Section 481.50.8. Records.

The division collects and stores a variety of records in the course of licensing and inspecting health care facilities. Some information stored may be personally identifiable. None is retrievable by personal identifier with the exception of a business which uses an individual’s name in the title. All records stored by the health facilities division are kept in files under the name of a facility. Computer files are retrieved by facility name also.

       50.8(1) The department maintains information about long-term care facilities in files which are organized by facility name, city, and county. No information is retrievable by personal identifier. Each long-term care facility record contains both open and confidential information.

        a.           Open information includes:

       (1)             License application and status,

       (2)             Variance requests and responses,

       (3)             Final findings of state and Medicaid survey investigations,

       (4)             Records of complaints,

       (5)             Reports from the fire marshal,

       (6)             Plans of correction submitted by the facility,

       (7)             Medicaid status,

       (8)             Official notices of license and Medicaid sanctions.

        b.           Confidential information includes:

       (1)             Survey or investigation information which does not comprise a final finding. Survey information which does not comprise a final finding may be made public in a proceeding concerning the citation of a facility, denial, suspension or revocation of a license, Iowa Code section 135C.19(1),

       (2)             Names of all complainants, Iowa Code sections 135C.19(1) and 135C.37,

       (3)             Names of patients in all facilities, identifying medical information and the address of anyone other than an owner, Section 1106 of the Social Security Act as amended, 42 CFR Part 401, Subpart B (October 1, 1986) and Iowa Code sections 22.9 and 135C.19(1).

       50.8(2) The department maintains records about hospitals. The records are organized by facility name, city, and county. The records are not retrievable by personal identifier. The Joint Commission on the Accreditation of Healthcare Organizations is referred to as JCAHO, and the American Osteopathic Association is referred to as AOA in this rule. These records may contain both open and confidential information.

        a.           Open information includes:

       (1)             License status,

       (2)             Medicare certification status,

       (3)             Medicare survey reports,

       (4)             Plans of correction submitted by a hospital,

       (5)             Official notices of involuntary provider termination or license sanctions,

       (6)             For hospitals not certified by JCAHO or AOA, reports of the fire marshal,

       (7)             Final survey findings of the JCAHO and the AOA with respect to compliance by a hospital with the requirements for licensure or accreditation.

        b.           Confidential information includes:

       (1)             Names of patients and identifying medical information,

       (2)             Identity of any complainant, and

       (3)             The address of anyone other than the owner, Iowa Code section 135B.12 and Section 1106 of the Social Security Act, 42 CFR Part 401, Subpart B (October 1, 1986) and Iowa Code section 22.9.

       (4)             Rescinded IAB 2/19/92, effective 3/25/92.

       (5)             No information may be disclosed in a manner which will identify individuals or hospitals except in a proceeding concerning the question of license or the denial, suspension or revocation of a license, Iowa Code section 135B.12.

       50.8(3) The department maintains files for all other Medicare-certified facilities. These files are organized by facility or agency name, city, and county. None is retrievable by personal identifier except when a business uses an individual’s name in its title. These files contain both open and confidential information.

        a.           Open information includes:

       (1)             Certification status,

       (2)             Survey reports,

       (3)             Plans of correction,

       (4)             Official notices of involuntary provider termination,

       (5)             Proficiency test results for non-JCAHO or AOA accredited hospitals, Medicare laboratories and laboratories licensed under the clinical Laboratory Improvement Act.

        b.           Confidential information includes:

       (1)             Name of any patient,

       (2)             Medical information about any identifiable patient,

       (3)             The identity of any complainant, and

       (4)             The address of anyone other than an owner of the facility, Section 1106 of the Social Security Act, 43 CFR, Part 401, Subpart B (October 1, 1986), and Iowa Code section 22.9.

       50.8(4) Rescinded IAB 3/31/04, effective 5/5/04.

       50.8(5) Following a written request and payment of a fee in the amount determined by the department, one or more of the following lists may be obtained by the public.

        a.           Corporations which own more than one facility and the list of facilities owned by each corporation.

        b.           All the facilities in the state with the owner of the real estate property identified.

        c.           All corporations that lease facilities and the facilities they lease.

        d.           All corporations which manage facilities for other owners and the facilities they manage.

Requests are sent to Health Facilities Division, Department of Inspections and Appeals, Lucas State Office Building, Des Moines, Iowa 50319.