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§488.325 Disclosure of results of surveys and activities.
(a) Information which must be provided to public. As provided in sections 1819(g)(5) and 1919(g)(5) of the Act, the following information must be made available to the public, upon the public's request, by the State or CMS for all surveys and certifications of SNFs and NFs:
(1) Statements of deficiencies and providers' comments.
(2) A list of isolated deficiencies that constitute no actual harm, with the potential for minimal harm.
(3) Approved plans of correction.
(4) Statements that the facility did not submit an acceptable plan of correction or failed to comply with the conditions of imposed remedies.
(5) Final appeal results.
(6) Notice of termination of a facility.
(7) Medicare and Medicaid cost reports.
(8) Names of individuals with direct or indirect ownership interest in a SNF or NF, as defined in §420.201 of this chapter.
(9) Names of individuals with direct or indirect ownership interest in a SNF or NF, as defined in §420.201 of this chapter, who have been found guilty by a court of law of a criminal offense in violation of Medicare or Medicaid law.
(b) Charge to public for information. CMS and the State may charge the public for specified services with respect to requests for information in accordance with—
(1) Section 401.140 of this chapter, for Medicare; or
(2) State procedures, for Medicaid.
(c) How public can request information. The public may request information in accordance with disclosure procedures specified in 45 CFR part 5.
(d) When information must be disclosed. The disclosing agency must make available to the public, upon the public's request, information concerning all surveys and certifications of SNFs and NFs, including statements of deficiencies, separate listings of any isolated deficiencies that constitute no actual harm, with the potential for minimal harm, and plans of correction (which contain any provider response to the deficiency statement) within 14 calendar days after each item is made available to the facility.
(e) Procedures for responding to requests. The procedures and time periods for responding to requests are in accordance with—
(1) Section 401.136 of this chapter for documents maintained by CMS; and
(2) State procedures for documents maintained by the State.
(f) Information that must be provided to the State's long-term care ombudsman. The State must provide the State's long-term care ombudsman with the following:
(1) A statement of deficiencies reflecting facility noncompliance, including a separate list of isolated deficiencies that constitute no harm with the potential for minimal harm.
(2) Reports of adverse actions specified at §488.406 imposed on a facility.
(3) Written response by the provider.
(4) A provider's request for an appeal and the results of any appeal.
(g) Information which must be provided to State by a facility with substandard quality of care. (1) To provide for the notice to physicians required under sections 1819(g)(5)(C) and 1919(g)(5)(C) of the Act, not later than 10 working days after receiving a notice of substandard quality of care, a SNF or NF must provide the State with a list of—
(i) Each resident in the facility with respect to which such finding was made; and
(ii) The name and address of his or her attending physician.
(2) Failure to disclose the information timely will result in termination of participation or imposition of alternative remedies.
(h) Information the State must provide to attending physician and State board. Not later than 20 calendar days after a SNF or NF complies with paragraph (g) of this section, the State must provide written notice of the noncompliance to—
(1) The attending physician of each resident in the facility with respect to which a finding of substandard quality of care was made; and
(2) The State board responsible for licensing the facility's administrator.
(i) Access to information by State Medicaid fraud control unit. The State must provide access to any survey and certification information incidental to a SNF's or NF's participation in Medicare or Medicaid upon written request by the State Medicaid fraud control unit established under part 1007, of this title, consistent with current State laws.
[59 FR 56238, Nov. 10, 1994; 60 FR 50118, Sept. 28, 1995]