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016.06.5-200. Licensure

AR ADC 016.06.5-200Arkansas Administrative CodeEffective: January 1, 2020

West's Arkansas Administrative Code
Title 016. Department of Human Services
Division 06. Division of Medical Services
Rule 5. Rules Pertaining to Post-Acute Head Injury Retraining and Residential Adult Care Facilities (Refs & Annos)
Effective: January 1, 2020
Ark. Admin. Code 016.06.5-200
016.06.5-200. Licensure
Currentness
201. Operation Without a License: No Facility shall be established, operated, or maintained in the State of Arkansas without first obtaining a License.
202. Application for License: Applicants for licenses shall file applications under oath with the Office of Long Term Care upon forms prescribed by the Division and shall pay an annual fee of $10.00 to the Division. Such fee shall be refunded if the License is denied. Applications shall be filed by the prospective Licensee. Applications shall set forth the following information:
202.1. The full name and address of the Facility for which the License is requested;
202.2. The name of each person owning, directly or indirectly, 5% or more of equity interest of the Facility;
202.3. The name and address of each officer and director, if applicant is a corporation;
202.4. The name of each partner, whether general or limited, if the applicant is a partnership; and
202.5. Such additional information as the Division may require on the application form.
202.6. The agent name and address of the agent for service of process is the applicant is other than an individual.
203. Qualification for License: A Licensee must satisfy the following minimum qualifications:
203.1. Sufficient financial resources to meet the needs of its Residents;
203.2. Have no prior convictions under Act 28 of 1979; and
203.3. Have sufficient qualified staff to meet the needs of the Residents in the following areas: vocational rehabilitation, occupational therapy, speech therapy, physical therapy, psychology, cognitive training, recreational and educational services.
204. Term: A License is effective from the date of issue through December 31 of the then- current calendar year.
205. Renewal: Applications for renewal shall be made annually, and on forms provided by Office of Long Term Care, applications shall contain the name and address of the applicant and such information which has changed since the filing of the previous application. Applications for renewal shall be postmarked no later than January 2 following expiration. The annual fee of $10.00 shall be submitted with the renewal. A penalty of ($1) one dollar per day will be accessed for each day passed January 2.
206. Transfer: Licenses are not transferable. The transfer of 30% or more equity interest in the Licensee shall be considered a change of ownership and shall require a new application for licensure.
207. Closure: Any Facility that closes or that loses or surrenders its License for whatever reason must meet the rules for new construction to be eligible for re-licensure.
208. Separate Premises: Separate Licenses are required for operations maintained at separate, noncontiguous premises, even if they are operated under the same management.
209 Provisional Licensure: Subject to the requirements below, a provisional license shall be issued to the Applicant and new operator of the long-term care facility when the Office of Long Term Care has received the Application for Licensure to Conduct a Long Term Care Facility. A provisional license shall be effective from the date the Office of Long-Term Care provides notice to the Applicant and new operator, until the date the long-term care license is issued. With the exception of Medicaid or Medicare provider status, a provisional license confers upon the holder all the rights and duties of licensure.
Prior to the issuance of a provisional license:
1. The purchaser and the seller of the long-term care facility shall provide the Office of Long Term Care with written notice of the change of ownership at least thirty (30) days prior to the effective date of the sale.
2. The Applicant and new operator of the long-term care facility shall provide the Office of Long Term Care with the application for licensure, including all applicable fees.
3. The Applicant and new operator of the long-term care facility shall provide the Office of Long Term Care with evidence of transfer of operational control signed by all applicable parties.
A provisional license holder may operate the facility under a new name, whether fictitious or otherwise. For purposes of this section, the term new name means a name that is different than the name under which the facility was operated by the prior owner, and the term “operate” means that the provisional license holder may hold the facility out to the public using the new name. Examples include, but are not limited to, signage, letterhead, brochures or advertising (regardless of media) that bears the new name.
In the event that the provisional license holder operates the facility under a new name, the facility shall utilize the prior name in all communications with the Office of Long Term Care until such time as the license is issued. Such communications include, but are not limited to, incident reports, notices, Plans of Correction, and MDS submissions. Upon the issuance of the license, the facility shall utilize the new name in all communications with the Office of Long Term Care.
210. Compliance: When non-compliance with licensure standards is detected during surveys, the Licensee will be notified of the violations and will be requested to provide a plan of correction which must include a timetable for completion of the corrections. If an item of non-compliance that affects the health and safety of Residents is nor promptly corrected, the Office of Long Term Care shall have the option to sanction pursuant to Section 214 or initiate action to suspend or revoke the Facility's license.
211. Revocation of License: The Division may deny, suspend, or revoke a license on any of the following grounds:
211.1. Violation of any of the Provisions of Act 28 of 1979, as amended by Act 602 of 1987 resulting in a notice of violation being issued pursuant to Section 4 of the Act, or these rules;
211.2. Permitting, aiding or abetting the commission of any unlawful act in connection with the operation of a Facility;
211.3. Non-compliance with inspections conducted by state or local inspectors (i.e., fire marshal, city building inspector, county sanitarian);
211.4. Failure to allow admission to Department or Office of Long Term Care Personnel;
211.5. Accepting and retaining Residents for whom the Facility cannot provide services as required in Section 400 of these rules.
212. Notice and Procedure on Hearing Prior to Denial, Suspension, or Revocation of a License: Whenever the Office of Long Term Care denies, suspends, or revokes a License, it shall send to the applicant or Licensee, by certified mail, a notice stating the reasons for the action. The notice shall state the nature of intended action, the rule allegedly violated, and the nature of the evidence supporting the allegation and shall set forth with particularity the asserted violations, discrepancies, and dollar amounts. The applicant or Licensee may appeal such notice to the Long Term Care Facility's Advisory Board as permitted by Ark. Code Ann. § 20-10-303.
212.1. All appeals shall be made in writing, directed to the Chairman of the Board, within 30 days of receipt of notice of intended action. The appeal shall state the basis for the appeal with supporting documentation attached and shall set forth with particularity those asserted violations, discrepancies, and dollar amounts which the appellant contends are in compliance with these rules.
212.2. Appeals must be heard by the Board within sixty (60) days following date of the Chairman's receipt of written appeal unless otherwise agreed by both parties. The Chairman shall notify the party or parties of the date, time and place of hearings at least seven (7) working days prior to the hearing date.
212.3. Preliminary motions must be made in writing and submitted to the Chairman of hearing officer, with service to the opposing party, at least three (3) days prior to hearing date, unless otherwise directed by the Chairman or hearing officer.
212.4. All pleadings filed in any proceeding shall be typewritten on white paper, size 8 1/2 by 11 inches, using one side of the paper only and double-spaced. They shall bear a caption clearly showing the title of the proceeding in connection with which they are filed.
All pleadings shall be signed by the party or his authorized representative or attorney and shall contain signer's address and telephone number. All pleadings shall be served upon each of the parties, unless the Board orders otherwise because of numerous parties. Each pleading required to be served upon a party shall contain a statement by the party or his attorney stating that a copy of the pleading has been served, the date and method of service, and, if by mail, the name and address of the persons served. Service on the Office of Long Term Care shall be made to the Office of Chief Counsel of the Department of Human Services. Service on a party represented by an attorney shall be on the attorney.
212.5 The Chairman of the Board shall act as Chairman in all appeal hearings. In the absence of the Chairman, the Board may elect one of their members to serve as Chairman. The Chairman shall vote only in case of a tie. The Chairman or Board may request legal Counsel and staff assistance in the conduct of the hearing and in the formal preparation of their decision.
212.6 A majority of the members of the Board shall constitute a quorum of all appeals.
212.7 If the appellant fails to appear at a hearing, the board may dismiss the appeal or render a decision based on the evidence available.
212.8 A dismissal for non-appearance may be set aside by the Board if the appellant makes application to the Chairman in writing within ten (IO) calendar days after the mailing of the decision, showing good cause for his failure to appear at the hearing. All parties shall be notified in writing of an order granting or denying any application to vacate the decision.
212.9. Any party may appear at the hearing and be heard through an attorney at law or through a designated representative. All persons practiced by attorneys before the courts of the State.
212.10. Each party shall have the right to call and examine parties and witnesses; to introduce exhibits; to question opposing witnesses and parties on any matter relevant to the issue; to impeach any witness regardless of which party first called him to testify; and to rebut the evidence against him.
212.11. Testimony shall be taken only on oath or affirmation under penalty or perjury.
212.12. Irrelevant, immaterial, and unduly repetitious evidence shall be excluded. Any other oral or documentary evidence, not privileged, may be received if it is of a type commonly relied upon by reasonable prudent persons in the conduct of their affairs. Objections to evidentiary offers may be made and shall be noted of record. When a hearing will be expedited, any part of the parties will not be substantially prejudiced; any part of the evidence may be received in written form.
212.13. The Chairman or hearing officer shall control the taking of evidence in a manner best suited to ascertain the facts and safeguard the rights of the parties. The Office of Long Term Care shall present its case first.
212.14. A party shall arrange for the presence of his witnesses at the hearing.
212.15. Any member of the Board may question any party or witness.
212.16. A complete record of the proceedings shall be made. A copy of the record may be transcribed and reproduced at the request of a party to the hearing, provided he bears the cost thereof.
212.17. Written notice of the time and place of continued or further hearing shall be given, except that when a continuance or further hearing is ordered during a hearing, oral notice of the time and place of the hearing may be given to each party present at the hearing.
212.18. In addition to these rules the hearing provisions of the Administrative Procedure Act (Ark. Code Ann. § 25-15-101 et seq.) shall apply.
212.19. At the conclusion of testimony and deliberations by the Board, the Board shall vote on motions for disposition of the appeal. After reaching a decision by majority vote those members, the Board may direct that findings of fact and conclusions of law be prepared to reflect the Board's recommendations to the Chairman. At his discretion the Chairman shall have the right to accept, reject, or modify a recommendation, or to return the recommendation to the Board for further consideration for a more conclusive recommendation. All decisions shall be based on findings of fact and law and are subject to and must be in accordance with applicable State and Federal laws and regulations. The final decision by the Chairman shall be rendered in writing to the appellant.
213. Appeals To Court: Any applicant or Licensee who considers himself injured in his person, business, or property by the final decision of the Chairman shall be entitled to judicial review thereof Proceedings for review shall be initiated by filing a petition in the Circuit Court of any county in which the petitioner does business or in the Circuit Court of Pulaski County within 30 days after service upon the petitioner of the Chairman's final decision. All petitions for judicial review shall be in accordance with the Administrative Procedure Act.
214. Penalties: Any person establishing, conducting, managing, or operating any Facility without first obtaining a License, or who violates any provisions of Act or rules shall be guilty of a misdemeanor, and upon conviction shall be liable to a fine of not less than $25.00 (Twenty-Five Dollars) nor more that $100.00 (One Hundred Dollars) nor more that $500.00 (Five Hundred Dollars) for each subsequent offense, and each day such Facility shall operate after a first conviction shall be considered a subsequent offense.
215. Receivership: Ark. Code Ann. § 20-10-902 describes the purpose for development of a mechanism for the concept of receivership to protect residents in Long Term Care Facilities. Utilization of the receivership mechanism shall be a remedy of last resort and shall be implemented consistent with the criteria set forth in Arkansas Code Annotated 20-10-904.
216. Fines and Sanctions: Ark. Code Ann. § 20-10-205 provides for fines and sanctions of Long Term Care Facilities for violations of rules duly adopted and promulgated by the Department of Human Services, Division of Economic and Medical Services, Office of Long Term Care.

Credits

Amended Jan. 1, 2020.
Current with amendments received through February 15, 2024. Some sections may be more current, see credit for details.
Ark. Admin. Code 016.06.5-200, AR ADC 016.06.5-200
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