15+ key compliance activities you should have in place

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15+ key compliance activities you should have in place

By Cubigo | 22 July 2021

Regulatory requirements are designed to help Senior Living operators provide safe environments and effective services to residents through regulatory compliance, and to help regulators protect residents by conducting consistent and comprehensive inspections.  Your community must have a solid compliance program in place to keep your residents safe, engaged, and be attractive to future residents.

When visits from inspectors or surveyors demand data accessibility, accuracy, and reliability, you can accelerate your compliance workflow with Cubigo.  With centralized data at your fingertips, you can quickly and efficiently retrieve information on demand, all in one place.  Cubigo’s robust reporting capabilities allow your captured data to be previewed or printed immediately.

When time matters, our cloud-based software and its data are updated in real-time and can be accessed from anywhere on a variety of devices and operating systems.  In addition to the value of saving time, there is no need to worry about lost information, your data is stored securely and permanently in Cubigo.

To assist you in planning ahead and preparing for inspections or surveys, we have included a list of compliance topics that will demonstrate how the Cubigo solution can be used as part of your compliance program toolkit, mock surveys, and risk audits.

Optimizing the Cubigo Solution as a Compliance Support Tool

1. Absences

An unexplained absence of a resident for 24 hours or more, or when the support plan so provides (if applicable), a period of less than 24 hours, or an absence of a resident from their living unit. It is important the communities accurately assess and plan for residents’ supervision needs (if applicable). The unexpected absence of a resident with extensive supervision needs for less than 24 hours must be reported, even if the resident doesn’t live in a special care unit.

2. Activity Calendar for the Last 3 Months

Knowing when activities are offered will help residents decide which activities to participate in and allow them to plan their week accordingly. The community shall develop a program of daily activities designed to promote each resident's active involvement with other residents, the resident's family and the community and provide the necessary space and equipment for the activities (relating to indoor activity space; and recreation space). The week’s daily activity calendar shall be posted in a conspicuous and public place in the community.  The community shall provide verbal cueing and reminders of activities, their start times and locations within the community. 


3. Activities Reporting

The program must be based upon individual and group interests and provide social, physical, intellectual and recreational activities in a planned, coordinated and structured manner and shall encourage active participation in the community at large.

4. Administrator / Contact Name Displayed

Ensures that the administrator will have the necessary education and experience to successfully perform the duties and responsibilities required of the position. Ensures that the administrator has the experience and maturity to address care-related issues that may arise in a community. Ensures that administrators have the knowledge, skills, and abilities required to properly manage and administer an assisted living community. 

5. List of Key Personnel, Employee Profile, or Communications

Staffing shall be provided to meet the needs of the residents as specified in the resident’s assessment and support plan (if applicable). Ensures that a person qualified to meet residents’ needs or seek help in an emergency is present in the community. If a community is ultimately responsible for meeting residents’ needs, then residents will need to know which person will be responsible for each element of their living environment.

6. Team Member List

Facilities shall maintain accurate employment records. The administrator shall maintain a current list of the names, addresses and telephone numbers of staff persons including substitute personnel and volunteers. Ensures that the administrator can quickly reach staff if additional or substitute help is required. If a community is ultimately responsible for meeting residents’ needs, then residents will need to know which person will be responsible for each element of their living environment.

7. Assistive Devices

Ensures that residents’ needs are met once those needs have been assessed and a plan to meet the needs has been developed.
Offers communities the option to serve persons with unique needs or desires. Physical site accommodations and equipment that meet the needs of the residents in the community provide independence, enable a higher quality of life, and promote rapid evacuation during an emergency.

8. Vision / Hearing Impairments

Reduce the risk of falls and injury.

9. Birthday List

Ensures that individuals in protected classes are not discriminated against (i.e., age discrimination). Ensures that residents are treated in a respectful and dignified manner.

10. Census List

Ensure all residents are evacuated for fire drills and natural disasters.

11. Data Protection & Security

Protects resident privacy and ensures that communities comply with other applicable laws. Separate records for each resident ensures that services and care for each resident is resident specific and easily accessible. Maintaining resident records in a confidential manner while also preventing unauthorized access helps to protect the security and privacy of a resident’s information.

12. Right to Privacy

Preserves residents’ privacy, dignity, independence, and personal choice.

13. Dining Services

Having a menu that is posted in a conspicuous and public place in the community and is accessible to a resident in advance is beneficial for residents so they can plan their meals in advance. It is important that the community makes dietary alternatives available for residents who have special health needs so that residents have a choice of food that meets their health needs. 

14. Policies & Procedures, State Operations Manual, etc.

Ensures that staff persons will have the basic training to establish and maintain regulatory compliance and meet residents’ needs. Ensures that staff persons receive high-quality training to continue to develop their knowledge of regulatory requirements and best practices. Ensures that all staff persons working in the community are familiar with residents’ rights, mandated reporting, and the procedures for responding to a medical emergency.

15. Document Uploading Option for Important Community Items

Ensures that residents have ready access to a list of resident rights for reference and that residents are aware of who they may contact with a complaint. Ensures that residents are aware of the community rules and have adequate notice of changes. Permits residents, families, and visitors to learn about applicable regulations and the regulatory compliance status of the community and the community’s plan to correct any violations found. Ensures that communities are familiar with the local emergency management agency’s plans and procedures in the event of a general emergency.

16. Incidents

Ensures a record of reportable incidents.  Reporting incidents allows the Department to respond promptly to serious situations and offers residents the opportunity to provide information that may reduce the need for the Department to pursue additional information.

17. Language / Communication

Allows communities to create a comprehensive profile of a resident’s needs and serves as the basis for the plan to meet those needs.

18. Move-in / Move-out Dates & Reason

The Department interprets this to mean the first day the resident resides in the community.  As such, the date the resident begins to live at the community is the date from which regulatory timeframes relating to their move-in date should be met. It is occasionally necessary for a community, the Department, another regulatory oversight agency, or law enforcement personnel to locate residents who have moved out or transferred to another community.

19. Visitor Tracking

Preserves residents’ right to free association and private contact with individuals outside the community while maintaining their privacy and safety. Ensures that residents have a reasonable opportunity to receive visitors.

At Cubigo, we are continuously improving our solutions to facilitate your community’s compliance goals and we are always open to suggestions on how we can improve our compliance support tools.  If you have a suggestion, please reach out to us at customersupport@cubigo.com.

About Cubigo

Cubigo is a fully customizable, integrated community platform that connects community staff, residents, and family members to digitize the common functions within senior living communities.  Our platform will help you greatly improve your services to provide a superior resident experience.


Cubigo does not provide written standards, policies, and/or procedures; enterprises or communities are accountable for writing their own standards, policies, and/or procedures.  Standards, policies, and procedures for regulatory requirements are the responsibility of the enterprise or community.  If you are unsure, please refer to your enterprise or community protocols for guidance.

For Federal and State rules and regulations, Assisted Living is state-regulated; therefore, it is recommended that you refer to guidance from your state and local officials when making compliance decisions.