CHAPTER 54
FACILITY PARTICIPATION
[Prior to 7/l/83, Social Services[770] Ch 54]
[Prior to 2/11/87, Human Services[498]]
441—54.1(249) Application and contract agreement. Each facility desiring to participate in the state supplementary assistance program must enter into a contract with the department of human services and agree to the provisions as enumerated in Form 470-0443. The effective date of the contract shall be the first of the month that the form is signed by the administrator of the facility and is received by the department. No payment shall be made for care provided before the effective date of the contract. The contract shall be in effect until the department ceases to participate in the program, until either party gives 60 days’ notice of termination in writing to the other party, or until there is a change in ownership. The facility shall notify the department within 30 days of a change in ownership, a change in the number of beds or a change in administrator.
This rule is intended to implement Iowa Code section 249.12.
[ARC 0991C, IAB 9/4/13, effective 11/1/13; ARC 6623C, IAB 11/2/22, effective 1/1/23]
441—54.2(249) Maintenance of case records. A facility must maintain a case folder for each individual residing in the facility which contains the following:
	1.	Contract between the facility and the resident on Form 470-0477.
	2.	Physician’s statement certifying that the resident does not require nursing services.
	3.	Proof of expenditures from resident’s “personal needs” allowance.
This rule is intended to implement Iowa Code section 249.12.
[ARC 0991C, IAB 9/4/13, effective 11/1/13; ARC 6623C, IAB 11/2/22, effective 1/1/23]
441—54.3(249)  Payments for residential care facilities. Payments for residential care facilities will be made at the maximum per diem rate in 441—subrule 52.1(3).
	54.3(1) Failure to maintain records. Failure to adequately maintain fiscal records, including census records, medical charts, ledgers, journals, tax returns, canceled checks, source documents, invoices, and audit reports by or for a facility may result in the penalties specified in rule 441—79.3(249A).
	54.3(2) Termination or change of ownership. A participating facility contemplating termination of participation or negotiating a change of ownership shall provide the department of human services with at least 60 days prior notice. A transfer of ownership or operation terminates the participation agreement. A new owner or operator shall establish that the facility meets the conditions for participation and enter into a new agreement.
This rule is intended to implement Iowa Code section 249.12.
[ARC 0991C, IAB 9/4/13, effective 11/1/13; ARC 3441C, IAB 11/8/17, effective 10/11/17; ARC 6623C, IAB 11/2/22, effective 1/1/23]
441—54.4(249) Goods and services provided. All facilities participating in the program shall provide residents those goods and services required by the terms of the license issued by the department of inspections and appeals in accordance with Iowa Code chapter 135C and rules promulgated thereto set forth in 481—Chapter 57 and requirements of the department of human services set forth in these rules.
	54.4(1) Payment accepted. The amount of client participation and the payment made through the state supplementary assistance program shall be accepted as payment in full for the required goods and services provided the resident. The facility may seek reimbursement from other sources for goods and services provided that are beyond the goods and services required to be provided by these rules.
	54.4(2) Care, maintenance, general supervision, and personal services. Each facility as part of providing care, maintenance, general supervision, and personal services shall provide as necessary supervision or assistance with ambulation, grooming, hair washing, shaving, personal hygiene, bathing, getting in and out of bed, dressing, feeding, and with medication that can be self-administered.
	54.4(3) Laundry. Each facility shall provide personal laundry service to the resident as part of the goods and services paid for through the program.
	54.4(4) Room furnishings. The facility shall completely furnish the resident’s room in accordance with department of inspections and appeals 481—subrule 57.30(4) without additional charge to the resident or person acting on the resident’s behalf. When the resident wishes to provide some item or items of room furnishing, the facility may grant the request.
This rule is intended to implement Iowa Code section 249.12.
441—54.5(249) Personal needs account. When a facility manages the personal needs funds of a resident, it shall establish and maintain a system of accounting for expenditures from the resident’s personal needs funds. The personal needs funds shall be deposited in a single checking account, not commingled with trust funds from any other facility, nor commingled with facility operating funds except for facility funds, not to exceed $500, deposited to cover bank charges and have in the account name the terms “Resident Trust Funds.” The funds shall be deposited in a bank or other institution within the state of Iowa insured by the federal government. Expense for bank service charges for this account is a cost of doing business if the service cannot be obtained free of charge. The department shall charge back to the facility any maintenance item included in the computation of the audit cost that is charged to the resident’s personal needs allowance when such charge constitutes double payment. Unverifiable expenditures charged to personal needs accounts may be charged back to the facility. The accounting system is subject to audit by representatives of the Iowa department of human services, and shall meet the following criteria:
	54.5(1) Ledger. Upon admittance, a ledger sheet shall be credited with the resident’s total incidental money on hand. Thereafter, the ledger shall be kept current on a monthly basis. The facility may combine the accounting with the disbursement section showing the date, amount given the resident, and the resident’s signature. A separate ledger shall be maintained for each resident.
	54.5(2) Expenditures. When something is purchased for the resident and is not a direct cash disbursement, each such expenditure item in the ledger shall be supported by a signed, dated receipt. The receipt shall indicate the article furnished for the resident’s benefit.
	54.5(3) Disbursement. Personal funds shall be turned over only to the resident, the resident’s guardian, or other persons selected by the resident. With the consent of the resident, when the resident is able and willing to give the consent the administrator may turn over personal funds to a close relative or friend of the resident to purchase a particular item. A signed, dated receipt shall be required to be deposited in the resident’s files.
	54.5(4) Audit. The ledger and receipts for each recipient shall be made available for periodic audits by an accredited department representative. Audit certification shall be made by the department’s representative at the bottom of the ledger sheet. Supporting receipts may then be destroyed.
	54.5(5) Death. Upon a recipient’s death the funds remaining in the personal needs account shall be treated in the following manner:
	a. 	The facility shall provide a written statement of the personal needs account to be filed in the case record.
	b. 	When an estate is opened, the funds shall be submitted to the estate administrator.
	c. 	When no estate is opened, the funds shall be released to the person assuming responsibility for the recipient’s funeral expenses.
	d. 	When no estate is opened and there are no living heirs, the funds shall be submitted to the department to escheat to the state.
This rule is intended to implement Iowa Code section 249.12.
[ARC 6623C, IAB 11/2/22, effective 1/1/23]
441—54.6(249) Case activity report. Form 470-0042 shall be submitted to the department whenever a Medicaid applicant or recipient enters the facility, changes level of care, or is discharged from the facility.
This rule is intended to implement Iowa Code section 249.12.
[ARC 6623C, IAB 11/2/22, effective 1/1/23]
441—54.7(249) Billing procedures. In order to determine the amount of payment to the recipient, the facility shall submit a billing form to Iowa Medicaid following the month in which service was provided.
This rule is intended to implement Iowa Code section 249.12.
[ARC 6623C, IAB 11/2/22, effective 1/1/23]
441—54.8(249) Audits. Rescinded ARC 6623C, IAB 11/2/22, effective 1/1/23.
[Filed 6/25/76, Notice 5/17/76—published 7/12/76, effective 8/16/76]
[Filed 12/17/76, Notice 11/3/76—published 1/12/77, effective 3/1/77]
[Filed 6/1/78, Notice 3/22/78—published 6/28/78, effective 8/2/78]
[Filed 11/7/78, Notice 4/19/78—published 11/29/78, effective 1/3/79]
[Filed without Notice 1/31/79—published 2/21/79, effective 3/28/79]
[Filed 9/6/79, Notice 7/11/79—published 10/3/79, effective 11/7/79]
[Filed 9/25/80, Notice 8/6/80—published 10/15/80, effective 12/1/80]
[Filed 11/21/80, Notice 9/17/80—published 12/10/80, effective 1/14/81]
[Filed 4/29/82, Notice 1/20/82—published 5/26/82, effective 7/1/82]
[Filed 12/16/83, Notice 11/9/83—published 1/4/84, effective 3/1/84]
[Filed emergency 8/31/84—published 9/26/84, effective 10/1/84]
[Filed emergency 6/14/85—published 7/3/85, effective 7/1/85]
[Filed 6/14/85, Notice 5/8/85—published 7/3/85, effective 9/1/85]
[Filed emergency 10/1/85—published 10/23/85, effective 11/1/85]
[Filed without Notice 10/1/85—published 10/23/85, effective 12/1/85]
[Filed 12/2/85, Notice 10/23/85—published 12/18/85, effective 2/1/86]
[Filed emergency 6/26/86—published 7/16/86, effective 7/1/86]
[Filed emergency 1/15/87—published 2/11/87, effective 1/15/87]
[Filed 10/23/87, Notice 9/9/87—published 11/18/87, effective 1/1/88]
[Filed emergency 6/9/88—published 6/29/88, effective 7/1/88]
[Filed 7/14/89, Notice 4/19/89—published 8/9/89, effective 10/1/89]
[Filed 12/13/90, Notice 10/31/90—published 1/9/91, effective 3/1/91]
[Filed emergency 6/14/91—published 7/10/91, effective 7/1/91]
[Filed 9/18/91, Notice 7/24/91—published 10/16/91, effective 12/1/91]
[Filed emergency 6/12/92—published 7/8/92, effective 7/1/92]
[Filed 8/14/92, Notice 7/8/92—published 9/2/92, effective 11/1/92]
[Filed 10/15/92, Notice 8/19/92—published 11/11/92, effective 1/1/93]
[Filed 7/14/93, Notice 5/26/93—published 8/4/93, effective 10/1/93]
[Filed 7/10/96, Notice 6/5/96—published 7/31/96, effective 10/1/96]
[Filed 4/11/97, Notice 2/12/97—published 5/7/97, effective 7/1/97]
[Filed without Notice 5/4/05—published 5/25/05, effective 7/1/05]
[Filed ARC 0991C (Notice ARC 0790C, IAB 6/12/13), IAB 9/4/13, effective 11/1/13]
[Filed Emergency After Notice ARC 3441C (Notice ARC 3259C, IAB 8/16/17), IAB 11/8/17, effective 10/11/17]
[Filed ARC 6623C (Notice ARC 6472C, IAB 8/24/22), IAB 11/2/22, effective 1/1/23]