Assisted Living Training and Compliance Article
Assisted living facilities (ALFs) operate under strict regulatory oversight to ensure the safety and well-being of their residents. A recent facility inspection report highlights a critical compliance area that all licensees must be aware of: the requirement to inform the Agency for Health Care Administration (AHCA) when discontinuing operations. Failure to do so can result in serious deficiencies.
The Rule in Focus
The relevant regulations, specifically 408.810(3) FS and 59A-35.100 FAC, outline clear expectations for licensees regarding changes in operational status. As stated in 408.810(3) FS: “Unless otherwise specified in this part, authorizing statutes, or applicable rules, any information required to be reported to the agency must be submitted within 21 calendar days after the report period or effective date of the information, whichever is earlier, including, but not limited to, any change of: (a) Information contained in the most recent application for licensure. (b) Required insurance or bonds.”
Furthermore, 408.810(4)(a) FS explicitly states: “Whenever a licensee discontinues operation of a provider: (a) The licensee must inform the agency not less than 30 days prior to the discontinuance of operation and inform clients of such discontinuance as required by authorizing statutes. Immediately upon discontinuance of operation by a provider, the licensee shall surrender the license to the agency and the license shall be canceled.”
Additionally, 59A-35.100 FAC notes: “Provider location. A licensee must maintain proper authority for operation of the provider at the address of record. If such authority is denied, revoked or otherwise terminated by the local zoning or code enforcement authority, the Agency may deny or revoke an application or license, or impose sanctions.”
In essence, these rules mandate that ALFs must proactively notify AHCA well in advance if they plan to cease operations, ensuring a smooth transition for residents and compliance with licensure requirements.
Lessons from a Recent Deficiency
A recent generator monitoring survey uncovered a Class III deficiency related to this very issue. During an inspection, the facility appeared to be non-operational, with a sign at the front door stating the facility was undergoing repairs and maintenance. The front door was found to be covered in cobwebs and debris, and there were no signs of residents or employees at the facility. Photographic evidence was obtained. Upon interviewing the administrator, it was confirmed that the facility was indeed not in use due to ongoing renovations, and all residents had been moved to sister facilities some time ago. However, the facility had failed to inform the Agency for Health Care Administration Licensing Unit of the fact and the proposed time of discontinued operations for the facility.
This scenario underscores a critical oversight. Even if residents have been safely relocated and renovations are underway, the regulatory requirement to officially inform AHCA of the discontinuance of operations remains in effect.
Key Takeaways for Compliance:
- Proactive Notification is Mandatory: If your facility plans to discontinue operations, even temporarily for extensive renovations that necessitate resident relocation, you must inform AHCA not less than 30 days prior to the discontinuance.
- Beyond Resident Relocation: Moving residents to other facilities, while crucial for their care, does not negate the responsibility to inform AHCA about the operational status of the original licensed location.
- Surrender of License: Immediately upon discontinuing operation, the licensee is required to surrender the license to AHCA for cancellation.
- Maintain Records: The licensee remains responsible for retaining and appropriately distributing all client records within prescribed timeframes. This includes making arrangements to forward records for each client to one of the following, based upon the client’s choice: the client or the client’s legal representative, the client’s attending physician, or the health care provider where the client currently receives services. Alternatively, notice can be published in the newspaper of greatest general circulation in the county in which the provider was located that advises clients of the discontinuance of the provider operation. The notice must inform clients that they may obtain copies of their records and specify the name, address, and telephone number of the person from whom the copies of records may be obtained, and must appear at least once a week for 4 consecutive weeks.
By understanding and strictly adhering to these notification requirements, assisted living facilities can ensure continuous compliance with state regulations, avoid deficiencies, and demonstrate a commitment to transparent and responsible operation.