CHAPTER 15. FILING DISCLOSURE DOCUMENTS FOR HOUSING WITH SERVICES ESTABLISHMENTS
IC 12-10-15
Chapter 15. Filing Disclosure Documents for Housing With
Services Establishments
IC 12-10-15-1
Applicability of chapter
Sec. 1. This chapter applies to a person who enters into a contract
or extends the term of an existing contract with an individual to
reside in a housing with services establishment.
As added by P.L.73-1998, SEC.7.
IC 12-10-15-1.5
"Administrator" defined
Sec. 1.5. As used in this chapter, "administrator" means a natural
person who administers, manages, supervises, or is in general
administrative charge of a housing with services establishment.
As added by P.L.184-2003, SEC.3.
IC 12-10-15-2
"Health related services" defined
Sec. 2. As used in this chapter, “health related services" means
home health services as listed under IC 16-27-1-5(b) and
IC 16-27-1-5(c), attendant and personal care services, professional
nursing services, and the central storage and distribution of
medications.
As added by P.L.73-1998, SEC.7.
IC 12-10-15-3
"Housing with services establishment" defined
Sec. 3. (a) As used in this chapter, "housing with services
establishment" means an establishment providing sleeping
accommodations to at least five (5) residents and offering or
providing for a fee:
(1) at least one (1) regularly scheduled health related service; or
(2) at least two (2) regularly scheduled supportive services;
whether offered or provided directly by the establishment or by
another person arranged for by the establishment.
(b) The term does not include the following:
(1) A comprehensive care facility licensed under IC 16-28-2.
(2) A hospital licensed under IC 16-21.
(3) A group home licensed under IC 31-27 or IC 12-28-4.
(4) An establishment that serves as a shelter for battered women
or other similar purpose.
(5) Private homes in which the residents are related by kinship,
law, or affinity with the person offering the services.
(6) An organized condominium, cooperative, common interest
community, or owner's association where at least eighty percent
(80%) of the units that comprise the condominium, cooperative,
or common interest community are occupied by individuals who
are the owners, members, or shareholders of the units.
As added by P.L.73-1998, SEC.7. Amended by P.L.145-2006,
SEC.69.
IC 12-10-15-4
"Operator" defined
Sec. 4. As used in this chapter, "operator" means a person that
operates a housing with services establishment.
As added by P.L.73-1998, SEC.7.
IC 12-10-15-5
"Resident" defined
Sec. 5. As used in this chapter, "resident" means an individual
who has a contract to reside in a housing with services establishment.
As added by P.L.73-1998, SEC.7.
IC 12-10-15-6
"Supportive services" defined
Sec. 6. As used in this chapter, "supportive services" means help
with personal laundry, handling or assisting with personal funds of
the residents, or arranging for medical services, health related
services, or social services. The term does not include making
referrals, assisting a resident in contacting a service provider of the
resident's choice, or contacting a service provider in an emergency.
As added by P.L.73-1998, SEC.7.
IC 12-10-15-7
Filing of disclosure document; contents
Sec. 7. (a) An operator shall file a disclosure document for each
housing with services establishment with the director. If an operator
fails to file a disclosure document, the operator may not:
(1) enter into or extend the term of a contract with an individual
to reside in a housing with services establishment; or
(2) use the term "assisted living" to describe the housing with
services establishment's services and operations to the public.
(b) The operator's disclosure document must be filed with the
director on forms prescribed by the director and must be verified by
the operator. The disclosure document must contain the following
information:
(1) An initial disclosure statement, as described in section 11 of
this chapter.
(2) The contract to be executed between the housing with
services establishment and the resident.
(3) Any other information required by the director under this
chapter.
(c) An operator of a housing with services establishment that has
filed a disclosure document as provided in this section shall notify
the director within thirty (30) days after a change in the:
(1) business name or address of the establishment;
(2) name or mailing address of the owner or owners; or
(3) name or mailing address of the managing agent.
The director may not charge a fee for submission of the notice.
(d) An operator of a new housing with services establishment
must file a disclosure document within sixty (60) days of the first
occurrence of the following:
(1) The first contract with a resident is signed.
(2) The first resident moves into the housing with services
establishment.
(e) Upon receipt of a disclosure document, the director shall mark
the disclosure document to indicate that the document has been filed.
As added by P.L.73-1998, SEC.7.
IC 12-10-15-8
Names and mailing addresses required in disclosure document
Sec. 8. An operator shall provide the following information
concerning the operator's housing with services establishment to the
director with the operator's disclosure document:
(1) The business name, street address, and mailing address of
the establishment.
(2) The name and mailing address of the owner or owners of the
establishment. If the owner or owners are not natural persons,
the operator must provide identification of the type of business
entity of the owner or owners, and the name and addresses of
the officers and members of the governing body, or comparable
persons for other types of business entities of the owner or
owners.
(3) The name and mailing address of the managing agent,
whether through management agreement or lease arrangement,
of the establishment, if different from the owner or owners, and
the name of the on-site manager, if any.
(4) The name and address of at least one (1) individual who is
responsible for dealing with the director on all matters subject
to this chapter.
As added by P.L.73-1998, SEC.7. Amended by P.L.1-1999, SEC.34.
IC 12-10-15-9
Housing with services establishment contracts
Sec. 9. (a) Each resident or the resident's representative must be
given a complete copy of the contract between the establishment and
the resident or the resident's representative and all supporting
documents and attachments and any changes whenever changes are
made.
(b) A housing with services establishment contract must include
the following elements in the contract or through supporting
documents or attachments in clear and understandable language:
(1) Name, street address, and mailing address of the housing
with services establishment.
(2) The name and mailing address of the owner or owners of the
housing with services establishment and, if the owner or owners
are not natural persons, identification of the type of business
entity of the owner or owners.
(3) The name and mailing address of the managing agent,
through management agreement or lease arrangement, of the
establishment, if different from the owner or owners.
(4) A statement describing the disclosure document and
licensure status, if any, of the housing with services
establishment and any person providing health related services
or supportive services under arrangement with the operator.
(5) The term of the contract.
(6) A description of the services to be provided to the resident
in the base rate to be paid by the resident or on the resident's
behalf.
(7) A description of any additional services available for an
additional fee from the housing with services establishment
directly or through arrangements with the establishment.
(8) The fee schedules outlining the cost of any additional
services.
(9) A description of the process through which the contract may
be modified, amended, or terminated.
(10) A description of the housing with services establishment's
complaint resolution process available to the residents.
(11) The resident's designated representative, if any.
(12) The housing with services establishment's referral
procedures if the contract is terminated.
(13) The criteria used by the housing with services
establishment to determine who may continue to reside in the
establishment. The criteria must address the following:
(A) When a resident must be transferred because the
establishment and the resident are unable to develop a means
for assuring that the resident is able to respond to an
emergency in a manner that is consistent with local fire and
safety requirements.
(B) When the establishment is unable to assure that the
resident's physical, mental, and psychosocial needs can be
met.
(14) A description of the process for assuring that the resident's
needs are assessed on admission and periodically thereafter in
conjunction with the resident and the resident's representative
and for assuring that the resident's physical, mental, and
psychosocial needs are met within the terms of the contract
criteria for residence provided under subdivision (13).
(15) The billing and payment procedures and requirements.
(c) The housing with services establishment contract must state
that:
(1) except as stated in the contract, residency in the housing
with services establishment may not be terminated due to a
change in a resident's health or care needs;
(2) the ability of a resident to engage in activities away from the
establishment regardless of the time, duration, and distance of
the activities may not be restricted;
(3) except to protect the rights and activities of other residents,
the housing with services establishment may not restrict the
ability of the resident to have visitors and to receive family
members and guests; and
(4) except as stated in the contract and identified in the
disclosure document, an operator may not:
(A) restrict the ability of a resident to use a home health
agency, home health provider, or case management service
of the resident's choice; or
(B) require a resident to use home health services.
(d) Except where the resident's health or safety or the health or
safety of others are endangered, an operator shall provide at least
thirty (30) days notice to the resident or the resident's designated
representative before terminating the resident's residency.
As added by P.L.73-1998, SEC.7.
IC 12-10-15-10
Annual disclosure document
Sec. 10. Unless extended by the written consent of the director,
each year after the initial year in which an operator has filed a
disclosure document under section 7 of this chapter, the operator
shall file with the director within four (4) months after the end of the
operator's fiscal year an annual disclosure document.
As added by P.L.73-1998, SEC.7.
IC 12-10-15-11
Amendment of disclosure document
Sec. 11. (a) An operator shall amend its initial disclosure
document filed with the director under sections 7 and 8 of this
chapter at any time if necessary to prevent the initial or annual
disclosure document from containing any material misstatement of
fact or omission of a material fact.
(b) Upon the sale of a housing with services establishment to a
new owner, the new owner shall amend the currently filed disclosure
document to reflect the fact of sale and any other fact that is required
to be disclosed in the disclosure document.
As added by P.L.73-1998, SEC.7.
IC 12-10-15-12
Standardized disclosure document
Sec. 12. (a) The director shall develop a standardized disclosure
document to be filed by the housing with services establishment.
(b) The standardized disclosure document must include the
following:
(1) The name and mailing address of the owner or owners of the
housing with services establishment and, if the owner or owners
are not individuals, identification of the type of business entity
of the owner or owners.
(2) The name and mailing address of the managing agent,
through management agreement or lease arrangement, of the
establishment, if different from the owner or owners.
(3) A description of the services to be provided to the resident
in the base rate to be paid by the resident or on the resident's
behalf.
(4) A description of additional services available for an
additional fee from the establishment directly or through
arrangements with the establishment.
(5) Fee schedules outlining the cost of additional services.
(6) A description of the process through which the contract may
be modified, amended, or terminated.
(7) A description of the establishment's complaint resolution
process available to the residents and the establishment's
referral procedures if the contract is terminated.
(8) The criteria used by the establishment to determine who
may continue to reside in the housing with services
establishment.
(c) The disclosure document must be:
(1) provided to a prospective resident or prospective resident's
legal guardian; and
(2) made readily available to a resident or a resident's legal
guardian.
As added by P.L.73-1998, SEC.7.
IC 12-10-15-13
Regulatory authority of health department not affected
Sec. 13. This chapter does not preclude the authority of the state
department of health to regulate:
(1) a home health agency, as provided in IC 16-27 and rules
adopted under IC 16-27; or
(2) a health facility, as provided in IC 16-28 and rules adopted
under IC 16-28.
As added by P.L.73-1998, SEC.7.
IC 12-10-15-14
Adoption of rules
Sec. 14. (a) The director shall adopt rules under IC 4-22-2
necessary to carry out this chapter.
(b) The director shall adopt rules concerning the following:
(1) Procedures for the posting of notices at housing with
services establishments, area agencies on aging, and centers for
independent living (as defined by IC 12-12-8-1) that advise
residents of their rights under this chapter.
(2) Procedures for residents and their representatives to file
complaints with the director concerning violations of this
chapter.
As added by P.L.73-1998, SEC.7. Amended by P.L.184-2003, SEC.4.
IC 12-10-15-15
Enforcement; penalties
Sec. 15. (a) The director shall enforce this chapter.
(b) The director may impose a penalty of not less than one
hundred dollars ($100) but not more than one thousand dollars
($1,000) for each day of violation of this chapter. However, the total
penalty for each violation may not exceed ten thousand dollars
($10,000).
(c) A person aggrieved by a penalty imposed under this section
may request a review under IC 4-21.5-3-7. If a request for a hearing
is not filed within fifteen (15) days after the penalty is imposed, the
determination of the director and the penalty is final.
(d) If the director determines that a housing with services
establishment has had substantial and repeated violations of this
chapter, the director may prohibit a housing with services
establishment from using the term "assisted living" to describe the
housing with services establishment's services and operations to the
public.
(e) If the director determines that an operator or administrator of
a housing with services establishment has intentionally violated this
chapter or has made fraudulent and material misrepresentations to a
resident, the director may request the attorney general to investigate
and take appropriate action against the operator or administrator.
(f) Penalties collected under this section shall be deposited in the
state general fund.
As added by P.L.184-2003, SEC.5.