Mass. Gen. Laws ch. 19D, sec. 4 — MA Code / Part I / Title II / Chapter 19D / Section 4
Application for certification; renewal; fee; operating plan; basic health services
Status: in_force

Section 4. (a) The department shall issue a certification for a term of 2 years, and shall renew for like terms, to any applicant whom the department determines meets the regulatory requirements promulgated by the department in accordance with this chapter; provided, however, that a certification shall be subject to corrective action, modification, suspension or revocation for cause, as determined by the department. Such certification shall: (i) not be transferable or assignable; (ii) be issued only to the person and for the premises named in the application; (iii) indicate whether the residence has been approved to provide basic health services; and (iv) indicate the certification's expiration date. The department shall issue a certificate, which shall be posted by the residence in a conspicuous place on the approved premises and on the residence's website. (b) Upon applying for initial certification or renewal, an applicant shall pay the department a fee based on the number of units at the assisted living residence, established by the secretary of administration and finance pursuant to the provisions of section 3B of chapter 7; provided, however, that a minimum fee shall be established notwithstanding the number of units at the residence. No fees for initial certification or renewal shall be due from any provider for assisted living units created under the United States Department of Housing and Urban Development Assisted Living Conversion Program. (c) If an application for renewal of a certification is filed not less than 30 days before the expiration date, such certification shall not expire until the department notifies the sponsor that the application for renewal has been denied. (d) Applicants for initial certification shall file with the department an operating plan that includes: (i) the number of units; (ii) the number of residents allowed per unit; (iii) the location of resident units, common spaces and egresses by floor; (iv) the base fee to be charged for each such unit; (v) the services to be offered, including basic health services, if applicable, and arrangements for providing such services, including linkages with hospitals and nursing facilities, if any; (vi) the number of staff to be employed; and (vii) other information the department deems necessary. (e) Residences may seek certification by the department to provide basic health services; provided, however, that such residences shall offer all such basic health services defined in section 1; and provided further, that residences offering basic health services shall not restrict resident choice in the delivery of said services by third party providers. The residence shall submit a revised operating plan to the department in the event of a change in the scope of basic health services offered to residents. A residence seeking to provide basic health services shall include in its operating plan: (i) a proposed administrative and operational structure to ensure the safe and effective use of basic health services and meet the needs of its residents; and (ii) a compliance plan to meet the requirements established under this chapter and promulgated regulations, which shall include, but not be limited to: (A) staff qualifications and training; and (B) effective policies and procedures to ensure the availability of adequate supplies necessary for basic health services and the safe administration and secure storage of medications. (f) Applicants and sponsors shall file material changes to the assisted living residence's operating plan prior to the change's effective date and as may otherwise be required by the department. A sponsor shall file annually on a date established by and on a form prescribed by the department, a statement and a professional opinion prepared by a certified public accountant or comparable reviewer indicating whether the assisted living residence is in sound fiscal condition and is maintaining sufficient cash flow and reserves to meet the requirements of the service plans established for its residents. (g) Applicants for initial certification or renewal shall disclose the name and address of each officer, director, trustee and limited partner or shareholder with not less than 5 per cent interest in the assisted living residence and shall provide to the department documentation of the history of each such individual or entity, including, but not limited to: (i) all multifamily housing, assisted living residences or health care facilities in which the individual or entity has been an officer, director, trustee or partner and, if applicable, evidence from the relevant regulatory authority that said applicant has met criteria for licensure or certification; (ii) documentation of any enforcement action against the applicant and, if applicable, evidence that the applicant has corrected all cited deficiencies without revocation of licensure or certification; and (iii) any other evidence, as determined by the department. (h) The department may deny certification to an applicant who had an ownership interest in an entity licensed under chapter 111, a licensed medical provider or a home health agency certified under Title XVIII of the Social Security Act, as amended, that: (i) has been subject to a patient care receivership action; (ii) has ceased to operate such an entity as a result of: (A) suspension or revocation of license or certification; (B) receivership; or (C) a settlement agreement arising from suspension or revocation of a license or certification; (iii) has a settlement agreement in lieu of or as a result of subclause (B) of clause (ii); (iv) has been the subject of a substantiated case of patient abuse or neglect involving material failure to provide adequate protection or services for the resident in order to prevent such abuse or neglect; or (v) has over the course of its operation been cited for repeated, serious and willful violations of rules and regulations governing the operation of said entity that indicate a disregard for resident safety and an inability to responsibly operate an assisted living residence.

Section 4. (a) The department shall issue a certification for a term of 2 years, and shall renew for like terms, to any applicant whom the department determines meets the regulatory requirements promulgated by the department in accordance with this chapter; provided, however, that a certification shall be subject to corrective action, modification, suspension or revocation for cause, as determined by the department. Such certification shall: (i) not be transferable or assignable; (ii) be issued only to the person and for the premises named in the application; (iii) indicate whether the residence has been approved to provide basic health services; and (iv) indicate the certification's expiration date. The department shall issue a certificate, which shall be posted by the residence in a conspicuous place on the approved premises and on the residence's website.

(b) Upon applying for initial certification or renewal, an applicant shall pay the department a fee based on the number of units at the assisted living residence, established by the secretary of administration and finance pursuant to the provisions of section 3B of chapter 7; provided, however, that a minimum fee shall be established notwithstanding the number of units at the residence. No fees for initial certification or renewal shall be due from any provider for assisted living units created under the United States Department of Housing and Urban Development Assisted Living Conversion Program.

(c) If an application for renewal of a certification is filed not less than 30 days before the expiration date, such certification shall not expire until the department notifies the sponsor that the application for renewal has been denied.

(d) Applicants for initial certification shall file with the department an operating plan that includes: (i) the number of units; (ii) the number of residents allowed per unit; (iii) the location of resident units, common spaces and egresses by floor; (iv) the base fee to be charged for each such unit; (v) the services to be offered, including basic health services, if applicable, and arrangements for providing such services, including linkages with hospitals and nursing facilities, if any; (vi) the number of staff to be employed; and (vii) other information the department deems necessary.

(e) Residences may seek certification by the department to provide basic health services; provided, however, that such residences shall offer all such basic health services defined in section 1; and provided further, that residences offering basic health services shall not restrict resident choice in the delivery of said services by third party providers. The residence shall submit a revised operating plan to the department in the event of a change in the scope of basic health services offered to residents. A residence seeking to provide basic health services shall include in its operating plan: (i) a proposed administrative and operational structure to ensure the safe and effective use of basic health services and meet the needs of its residents; and (ii) a compliance plan to meet the requirements established under this chapter and promulgated regulations, which shall include, but not be limited to: (A) staff qualifications and training; and (B) effective policies and procedures to ensure the availability of adequate supplies necessary for basic health services and the safe administration and secure storage of medications.

(f) Applicants and sponsors shall file material changes to the assisted living residence's operating plan prior to the change's effective date and as may otherwise be required by the department. A sponsor shall file annually on a date established by and on a form prescribed by the department, a statement and a professional opinion prepared by a certified public accountant or comparable reviewer indicating whether the assisted living residence is in sound fiscal condition and is maintaining sufficient cash flow and reserves to meet the requirements of the service plans established for its residents.

(g) Applicants for initial certification or renewal shall disclose the name and address of each officer, director, trustee and limited partner or shareholder with not less than 5 per cent interest in the assisted living residence and shall provide to the department documentation of the history of each such individual or entity, including, but not limited to: (i) all multifamily housing, assisted living residences or health care facilities in which the individual or entity has been an officer, director, trustee or partner and, if applicable, evidence from the relevant regulatory authority that said applicant has met criteria for licensure or certification; (ii) documentation of any enforcement action against the applicant and, if applicable, evidence that the applicant has corrected all cited deficiencies without revocation of licensure or certification; and (iii) any other evidence, as determined by the department.

(h) The department may deny certification to an applicant who had an ownership interest in an entity licensed under chapter 111, a licensed medical provider or a home health agency certified under Title XVIII of the Social Security Act, as amended, that: (i) has been subject to a patient care receivership action; (ii) has ceased to operate such an entity as a result of: (A) suspension or revocation of license or certification; (B) receivership; or (C) a settlement agreement arising from suspension or revocation of a license or certification; (iii) has a settlement agreement in lieu of or as a result of subclause (B) of clause (ii); (iv) has been the subject of a substantiated case of patient abuse or neglect involving material failure to provide adequate protection or services for the resident in order to prevent such abuse or neglect; or (v) has over the course of its operation been cited for repeated, serious and willful violations of rules and regulations governing the operation of said entity that indicate a disregard for resident safety and an inability to responsibly operate an assisted living residence.