645—182.2(154,272C) Recordkeeping. Optometrists will maintain patient records in a manner consistent with the protection of the welfare of the patient. Records will be permanent, timely, accurate, legible, and easily understandable.
	182.2(1) Optometrists will maintain optometry records for each patient. The records will contain all of the following:
	a. 	Personal data.
	(1)	Name, date of birth, address and, if a minor, name of parent or guardian; and
	(2)	Name and telephone number of emergency contact.
	b. 	Optometry and medical history. Optometry records will include information from the patient or the patient’s parent or guardian regarding the patient’s optometric and medical history. The information will include sufficient data to support the recommended treatment plan.
	c. 	Patient’s reason for visit. Optometric records will include the patient’s stated visual health care reasons for visiting the optometrist.
	d. 	Clinical examination progress notes. Optometric records will include chronological dates and descriptions of the following:
	(1)	Clinical examination findings, tests conducted, and a summary of all pertinent diagnoses;
	(2)	Plan of intended treatment and treatment sequence;
	(3)	Services rendered and any treatment complications;
	(4)	All ancillary testing, if applicable;
	(5)	Vision tests completed and visual acuity;
	(6)	Name, quantity, and strength of all drugs dispensed, administered, or prescribed; and
	(7)	Name of optometrist who performs any treatment or service or who may have contact with a patient regarding the patient’s optometric health.
	e. 	Informed consent. Optometric records will include documentation of informed consent for procedure(s) and treatment that have potential serious complications and known risks.
	182.2(2) Retention of records. An optometrist will maintain a patient’s record(s) for a minimum of five years after the date of last examination, prescription, or treatment. Records for minors will be maintained for, at minimum, one year after the patient reaches the age of majority (18) or five years after the date of last examination, prescription, or treatment, whichever is longer.
Proper safeguards will be maintained to ensure the safety of records from destructive elements.
	182.2(3) Electronic recordkeeping. The requirements of this rule apply to electronic records as well as to records kept by any other means. When electronic records are kept, an optometrist will keep either a duplicate hard-copy record or a back-up unalterable electronic record.
	182.2(4) Correction of records. Notations will be legible, written in ink, and contain no erasures or white-outs. If incorrect information is placed in the record, it must be crossed out with a single nondeleting line and be initialed by an optometric health care worker.
	182.2(5) Confidentiality and transfer of records. Optometrists will preserve the confidentiality of patient records in a manner consistent with the protection of the welfare of the patient. Upon request of the patient or the patient’s new optometrist, the optometrist will furnish such optometry records or copies of the records as will be beneficial for the future treatment of that patient. The optometrist may include a summary of the record(s) with the record(s) or copy of the record(s). The optometrist may charge a nominal fee for duplication of records, but may not refuse to transfer records for nonpayment of any fees. The optometrist may ask for a written request for the record(s).
	182.2(6) Retirement or discontinuance of practice. A licensee, upon retirement, or upon discontinuation of the practice of optometry, or upon leaving a practice or moving from a community, will notify all active patients in writing, or by publication once a week for three consecutive weeks in a newspaper of general circulation in the community, that the licensee intends to discontinue the practice of optometry in the community, and will encourage patients to seek the services of another licensee. The licensee will make reasonable arrangements with active patients for the transfer of patient records, or copies of those records, to the succeeding licensee. “Active patient” means a person whom the licensee has examined, treated, cared for, or otherwise consulted with during the two-year period prior to retirement, discontinuation of the practice of optometry, or leaving a practice or moving from a community.
	182.2(7) Nothing stated in these rules will prohibit a licensee from conveying or transferring the licensee’s patient records to another licensed optometrist who is assuming a practice, provided that written notice is furnished to all patients.
[ARC 7976C, IAB 5/15/24, effective 6/19/24]