OAR 410-141-5250
EXAMINATIONS: Authority Examinations of CCOs


(1) The Authority may examine every CCO, including an audit of the financial affairs of a CCO, as often as the Authority determines an examination to be necessary or otherwise appropriate under the circumstances. Without limiting the Authority’s right to examine a CCO at such times and with such frequency as the Authority determines to be necessary or otherwise appropriate under the circumstances, a CCO will be examined at least once during the CCO’s contract period. An examination will be conducted for such purposes and such scope as the Authority determines to be necessary or otherwise appropriate under the circumstances, including, without limitation, an investigation and examination of the financial condition of the CCO, its ability to fulfill its obligations and its manner of fulfillment, the nature of its operations and its compliance with these rules and applicable CCO contract requirements.
(2) Examinations will be conducted under and pursuant to the following practices and procedures, subject to such exceptions, modifications and other practices and procedures as the Authority determines to be necessary or otherwise appropriate under the circumstances:
(a) The Authority will appoint one or more examiners to perform the examination and instruct them as to the scope of the examination. The Authority may contract and coordinate all or portions of the examination with DCBS. Any reference to the Authority in this section shall include DCBS when DCBS is working under an interagency agreement with the Authority to conduct the examination. DCBS is authorized to make recommendations to the Authority and to act in conjunction with the Authority in accordance with this section.
(b) The examiner(s) shall conduct the examination in accordance with the guidelines, practices, principles and procedures set forth in the Examiners Handbook published by the NAIC. The Authority may instruct or allow the examiner(s) to follow or employ such other guidelines, practices, principles and procedures as the Authority determines to be necessary or otherwise appropriate under the circumstances.
(c) The Authority may retain appraisers, independent actuaries, independent certified public accountants and other professionals and specialists as needed.
(d) The Authority, including its appointed examiners, may examine under oath all persons who may have material information regarding the property or business of the person being examined or investigated.
(3) Every person being examined or investigated shall produce all books, records, accounts, papers, documents and computer and other recordings in its possession or control, including, in the case of an examination, the property, assets, business and affairs of the person.
(4) Upon written request of the Authority or its examiners, the CCO, its affiliates and each officer, director, employee, contractor, agent or representative of the CCO and/or the CCO’s affiliates promptly shall produce to the Authority or its examiners, or otherwise shall promptly provide the Authority or its examiners with convenient, complete and free access to, all books, records, accounts, papers, documents and computer and other recordings in the possession, custody or control of such persons that relate in any way to the subject matter of the examination. The CCO shall use its best efforts to cause the CCO’s affiliates and each officer, director, employee, contractor, agent or representative of the CCO and/or the CCO’s affiliates to comply with a request made by the Authority or its examiners under this subsection 4.
(5) The procedure for completion of an examination shall be as follows:
(a) Not later than sixty days following completion the examination, the examiner(s) shall submit to the Authority a draft Report of Examination. The draft report shall include fact-findings and conclusions and also may include proposed recommendations for curative actions to be undertaken by the CCO based on the draft report’s fact-findings and conclusions.
(b) The Authority will provide the CCO with a copy of the draft report and allow the CCO a reasonable opportunity to review and comment on the draft report. A copy of the draft report shall be delivered to the CCO by certified mail, addressed to the CCO’s home office or to such other point of contact as the CCO may designate in writing to the Authority for this purpose. The Authority will consider the CCO’s comments on the draft report and may request additional information or meet with the CCO for the purpose of resolving questions or obtaining additional information. The Authority may consult with or cause the examiner(s) to consider any submissions made by the CCO in response to the draft report and any additional information provided to the Authority by the CCO.
(c) Before the Authority accepts and files the draft report as a final examination report available for publication or makes any matters relating thereto public, the CCO may request a hearing on the draft report and any of its fact-findings, conclusions and recommendations. The CCO must request a hearing by letter, delivered by certified mail to the Authority no later than thirty days following the date on which the draft report was delivered to the CCO (“Hearing Request Period”).
(d) The Authority will appoint an Authority staff member or other representative to conduct the hearing contemplated by Section 5(c) (“Hearing Officer”). The Hearing Officer shall consider the evidence and comments presented by the CCO at the hearing, together with any other evidence or comments offered by the examiner(s). Following the hearing, the Hearing Officer will report to the Authority whether any changes should be made to the draft report. The Authority will consider the Hearing Officer’s report and will determine whether the draft report should be adopted without change, should be modified or whether comments offered by the CCO should be included as a supplement to the draft report. The Authority shall not be bound by the Hearing Officer’s report and may accept or decline to adopt any changes recommended by the Hearing Officer in the Authority’s sole discretion. The Authority shall adopt the draft report, and make it available for public inspection as a final examination report on the first to occur of:
(A) Expiration of the Hearing Request Period if no request for hearing is received from the CCO, or
(B) If a hearing is requested by the CCO, completion of the hearing and the Hearing Officer’s report, followed by the Authority’s adoption of the draft report, with or without modifications, as a final examination report.
(6) The Authority shall make a final examination report available for public inspection. If the Authority, in its sole discretion, considers that doing so is in the public interest, the Authority may publish notice of a final examination report, its availability for public inspection and/or a summary of, or excerpts from, the final examination report by such means (including print, broadcast and web-based media) as the Authority determines to be appropriate under the circumstances.
(7) OAR 410-141-5080 (FINANCIAL SOLVENCY REGULATION: Transparency) applies generally to examinations and the examination process under this section. In accordance with OAR 410-141-5080 (FINANCIAL SOLVENCY REGULATION: Transparency), the Authority may designate as confidential and exempt from public inspection any work papers, recorded information, documents and copies thereof that are produced or obtained by or disclosed to the examiner(s) or the Authority during the course of an examination (collectively, “Examination Materials”). If the Authority, in the Authority’s sole discretion after notice to the CCO, determines that disclosure is necessary to protect the public interest, the Authority may make available any such Examination Materials to any other person in the course of the examination or to the public generally.
(8) Nothing in this section shall be construed or operate to limit the Authority’s right or obligation to disclose a draft report or final examination report, or any Examination Materials to any other federal or state regulatory authority where required by law, where permitted by the CCO’s agreement with the Authority, or where otherwise determined by the Authority to be in the public interest.
(9) No cause of action may arise, and no liability may be imposed against the Authority or DCBS, an authorized representative of the Authority or DCBS or any examiner appointed by the Authority or DCBS for any statements made or conduct performed in good faith pursuant to an examination or investigation. No cause of action may arise and no liability may be imposed against any person for communicating or delivering information or documents to the examiner(s) or the Authority or any authorized representative of the Authority in connection with an examination, or for providing testimony in the course of an examination, unless the person doing so acted in bad faith, with fraudulent intent or intent to deceive.
(10) Subsection (9) supplements, and does not abrogate or modify in any way, any common law or statutory privilege or immunity otherwise enjoyed by any person to which that subsection applies.
(11) Facts determined and conclusions made by the Authority pursuant to an examination shall be presumptive evidence of the relevant facts and conclusions in any judicial or administrative action.
(12) In addition to other powers of the Authority under these rules relating to the examination and investigation of CCOs, the Authority may order, at any time and from time to time, a CCO to produce such books, records, accounts, papers, documents and computer and other recordings in the possession of the CCO or its affiliates as are necessary to ascertain the financial condition of the CCO or to determine compliance with these rules. If the CCO fails to comply with such an order, the Authority may examine the affiliates to obtain such information, in addition to imposing sanctions or other remedies under these the Authority rules or the CCO contract.
(13) At any time during the course of, or following, an examination, the Authority may take any other actions and exercise any other powers, remedies or authority available to the Authority or otherwise contemplated by these rules.

Source: Rule 410-141-5250 — EXAMINATIONS: Authority Examinations of CCOs, https://secure.­sos.­state.­or.­us/oard/view.­action?ruleNumber=410-141-5250.

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 410-141-5250’s source at or​.us