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Nursing Homes LicensureRenewalChange of Ownership Form

By Roger Edwards,2014-04-09 18:15
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Nursing Homes LicensureRenewalChange of Ownership Form

    Arkansas Department of Human Services

    Division of Medical Services

    Office of Long Term Care

    Application for License to Conduct a Long Term Care Facility Arkansas Code Annotated ? 20-10-224

    Annual Disclosure Statements of Long Term Care Facilities Upon Application or Renewal for Licensure

    Arkansas Code Annotated ? 20-10-229 and 20-10-230

    NOTE: Before beginning this Application, please read the attached instructions.

    I. NAME AND LOCATION DEPARTMENT USE:

     Entity Name: , 20

     Doing business as: License Number:

     Type License:

     County of Facility:

     Total Beds:

     Physical Location:

     Annual Fee:

    (Street, City, Zip Code)

     MMIS Number: Facility Telephone Number: (479)

     Vendor Number: Facility Fax Number: (479)

     Granted: Facility Mailing Address:

     Denied:

     AR

    City State Zip Code By: Date:

    Department Use:

    Check Number: Check Date: Check Amount: $

Check One: Renewal: Change of Ownership: Bed Increase: Increased from: to ; ; ; II. CLASSIFICATION OF LICENSE

    Renewal: Initial Licensure: Replacement: Increase in Bed Capacity:

    Initial, Replacement, or Bed Increase Permit of Approval Number: Date of Issue:

    Type of License Requested: NF ICF/MR ICF/MR 15 Beds or Less

    Change of Operational Control Effective Date: Stock Purchase Effective Date:

    (Each situation requires a 30-Day Prior Notice from the Buyer and the Seller.)

    Total number of Licensed Beds Requested: (Fee is $10.00 per licensed bed). ****** Number of Licensed Beds that are HomeStyle beds:

    ****** Number of Licensed Beds that are NOT HomeStyle beds:

    (If this is for an increase, the fee is for the increase only) Increase by: From beds to total beds. If the licensed beds requested are different than last year, please explain:

    III. PERSONNEL - Name of Administrator and License Number:

    Name of Director of Nurses and the current RN License Number:

     Number of Full Time RNs: Number of Full Time LPNs:

     DMS-726 (R. 1/12) Page 1 of 6

IV. OWNERSHIP OF BUSINESS

A. Please check all that applies for your individual facility:

    State: County: City: Sole Proprietorship: Partnership:

Limited Liability Company: Corporation - C: Corporation - S: Non-Profit Corporation:

     Non-Profit Association: Name of Association:

     Church Affiliated: Name of Church Affiliation:

B.

     Name of Entity: Entity IRS Number:

     Doing business as: Facility IRS Number:

    Entity Contact Person Title of Contact Person Area Code/Telephone

    Entity Address City State Zip Code

    FACILITY EMAIL ADDRESS

    FACILITY WEBSITE ADDRESS

    C. List all percentages of ownership in the Entity: (AC = Area Code)

     ( ) % Name: AC/Phone: Percentage:

     Address: City: State: Zip:

     ( ) % Name: AC/Phone: Percentage:

     Address: City: State: Zip:

     ( ) % Name: AC/Phone: Percentage:

     Address: City: State: Zip:

     ( ) % Name: AC/Phone: Percentage:

     Address: City: State: Zip:

     ( ) % Name: AC/Phone: Percentage:

     Address: City: State: Zip:

     ( ) % Name: AC/Phone: Percentage:

     Address: City: State: Zip:

     ( ) % Name: AC/Phone: Percentage:

     Address: City: State: Zip:

     ( ) % Name: AC/Phone: Percentage:

     Address: City: State: Zip:

     ( ) % Name: AC/Phone: Percentage:

     Address: City: State: Zip:

     ( ) % Name: AC/Phone: Percentage:

     Address: City: State: Zip:

    DMS-726 (R. 1/12) Page 2 of 6

    D. List all individuals who serve as officers/members of the Entity with position held and percentage of ownership,

     if applicable. (AC = Area Code)

     ( ) % Name: AC/Phone: Percentage:

     Address: City: State: Zip:

     ( ) % Name: AC/Phone: Percentage:

     Address: City: State: Zip:

     ( ) % Name: AC/Phone: Percentage:

     Address: City: State: Zip:

     ( ) % Name: AC/Phone: Percentage:

     Address: City: State: Zip:

     ( ) % Name: AC/Phone: Percentage:

     Address: City: State: Zip:

     ( ) % Name: AC/Phone: Percentage:

     Address: City: State: Zip:

E. List Members of Governing Body or Board of Directors, as applicable, below:

     ( ) Name: AC/Phone: Title:

     Address: City: State: Zip:

     ( ) Name: AC/Phone: Title:

     Address: City: State: Zip:

     ( ) Name: AC/Phone: Title:

     Address: City: State: Zip:

     ( ) Name: AC/Phone: Title:

     Address: City: State: Zip:

     ( ) Name: AC/Phone: Title:

     Address: City: State: Zip:

F. Business Fiscal Year Ending Date:

     Fiscal Year Ending Date Used For Medicaid Cost Reports:

     Fiscal Year Ending Date Used For Medicare Cost Reports:

     G. Name and Address of Hospital if Facility is Hospital-Based:

H. Provide the name of multi-facility organization if facility is owned or leased by a multi-facility organization:

     Name:

    I. Management Company, if Facility is Managed:

     ( )

    Management Company Contact Person AC/Telephone Management Company IRS Number

    Address City State Zip Code

    NOTE: A copy of the current signed Management Agreement must be attached to the license application for each nursing

     facility owned/operated by the same Entity.

    DMS-726 (R. 1/12) Page 3 of 6

    J. If the facility vendor payment address is different from the mailing address or the physical location of the facility, please

     Provide the information below:

    Company Name:

    Address City State Zip Code

    V. Are there any directors, officers, agents, or managing employees of the institution, agency, or organization who:

     *YES NO

     A. Have ever been convicted of Medicare or Medicaid fraud or a felony?

     B. Have ever been convicted of fraud, embezzlement, fraudulent conversion, misappropriation of

     property, or a felony?

     C. Had a final administrative judgment on any Class A or B long-term care violations within the

     last two (2) years?

     D. If buyer, has buyer had a license revoked within the last three (3) years?

     *If yes, please attach a copy of the Adjudication.

    VI. Each facility must provide all services and specific items defined in the Department of Human Services Medical

     Assistance Program Manual of Cost Reimbursement Rules for Long Term Care Facilities, or any additions thereto or

     subsequent manuals. Receipt of Medicaid per diem reimbursement rates is considered payment in full for services and

     items included in the manual.

     A. Does your facility provide ventilators for ventilator dependent individuals? Yes: No:

     B. Does you facility provide an Alzheimer’s wing? Yes: No:

    VII. A blank copy of the Resident Services Contract (a blank copy of the Facility Admission Agreement) used by the facility

     must be attached to this application.

VIII. OWNERSHIP OF BUILDING

     A. Check One: Same as business: Leased: Rented:

     List the following information for each category:

     Name and Address of Lease Company:

     Name and Address of Landlord:

    DMS-726 (R. 1/12) Page 4 of 6

IX. CHANGE OF OPERATIONAL CONTROL - Please provide the following information:

     Effective Date of Change of Operational Control: or Stock Purchase:

     A. Identifying Information of Previous Owner(s):

     Name of Entity Seller’s Entity IRS (TIN) Number

     Forward Mailing Address Seller’s Facility MMIS Number

     City State Zip Code Seller’s Facility License Number

     ( )

     Contact Person Area Code/Telephone Number

     B. Identifying Information of New Owner(s):

     Name of Entity Buyer’s Entity IRS (TIN) Number

     Mailing Address Buyer’s MMIS Number to Be Assigned by HPES

     ( )

     City State Zip Code Contact Person’s Name Area Code/Telephone Number

     C. Name of Party who has accepted

     liabilities of former owner(s):

     D. Name of Party who has accepted

     assets of former owner(s):

     E. Name of Party who will assume responsibility for Medicaid Claims, adjustments and outstanding

     balances resulting from dates of service prior to the effective date of the Change of Ownership

     or Stock Purchase:

    Different arrangements should be specified in an attachment. Please attach a signed copy of the lease or purchase Agreement between the two parties, and a copy of the signed Change in Operational Control document.

    The Arkansas Medicaid Program accepts no responsibility for the division of assets of ownership and/or liabilities related to any changes.

    The undersigned certify that the foregoing information is true, accurate and complete, and agree to fulfill promptly all obligations based on the terms specified herein.

     Previous Operator:

     Name of Entity

     Doing Business As

     BY:

     Typed Name/Title Signature Date

     New Operator:

     Name of Entity

     Doing Business As

     BY:

     Typed Name/Title Signature Date DMS-726 (R. 1/12) Page 5 of 6

X. CERTIFICATION AND VERIFICATION

     State of County of

    I hereby certify that I have read the aforementioned Application and that all statements are true to the best of my knowledge and belief. I am aware that any willful misrepresentation of any fact contained in the Application will subject me to penalties as prescribed in the State Licensing Law including, but not limited to, revocation or suspension of the License.

    I understand and affirm that the long-term care facility complies with Titles VI and VII of the Civil Rights Act. I understand and affirm that this long-term care facility complies with the Americans with Disabilities Act of 1990. I further understand that this long-term care facility will be operated, managed and deliver services without regard to age, religion, disability, political affiliation, veteran status, sex, race, color, or national origin.

     Typed or Printed Name of Administrator or Owner of the Facility

     Signature of the Administrator or Owner of the Facility

    I certify that I have complied with the Rules and Regulations for Conducting Criminal Record Checks for Employees of Long Term Care. I further certify that I have complied with both the State ID and the National ID check as required by the operator of this long term care facility.

     Signature of the Administrator or Owner of the Facility

    Note: If you have previously completed only the State ID check, you must complete both the State and the National Fingerprint

    Card processes when signing this application as the operator.**

    SUBSCRIBED AND SWORN TO before me this day of , 20

     NOTARY PUBLIC

My Commission Expires:

    The completed Application and all attachments must be delivered by March 1 if hand-delivered. If mailed, the completed Application must be postmarked on or before March 1 for renewals. See instructions for delivery address and mailing address.

    **Note: If Form DMS-736 or the Fingerprint card is needed, please call 501-682-6173 or 501-682-8424.

    If you need this material in alternate format, such as large print, please contact our Americans with Disabilities Act Coordinator at 501-682-8307 or 501-682-6789 (TDD).

    DMS-726 (R. 1/12) Page 6 of 6

    INSTRUCTIONS FOR DMS-726 (R.01/12)

     Application for Licensure to Conduct a Long Term Care Facility

     and

     Annual Disclosure Statements of Long Term Care Facilities

    Upon Initial Application, Renewal for Licensure, or

    Change of Ownership

    An act to establish Long Term Care Facility Licensure Fees; and for other purposes. (ACT 1238 of 1993)

    Act 216 of the Regular Session 2009, Senate Bill 310: An Act to Amend Arkansas Law Concerning the Sale and Licensure of Long-Term Care Facilities; and for other purposes. Subtitle: An Act to Amend Arkansas Law Concerning the Sale and Licensure of Long-Term Care Facilities.

    A. Applicants for long term care facility licensure shall file applications under oath with the Office of Long Term Care of the Division of Medical Services of the Department of Human Services upon forms prescribed by the Office of Long Term Care. Each long term care facility, except facilities operated by the State of Arkansas, shall pay an annual licensure fee determined by multiplying ten dollars ($10.00) by the total licensed resident beds or maximum licensed client population.

    All funds derived from fees collected shall be deposited into the State Treasury and credited to the Division of Medical Services Administrative Fund for maintenance and operation of the long-term care facility licensure program.

    Fees are payable by or on March 1 of each year. Annual licensure fees shall be tendered with each application for a new long term care facility license and with each long term care facility license renewal application.

    Failure to pay when due shall result in a notice of delinquency from the Department of Human Services and a ten percent (10%) penalty assessed on the amount due.

    B. Applications shall be signed by the administrator or the owner of the facility (original signatures only).

Procedures for Person Signing the Application:

    Section 100 DEFINITIONS of the Rules and Regulations for Conducting Criminal Record Checks for Employees of Long Term Care Facilities:

    Operator - A person responsible for signing an application for an initial or renewal license to operate as a service provider.

    (R.1/2012) Instructions

    Section 202 (1) of the Rules and Regulations for Conducting Criminal Record Checks for Employees of Long Term Care Facilities:

    The requirement for a criminal record check for an operator shall apply to the first application signed by an operator and shall be required to undergo periodic criminal record checks no less than one (1) time every five (5) years. Upon the yearly licensure renewal of a long term care facility, the operator signing the renewal application shall not be subject to a criminal record check unless the operator has not had an initial criminal record check or a periodic criminal record check conducted within the previous five (5) years as required by these regulations.

    Rules and Regulations for Conducting Criminal Record Checks for Employees of Long Term Care Facilities further states:

Section 400 - APPLICATION PROCESS FOR OPERATORS

    401 When an operator applies for a license to operate a long term care facility, the operator

    shall complete a criminal record check form (DMS-736) and FBI fingerprint card

    obtained from the Office of Long Term Care. The forms and appropriate fees shall be

    submitted to the Office of Long Term Care attached to the application for licensure of

    the facility. Upon the determination that an applicant has submitted all necessary

    information for licensure, the Office of Long Term Care shall forward the criminal

    record check request form and fee payments to the Arkansas State Police/Identification

    Bureau. Upon completion of the state and national record checks, the Bureau shall

    issue a report to the Office of Long Term Care for a determination whether the

    operator is disqualified from licensure. The determination results shall be forwarded to

    the facility seeking licensure.

    NOTE: Submission by the Operator of both the State and the National Criminal Record

    Check (CRC) is a requirement for renewals, initial licensure, and changes of

    ownership. Whenever there is a notice of change of ownership, the necessary

    CRC paperwork is submitted to the buyer along with the license application.

    402 The requirement for a criminal record check for an operator shall apply to the first

    application signed by an operator and the operator shall undergo periodic criminal

    record checks no less than one (1) time every five (5) years. Upon the yearly licensure

    renewal of a long term care facility, the operator signing the renewal application shall

    not be subject to a criminal record check unless the operator has not had an initial or a

    periodic criminal record check conducted within the previous five (5) years.

    403 The Office of Long Term Care shall issue a 45 calendar day provisional license to a long

    term care facility whose operator has been determined to be disqualified based on these

    provisions. A long term care facility that is issued a provisional license based on the

    criminal record disqualification of the operator may resubmit the application for

    licensure with a new operator. The new application must have evidence of submission

    of criminal record check for the new operator. If the facility does not resubmit the

    correctly completed application within 15 calendar days of the issuance of the

    provisional license, then the facility’s license shall be immediately denied or revoked.

    (R.1/2012) Instructions

    404 If an operator or long term care facility fails or refuses to cooperate in obtaining

    criminal record checks, such circumstances shall be grounds to deny or revoke the

    facility’s license or operating authority, provided that the process of obtaining criminal

    record checks shall not delay the process of the application for a license or other

    operating authority.

    Applications shall set forth the full name and address of the nursing facility for which licensure is sought and such additional information as the Office of Long Term Care may require, including affirmative evidence of ability to comply with such reasonable standards, rules and regulations as may be lawfully prescribed.

Applications for licensure renewal must be delivered by March 1, if hand-delivered, or if mailed

    must be postmarked on or before March 1. Licenses issued hereunder shall be effective on a

    fiscal year basis and shall expire on June 30 of each year. Licenses shall be issued only for the premises and persons named in the application and shall not be transferable. Licenses shall be posted in a conspicuous place on the licensed premises.

    C. Any person, partnership, association or corporation establishing, conducting, managing or operating any institution or facility or any combination of separate entities working in concert within the meaning of this Act without first obtaining a license as prescribed by law shall be guilty of a misdemeanor, and upon conviction thereof shall be liable for a fine of not less than one hundred dollars ($100) nor more than five hundred dollars ($500) for the first offense nor more than one thousand dollars ($1,000) for each subsequent offense. Each day the institution or facility shall operate after a first conviction shall be considered a subsequent offense.

    D. This application is not valid unless it is notarized.

    E. FOR RENEWALS: A check, or money order, for the required licensure fee should be made payable to Arkansas Department of Human Services by March 1 except for those facilities

    operated by the state. A separate check must be attached to each license application. Each check must list the name of the nursing facility and the city. This information may be entered on the remittance stub.

    F. FOR RENEWALS: This application along with licensure fees and attachments must be delivered before March 1 or if mailed must be postmarked on or before March 1.

If sent by mail, addressed to: If sent by Federal Express send to:

DEPARTMENT OF HUMAN SERVICES DHS CASH RECEIPTS thOFFICE OF FINANCE AND ADMINISTRATION 112 West 8 St

    LONG TERM CARE - SLOT WG2 DONAGHEY PLAZA SOUTH

    P O BOX 8181 LITTLE ROCK, AR 72201

    LITTLE ROCK AR 72203-8181

(R.1/2012) Instructions

    If HAND DELIVERED: You must come to 700 Main in Little Rock to the Donaghey Plaza

    South Building, show identification, surrender your driver’s license to obtain a visitor’s pass,

    then to the second floor walkway to proceed to the Donaghey Plaza West Building Garden

    Level to deliver your license fees and applications. You must then return to the new DHS

    building to turn in your visitor’s pass and retrieve your driver’s license.

    NOTE: Facilities operated by the State must send the completed application and all

    attachments to: Office of Long Term Care - Slot S404, P. O. Box 8059, Little Rock, AR

    72203-8059

G. FOR CHANGE OF OWNERSHIP:

     Arkansas Code 20-10-224(e) (6)

     (A): Except as provided in subdivision (e) (6) (B) of this section, the buyer shall

    not be issued a license until the buyer provides the department with proof of

    payment by the buyer to the seller of a sum equal to the annual fee under subsection

    (i) of this section.

     (B) The department shall process a renewal application before issuing a license

    to a buyer if:

     (i) The buyer provides the department with proof of payment by the buyer to the

    seller of a sum equal to the annual fee under subsection (i) of this section;

     (ii) The sale occurs between March 1 and July 1 of any year;

     (iii) The seller applied for or received a renewal of the license; and

     (iv) The seller paid the annual fee under subsection (i) of this section to the

    department.

H. HOMESTYLE FACILITIES

     Office of Long Term Care issued LTC-R-2010-09 dated September 20, 2010

    concerning the promulgation of the HomeStyle Regulations for Nursing Facilities.

    Those regulations are incorporated into the Nursing Facility Licensure regulations.

    The HomeStyle regulations in Section 800 have an effective date of October 1, 2010

    and can be downloaded from the OLTC web site at:

    http://humanservices.arkansas.gov/dms/Pages/oltcRegulations.aspx

    The LTC-R-2010-09 can be downloaded from:

    http://humanservices.arkansas.gov/dms/Pages/oltcMemos.aspx

    (R.1/2012) Instructions

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