Section 481.62.14. Discharge or transfer.

Procedures for the discharge or transfer of the resident shall be established and followed: (II, III)

         62.14(1) Discharge plan. The decision to discharge a person and the plan for doing so shall be established through the participation of the resident, members of the interdisciplinary team and other resource personnel as appropriate for the welfare of the individual. (II, III)

            a.               Discharge planning shall begin within 30 days of admission and be carried out in accordance with the IPP. (II, III)

            b.               As changes occur in a resident’s physical or mental condition, necessitating services or care which cannot be adequately provided by the facility, the resident shall be transferred promptly to another appropriate facility pursuant to 62.10(1)“a.” (I, II)

            c.               Notification shall be made to the resident’s family, the resident’s legal representative, primary care provider, and sponsoring agency, if any, prior to transfer or discharge of any resident. (III)

            d.               Proper arrangements shall be made for the welfare of the resident prior to the transfer or discharge in the event of an emergency or inability to reach the resident’s family or the resident’s legal representative. (III)

            e.               The licensee shall not refuse to discharge or transfer a resident when directed by the primary care provider, resident, legal representative, or court. (II, III)

            f.                Advance notification by telephone shall be made to the receiving facility prior to the transfer of any resident. (III)

            g.               When a resident is transferred or discharged, the current evaluation and treatment plan and progress notes for the last 30 days, as set forth in these rules, shall accompany the resident. (II, III)

            h.               Prior to the transfer or discharge of a resident to another health care facility, arrangements to provide for continuity of care shall be made with the facility to which the resident is being sent. (II, III)

            i.                A discharge or transfer authorization and summary shall be prepared for each resident who has been discharged or transferred from the facility and shall be disseminated to appropriate persons to ensure continuity of care and in accordance with the requirements to ensure confidentiality. (II, III)

            j.                A transfer to a part of a facility that has a different license must be handled the same way as a transfer to another facility, and not as an intrafacility transfer.

         62.14(2) Intrafacility transfer. Residents shall not be moved from room to room within a health care facility arbitrarily. (I, II)

            a.               Involuntary relocation may occur only to implement goals and objectives in the IPP and in the following situations:

             (1)             Incompatibility with or behavior disturbing to roommates, as documented in the residents’ records; (I, II)

             (2)             To allow a new admission to the facility which would otherwise not be possible due to separation of roommates by sex; (II, III)

             (3)             Reasonable and necessary administrative decisions regarding the use and functioning of the building. (II, III)

            b.               Unreasonable and unjustified reasons for changing a resident’s room without the concurrence of the resident or legal guardian include:

             (1)             Punishment or behavior modification. (II)

             (2)             Discrimination on the basis of race or religion. (II)

            c.               If intrafacility relocation is necessary for reasons outlined in paragraph “a,” the resident shall be notified at least 48 hours prior to the transfer and the reason shall be explained. The legal guardian shall be notified as soon as possible. The notification shall be documented in the resident’s record and signed by the resident or legal guardian. (II)

            d.               If emergency relocation is required to protect the safety or health of the resident or other residents, the notification requirements may be waived. The conditions of the emergency shall be documented. The family and legal guardian shall be notified immediately, or as soon as possible, of the condition requiring emergency relocation and the notification shall be documented. (II)

            e.               A transfer to a part of a facility that has a different license must be handled in the same way as a transfer to another facility and not as an intrafacility transfer. (II, III)

         62.14(3) Involuntary discharge or transfer permitted. A facility may involuntarily discharge or transfer a resident for only one of the following reasons:

            a.               Medical reasons, based on the resident’s needs and determined and documented in the resident’s record by the primary care provider;

            b.               The resident’s social, emotional or physical well-being or that of other residents, as documented by the administrator or designee with specific information to support the determination that the resident’s continued presence in the facility would adversely affect the resident’s own well-being or that of other residents;

            c.               Due to action pursuant to Iowa Code chapter 229; or

            d.               Nonpayment for the resident’s stay, as described in the admission agreement for the resident’s stay. (I, II, III)

         62.14(4) Involuntary transfer or discharge—written notice. Involuntary transfer or discharge of a resident from a facility shall be preceded by a written notice to the resident or the resident’s family or resident’s legal representative. (II, III)

            a.               The notice shall contain all of the following information:

             (1)             The stated reason for the proposed transfer or discharge. (II)

             (2)             The effective date of the proposed transfer or discharge. (II)

             (3)             A statement, in not less than 12-point type, that reads as follows:

You have a right to appeal the facility’s decision to transfer or discharge you. If you think you should not have to leave this facility, you may request a hearing, in writing or verbally, with the Iowa department of inspections and appeals (hereinafter referred to as “department”) within 7 days after receiving this notice. You have a right to be represented at the hearing by an attorney or any other individual of your choice. If you request a hearing, it will be held no later than 14 days after the department’s receipt of your request and you will not be transferred before a final decision is rendered. In emergency circumstances, provision may be made for extension of the 14-day requirement upon request to the department designee. If you lose the hearing, you will not be transferred before the expiration date of either (1) 30 days following your receipt of the original notice of the discharge or transfer, or (2) no sooner than 5 days following final decision of such hearing, including the exhaustion of all appeals, whichever occurs later. To request a hearing or receive further information, call the department at [phone], or you may write to the department to the attention of: Administrator, Division of Health Facilities, Iowa Department of Inspections and Appeals, Lucas State Office Building, Des Moines, Iowa 50319. (II)

            b.               The notice shall be personally delivered to the resident and a copy placed in the resident’s record. A copy shall also be transmitted to the department, the resident’s legal representative, primary care provider, and the person or agency responsible for the resident’s placement, maintenance, and care in the facility. The notice shall indicate that copies have been transmitted to the required parties by using the abbreviation “cc:” and listing the names of all parties to whom copies were sent. (II)

            c.               The notice required by paragraph 62.14(4)“a” shall be provided at least 30 days in advance of the proposed transfer or discharge unless one of the following occurs:

             (1)             An emergency transfer or discharge is mandated by the resident’s health care needs and is in accordance with the written orders and medical justification of the primary care provider. Emergency transfers or discharges may also be mandated in order to protect the health, safety, or well-being of other residents and staff. (II)

             (2)             The transfer or discharge is subsequently agreed to by the resident or the resident’s legal representative, and notification is given to the legal representative, the resident’s primary care provider, and the person or agency responsible for the resident’s placement, maintenance, and care in the facility. (II)

            d.               A hearing requested pursuant to this subrule shall be held in accordance with subrule 62.14(6).

         62.14(5) Involuntary transfer or discharge—emergency transfer or discharge. In the case of an emergency transfer or discharge, the resident must be given a written notice prior to or within 48 hours following the transfer or discharge. (II, III)

            a.               A copy of this notice must be placed in the resident’s file. The notice must contain all of the following information:

             (1)             The stated reason for the transfer or discharge. (II)

             (2)             The effective date of the transfer or discharge. (II)

             (3)             A statement, in not less than 12-point type, that reads:

You have a right to appeal the facility’s decision to transfer or discharge you on an emergency basis. If you think you should not have to leave this facility, you may request a hearing, in writing or verbally, with the Iowa department of inspections and appeals within 7 days after receiving this notice. You have the right to be represented at the hearing by an attorney or any other individual of your choice. If you request a hearing, it will be held no later than 14 days after the department’s receipt of your request. You may be transferred or discharged before the hearing is held or before a final decision is rendered. If you win the hearing, you have the right to be transferred back into the facility. To request a hearing or receive further information, call the department at [phone], or write to the department to the attention of: Administrator, Division of Health Facilities, Department of Inspections and Appeals, Lucas State Office Building, Des Moines, Iowa 50319-0083. (II)

            b.               The notice shall be personally delivered to the resident, and a copy shall be placed in the resident’s record. A copy shall also be transmitted to the department, the resident’s legal representative, the resident’s primary care provider, and the person or agency responsible for the resident’s placement, maintenance, and care in the facility. The notice shall indicate that copies have been transmitted to the required parties by using the abbreviation “cc:” and listing the names of all parties to whom copies were sent.

            c.               A hearing requested pursuant to this subrule shall be held in accordance with subrule 62.14(6).

         62.14(6) Involuntary transfer or discharge—hearing.

            a.               Request for hearing.

             (1)             The resident must request a hearing within 7 days of receiving written notice.

             (2)             The request must be made to the department, either in writing or verbally.

            b.               The hearing shall be held no later than 14 days after the department’s receipt of the request unless either party requests an extension due to emergency circumstances.

            c.               Except in the case of an emergency discharge or transfer, a request for a hearing shall stay a transfer or discharge pending a final decision, including the exhaustion of all appeals. (II)

            d.               The hearing shall be heard by a department of inspections and appeals administrative law judge pursuant to Iowa Code chapter 17A and 481—Chapter 10. The hearing shall be public unless the resident or representative requests in writing that the hearing be closed. In a determination as to whether a transfer or discharge is authorized, the burden of proof by a preponderance of evidence rests on the party requesting the transfer or discharge.

            e.               Notice of the date, time, and place of the hearing shall be sent by certified mail or delivered in person to the facility, the resident and the resident’s legal representative not later than 5 full business days after the department’s receipt of the request. The notice shall also inform the facility and the resident or the resident’s legal representative that they have a right to appear at the hearing in person or be represented by an attorney or other individual. The appeal shall be dismissed if neither party is present or represented at the hearing. If only one party appears or is represented, the hearing shall proceed with one party present.

            f.               The administrative law judge’s written decision shall be sent by certified mail to the facility, resident, and resident’s legal representative within 10 working days after the hearing has been concluded.

         62.14(7) Nonpayment. If nonpayment is the basis for involuntary transfer or discharge, the resident shall have the right to make full payment up to the date that the discharge or transfer is to be made and then shall have the right to remain in the facility. (II)

         62.14(8) Discussion of involuntary transfer or discharge. Within 48 hours after notice of involuntary transfer or discharge has been received by the resident, the facility shall discuss the involuntary transfer or discharge with the resident, the resident’s legal representative, and the person or agency responsible for the resident’s placement, maintenance, and care in the facility. (II)

            a.               The facility administrator or other appropriate facility representative serving as the administrator’s designee shall provide an explanation and discussion of the reasons for the resident’s involuntary transfer or discharge. (II)

            b.               The content of the explanation and discussion shall be summarized in writing, shall include the names of the individuals involved in the discussion, and shall be made part of the resident’s record. (II)

            c.               The provisions of this subrule do not apply if the involuntary transfer or discharge has already occurred pursuant to subrule 62.14(5) and emergency notice is provided within 48 hours.

         62.14(9) Involuntary discharge or transfer—transfer or discharge planning.

            a.               The facility shall develop a plan to provide for the orderly and safe transfer or discharge of each resident to be transferred or discharged. (II)

            b.               To minimize the possible adverse effects of the involuntary transfer, the resident shall receive counseling services by the sending facility before the involuntary transfer and by the receiving facility after the involuntary transfer. Counseling shall be documented in the resident’s record. (II)

            c.               The counseling requirement in paragraph 62.14(9)“b” does not apply if the discharge has already occurred pursuant to subrule 62.14(5) and emergency notice is provided within 48 hours.

            d.               Counseling, if required, shall be provided by a licensed mental health professional as defined in Iowa Code section 228.1(6). (II)

            e.               The health care facility that receives a resident who has been involuntarily transferred shall immediately formulate and implement a plan of care which takes into account possible adverse effects the transfer may cause. (II)

         62.14(10) Transfer upon revocation of license or voluntary closure. Residents shall not have the right to a hearing to contest an involuntary discharge or transfer resulting from the revocation of the facility’s license by the department of inspections and appeals. In the case of the voluntary closure of a facility, a period of 30 days must be allowed for an orderly transfer of residents to other facilities.

This rule is intended to implement Iowa Code section 135C.14(8).

[ARC 1205C, IAB 12/11/13, effective 1/15/14; ARC 1752C, IAB 12/10/14, effective 1/14/15]