IC 16-27-4
Chapter 4. Licensure of Personal Services Agencies
IC 16-27-4-1 "Client"
Sec. 1. As used in this chapter, "client" means an individual who
has been accepted to receive personal services from a personal
services agency. As added by P.L.212-2005, SEC.18.
IC 16-27-4-2 "Parent personal services agency"
Sec. 2. As used in this chapter, "parent personal services agency"
means the personal services agency that develops and maintains
administrative and fiscal control over a branch office. As added by P.L.212-2005, SEC.18.
IC 16-27-4-3 "Personal representative"
Sec. 3. As used in this chapter, "personal representative" means
a person who has legal authority to act on behalf of the client with
regard to the action to be taken. As added by P.L.212-2005, SEC.18.
IC 16-27-4-4 "Personal services"
Sec. 4. (a) As used in this chapter, "personal services" means:
(1) attendant care services;
(2) homemaker services that assist with or perform household
tasks, including housekeeping, shopping, laundry, meal
planning and preparation, and cleaning; and
(3) companion services that provide fellowship, care, and
protection for a client, including transportation, letter writing,
mail reading, and escort services;
that are provided to a client at the client's residence.
(b) The term does not apply to the following:
(1) Incidental services provided by a licensed health facility to
patients of the licensed health facility.
(2) Services provided by employers or membership
organizations for their employees, members, and families of the
employees or members if the services are not the predominant
purpose of the employer or the membership organization's
business.
(3) Services that are allowed to be performed by a personal
services attendant under IC 12-10-17.1.
(4) Services that require the order of a health care professional
for the services to be lawfully performed in Indiana.
(5) Assisted living Medicaid waiver services.
(6) Services that are performed by a facility described in
IC 12-10-15.
As added by P.L.212-2005, SEC.18. Amended by P.L.141-2006,
SEC.82.
IC 16-27-4-5 "Personal services agency"
Sec. 5. (a) As used in this chapter, "personal services agency"
means a person that provides or offers to provide a personal service
for compensation, whether through the agency's own employees or
by arrangement with another person.
(b) The term does not include the following:
(1) An individual who provides personal services only to the
individual's family or to not more than three (3) individuals per
residence and not more than a total of seven (7) individuals
concurrently. As used in this subdivision, "family" means the
individual's spouse, child, parent, parent-in-law, grandparent,
grandchild, brother, brother-in-law, sister, sister-in-law, aunt,
aunt-in-law, uncle, uncle-in-law, niece, and nephew.
(2) A local health department as described in IC 16-20 or
IC 16-22-8.
(3) A person that:
(A) is approved by the division of disability and
rehabilitative services to provide supported living services
or supported living support to individuals with
developmental disabilities;
(B) is subject to rules adopted under IC 12-11-2.1; and
(C) serves only individuals with developmental disabilities
who are in a placement authorized under IC 12-11-2.1-4. As added by P.L.212-2005, SEC.18. Amended by P.L.141-2006,
SEC.83.
IC 16-27-4-6 License required; branch offices; fee; application; onsite
inspection; expiration; home health agency
Sec. 6. (a) To operate a personal services agency, a person must
obtain a license from the state health commissioner. A personal
services agency may not be opened, operated, managed, or
maintained or conduct business without a license from the state
department. Each parent personal services agency must obtain a
separate license.
(b) A parent personal services agency may maintain branch
offices that operate under the license of the parent personal services
agency. Each branch office must be:
(1) at a location or site from which the personal services agency
provides services;
(2) owned and controlled by the parent personal services
agency; and
(3) located within a radius of one hundred twenty (120) miles
of the parent personal services agency.
(c) A license is required for any personal services agency
providing services in Indiana. An out-of-state personal services
agency must be authorized by the secretary of state to conduct
business in Indiana and have a branch office in Indiana.
(d) Application for a license to operate a personal services agency
must be made on a form provided by the state department and must
be accompanied by the payment of a fee of two hundred fifty dollars
($250). The application may not require any information except as
required under this chapter.
(e) After receiving a completed application that demonstrates
prima facie compliance with the requirements of this chapter and the
payment of the fee required by subsection (d), the state department
shall issue a license to the applicant to operate a personal services
agency. The state department may conduct an onsite inspection in
conjunction with the issuance of an initial license or the renewal of
a license.
(f) In the state department's consideration of:
(1) an application for licensure;
(2) an application for renewal of licensure;
(3) a complaint alleging noncompliance with the requirements
of this chapter; or
(4) an investigation conducted under section 7(a) of this
chapter;
the state department's onsite inspections in conjunction with those
actions are limited to determining the personal service agency's
compliance with the requirements of this chapter or permitting or
aiding an illegal act in a personal services agency.
(g) Subject to subsection (e), when conducting an onsite
inspection, the state department must receive all documents
necessary to determine the personal service agency's compliance with
the requirements of this chapter. A personal services agency must
produce documents requested by the state department surveyor not
less than twenty-four (24) hours after the documents have been
requested.
(h) A license expires one (1) year after the date of issuance of the
license under subsection (e). However, the state department may
issue an initial license for a period of less than one (1) year to stagger
the expiration dates. The licensee shall notify the state department in
writing at least thirty (30) days before closing or selling the personal
services agency.
(i) A personal services agency license may not be transferred or
assigned. Upon sale, assignment, lease, or other transfer, including
transfers that qualify as a change in ownership, the new owner or
person in interest must obtain a license from the state department
under this chapter before maintaining, operating, or conducting the
personal services agency.
(j) A home health agency licensed under IC 16-27-1 that operates
a personal services agency within the home health agency is subject
to the requirements of this chapter. The requirements under
IC 16-27-1 do not apply to a home health agency's personal services
agency. The requirements under this chapter do not apply to a home
health agency's operations. A home health agency that is licensed
under IC 16-27-1 is not required to obtain a license under this
chapter.
(k) If a person who is licensed to operate a personal services
agency is also licensed to operate a home health agency under
IC 16-27-1, an onsite inspection for renewal of the person's personal
services agency license must, to the extent feasible, be conducted at
the same time as an onsite inspection for the home health agency
license. As added by P.L.212-2005, SEC.18.
IC 16-27-4-7 Unlicensed agencies; attorney general
Sec. 7. (a) The state department shall investigate a report of an
unlicensed personal services agency operation and report its findings
to the attorney general.
(b) The attorney general may do the following:
(1) Seek an injunction in the circuit or superior court of the
county in which the unlicensed home health agency is located.
(2) Prosecute violations under section 23 of this chapter. As added by P.L.212-2005, SEC.18.
IC 16-27-4-8 Unstable health conditions
Sec. 8. (a) If a personal services agency is aware that the client's
medical or health condition has become unstable or unpredictable,
the personal services agency shall notify the client, the client's
personal representative, a family member, other relative of the client,
or other person identified by the client of the need for a referral for
medical or health services. The notification may be given in writing
or orally and must be documented in the client's record with the
personal services agency.
(b) The personal services agency may continue to provide
personal services for a client with an unstable or unpredictable
medical or health condition but may not manage or represent itself
as able to manage the client's medical or health condition. As added by P.L.212-2005, SEC.18.
IC 16-27-4-9 Personal services agency manager
Sec. 9. (a) A personal services agency shall employ an individual
to act as the personal services agency's manager. The manager is
responsible for the organization and daily operation of the personal
services agency.
(b) The manager may designate in writing one (1) or more
individuals to act on behalf of or to perform any or all the
responsibilities of the personal services agency's manager under this
chapter. As added by P.L.212-2005, SEC.18.
IC 16-27-4-10 Service plan
Sec. 10. The personal services agency's manager or the manager's
designee shall prepare a service plan for a client before providing
personal services for the client. A permanent change to the service
plan requires a written change to the service plan. The service plan
must:
(1) be in writing, dated, and signed by the individual who
prepared it;
(2) list the types and schedule of services to be provided; and
(3) state that the services to be provided to the client are subject
to the client's right to temporarily suspend, permanently
terminate, temporarily add, or permanently add the provision of
any service.
All permanent changes require a change in the written service plan.
The service plan must be signed and dated by the client not later than
fourteen (14) days after services begin for the client and not later
than fourteen (14) days after any permanent change to the service
plan. As added by P.L.212-2005, SEC.18.
IC 16-27-4-11 Client satisfaction review
Sec. 11. The personal services agency's manager or the manager's
designee shall conduct a client satisfaction review with the client
every seventy-six (76) to one hundred four (104) days to discuss the
services being provided and to determine if any change in the plan of
services should occur. The review with the client may be in person
or by telephone. This client satisfaction review must:
(1) be put in writing; and
(2) be signed and dated by the individual conducting the review. As added by P.L.212-2005, SEC.18.
IC 16-27-4-12 Client rights statement
Sec. 12. The personal services agency shall provide the client or
the client's personal representative with the personal services
agency's written statement of client rights not more than seven (7)
days after providing services to the client. The statement of client
rights must include the following information:
(1) The client has the right to have the client's property treated
with respect.
(2) The client has the right to temporarily suspend, permanently
terminate, temporarily add, or permanently add services in the
service plan.
(3) The client has the right to file grievances regarding services
furnished or regarding the lack of respect for property by the
personal services agency and is not subject to discrimination or
reprisal for filing a grievance.
(4) The client has the right to be free from verbal, physical, and
psychological abuse and to be treated with dignity.
(5) A statement that it is not within the scope of the personal
services agency's license to manage the medical and health
conditions of the client if a condition becomes unstable or
unpredictable.
(6) The charges for services provided by the personal services
agency.
(7) The personal services agency's policy for notifying the client
of any increase in the cost of services.
(8) The hours the personal services agency's office is open for
business.
(9) That on request the personal services agency will make
available to the client a written list of the names and addresses
of all persons having at least a five percent (5%) ownership or
controlling interest in the personal services agency.
(10) The procedures for contacting the personal services
agency's manager, or the manager's designee, while the personal
services agency's office is open or closed.
(11) The procedure and telephone number to call to file a
complaint with the personal services agency.
(12) That the state department does not inspect personal service
agencies as part of the licensing process but does investigate
complaints concerning personal service agencies.
(13) The procedure and telephone number to call to file a
complaint with the state department along with the business
hours of the state department. As added by P.L.212-2005, SEC.18.
IC 16-27-4-13 Complaint investigations
Sec. 13. A personal services agency shall investigate a complaint
made by a client, the client's family, or the client's personal
representative regarding:
(1) service that is or fails to be furnished; and
(2) lack of respect for the client's property by anyone furnishing
services on behalf of the personal services agency.
The personal services agency shall document the complaint and the
resolution of the complaint. As added by P.L.212-2005, SEC.18.
IC 16-27-4-14 Telephone contact
Sec. 14. The personal services agency's manager or the manager's
designee shall be available to respond to client telephone calls
twenty-four (24) hours a day. As added by P.L.212-2005, SEC.18.
IC 16-27-4-15 Tuberculosis test
Sec. 15. An employee or agent of a personal services agency who
will have direct client contact must complete a tuberculosis test in
the same manner as required by the state department for licensed
home health agency employees and agents. As added by P.L.212-2005, SEC.18.
IC 16-27-4-16 Evaluation and training
Sec. 16. (a) The competency of an employee or agent of a
personal services agency who will perform attendant care services at
the client's residence must be evaluated by the agency or the agency's
designee for each attendant care services task that the personal
services agency chooses to have that employee or agent perform. The
agency has the sole discretion to determine if an employee or agent
is competent to perform an attendant care services task.
(b) After an evaluation, an employee or agent shall be trained in
the attendant care services tasks the personal services agency
believes require improvement. The employee or agent shall be
reevaluated following any training. The evaluation of the employee
or agent and determination by the agency that the employee or agent
is competent to perform the attendant care services task must occur
before the employee or agent performs that task for a client without
direct agency supervision.
(c) The content of the evaluation and training conducted under
this section, including the date and the signature of the person
conducting the evaluation and training, must be documented for each
employee or agent who performs personal services. As added by P.L.212-2005, SEC.18.
IC 16-27-4-17 Disclosure of ownership
Sec. 17. (a) Disclosure of ownership and management information
must be made to the state department:
(1) at the time of the personal services agency's request for
licensure;
(2) during each survey of the personal services agency; and
(3) when there is a change in the management or in an
ownership interest of more than five percent (5%) of the
personal services agency.
(b) The disclosure under subsection (a) must include the
following:
(1) The name and address of all persons having at least five
percent (5%) ownership or controlling interest in the personal
services agency.
(2) The name and address of each person who is an officer, a
director, a managing agent, or a managing employee of the
personal services agency.
(3) The name and address of the person responsible for the
management of the personal services agency.
(4) The name and address of the chief executive officer and the
chairperson (or holder of the equivalent position) of the
governing body that is responsible for the person identified
under subdivision (3).
(c) The determination of an ownership interest and the percentage
of an ownership interest under this chapter must be determined under
45 CFR 420.201 and 45 CFR 420.202, as in effect on July 1, 2005. As added by P.L.212-2005, SEC.18.
IC 16-27-4-18 Compliance documentation
Sec. 18. A personal services agency shall document evidence of
compliance with the requirements of this chapter and document
services provided to clients. The documentation or copies of the
documentation must be maintained or be electronically accessible at
a personal services agency's office in Indiana for not less than seven
(7) years. As added by P.L.212-2005, SEC.18.
IC 16-27-4-19 Penalties
Sec. 19. (a) The state health commissioner may take one (1) or
more of the following actions on any ground listed in subsection (b):
(1) Issue a probationary license.
(2) Conduct a resurvey.
(3) Deny renewal of a license.
(4) Revoke a license.
(5) Impose a civil penalty in an amount not to exceed one
thousand dollars ($1,000).
(b) The state health commissioner may take action under
subsection (a) on any of the following grounds:
(1) Violation of a provision of this chapter or a rule adopted
under this chapter.
(2) Permitting, aiding, or abetting the commission of an illegal
act in a personal services agency.
(c) IC 4-21.5 applies to an action under this section. As added by P.L.212-2005, SEC.18.
IC 16-27-4-20 Rules
Sec. 20. (a) The state department shall adopt rules under IC 4-22-2
to govern the procedure for the following:
(1) Issuing, renewing, denying, or revoking a personal services
agency license.
(2) Investigating a complaint against a personal services agency
that alleges a violation of this chapter.
(3) Collecting fees required under this chapter.
(b) The state department may not add to the substantive or
procedural requirements in this chapter. As added by P.L.212-2005, SEC.18.
IC 16-27-4-21 Penalty review
Sec. 21. A licensee or an applicant for a license aggrieved by an
action under this chapter may request a review under IC 4-21.5. As added by P.L.212-2005, SEC.18.
IC 16-27-4-22 Appeals panel
Sec. 22. (a) In response to a request for review of an order
referred to in subsection (c), the executive board shall appoint an
appeals panel that consists of three (3) members as follows:
(1) One (1) member of the executive board.
(2) One (1) attorney admitted to the practice of law in Indiana.
(3) One (1) individual with qualifications determined by the
executive board.
(b) An employee of the state department may not be a member of
the panel.
(c) The panel shall conduct proceedings for review of an order
issued by an administrative law judge under this chapter. The panel
is the ultimate authority under IC 4-21.5. As added by P.L.212-2005, SEC.18.
IC 16-27-4-23 Penalty
Sec. 23. A person who knowingly or intentionally:
(1) operates a personal services agency; or
(2) advertises the operation of a personal services agency;
that is not licensed under this chapter commits a Class A
misdemeanor. As added by P.L.212-2005, SEC.18.
IC 16-27-4
Chapter 4. Licensure of Personal Services Agencies
IC 16-27-4-1 "Client"
Sec. 1. As used in this chapter, "client" means an individual who
has been accepted to receive personal services from a personal
services agency. As added by P.L.212-2005, SEC.18.
IC 16-27-4-2 "Parent personal services agency"
Sec. 2. As used in this chapter, "parent personal services agency"
means the personal services agency that develops and maintains
administrative and fiscal control over a branch office. As added by P.L.212-2005, SEC.18.
IC 16-27-4-3 "Personal representative"
Sec. 3. As used in this chapter, "personal representative" means
a person who has legal authority to act on behalf of the client with
regard to the action to be taken. As added by P.L.212-2005, SEC.18.
IC 16-27-4-4 "Personal services"
Sec. 4. (a) As used in this chapter, "personal services" means:
(1) attendant care services;
(2) homemaker services that assist with or perform household
tasks, including housekeeping, shopping, laundry, meal
planning and preparation, and cleaning; and
(3) companion services that provide fellowship, care, and
protection for a client, including transportation, letter writing,
mail reading, and escort services;
that are provided to a client at the client's residence.
(b) The term does not apply to the following:
(1) Incidental services provided by a licensed health facility to
patients of the licensed health facility.
(2) Services provided by employers or membership
organizations for their employees, members, and families of the
employees or members if the services are not the predominant
purpose of the employer or the membership organization's
business.
(3) Services that are allowed to be performed by a personal
services attendant under IC 12-10-17.1.
(4) Services that require the order of a health care professional
for the services to be lawfully performed in Indiana.
(5) Assisted living Medicaid waiver services.
(6) Services that are performed by a facility described in
IC 12-10-15.
As added by P.L.212-2005, SEC.18. Amended by P.L.141-2006,
SEC.82.
IC 16-27-4-5 "Personal services agency"
Sec. 5. (a) As used in this chapter, "personal services agency"
means a person that provides or offers to provide a personal service
for compensation, whether through the agency's own employees or
by arrangement with another person.
(b) The term does not include the following:
(1) An individual who provides personal services only to the
individual's family or to not more than three (3) individuals per
residence and not more than a total of seven (7) individuals
concurrently. As used in this subdivision, "family" means the
individual's spouse, child, parent, parent-in-law, grandparent,
grandchild, brother, brother-in-law, sister, sister-in-law, aunt,
aunt-in-law, uncle, uncle-in-law, niece, and nephew.
(2) A local health department as described in IC 16-20 or
IC 16-22-8.
(3) A person that:
(A) is approved by the division of disability and
rehabilitative services to provide supported living services
or supported living support to individuals with
developmental disabilities;
(B) is subject to rules adopted under IC 12-11-2.1; and
(C) serves only individuals with developmental disabilities
who are in a placement authorized under IC 12-11-2.1-4. As added by P.L.212-2005, SEC.18. Amended by P.L.141-2006,
SEC.83.
IC 16-27-4-6 License required; branch offices; fee; application; onsite
inspection; expiration; home health agency
Sec. 6. (a) To operate a personal services agency, a person must
obtain a license from the state health commissioner. A personal
services agency may not be opened, operated, managed, or
maintained or conduct business without a license from the state
department. Each parent personal services agency must obtain a
separate license.
(b) A parent personal services agency may maintain branch
offices that operate under the license of the parent personal services
agency. Each branch office must be:
(1) at a location or site from which the personal services agency
provides services;
(2) owned and controlled by the parent personal services
agency; and
(3) located within a radius of one hundred twenty (120) miles
of the parent personal services agency.
(c) A license is required for any personal services agency
providing services in Indiana. An out-of-state personal services
agency must be authorized by the secretary of state to conduct
business in Indiana and have a branch office in Indiana.
(d) Application for a license to operate a personal services agency
must be made on a form provided by the state department and must
be accompanied by the payment of a fee of two hundred fifty dollars
($250). The application may not require any information except as
required under this chapter.
(e) After receiving a completed application that demonstrates
prima facie compliance with the requirements of this chapter and the
payment of the fee required by subsection (d), the state department
shall issue a license to the applicant to operate a personal services
agency. The state department may conduct an onsite inspection in
conjunction with the issuance of an initial license or the renewal of
a license.
(f) In the state department's consideration of:
(1) an application for licensure;
(2) an application for renewal of licensure;
(3) a complaint alleging noncompliance with the requirements
of this chapter; or
(4) an investigation conducted under section 7(a) of this
chapter;
the state department's onsite inspections in conjunction with those
actions are limited to determining the personal service agency's
compliance with the requirements of this chapter or permitting or
aiding an illegal act in a personal services agency.
(g) Subject to subsection (e), when conducting an onsite
inspection, the state department must receive all documents
necessary to determine the personal service agency's compliance with
the requirements of this chapter. A personal services agency must
produce documents requested by the state department surveyor not
less than twenty-four (24) hours after the documents have been
requested.
(h) A license expires one (1) year after the date of issuance of the
license under subsection (e). However, the state department may
issue an initial license for a period of less than one (1) year to stagger
the expiration dates. The licensee shall notify the state department in
writing at least thirty (30) days before closing or selling the personal
services agency.
(i) A personal services agency license may not be transferred or
assigned. Upon sale, assignment, lease, or other transfer, including
transfers that qualify as a change in ownership, the new owner or
person in interest must obtain a license from the state department
under this chapter before maintaining, operating, or conducting the
personal services agency.
(j) A home health agency licensed under IC 16-27-1 that operates
a personal services agency within the home health agency is subject
to the requirements of this chapter. The requirements under
IC 16-27-1 do not apply to a home health agency's personal services
agency. The requirements under this chapter do not apply to a home
health agency's operations. A home health agency that is licensed
under IC 16-27-1 is not required to obtain a license under this
chapter.
(k) If a person who is licensed to operate a personal services
agency is also licensed to operate a home health agency under
IC 16-27-1, an onsite inspection for renewal of the person's personal
services agency license must, to the extent feasible, be conducted at
the same time as an onsite inspection for the home health agency
license. As added by P.L.212-2005, SEC.18.
IC 16-27-4-7 Unlicensed agencies; attorney general
Sec. 7. (a) The state department shall investigate a report of an
unlicensed personal services agency operation and report its findings
to the attorney general.
(b) The attorney general may do the following:
(1) Seek an injunction in the circuit or superior court of the
county in which the unlicensed home health agency is located.
(2) Prosecute violations under section 23 of this chapter. As added by P.L.212-2005, SEC.18.
IC 16-27-4-8 Unstable health conditions
Sec. 8. (a) If a personal services agency is aware that the client's
medical or health condition has become unstable or unpredictable,
the personal services agency shall notify the client, the client's
personal representative, a family member, other relative of the client,
or other person identified by the client of the need for a referral for
medical or health services. The notification may be given in writing
or orally and must be documented in the client's record with the
personal services agency.
(b) The personal services agency may continue to provide
personal services for a client with an unstable or unpredictable
medical or health condition but may not manage or represent itself
as able to manage the client's medical or health condition. As added by P.L.212-2005, SEC.18.
IC 16-27-4-9 Personal services agency manager
Sec. 9. (a) A personal services agency shall employ an individual
to act as the personal services agency's manager. The manager is
responsible for the organization and daily operation of the personal
services agency.
(b) The manager may designate in writing one (1) or more
individuals to act on behalf of or to perform any or all the
responsibilities of the personal services agency's manager under this
chapter. As added by P.L.212-2005, SEC.18.
IC 16-27-4-10 Service plan
Sec. 10. The personal services agency's manager or the manager's
designee shall prepare a service plan for a client before providing
personal services for the client. A permanent change to the service
plan requires a written change to the service plan. The service plan
must:
(1) be in writing, dated, and signed by the individual who
prepared it;
(2) list the types and schedule of services to be provided; and
(3) state that the services to be provided to the client are subject
to the client's right to temporarily suspend, permanently
terminate, temporarily add, or permanently add the provision of
any service.
All permanent changes require a change in the written service plan.
The service plan must be signed and dated by the client not later than
fourteen (14) days after services begin for the client and not later
than fourteen (14) days after any permanent change to the service
plan. As added by P.L.212-2005, SEC.18.
IC 16-27-4-11 Client satisfaction review
Sec. 11. The personal services agency's manager or the manager's
designee shall conduct a client satisfaction review with the client
every seventy-six (76) to one hundred four (104) days to discuss the
services being provided and to determine if any change in the plan of
services should occur. The review with the client may be in person
or by telephone. This client satisfaction review must:
(1) be put in writing; and
(2) be signed and dated by the individual conducting the review. As added by P.L.212-2005, SEC.18.
IC 16-27-4-12 Client rights statement
Sec. 12. The personal services agency shall provide the client or
the client's personal representative with the personal services
agency's written statement of client rights not more than seven (7)
days after providing services to the client. The statement of client
rights must include the following information:
(1) The client has the right to have the client's property treated
with respect.
(2) The client has the right to temporarily suspend, permanently
terminate, temporarily add, or permanently add services in the
service plan.
(3) The client has the right to file grievances regarding services
furnished or regarding the lack of respect for property by the
personal services agency and is not subject to discrimination or
reprisal for filing a grievance.
(4) The client has the right to be free from verbal, physical, and
psychological abuse and to be treated with dignity.
(5) A statement that it is not within the scope of the personal
services agency's license to manage the medical and health
conditions of the client if a condition becomes unstable or
unpredictable.
(6) The charges for services provided by the personal services
agency.
(7) The personal services agency's policy for notifying the client
of any increase in the cost of services.
(8) The hours the personal services agency's office is open for
business.
(9) That on request the personal services agency will make
available to the client a written list of the names and addresses
of all persons having at least a five percent (5%) ownership or
controlling interest in the personal services agency.
(10) The procedures for contacting the personal services
agency's manager, or the manager's designee, while the personal
services agency's office is open or closed.
(11) The procedure and telephone number to call to file a
complaint with the personal services agency.
(12) That the state department does not inspect personal service
agencies as part of the licensing process but does investigate
complaints concerning personal service agencies.
(13) The procedure and telephone number to call to file a
complaint with the state department along with the business
hours of the state department. As added by P.L.212-2005, SEC.18.
IC 16-27-4-13 Complaint investigations
Sec. 13. A personal services agency shall investigate a complaint
made by a client, the client's family, or the client's personal
representative regarding:
(1) service that is or fails to be furnished; and
(2) lack of respect for the client's property by anyone furnishing
services on behalf of the personal services agency.
The personal services agency shall document the complaint and the
resolution of the complaint. As added by P.L.212-2005, SEC.18.
IC 16-27-4-14 Telephone contact
Sec. 14. The personal services agency's manager or the manager's
designee shall be available to respond to client telephone calls
twenty-four (24) hours a day. As added by P.L.212-2005, SEC.18.
IC 16-27-4-15 Tuberculosis test
Sec. 15. An employee or agent of a personal services agency who
will have direct client contact must complete a tuberculosis test in
the same manner as required by the state department for licensed
home health agency employees and agents. As added by P.L.212-2005, SEC.18.
IC 16-27-4-16 Evaluation and training
Sec. 16. (a) The competency of an employee or agent of a
personal services agency who will perform attendant care services at
the client's residence must be evaluated by the agency or the agency's
designee for each attendant care services task that the personal
services agency chooses to have that employee or agent perform. The
agency has the sole discretion to determine if an employee or agent
is competent to perform an attendant care services task.
(b) After an evaluation, an employee or agent shall be trained in
the attendant care services tasks the personal services agency
believes require improvement. The employee or agent shall be
reevaluated following any training. The evaluation of the employee
or agent and determination by the agency that the employee or agent
is competent to perform the attendant care services task must occur
before the employee or agent performs that task for a client without
direct agency supervision.
(c) The content of the evaluation and training conducted under
this section, including the date and the signature of the person
conducting the evaluation and training, must be documented for each
employee or agent who performs personal services. As added by P.L.212-2005, SEC.18.
IC 16-27-4-17 Disclosure of ownership
Sec. 17. (a) Disclosure of ownership and management information
must be made to the state department:
(1) at the time of the personal services agency's request for
licensure;
(2) during each survey of the personal services agency; and
(3) when there is a change in the management or in an
ownership interest of more than five percent (5%) of the
personal services agency.
(b) The disclosure under subsection (a) must include the
following:
(1) The name and address of all persons having at least five
percent (5%) ownership or controlling interest in the personal
services agency.
(2) The name and address of each person who is an officer, a
director, a managing agent, or a managing employee of the
personal services agency.
(3) The name and address of the person responsible for the
management of the personal services agency.
(4) The name and address of the chief executive officer and the
chairperson (or holder of the equivalent position) of the
governing body that is responsible for the person identified
under subdivision (3).
(c) The determination of an ownership interest and the percentage
of an ownership interest under this chapter must be determined under
45 CFR 420.201 and 45 CFR 420.202, as in effect on July 1, 2005. As added by P.L.212-2005, SEC.18.
IC 16-27-4-18 Compliance documentation
Sec. 18. A personal services agency shall document evidence of
compliance with the requirements of this chapter and document
services provided to clients. The documentation or copies of the
documentation must be maintained or be electronically accessible at
a personal services agency's office in Indiana for not less than seven
(7) years. As added by P.L.212-2005, SEC.18.
IC 16-27-4-19 Penalties
Sec. 19. (a) The state health commissioner may take one (1) or
more of the following actions on any ground listed in subsection (b):
(1) Issue a probationary license.
(2) Conduct a resurvey.
(3) Deny renewal of a license.
(4) Revoke a license.
(5) Impose a civil penalty in an amount not to exceed one
thousand dollars ($1,000).
(b) The state health commissioner may take action under
subsection (a) on any of the following grounds:
(1) Violation of a provision of this chapter or a rule adopted
under this chapter.
(2) Permitting, aiding, or abetting the commission of an illegal
act in a personal services agency.
(c) IC 4-21.5 applies to an action under this section. As added by P.L.212-2005, SEC.18.
IC 16-27-4-20 Rules
Sec. 20. (a) The state department shall adopt rules under IC 4-22-2
to govern the procedure for the following:
(1) Issuing, renewing, denying, or revoking a personal services
agency license.
(2) Investigating a complaint against a personal services agency
that alleges a violation of this chapter.
(3) Collecting fees required under this chapter.
(b) The state department may not add to the substantive or
procedural requirements in this chapter. As added by P.L.212-2005, SEC.18.
IC 16-27-4-21 Penalty review
Sec. 21. A licensee or an applicant for a license aggrieved by an
action under this chapter may request a review under IC 4-21.5. As added by P.L.212-2005, SEC.18.
IC 16-27-4-22 Appeals panel
Sec. 22. (a) In response to a request for review of an order
referred to in subsection (c), the executive board shall appoint an
appeals panel that consists of three (3) members as follows:
(1) One (1) member of the executive board.
(2) One (1) attorney admitted to the practice of law in Indiana.
(3) One (1) individual with qualifications determined by the
executive board.
(b) An employee of the state department may not be a member of
the panel.
(c) The panel shall conduct proceedings for review of an order
issued by an administrative law judge under this chapter. The panel
is the ultimate authority under IC 4-21.5. As added by P.L.212-2005, SEC.18.
IC 16-27-4-23 Penalty
Sec. 23. A person who knowingly or intentionally:
(1) operates a personal services agency; or
(2) advertises the operation of a personal services agency;
that is not licensed under this chapter commits a Class A
misdemeanor. As added by P.L.212-2005, SEC.18.
IC 16-27-4
Chapter 4. Licensure of Personal Services Agencies
IC 16-27-4-1 "Client"
Sec. 1. As used in this chapter, "client" means an individual who
has been accepted to receive personal services from a personal
services agency. As added by P.L.212-2005, SEC.18.
IC 16-27-4-2 "Parent personal services agency"
Sec. 2. As used in this chapter, "parent personal services agency"
means the personal services agency that develops and maintains
administrative and fiscal control over a branch office. As added by P.L.212-2005, SEC.18.
IC 16-27-4-3 "Personal representative"
Sec. 3. As used in this chapter, "personal representative" means
a person who has legal authority to act on behalf of the client with
regard to the action to be taken. As added by P.L.212-2005, SEC.18.
IC 16-27-4-4 "Personal services"
Sec. 4. (a) As used in this chapter, "personal services" means:
(1) attendant care services;
(2) homemaker services that assist with or perform household
tasks, including housekeeping, shopping, laundry, meal
planning and preparation, and cleaning; and
(3) companion services that provide fellowship, care, and
protection for a client, including transportation, letter writing,
mail reading, and escort services;
that are provided to a client at the client's residence.
(b) The term does not apply to the following:
(1) Incidental services provided by a licensed health facility to
patients of the licensed health facility.
(2) Services provided by employers or membership
organizations for their employees, members, and families of the
employees or members if the services are not the predominant
purpose of the employer or the membership organization's
business.
(3) Services that are allowed to be performed by a personal
services attendant under IC 12-10-17.1.
(4) Services that require the order of a health care professional
for the services to be lawfully performed in Indiana.
(5) Assisted living Medicaid waiver services.
(6) Services that are performed by a facility described in
IC 12-10-15.
As added by P.L.212-2005, SEC.18. Amended by P.L.141-2006,
SEC.82.
IC 16-27-4-5 "Personal services agency"
Sec. 5. (a) As used in this chapter, "personal services agency"
means a person that provides or offers to provide a personal service
for compensation, whether through the agency's own employees or
by arrangement with another person.
(b) The term does not include the following:
(1) An individual who provides personal services only to the
individual's family or to not more than three (3) individuals per
residence and not more than a total of seven (7) individuals
concurrently. As used in this subdivision, "family" means the
individual's spouse, child, parent, parent-in-law, grandparent,
grandchild, brother, brother-in-law, sister, sister-in-law, aunt,
aunt-in-law, uncle, uncle-in-law, niece, and nephew.
(2) A local health department as described in IC 16-20 or
IC 16-22-8.
(3) A person that:
(A) is approved by the division of disability and
rehabilitative services to provide supported living services
or supported living support to individuals with
developmental disabilities;
(B) is subject to rules adopted under IC 12-11-2.1; and
(C) serves only individuals with developmental disabilities
who are in a placement authorized under IC 12-11-2.1-4. As added by P.L.212-2005, SEC.18. Amended by P.L.141-2006,
SEC.83.
IC 16-27-4-6 License required; branch offices; fee; application; onsite
inspection; expiration; home health agency
Sec. 6. (a) To operate a personal services agency, a person must
obtain a license from the state health commissioner. A personal
services agency may not be opened, operated, managed, or
maintained or conduct business without a license from the state
department. Each parent personal services agency must obtain a
separate license.
(b) A parent personal services agency may maintain branch
offices that operate under the license of the parent personal services
agency. Each branch office must be:
(1) at a location or site from which the personal services agency
provides services;
(2) owned and controlled by the parent personal services
agency; and
(3) located within a radius of one hundred twenty (120) miles
of the parent personal services agency.
(c) A license is required for any personal services agency
providing services in Indiana. An out-of-state personal services
agency must be authorized by the secretary of state to conduct
business in Indiana and have a branch office in Indiana.
(d) Application for a license to operate a personal services agency
must be made on a form provided by the state department and must
be accompanied by the payment of a fee of two hundred fifty dollars
($250). The application may not require any information except as
required under this chapter.
(e) After receiving a completed application that demonstrates
prima facie compliance with the requirements of this chapter and the
payment of the fee required by subsection (d), the state department
shall issue a license to the applicant to operate a personal services
agency. The state department may conduct an onsite inspection in
conjunction with the issuance of an initial license or the renewal of
a license.
(f) In the state department's consideration of:
(1) an application for licensure;
(2) an application for renewal of licensure;
(3) a complaint alleging noncompliance with the requirements
of this chapter; or
(4) an investigation conducted under section 7(a) of this
chapter;
the state department's onsite inspections in conjunction with those
actions are limited to determining the personal service agency's
compliance with the requirements of this chapter or permitting or
aiding an illegal act in a personal services agency.
(g) Subject to subsection (e), when conducting an onsite
inspection, the state department must receive all documents
necessary to determine the personal service agency's compliance with
the requirements of this chapter. A personal services agency must
produce documents requested by the state department surveyor not
less than twenty-four (24) hours after the documents have been
requested.
(h) A license expires one (1) year after the date of issuance of the
license under subsection (e). However, the state department may
issue an initial license for a period of less than one (1) year to stagger
the expiration dates. The licensee shall notify the state department in
writing at least thirty (30) days before closing or selling the personal
services agency.
(i) A personal services agency license may not be transferred or
assigned. Upon sale, assignment, lease, or other transfer, including
transfers that qualify as a change in ownership, the new owner or
person in interest must obtain a license from the state department
under this chapter before maintaining, operating, or conducting the
personal services agency.
(j) A home health agency licensed under IC 16-27-1 that operates
a personal services agency within the home health agency is subject
to the requirements of this chapter. The requirements under
IC 16-27-1 do not apply to a home health agency's personal services
agency. The requirements under this chapter do not apply to a home
health agency's operations. A home health agency that is licensed
under IC 16-27-1 is not required to obtain a license under this
chapter.
(k) If a person who is licensed to operate a personal services
agency is also licensed to operate a home health agency under
IC 16-27-1, an onsite inspection for renewal of the person's personal
services agency license must, to the extent feasible, be conducted at
the same time as an onsite inspection for the home health agency
license. As added by P.L.212-2005, SEC.18.
IC 16-27-4-7 Unlicensed agencies; attorney general
Sec. 7. (a) The state department shall investigate a report of an
unlicensed personal services agency operation and report its findings
to the attorney general.
(b) The attorney general may do the following:
(1) Seek an injunction in the circuit or superior court of the
county in which the unlicensed home health agency is located.
(2) Prosecute violations under section 23 of this chapter. As added by P.L.212-2005, SEC.18.
IC 16-27-4-8 Unstable health conditions
Sec. 8. (a) If a personal services agency is aware that the client's
medical or health condition has become unstable or unpredictable,
the personal services agency shall notify the client, the client's
personal representative, a family member, other relative of the client,
or other person identified by the client of the need for a referral for
medical or health services. The notification may be given in writing
or orally and must be documented in the client's record with the
personal services agency.
(b) The personal services agency may continue to provide
personal services for a client with an unstable or unpredictable
medical or health condition but may not manage or represent itself
as able to manage the client's medical or health condition. As added by P.L.212-2005, SEC.18.
IC 16-27-4-9 Personal services agency manager
Sec. 9. (a) A personal services agency shall employ an individual
to act as the personal services agency's manager. The manager is
responsible for the organization and daily operation of the personal
services agency.
(b) The manager may designate in writing one (1) or more
individuals to act on behalf of or to perform any or all the
responsibilities of the personal services agency's manager under this
chapter. As added by P.L.212-2005, SEC.18.
IC 16-27-4-10 Service plan
Sec. 10. The personal services agency's manager or the manager's
designee shall prepare a service plan for a client before providing
personal services for the client. A permanent change to the service
plan requires a written change to the service plan. The service plan
must:
(1) be in writing, dated, and signed by the individual who
prepared it;
(2) list the types and schedule of services to be provided; and
(3) state that the services to be provided to the client are subject
to the client's right to temporarily suspend, permanently
terminate, temporarily add, or permanently add the provision of
any service.
All permanent changes require a change in the written service plan.
The service plan must be signed and dated by the client not later than
fourteen (14) days after services begin for the client and not later
than fourteen (14) days after any permanent change to the service
plan. As added by P.L.212-2005, SEC.18.
IC 16-27-4-11 Client satisfaction review
Sec. 11. The personal services agency's manager or the manager's
designee shall conduct a client satisfaction review with the client
every seventy-six (76) to one hundred four (104) days to discuss the
services being provided and to determine if any change in the plan of
services should occur. The review with the client may be in person
or by telephone. This client satisfaction review must:
(1) be put in writing; and
(2) be signed and dated by the individual conducting the review. As added by P.L.212-2005, SEC.18.
IC 16-27-4-12 Client rights statement
Sec. 12. The personal services agency shall provide the client or
the client's personal representative with the personal services
agency's written statement of client rights not more than seven (7)
days after providing services to the client. The statement of client
rights must include the following information:
(1) The client has the right to have the client's property treated
with respect.
(2) The client has the right to temporarily suspend, permanently
terminate, temporarily add, or permanently add services in the
service plan.
(3) The client has the right to file grievances regarding services
furnished or regarding the lack of respect for property by the
personal services agency and is not subject to discrimination or
reprisal for filing a grievance.
(4) The client has the right to be free from verbal, physical, and
psychological abuse and to be treated with dignity.
(5) A statement that it is not within the scope of the personal
services agency's license to manage the medical and health
conditions of the client if a condition becomes unstable or
unpredictable.
(6) The charges for services provided by the personal services
agency.
(7) The personal services agency's policy for notifying the client
of any increase in the cost of services.
(8) The hours the personal services agency's office is open for
business.
(9) That on request the personal services agency will make
available to the client a written list of the names and addresses
of all persons having at least a five percent (5%) ownership or
controlling interest in the personal services agency.
(10) The procedures for contacting the personal services
agency's manager, or the manager's designee, while the personal
services agency's office is open or closed.
(11) The procedure and telephone number to call to file a
complaint with the personal services agency.
(12) That the state department does not inspect personal service
agencies as part of the licensing process but does investigate
complaints concerning personal service agencies.
(13) The procedure and telephone number to call to file a
complaint with the state department along with the business
hours of the state department. As added by P.L.212-2005, SEC.18.
IC 16-27-4-13 Complaint investigations
Sec. 13. A personal services agency shall investigate a complaint
made by a client, the client's family, or the client's personal
representative regarding:
(1) service that is or fails to be furnished; and
(2) lack of respect for the client's property by anyone furnishing
services on behalf of the personal services agency.
The personal services agency shall document the complaint and the
resolution of the complaint. As added by P.L.212-2005, SEC.18.
IC 16-27-4-14 Telephone contact
Sec. 14. The personal services agency's manager or the manager's
designee shall be available to respond to client telephone calls
twenty-four (24) hours a day. As added by P.L.212-2005, SEC.18.
IC 16-27-4-15 Tuberculosis test
Sec. 15. An employee or agent of a personal services agency who
will have direct client contact must complete a tuberculosis test in
the same manner as required by the state department for licensed
home health agency employees and agents. As added by P.L.212-2005, SEC.18.
IC 16-27-4-16 Evaluation and training
Sec. 16. (a) The competency of an employee or agent of a
personal services agency who will perform attendant care services at
the client's residence must be evaluated by the agency or the agency's
designee for each attendant care services task that the personal
services agency chooses to have that employee or agent perform. The
agency has the sole discretion to determine if an employee or agent
is competent to perform an attendant care services task.
(b) After an evaluation, an employee or agent shall be trained in
the attendant care services tasks the personal services agency
believes require improvement. The employee or agent shall be
reevaluated following any training. The evaluation of the employee
or agent and determination by the agency that the employee or agent
is competent to perform the attendant care services task must occur
before the employee or agent performs that task for a client without
direct agency supervision.
(c) The content of the evaluation and training conducted under
this section, including the date and the signature of the person
conducting the evaluation and training, must be documented for each
employee or agent who performs personal services. As added by P.L.212-2005, SEC.18.
IC 16-27-4-17 Disclosure of ownership
Sec. 17. (a) Disclosure of ownership and management information
must be made to the state department:
(1) at the time of the personal services agency's request for
licensure;
(2) during each survey of the personal services agency; and
(3) when there is a change in the management or in an
ownership interest of more than five percent (5%) of the
personal services agency.
(b) The disclosure under subsection (a) must include the
following:
(1) The name and address of all persons having at least five
percent (5%) ownership or controlling interest in the personal
services agency.
(2) The name and address of each person who is an officer, a
director, a managing agent, or a managing employee of the
personal services agency.
(3) The name and address of the person responsible for the
management of the personal services agency.
(4) The name and address of the chief executive officer and the
chairperson (or holder of the equivalent position) of the
governing body that is responsible for the person identified
under subdivision (3).
(c) The determination of an ownership interest and the percentage
of an ownership interest under this chapter must be determined under
45 CFR 420.201 and 45 CFR 420.202, as in effect on July 1, 2005. As added by P.L.212-2005, SEC.18.
IC 16-27-4-18 Compliance documentation
Sec. 18. A personal services agency shall document evidence of
compliance with the requirements of this chapter and document
services provided to clients. The documentation or copies of the
documentation must be maintained or be electronically accessible at
a personal services agency's office in Indiana for not less than seven
(7) years. As added by P.L.212-2005, SEC.18.
IC 16-27-4-19 Penalties
Sec. 19. (a) The state health commissioner may take one (1) or
more of the following actions on any ground listed in subsection (b):
(1) Issue a probationary license.
(2) Conduct a resurvey.
(3) Deny renewal of a license.
(4) Revoke a license.
(5) Impose a civil penalty in an amount not to exceed one
thousand dollars ($1,000).
(b) The state health commissioner may take action under
subsection (a) on any of the following grounds:
(1) Violation of a provision of this chapter or a rule adopted
under this chapter.
(2) Permitting, aiding, or abetting the commission of an illegal
act in a personal services agency.
(c) IC 4-21.5 applies to an action under this section. As added by P.L.212-2005, SEC.18.
IC 16-27-4-20 Rules
Sec. 20. (a) The state department shall adopt rules under IC 4-22-2
to govern the procedure for the following:
(1) Issuing, renewing, denying, or revoking a personal services
agency license.
(2) Investigating a complaint against a personal services agency
that alleges a violation of this chapter.
(3) Collecting fees required under this chapter.
(b) The state department may not add to the substantive or
procedural requirements in this chapter. As added by P.L.212-2005, SEC.18.
IC 16-27-4-21 Penalty review
Sec. 21. A licensee or an applicant for a license aggrieved by an
action under this chapter may request a review under IC 4-21.5. As added by P.L.212-2005, SEC.18.
IC 16-27-4-22 Appeals panel
Sec. 22. (a) In response to a request for review of an order
referred to in subsection (c), the executive board shall appoint an
appeals panel that consists of three (3) members as follows:
(1) One (1) member of the executive board.
(2) One (1) attorney admitted to the practice of law in Indiana.
(3) One (1) individual with qualifications determined by the
executive board.
(b) An employee of the state department may not be a member of
the panel.
(c) The panel shall conduct proceedings for review of an order
issued by an administrative law judge under this chapter. The panel
is the ultimate authority under IC 4-21.5. As added by P.L.212-2005, SEC.18.
IC 16-27-4-23 Penalty
Sec. 23. A person who knowingly or intentionally:
(1) operates a personal services agency; or
(2) advertises the operation of a personal services agency;
that is not licensed under this chapter commits a Class A
misdemeanor. As added by P.L.212-2005, SEC.18.
