Pascal Bergeron
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A. A manager shall ensure that:

1. A caregiver:
a. Is 18 years of age or older; and
b. Provides documentation of:
i. Completion of a caregiver training program approved by the Department
or the Board of Examiners for Nursing Care Institution Administrators
and Assisted Living Facility Managers;
ii. For supervisory care services, employment as a manager or caregiver of
a supervisory care home before November 1, 1998;
iii. For supervisory care services or personal care services, employment as a
manager or caregiver of a supportive residential living center before November 1, 1998; or
iv. For supervisory care services, personal care services, or directed
services, one of the following:
(1) A nursing care institution administrator’s license issued by the
Board of Examiners;
(2) A nurse’s license issued to the individual under A.R.S. Title 32,
Chapter 15;
(3) Documentation of employment as a manager or caregiver of an
unclassified residential care institution before November 1,
1998; or
(4) Documentation of sponsorship of or employment as a caregiver
in an adult foster care home before November 1, 1998;
2. An assistant caregiver:
a. Is 16 years of age or older, and
b. Interacts with residents under the supervision of a manager or caregiver;
3. The qualifications, skills, and knowledge required for a caregiver or assistant caregiver:
a. Are based on:
i. The type of assisted living services, behavioral health services, or
behavioral care expected to be provided by the caregiver or assistant
caregiver according to the established job description; and
ii. The acuity of the residents receiving assisted living services, behavioral
health services, or behavioral care from the caregiver or assistant
caregiver according to the established job description; and
b. Include:
i. The specific skills and knowledge necessary for the caregiver or assistant
caregiver to provide the expected assisted living services, behavioral
health services, or behavioral care listed in the established job
description;
ii. The type and duration of education that may allow the caregiver or
assistant caregiver to have acquired the specific skills and knowledge for
This document contains an unofficial version of the new rules in 9 A.A.C. 10, Article 1, effective November 5, 2019.
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the caregiver or assistant caregiver to provide the expected assisted living
services, behavioral health services, or behavioral care listed in the
established job description; and
iii. The type and duration of experience that may allow the caregiver or
assistant caregiver to have acquired the specific skills and knowledge for
the caregiver or assistant caregiver to provide the expected assisted living
services, behavioral health services or behavioral care listed in the
established job description;
4. A caregiver’s or assistant caregiver’s skills and knowledge are verified and documented:
a. Before the caregiver or assistant caregiver provides physical health services or
behavioral health services, and
b. According to policies and procedures;
5. An assisted living facility has a manager, caregivers, and assistant caregivers with the
qualifications, experience, skills, and knowledge necessary to:
a. Provide the assisted living services, behavioral health services, behavioral care,
and ancillary services in the assisted living facility’s scope of services;
b. Meet the needs of a resident; and
c. Ensure the health and safety of a resident;
6. At least one manager or caregiver is present and awake at an assisted living center when a
resident is on the premises;
7. Documentation is maintained for at least 12 months after the last date on the
documentation of the caregivers and assistant caregivers working each day, including the
hours worked by each;
8. A manager, a caregiver, and an assistant caregiver, or an employee or a volunteer who
has or is expected to have more than eight hours per week of direct interaction with
residents, provide evidence of freedom from infectious tuberculosis:
a. On or before the date the individual begins providing services at or on behalf of
the assisted living facility, and
b. As specified in R9-10-113;
9. Before providing assisted living services to a resident, a caregiver or an assistant
caregiver receives orientation that is specific to the duties to be performed by the
caregiver or assistant caregiver; and
10. Before providing assisted living services to a resident, a manager or caregiver provides
current documentation of first aid training and cardiopulmonary resuscitation training certification specific to adults.

B. A manager of an assisted living home shall ensure that:

1. An individual residing in an assisted living home, who is not a resident, a manager, a
caregiver, or an assistant caregiver:
a. Either:
i. Complies with the fingerprinting requirements in A.R.S. § 36-411, or
ii. Interacts with residents only under the supervision of an individual who
has a valid fingerprint clearance card; and
b. If the individual is 12 years of age or older, provides evidence of freedom from
infectious tuberculosis as specified in R9-10-113;
2. Documentation of compliance with the requirements in subsection (B)(1)(a) and evidence
of freedom from infectious tuberculosis, if required under subsection (B)(1)(b), is
maintained for an individual residing in the assisted living home who is not a resident, a
manager, a caregiver, or an assistant caregiver;
3. As part of the policies and procedures required in R9-10-803(C)(1)(h), a plan is
established, documented, and implemented to ensure that the manager or a caregiver is
available as back-up to provide assisted living services to a resident if the manager or a
caregiver assigned to work is not available or not able to provide the required assisted
living services; and
4. At least the manager or a caregiver is present at an assisted living home when a resident
is present in the assisted living home and:
a. Except for night time hours, the manager or caregiver is awake; and
b. If the manager or caregiver is not awake during nighttime hours:
i. The manager or caregiver can hear and respond to a resident needing
assistance; and
ii. If the assisted living home is authorized to provide directed care services,
policies and procedures are developed, documented, and implemented to
establish a process for checking on a resident receiving directed care
services during nighttime hours to ensure the resident’s health and safety.

C. A manager shall ensure that a personnel record for each employee or volunteer:

1. Includes:
a. The individual’s name, date of birth, and contact telephone number;
b. The individual’s starting date of employment or volunteer service and, if
applicable, the ending date; and
c. Documentation of:
i. The individual’s qualifications, including skills and knowledge
applicable to the individual’s job duties;
ii. The individual’s education and experience applicable to the individual’s
job duties;
iii. The individual’s completed orientation and in-service education required
by policies and procedures;
iv. The individual’s license or certification, if the individual is required to be
licensed or certified in this Article or in policies and procedures;
v. If the individual is a behavioral health technician, clinical oversight
required in R9-10-115;
vi. Evidence of freedom from infectious tuberculosis, if required for the
individual according to subsection (A)(8);
vii. Cardiopulmonary resuscitation training, if required for the individual in
this Article or policies and procedures;
viii First aid training, if required for the individual in this Article or policies
and procedures; and
ix. Documentation of compliance with the requirements in A.R.S. § 36-
411(A) and (C);
2. Is maintained:
a. Throughout the individual’s period of providing services in or for the assisted
living facility, and
b. For at least 24 months after the last date the individual providing services in or for
the assisted living facility; and
3. For a manager, a caregiver, or an assistant caregiver who has not provided physical health
services or behavioral health services at or for the assisted living facility during the
previous 12 months, is provided to the Department within 72 hours after the
Department’s request.

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