Assisted Living Facility Regulations and Compliance Checklist for Owners

Operating an assisted living facility comes with many regulatory responsibilities. From state licensing requirements to safety protocols and employee training, compliance is critical to protect residents, staff, and your business.

This comprehensive checklist helps facility owners ensure they meet regulations, reduce risk, and maintain high-quality care.

1. Licensing and State Requirements

• Obtain the required state license for assisted living facilities

• Ensure all permits are up to date

• Meet capacity and facility size requirements

• Keep copies of licensing documents accessible

Read More: State licensing info – National Center for Assisted Living (NCAL)

Check Out More in Our Blog: Assisted Living Facility Licensing Requirements: A Complete Guide

2. Staff Requirements and Training

• Verify background checks for all employees

• Provide mandatory caregiver training, including dementia care, first aid, and CPR

• Maintain accurate personnel files and certifications

• Ensure adequate staff-to-resident ratios per state regulations

3. Resident Care Documentation

• Maintain updated care plans for each resident

• Document medications, medical histories, and incident reports

• Ensure compliance with privacy laws (HIPAA)

• Regularly review and update care plans

Find Out: HIPAA compliance for senior care – U.S. Department of Health & Human Services

4. Safety and Emergency Preparedness

• Conduct regular fire drills and safety inspections

• Maintain working smoke detectors, sprinklers, and emergency exits

• Develop emergency response plans for natural disasters or medical emergencies

• Implement infection control protocols

5. Facility Maintenance and Sanitation

• Maintain clean and sanitary living spaces

• Check elevators, ramps, and handrails regularly

• Ensure all kitchen and dining areas meet health codes

• Perform routine equipment and building maintenance

6. Resident Rights and Communication

• Inform residents of their rights in writing

• Provide clear grievance procedures

• Ensure staff communicate effectively with residents and families

• Promote resident autonomy and dignity

Check Out: Resident rights guidance – American Health Care Association (AHCA)

7. Financial and Administrative Compliance

• Maintain accurate financial records

• Follow billing, refund, and deposit regulations

• Report required financial and operational data to state agencies

• Keep insurance and liability coverage current

8. Insurance Coverage for Compliance Protection

Even with strong operational compliance, unexpected accidents and claims can happen. Protect your facility with comprehensive insurance.

Essential policies include:

• General Liability 

• Commercial Property 

• Workers’ Compensation 

• Professional Liability 

• Commercial Auto

Wexford Insurance specializes in assisted living facility coverage nationwide. Protect your investment and ensure compliance today.

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Final Thoughts

Compliance is not optional for assisted living facilities—it is essential for safety, reputation, and longevity. Use this checklist to stay on top of regulations, protect your residents and staff, and reduce risk with proper insurance coverage.

Contact us today.

Frequently Asked Questions (FAQs)

1. How can I increase occupancy rates in my assisted living facility?

2. What marketing strategies are effective for assisted living facilities?

3. How do I create a business plan for an assisted living facility?