohibited Investments
410‑141‑5170
CAPITALIZATION: Capital and Surplus
410‑141‑5175
CAPITALIZATION: Impaired Capital and Surplus
410‑141‑5180
CAPITALIZATION: Dividend and Distribution Restrictions
410‑141‑5185
CAPITALIZATION: Restricted Reserve Account
410‑141‑5190
CAPITALIZATION: Surplus Notes
410‑141‑5195
CAPITALIZATION: Risk-based Capital (RBC) Definitions
410‑141‑5200
CAPITALIZATION: RBC Reports
410‑141‑5205
CAPITALIZATION: Company Action Level Event
410‑141‑5210
CAPITALIZATION: Regulatory Action Level Event
410‑141‑5215
CAPITALIZATION: Authorized Control Level Event
410‑141‑5220
CAPITALIZATION: Mandatory Control Level Event
410‑141‑5225
REPORTING AND APPROVAL OF CERTAIN TRANSACTIONS: Extraordinary Dividends and Other Distributions
410‑141‑5230
REPORTING AND APPROVAL OF CERTAIN TRANSACTIONS: Reports of Material Acquisitions And Dispositions Of Assets, and Changes to Ceded Reinsurance Agreements
410‑141‑5235
REPORTING AND APPROVAL OF CERTAIN TRANSACTIONS: Reports of Material Materiality and Reporting Standards for Asset Acquisitions and Dispositions
410‑141‑5240
REPORTING AND APPROVAL OF CERTAIN TRANSACTIONS: Materiality and Reporting Standards for Changes in Ceded Reinsurance Agreements
410‑141‑5245
EXAMINATIONS: CCO Production of Books and Records
410‑141‑5250
EXAMINATIONS: Authority Examinations of CCOs
410‑141‑5255
CCO ACQUISITIONS AND MERGERS: Purpose
410‑141‑5260
CCO ACQUISITIONS AND MERGERS: Activities Prohibited Unless Certain Provisions Satisfied
410‑141‑5265
CCO ACQUISITIONS AND MERGERS: Procedure For Acquiring Controlling Interest
410‑141‑5270
CCO ACQUISITIONS AND MERGERS: Information to Be Included in Form A
410‑141‑5275
CCO ACQUISITIONS AND MERGERS: Hearing, Request, Notice
410‑141‑5280
CCO ACQUISITIONS AND MERGERS: Determination Concerning Proposed Activity, Time For Decision, Grounds For Refusal
410‑141‑5285
CCO HOLDING COMPANY REGULATION: Definitions
410‑141‑5290
CCO HOLDING COMPANY REGULATION: Members of Holding Company Systems
410‑141‑5295
CCO HOLDING COMPANY REGULATION: Form and Contents of Registration Statement
410‑141‑5300
CCO HOLDING COMPANY REGULATION: Registration Statement Filing
410‑141‑5305
CCO HOLDING COMPANY REGULATION: Information Required to Be Disclosed
410‑141‑5310
CCO HOLDING COMPANY REGULATION: Presumption of Control
410‑141‑5315
CCO HOLDING COMPANY REGULATION: Disclaimer of Affiliation
410‑141‑5320
CCO HOLDING COMPANY REGULATION: Transactions Within Holding Company
410‑141‑5325
CCO HOLDING COMPANY REGULATION: Director and Officer Liability
410‑141‑5330
CCO HOLDING COMPANY REGULATION: Annual Enterprise Risk Report
410‑141‑5335
CCO HOLDING COMPANY REGULATION: Disclaimers and Termination of Registration
410‑141‑5340
CCO HOLDING COMPANY REGULATION: Forms
410‑141‑5345
CCO HOLDING COMPANY REGULATION: Forms
410‑141‑5350
CCO HOLDING COMPANY REGULATION: Forms
410‑141‑5355
CCO HOLDING COMPANY REGULATION: Forms
410‑141‑5360
CCO INSOLVENCY AND DISSOLUTION: Access to Funds and Transition of Members and Records
410‑141‑5365
CCO INSOLVENCY AND DISSOLUTION: Hazardous Operations
410‑141‑5370
CCO INSOLVENCY AND DISSOLUTION: Recovery From Parent Corporation Or Holding Company In The Event Of Liquidation Or Rehabilitation
410‑141‑5375
CCO INSOLVENCY AND DISSOLUTION: Voluntary Dissolution
410‑141‑5380
CIVIL PENALTIES
Last Updated

Jun. 8, 2021

Rule 410-141-5170’s source at or​.us