135C.40 Citations when violations found — penalties — exception.
1. If the director determines, based on the findings of an inspection or investigation of a health care facility, that the facility is in violation of this chapter or rules adopted under this chapter, the director within five working days after making the determination, may issue a written citation to the facility. The citation shall be served upon the facility personally, by electronic mail, or by certified mail, except that a citation for a class III violation may be sent by ordinary mail. Each citation shall specifically describe the nature of the violation, identifying the Code section or subsection or the rule or standard violated, and the classification of the violation under section 135C.36. Where appropriate, the citation shall also state the period of time allowed for correction of the violation, which shall in each case be the shortest period of time the department deems feasible. Failure to correct a violation within the time specified, unless the licensee shows that the failure was due to circumstances beyond the licensee’s control, shall subject the facility to a further penalty of fifty dollars for each day that the violation continues after the time specified for correction.
a. If a facility licensed under this chapter is subject to or will be subject to denial of payment including payment for Medicare or medical assistance under chapter 249A, or denial of payment for all new admissions pursuant to
42 C.F.R. §488.417
, and submits a plan of correction relating to a statement of deficiencies or a response to a citation issued under rules adopted by the department and the department elects to conduct an on-site revisit inspection, the department shall commence the revisit inspection within the shortest time feasible of the date that the plan of correction is received, or the date specified within the plan of correction alleging compliance, whichever is later.
b. If the department recommends the issuance of federal remedies pursuant to
42 C.F.R. §488.406(a)(2)
or
(a)(3)
, relating to an inspection conducted by the department, the department shall issue the statement of deficiencies within twenty-four hours of the date that the centers for Medicare and Medicaid services of the United States department of health and human services was notified of the recommendation for the imposition of remedies.
c. The facility shall be provided an exit interview at the conclusion of an inspection and the facility representative shall be informed of all issues and areas of concern related to the deficient practices. The department may conduct the exit interview either in person or by telephone, and a second exit interview shall be provided if any additional issues or areas of concern are identified. The facility shall be provided two working days from the date of the exit interview to submit additional or rebuttal information to the department.
2. When a citation is served upon or mailed to a health care facility under subsection 1 and the licensee of the facility is not actually involved in the daily operation of the facility, a copy of the citation shall be mailed to the licensee. If the licensee is a corporation, a copy of the citation shall be sent to the corporation’s office of record. If the citation was issued pursuant to an inspection resulting from a complaint filed under section 135C.37, a copy of the citation shall be sent to the complainant at the earliest time permitted by section 135C.19, subsection 1.
3. No health care facility shall be cited for any violation caused by any practitioner licensed pursuant to chapter 148 if that practitioner is not the licensee of and is not otherwise financially interested in the facility and the licensee or the facility presents evidence that reasonable care and diligence have been exercised in notifying the practitioner of the practitioner’s duty to the patients in the facility.
[C77, 79, 81, §135C.40; 81 Acts, ch 61, §1]
84 Acts, ch 1227, §4; 2008 Acts, ch 1088, §89; 2009 Acts, ch 156, §5
Referred to in §135C.19, 135C.36, 135C.41, 135C.46
Structure Iowa Code
Chapter 135C - HEALTH CARE FACILITIES
Section 135C.2 - Purpose — rules — special classifications — protection and advocacy agency.
Section 135C.3 - Nature of care.
Section 135C.4 - Residential care facilities.
Section 135C.5 - Limitations on use.
Section 135C.6 - License required — exemptions.
Section 135C.7 - Application — fees.
Section 135C.8 - Scope of license.
Section 135C.9 - Inspection before issuance — notice of deficiencies.
Section 135C.10 - Denial, suspension, or revocation.
Section 135C.11 - Notice — hearings.
Section 135C.12 - Conditional operation.
Section 135C.13 - Judicial review.
Section 135C.15 - Time to comply.
Section 135C.16 - Inspections.
Section 135C.16A - Inspectors — conflicts of interest.
Section 135C.17 - Duties of other departments.
Section 135C.19 - Public disclosure of inspection findings — posting of citations.
Section 135C.20 - Information distributed.
Section 135C.20B - Governor’s award — quality care.
Section 135C.22 - Applicable to governmental units.
Section 135C.23 - Express requirements for admission or residence.
Section 135C.24 - Personal property or affairs of patients or residents.
Section 135C.25 - Resident advocate committee appointments — duties — disclosure — liability.
Section 135C.26 - Director notified of casualties.
Section 135C.27 - Federal funds to implement program.
Section 135C.28 - Conflicting statutes.
Section 135C.29 - License list to county commissioner of elections.
Section 135C.30 - Operation of facility under receivership.
Section 135C.31 - Discharge of Medicaid patients.
Section 135C.31A - Assessment of residents — program eligibility — prescription drug coverage.
Section 135C.32 - Hospice services covered by Medicare.
Section 135C.34 - Medication aide — certification.
Section 135C.35 - Training of inspectors.
Section 135C.36 - Violations classified — penalties.
Section 135C.37 - Complaints alleging violations — confidentiality.
Section 135C.38 - Inspections upon complaints.
Section 135C.39 - No advance notice of inspection — exception.
Section 135C.40 - Citations when violations found — penalties — exception.
Section 135C.40A - Issuance of final findings.
Section 135C.41 - Licensee’s response to citation.
Section 135C.42 - Informal conference on contested citation.
Section 135C.43 - Judicial review.
Section 135C.43A - Reduction of penalty amount.
Section 135C.44 - Treble fines for repeated violations.
Section 135C.44A - Double fines for intentional violations.
Section 135C.45 - Refund of penalty.
Section 135C.45A - Notification penalty.
Section 135C.46 - Retaliation by facility prohibited.