IC 12-10-15
    Chapter 15. Filing Disclosure Documents for Housing WithServices Establishments

IC 12-10-15-1
Applicability of chapter
    Sec. 1. This chapter applies to a person who enters into a contractor extends the term of an existing contract with an individual toreside 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 naturalperson who administers, manages, supervises, or is in generaladministrative 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" meanshome health services as listed under IC 16-27-1-5(b) andIC 16-27-1-5(c), attendant and personal care services, professionalnursing services, and the central storage and distribution ofmedications.
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 servicesestablishment" means an establishment providing sleepingaccommodations to at least five (5) residents and offering orproviding 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 byanother 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 womenor 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 interestcommunity, 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 whoare 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 thatoperates 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 individualwho 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 helpwith personal laundry, handling or assisting with personal funds ofthe residents, or arranging for medical services, health relatedservices, or social services. The term does not include makingreferrals, assisting a resident in contacting a service provider of theresident'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 eachhousing with services establishment with the director. If an operatorfails to file a disclosure document, the operator may not:
        (1) enter into or extend the term of a contract with an individualto reside in a housing with services establishment; or
        (2) use the term "assisted living" to describe the housing withservices establishment's services and operations to the public.
    (b) The operator's disclosure document must be filed with thedirector on forms prescribed by the director and must be verified bythe operator. The disclosure document must contain the followinginformation:
        (1) An initial disclosure statement, as described in section 11 ofthis chapter.
        (2) The contract to be executed between the housing withservices establishment and the resident.
        (3) Any other information required by the director under thischapter.
    (c) An operator of a housing with services establishment that hasfiled a disclosure document as provided in this section shall notifythe 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 establishmentmust file a disclosure document within sixty (60) days of the firstoccurrence of the following:
        (1) The first contract with a resident is signed.
        (2) The first resident moves into the housing with servicesestablishment.
    (e) Upon receipt of a disclosure document, the director shall markthe 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 informationconcerning the operator's housing with services establishment to thedirector with the operator's disclosure document:
        (1) The business name, street address, and mailing address ofthe establishment.
        (2) The name and mailing address of the owner or owners of theestablishment. If the owner or owners are not natural persons,the operator must provide identification of the type of businessentity of the owner or owners, and the name and addresses ofthe officers and members of the governing body, or comparablepersons for other types of business entities of the owner orowners.
        (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, andthe name of the on-site manager, if any.
        (4) The name and address of at least one (1) individual who isresponsible for dealing with the director on all matters subjectto 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 begiven a complete copy of the contract between the establishment andthe resident or the resident's representative and all supportingdocuments and attachments and any changes whenever changes aremade.
    (b) A housing with services establishment contract must includethe following elements in the contract or through supportingdocuments or attachments in clear and understandable language:
        (1) Name, street address, and mailing address of the housingwith services establishment.
        (2) The name and mailing address of the owner or owners of thehousing with services establishment and, if the owner or ownersare not natural persons, identification of the type of businessentity of the owner or owners.        (3) The name and mailing address of the managing agent,through management agreement or lease arrangement, of theestablishment, if different from the owner or owners.
        (4) A statement describing the disclosure document andlicensure status, if any, of the housing with servicesestablishment and any person providing health related servicesor supportive services under arrangement with the operator.
        (5) The term of the contract.
        (6) A description of the services to be provided to the residentin the base rate to be paid by the resident or on the resident'sbehalf.
        (7) A description of any additional services available for anadditional fee from the housing with services establishmentdirectly or through arrangements with the establishment.
        (8) The fee schedules outlining the cost of any additionalservices.
        (9) A description of the process through which the contract maybe modified, amended, or terminated.
        (10) A description of the housing with services establishment'scomplaint resolution process available to the residents.
        (11) The resident's designated representative, if any.
        (12) The housing with services establishment's referralprocedures if the contract is terminated.
        (13) The criteria used by the housing with servicesestablishment to determine who may continue to reside in theestablishment. The criteria must address the following:
            (A) When a resident must be transferred because theestablishment and the resident are unable to develop a meansfor assuring that the resident is able to respond to anemergency in a manner that is consistent with local fire andsafety requirements.
            (B) When the establishment is unable to assure that theresident's physical, mental, and psychosocial needs can bemet.
        (14) A description of the process for assuring that the resident'sneeds are assessed on admission and periodically thereafter inconjunction with the resident and the resident's representativeand for assuring that the resident's physical, mental, andpsychosocial needs are met within the terms of the contractcriteria for residence provided under subdivision (13).
        (15) The billing and payment procedures and requirements.
    (c) The housing with services establishment contract must statethat:
        (1) except as stated in the contract, residency in the housingwith services establishment may not be terminated due to achange in a resident's health or care needs;
        (2) the ability of a resident to engage in activities away from theestablishment regardless of the time, duration, and distance ofthe activities may not be restricted;
        (3) except to protect the rights and activities of other residents,

the housing with services establishment may not restrict theability of the resident to have visitors and to receive familymembers and guests; and
        (4) except as stated in the contract and identified in thedisclosure document, an operator may not:
            (A) restrict the ability of a resident to use a home healthagency, home health provider, or case management serviceof 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 orsafety of others are endangered, an operator shall provide at leastthirty (30) days notice to the resident or the resident's designatedrepresentative 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 adisclosure document under section 7 of this chapter, the operatorshall file with the director within four (4) months after the end of theoperator'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 disclosuredocument filed with the director under sections 7 and 8 of thischapter at any time if necessary to prevent the initial or annualdisclosure document from containing any material misstatement offact or omission of a material fact.
    (b) Upon the sale of a housing with services establishment to anew owner, the new owner shall amend the currently filed disclosuredocument to reflect the fact of sale and any other fact that is requiredto 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 disclosuredocument to be filed by the housing with services establishment.
    (b) The standardized disclosure document must include thefollowing:
        (1) The name and mailing address of the owner or owners of thehousing with services establishment and, if the owner or ownersare not individuals, identification of the type of business entityof the owner or owners.
        (2) The name and mailing address of the managing agent,through management agreement or lease arrangement, of theestablishment, if different from the owner or owners.        (3) A description of the services to be provided to the residentin the base rate to be paid by the resident or on the resident'sbehalf.
        (4) A description of additional services available for anadditional fee from the establishment directly or througharrangements with the establishment.
        (5) Fee schedules outlining the cost of additional services.
        (6) A description of the process through which the contract maybe modified, amended, or terminated.
        (7) A description of the establishment's complaint resolutionprocess available to the residents and the establishment'sreferral procedures if the contract is terminated.
        (8) The criteria used by the establishment to determine whomay continue to reside in the housing with servicesestablishment.
    (c) The disclosure document must be:
        (1) provided to a prospective resident or prospective resident'slegal guardian; and
        (2) made readily available to a resident or a resident's legalguardian.
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 statedepartment of health to regulate:
        (1) a home health agency, as provided in IC 16-27 and rulesadopted under IC 16-27; or
        (2) a health facility, as provided in IC 16-28 and rules adoptedunder 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 4-22-2necessary to carry out this chapter.
    (b) The director shall adopt rules concerning the following:
        (1) Procedures for the posting of notices at housing withservices establishments, area agencies on aging, and centers forindependent living (as defined by IC 12-12-8-1) that adviseresidents of their rights under this chapter.
        (2) Procedures for residents and their representatives to filecomplaints with the director concerning violations of thischapter.
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 totalpenalty for each violation may not exceed ten thousand dollars($10,000).
    (c) A person aggrieved by a penalty imposed under this sectionmay request a review under IC 4-21.5-3-7. If a request for a hearingis not filed within fifteen (15) days after the penalty is imposed, thedetermination of the director and the penalty is final.
    (d) If the director determines that a housing with servicesestablishment has had substantial and repeated violations of thischapter, the director may prohibit a housing with servicesestablishment from using the term "assisted living" to describe thehousing with services establishment's services and operations to thepublic.
    (e) If the director determines that an operator or administrator ofa housing with services establishment has intentionally violated thischapter or has made fraudulent and material misrepresentations to aresident, the director may request the attorney general to investigateand take appropriate action against the operator or administrator.
    (f) Penalties collected under this section shall be deposited in thestate general fund.
As added by P.L.184-2003, SEC.5.