Section 410 IAC 16.2-3.1-12 - Transfer and discharge rightsAuthority: IC 16-28-1-7
Affected: IC 4-21.5; IC 16-28-5-1
Sec. 12.
(a) The transfer and discharge rights of residents of a facility are as follows: (1) As used in this section, "interfacility transfer and discharge" means the movement of a resident to a bed outside of the licensed facility. For Medicare and Medicaid certified facilities, an interfacility transfer and discharge means the movement of a resident to a bed outside of the certified facility whether that bed is in the same physical plant or not.(2) As used in this section, "intrafacility transfer" means the movement of a resident to a bed within the same licensed facility. For Medicare and Medicaid certified facilities, an intrafacility transfer means the movement of a resident to a bed within the same certified facility.(3) When a transfer or discharge of a resident is proposed, whether intrafacility or interfacility, provision for continuity of care shall be provided by the facility.(4) Health facilities must permit each resident to remain in the facility and not transfer or discharge the resident from the facility unless: (A) the transfer or discharge is necessary for the resident's welfare and the resident's needs cannot be met in the facility;(B) the transfer or discharge is appropriate because the resident's health has improved sufficiently so that the resident no longer needs the services provided by the facility;(C) the safety of individuals in the facility is endangered;(D) the health of individuals in the facility would otherwise be endangered;(E) the resident has failed, after reasonable and appropriate notice, to pay for (or to have paid under Medicare or Medicaid) a stay at the facility; or(F) the facility ceases to operate.(5) When the facility proposes to transfer or discharge a resident under any of the circumstances specified in subdivision (4)(A), (4)(B), (4)(C), (4)(D), or (4)(E), the resident's clinical records must be documented. The documentation must be made by the following: (A) The resident's physician when transfer or discharge is necessary under subdivision (4)(A) or (4)(B).(B) Any physician when transfer or discharge is necessary under subdivision (4)(D).(6) Before an interfacility transfer or discharge occurs, the facility must, on a form prescribed by the department, do the following: (A) Notify the resident of the transfer or discharge and the reasons for the move in writing and in a language and manner that the resident understands. The health facility must place a copy of the notice in the resident's clinical record and transmit a copy to the following: (ii) A family member of the resident if known.(iii) The resident's legal representative if known.(iv) The local long term care ombudsman program (for involuntary relocations or discharges only).(v) The person or agency responsible for the resident's placement, maintenance, and care in the facility.(vi) In situations where the resident is developmentally disabled, the regional office of the division of disability, aging, and rehabilitative services, who may assist with placement decisions.(vii) The resident's physician when the transfer or discharge is necessary under subdivision (4)(C), (4)(D), (4)(E), or (4)(F).(B) Record the reasons in the resident's clinical record.(C) Include in the notice the items described in subdivision (9).(7) Except when specified in subdivision (8), the notice of transfer or discharge required under subdivision (6) must be made by the facility at least thirty (30) days before the resident is transferred or discharged.(8) Notice may be made as soon as practicable before transfer or discharge when: (A) the safety of individuals in the facility would be endangered;(B) the health of individuals in the facility would be endangered;(C) the resident's health improves sufficiently to allow a more immediate transfer or discharge;(D) an immediate transfer or discharge is required by the resident's urgent medical needs; or(E) a resident has not resided in the facility for thirty (30) days.(9) For health facilities, the written notice specified in subdivision (7) must include the following: (A) The reason for transfer or discharge.(B) The effective date of transfer or discharge.(C) The location to which the resident is transferred or discharged.(D) A statement in not smaller than 12-point bold type that reads, "You have the right to appeal the health facility's decision to transfer you. If you think you should not have to leave this facility, you may file a written request for a hearing with the Indiana department of health postmarked within ten (10) days after you receive this notice. If you request a hearing, it will be held within twenty-three (23) days after you receive this notice, and you will not be transferred from the facility earlier than thirty-four (34) days after you receive this notice of transfer or discharge unless the facility is authorized to transfer you under subdivision (8). If you wish to appeal this transfer or discharge, a form to appeal the health facility's decision and to request a hearing is attached. If you have any questions, call the Indiana department of health at the number listed below.".(E) The name of the director, address, telephone number, and hours of operation of the division.(F) A hearing request form prescribed by the department.(G) The name, address, and telephone number of the division and local long term care ombudsman.(H) For facility residents with developmental disabilities or who are mentally ill, the mailing address and telephone number of the protection and advocacy services commission.(10) If the resident appeals the transfer or discharge, the facility may not transfer or discharge the resident within thirty-four (34) days after the resident receives the initial transfer or discharge notice, unless an emergency exists as provided under subdivision (8).(11) If nonpayment is the basis of a transfer or discharge, the resident shall have the right to pay the balance owed to the facility up to the date of the transfer or discharge and then is entitled to remain in the facility.(12) The department shall provide a resident who wishes to appeal the transfer or discharge from a facility the opportunity to file a request for a hearing postmarked within ten (10) days following the resident's receipt of the written notice of the transfer or discharge from the facility.(13) If a facility resident requests a hearing, the department shall hold an informal hearing at the facility within twenty-three (23) days from the date the resident receives the notice of transfer or discharge. The department shall attempt to give at least five (5) days written notice to all parties prior to the informal hearing. The department shall issue a decision within thirty (30) days from the date the resident receives the notice. The facility must convince the department by a preponderance of the evidence that the transfer or discharge is authorized under subdivision (4). If the department determines that the transfer is appropriate, the resident must not be required to leave the facility within the thirty-four (34) days after the resident's receipt of the initial transfer or discharge notice unless an emergency exists under subdivision (8). Both the resident and the facility have the right to administrative or judicial review under IC 4-21.5 of any decision or action by the department arising under this section. If a hearing is to be held de novo, that hearing shall be held in the facility where the resident resides.(14) An intrafacility transfer can be made only if:(A) the transfer is necessary for medical reasons as judged by the attending physician; or(B) the transfer is necessary for the welfare of the resident or other persons.(15) If an intrafacility transfer is required, the resident must be given notice at least two (2) days before relocation, except when: (A) the safety of individuals in the facility would be endangered;(B) the health of individuals in the facility would be endangered;(C) the resident's health improves sufficiently to allow a more immediate transfer; or(D) an immediate transfer is required by the resident's urgent medical needs.(16) The written notice of an intrafacility transfer must include the following: (A) Reasons for transfer.(B) Effective date of transfer.(C) Location to which the resident is transferred.(D) Name, address, and telephone number of the local and state long term care ombudsman.(E) For facility residents with developmental disabilities or who are mentally ill, the mailing address and telephone number of the protection and advocacy services commission.(17) The resident has the right to relocate prior to the expiration of the two (2) day notice.(18) Prior to any interfacility or involuntary intrafacility relocation, the facility shall prepare a relocation plan to prepare the resident for relocation and to provide continuity of care. In nonemergency relocations, the planning process shall include a relocation planning conference to which the resident, his or her legal representative, family members, and physician shall be invited. The planning conference may be waived by the resident or his or her legal representative.(19) At the planning conference, the resident's medical, psychosocial, and social needs with respect to the relocation shall be considered and a plan devised to meet these needs.(20) The facility shall provide reasonable assistance to the resident to carry out the relocation plan.(21) The facility must provide sufficient preparation and orientation to residents to ensure safe and orderly transfer or discharge from the facility.(22) If the relocation plan is disputed, a meeting shall be held prior to the relocation with the administrator or his or her designee, the resident, and the resident's legal representative. An interested family member, if known, shall be invited. The purpose of the meeting shall be to discuss possible alternatives to the proposed relocation plan.(23) A written report of the content of the discussion at the meeting and the results of the meeting shall be reviewed by the administrator or his or her designee, the resident, the resident's legal representative, and an interested family member, if known, each of whom may make written comments on the report.(24) The written report of the meeting shall be included in the resident's permanent record.(25) Before a facility transfers a resident to a hospital or allows a resident to go on therapeutic leave of twenty-four (24) hours duration or longer, the facility must provide written information to the resident and a family member or legal representative that specifies the following: (A) The duration of the bed-hold policy under the Medicaid state plan during which the resident is permitted to return and resume residence in the facility.(B) The facility's policies regarding bed-hold periods, which must be consistent with subdivision (27), permitting a resident to return.(26) Except in an emergency, at the time of transfer of a resident for hospitalization or therapeutic leave, a facility must provide to the resident and a family member or legal representative written notice which specifies the duration of the bed-hold policy described in subdivision (25).(27) Medicaid certified facilities must establish and follow a written policy under which a resident, whose hospitalization or therapeutic leave exceeds the bed-hold period under the state plan, is readmitted to the facility immediately upon the first availability of a bed in a semiprivate room if the resident: (A) requires the services provided by the facility; and(B) is eligible for Medicaid nursing facility services.(b) For purposes of IC 16-28-5-1, a breach of subsection (a) is a deficiency.Indiana State Department of Health; 410 IAC 16.2-3.1-12; filed Jan 10, 1997, 4:00 p.m.: 20 IR 1533, eff Apr 1, 1997; errata filed Apr 10, 1997, 12:15 p.m.: 20 IR 2414; readopted filed Jul 11, 2001, 2:23 p.m.: 24 IR 4234; readopted filed May 22, 2007, 1:44 p.m.: 20070613-IR-410070141RFA; readopted filed Sep 11, 2013, 3:19 p.m.: 20131009-IR-410130346RFAReadopted filed 11/13/2019, 3:14 p.m.: 20191211-IR-410190391RFAErrata filed 7/28/2021, 9:47 a.m.: 20210811-IR-410210316ACA