chapter 13 – NC medical care commission

 

subchapter 13A – executive committee

 

section .0100 – executive committee

 

10A NCAC 13A .0101      EXECUTIVE COMMITTEE

(a)  There shall be an executive committee of the North Carolina Medical Care Commission composed of five members of the commission in addition to the chairman and vice‑chairman of the commission.  Three members shall be appointed by a vote of the commission at the December meeting of each odd year and two members shall be appointed by the chairman of the commission at the December meeting of each even year.  No member of the executive committee, except the chairman and vice‑chairman, shall serve more than two two‑year terms in succession.  The chairman and vice‑chairman of the commission shall also be chairman and vice‑chairman of the executive committee.

(b)  The functions of the executive committee shall be to:

(1)           transact business in behalf of the commission, consistent with established policy, which in the opinion of the chairman is of such urgency that action is required before the next regularly scheduled commission meeting and the impact of the action would not justify the convening of a special meeting of the commission;

(2)           transact business in behalf of the commission when a quorum is not obtained at any commission meeting for which prior notice of at least ten days has been given;

(3)           review periodically the activities of the commission and the assignments and recommendations of the various committees for the purpose of developing policy recommendations for commission consideration.

(c)  All actions of the executive committee shall be reviewed at the next commission meeting and if disagreement is expressed by a simple majority of the members present and voting at any commission meeting in which a quorum is present, the functions of the executive committee shall be suspended until resolved by later action of the commission.

(d)  The initial approval of all projects under the Health Care Facilities Finance Act must be given by a quorum of the full commission.

(e)  A quorum of the executive committee shall consist of at least four members of the executive committee.

 

History Note:        Authority G.S. 131A‑4; 143B‑165; 143B‑166;

Eff. January 1, 1989;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

SECTION .0200 ‑ RULEMAKING

 

10A NCAC 13A .0201      PETITIONS

(a)  Any person wishing to submit a petition requesting the adoption, amendment or repeal of a rule by the North Carolina Medical Care Commission shall address the petition to Office of the Director, Division of Health Service Regulation, 2701 Mail Service Center, Raleigh, North Carolina, 27699-2701.

(b)  The petition shall contain the following information:

(1)           either a draft of the proposed rule or a summary of its contents and the statutory authority for the agency to promulgate the rule;

(2)           reason for proposal;

(3)           effect on existing rules or orders;

(4)           any data supporting the proposal;

(5)           effect of the proposed rule on existing practices in the area involved, including cost factors, if known;

(6)           names of those most likely to be affected by the proposed rule, with addresses, if known;

(7)           name(s) and address(es) of petitioner(s).

(c)  The Chairman of the Medical Care Commission will determine, based on a study of the facts stated in the petition, whether the public interest will be served by granting the petition.  He will consider all the contents of the submitted petition, plus any additional information he deems relevant.

(d)  Within 30 days of submission of the petition, the Chairman will render a final decision.  If the decision is to deny the petition, the Chairman will notify the petitioner in writing, stating the reasons for the denial.  If the decision is to approve the petition, the Chairman will initiate a rulemaking proceeding by issuing a rulemaking notice, as provided in these rules.

 

History Note:        Authority G.S. 143B‑165;

Eff. February 1, 1976;

Readopted Eff. December 19, 1977;

Amended Eff. November 1, 1989;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

10A NCAC 13A .0202      RULEMAKING PROCEDURES

(a)  The rulemaking procedures for the Secretary of the Department of Health and Human Services codified in 10A NCAC 01 are hereby adopted by reference pursuant to G.S. 150B‑14(c) to apply to the actions of the Commission, with the following modifications:

(1)           Correspondence related to the Commission's rulemaking actions shall be submitted to:

 

APA/Rule-making Coordinator

Office of the Director

Division of Health Service Regulation

2701 Mail Service Center

Raleigh, North Carolina 27699-2701

 

(2)           The Secretary's designee shall mean the Director of the Division of Health Service Regulation (hereinafter referred to as the Division).

(3)           The "Division" shall be substituted for the "Office of General Counsel" in 10A NCAC 01.

(4)           "Hearing officer" shall mean the Chairman of the Medical Care Commission or his designee.

(b)  Copies of 10A NCAC 01 may be inspected in the Division at the address shown in (a)(1) of this Rule.  Copies may be obtained from the Office of Administrative Hearings, 424 North Blount Street, Raleigh, North Carolina, 27601.

 

History Note:        Authority G.S. 143B‑165; 150B‑11; 150B‑14;

Eff. November 1, 1989;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

10A NCAC 13A .0203      DECLARATORY RULINGS

(a)  The Commission shall have the power to make declaratory rulings. All requests for declaratory rulings shall be written and submitted to:  Chairman, Medical Care Commission, 2701 Mail Service Center, Raleigh, North Carolina, 27699-2701.

(b)  All requests for a declaratory ruling must include the following information:

(1)           name and address of the petitioner;

(2)           statute or rule to which petition relates;

(3)           concise statement of the manner in which petitioner is aggrieved by the rule or statute or its potential application to him;

(4)           the consequences of a failure to issue a declaratory ruling.

(c)  Whenever the Commission believes for good cause that the issuance of a declaratory ruling will not serve the public interest, it may refuse to issue one.  When good cause is deemed to exist, the Commission will notify the petitioner of the decision in writing stating reasons for the denial of a declaratory ruling.

(d)  The Commission may refuse to consider the validity of a rule and therefore refuse to issue a declaratory ruling:

(1)           unless the petitioner shows that the circumstances are so changed since adoption of the rule that such a ruling would be warranted;

(2)           unless the rulemaking record evidences a failure by the agency to consider specified relevant factors;

(3)           if there has been similar controlling factual determination in a contested case, or if the factual context being raised for a declaratory ruling was specifically considered upon adoption of the rule being questioned as evidence by the rulemaking record;

(4)           if circumstances stated in the request or otherwise known to the agency show that a contested case hearing would presently be appropriate.

(e)  Where a declaratory ruling is deemed to be in the public interest, the Commission will issue the ruling within 60 days of receipt of the petition.

(f)  A declaratory ruling procedure may consist of written submissions, oral hearings, or such other procedure as may be appropriate in a particular case.

(g)  The Commission may issue notice to persons who might be affected by the ruling that written comments may be submitted or oral presentations received at a scheduled hearing.

(h)  A record of all declaratory ruling procedures will be maintained for as long as the ruling has validity.  This record will contain:

(1)           the original request,

(2)           reasons for refusing to issue a ruling,

(3)           all written memoranda and information submitted,

(4)           any written minutes or audio tape or other record of the oral hearing, and

(5)           a statement of the ruling.

This record will be maintained in a file at the Director's office at Division of Health Service Regulation, 2701 Mail Service Center, Raleigh, North Carolina, 27699-2701 and will be available for public inspection during regular office hours.

 

History Note:        Authority G.S. 143B‑165; 150B-4;

Eff. November 1, 1989;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

 

subchapter 13b – licensing of hospitals

 

10a ncac 13B .0100      reserved for future codification

 

Section .0200 – reserved for future codification

 

10A NCAC 13B .0200      Reserved for future codification

 

section .0300 – reserved for future codification

 

10A NCAC 13B .0300      Reserved for future codification

 

section .0400 – reserved for future codification

 

10A NCAC 13B .0400      Reserved for future codification

 

section .0500 – reserved for future codification

 

10A NCAC 13B .0500      Reserved for future codification

 

section .0600 – reserved for future codification

 

10A NCAC 13B .0600      Reserved for future codification

 

section .0700 – reserved for future codification

 

10A NCAC 13B .0700      Reserved for future codification

 

section .0800 – reserved for future codification

 

10A NCAC 13B .0800      Reserved for future codification

 

section .0900 – reserved for future codification

 

10A NCAC 13B .0900      Reserved for future codification

 

section .1000 – reserved for future codification

 

10A NCAC 13B .1000      Reserved for future codification

 

section .1100 – reserved for future codification

 

10A NCAC 13B .1100      Reserved for future codification

 

section .1200 – reserved for future codification

 

10A NCAC 13B .1200      Reserved for future codification

 

section .1300 – reserved for future codification

 

10A NCAC 13B .1300      Reserved for future codification

 

section .1400 – reserved for future codification

 

10A NCAC 13B .1400      Reserved for future codification

 

section .1500 – reserved for future codification

 

10A NCAC 13B .1500      Reserved for future codification

 

section .1600 – reserved for future codification

 

10A NCAC 13B .1600      Reserved for future codification

 

section .1700 – reserved for future codification

 

10A NCAC 13B .1700      Reserved for future codification

 

section .1800 – reserved for future codification

 

10A NCAC 13B .1800      Reserved for future codification

 

SECTION .1900 ‑ SUPPLEMENTAL RULES FOR THE LICENSURE OF THE SKILLED: INTERMEDIATE: adult care home BEDS IN A HOSPITAL

 

10A NCAC 13b .1901      SUPPLEMENTAL RULES

When a hospital offers nursing facility or adult care home long‑term care services, the services shall be included under one hospital license as provided in Rule .0201(c). The general requirements included in this Subchapter shall apply when applicable but in addition the nursing facility care and adult care home care unit must meet the supplemental requirements of this Section.

 

History Note:        Authority G.S. 131E‑79; 42 U.S.C. 1396 r (a);

Eff. February 1, 1986;

Temporary Amendment Eff. October 1, 1990 For a Period of 142 Days to Expire on February 28, 1991;

Amended Eff. March 1, 1991;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13b .1902      DEFINITIONS

The following definitions shall apply throughout this Section, unless text otherwise clearly indicates to the contrary:

(1)           "Accident" means something occurring by chance or without intention which has caused physical or mental harm to a patient, resident or employee.

(2)           "Administer" means the direct application of a drug to the body of a patient by injection, inhalation, ingestion or other means.

(3)           "Administrator" means the person who has authority for and is responsible to the governing board for the overall operation of a facility.

(4)           "Brain injury long‑term care" is defined as an interdisciplinary, intensive maintenance program for patients who have incurred brain damage caused by external physical trauma and who have completed a primary course of rehabilitative treatment and have reached a point of no gain or progress for more than three consecutive months.  Services are provided through a medically supervised interdisciplinary process and are directed toward maintaining the individual at the optimal level of physical, cognitive and behavioral functioning.

(5)           "Capacity" means the maximum number of patient or resident beds which the facility is licensed to maintain at any given time.  This number shall be determined as follows:

(a)           Bedrooms shall have minimum square footage of 100 square feet for a single bedroom and 80 square feet per patient or resident in multi‑bedded rooms.  This minimum square footage shall not include space in toilet rooms, washrooms, closets, vestibules, corridors, and built‑in furniture.

(b)           Dining, recreation and common use areas available shall total no less than 25 square feet per bed for skilled nursing and intermediate care beds and no less than 30 square feet per bed for adult care home beds.  Such space must be contiguous to patient and resident bedrooms.

(6)           "Combination Facility" means any hospital with nursing home beds which is licensed to provide more than one level of care such as a combination of intermediate care and/or skilled nursing care and adult care home care.

(7)           "Convalescent Care" means care given for the purpose of assisting the patient or resident to regain health or strength.

(8)           "Department" means the North Carolina Department of Health and Human Services.

(9)           "Director of Nursing" means the nurse who has authority and direct responsibility for all nursing services and nursing care.

(10)         "Dispense" means preparing and packaging a prescription drug or device in a container and labeling the container with information required by state and federal law.  Filling or refilling drug containers with prescription drugs for subsequent use by a patient is "dispensing".  Providing quantities of unit dose prescription drugs for subsequent administration is "dispensing".

(11)         "Drug" means substances:

(a)           recognized in the official United States Pharmacopoeia, official National Formulary, or any supplement to any of them;

(b)           intended for use in the diagnosis, cure, mitigation, treatment, or prevention of disease in man or other animals;

(c)           intended to affect the structure or any function of the body of man or other animals, i.e., substances other than food; and

(d)           intended for use as a component of any article specified in (a), (b), or (c) of this Subparagraph; but does not include devices or their components, parts, or accessories.

(12)         "Duly Licensed" means holding a current and valid license as required under the General Statues of North Carolina.

(13)         "Existing Facility" means a licensed facility; or a proposed facility, proposed addition to a licensed facility or proposed remodeled licensed facility that will be built according to plans and specifications which have been approved by the department through the preliminary working drawings stage prior to the effective date of this Rule.

(14)         "Exit Conference" means the conference held at the end of a survey, inspection or investigation, but prior to finalizing the same, between the department's representatives who conducted the survey, inspection or investigation and the facility administration representative(s).

(15)         "Incident" means an intentional or unintentional action, occurrence or happening which is likely to cause or lead to physical or mental harm to a patient, resident or employee.

(16)         "Licensed Practical Nurse" means a nurse who is duly licensed as a practical nurse under G.S. 90, Article 9A.

(17)         "Licensee" means the person, firm, partnership, association, corporation or organization to whom a license has been issued.

(18)         "Medication" means drug as defined in (12) of this Rule.

(19)         "New Facility" means a proposed facility, a proposed addition to an existing facility or a proposed remodeled portion of an existing facility that is constructed according to plans and specifications approved by the department subsequent to the effective date of this Rule.  If determined by the department that more than one half of an existing facility is remodeled, the entire existing facility shall be considered a new facility.

(20)         "Nurse Aide" means any individual providing nursing or nursing‑related services to patients in a facility, and is not a licensed health professional, a qualified dietitian or someone who volunteers to provide such services without pay, and who is listed in a nurse aide registry approved by the Department.

(21)         "Nurse Aide Trainee" means an individual who has not completed an approved nurse aide training course and competency evaluation and is demonstrating knowledge, while performing tasks for which they have been found proficient by an instructor. These tasks shall be performed under the direct supervision of a registered nurse. The term does not apply to volunteers.

(22)         "Nursing Facility" means that portion of a nursing home certified under Title XIX of the Social Security Act (Medicaid) as in compliance with federal program standards for nursing facilities.  It is often used as synonymous with the term "nursing home" which is the usual prerequisite level for state licensure for nursing facility (NF) certification and Medicare skilled nursing facility (SNF) certification.

(23)         "Nurse in Charge" means the nurse to whom duties for a specified number of patients and staff for a specified period of time have been delegated, such as for Unit A on the 7‑3 or 3‑11 shift.

(24)         "On Duty" means personnel who are awake, dressed, responsive to patient needs and physically present in the facility performing assigned duties.

(25)         "Patient" means any person admitted for care to a skilled nursing or intermediate care facility.

(26)         "Physician" means a person licensed under G.S. Chapter 90, Article 1 to practice medicine in North Carolina.

(27)         "Qualified Dietitian" means a person who meets the standards and qualifications established by the Committee on Professional Registration of the American Dietetic Association included in "Standards of Practice" seven dollars and twenty-five cents ($7.25) or "Code of Ethics for the Profession of Dietetics" two dollars and fifteen cents ($2.15), American Dietetic Association, 216 W. Jackson Blvd., Chicago, IL 60606‑6995.

(28)         "Registered Nurse" means a nurse who is duly licensed as a registered nurse under G.S. 90, Article 9A.

(29)         "Resident" means any person admitted for care to an adult care home.

(30)         "Sitter" means an individual employed to provide companionship and social interaction to a particular resident or patient, usually on a private duty basis.

(31)         "Supervisor‑in‑Charge" means a duly licensed nurse to whom supervisory duties have been delegated by the Director of Nursing.

(32)         "Ventilator dependence" means physiological dependency by a patient on the use of a ventilator for more than eight hours a day.

 

History Note:        Filed as a Temporary Amendment Eff. October 1, 1990 For a Period of 142 Days to Expire on February 28, 1991;

Authority G.S. 131E‑79;

Eff. February 1, 1986;

Amended Eff. February 1, 1993; December 1, 1991; March 1, 1991; March 1, 1990.

 

10A NCAC 13B .1903      INSPECTIONS

(a)  Any hospital with beds licensed by the Department under Section .1900 of these Rules may be inspected by one or more authorized representatives of the Department at any time. Generally, inspections will be conducted between the hours of 8:00 a.m. and 6:00 p.m., Monday through Friday. However, complaint investigations shall be conducted at the most appropriate time for investigating allegations of the complaint.

(b)  At the time of inspection, any authorized representative of the Department shall make his presence known to the administrator or other person in charge who shall cooperate with such representative and facilitate the inspection.

 

History Note:        Authority G.S. 131E‑79; 42 U.S.C. 1396 r (a);

Eff. February 1, 1986;

Amended Eff. March 1, 1990;

Temporary Amendment Eff. October 1, 1990 For a Period of 142 Days to Expire on February 28, 1991;

Amended Eff. March 1, 1991;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .1904      PROCEDURE FOR APPEAL

A hospital with nursing facility or adult care home beds may appeal any decision of the Department to deny, revoke or alter a license by making such an appeal in accordance with G.S. Chapter 150B.

 

History Note:        Authority G.S. 131E‑79; 42 U.S.C. 1396 r (a);

Eff. February 1, 1986;

Amended Eff. March 1, 1990;

Temporary Amendment Eff. October 1, 1990 For a Period of 142 Days to Expire on February 28, 1991;

Amended Eff. March 1, 1991;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .1905      ADMISSIONS

(a)  No patient shall be admitted except under the orders of a duly licensed physician.

(b)  The facility shall acquire prior to or at the time of admission orders from the attending physician for the immediate care of the patient or resident.

(c)  Within 48 hours of admission, the facility shall acquire medical information which shall include current medical findings, diagnosis, rehabilitation potential, a summary of the hospital stay if the patient is being transferred from a hospital, and orders for the ongoing care of the patient.

(d)  If a patient is admitted from somewhere other than a hospital, a physical examination shall be performed either within 5 days prior to admission or within 48 hours following admission.

(e)  Hospitals offering nursing facility or domiciliary home care as a new service must prepare a plan of admission which, at a minimum, assures availability of staff time and plans for individual patient assessments, initiation of health care or nursing care plans, and implementation of physician and nursing treatment plans. This plan must be available for inspection during the initial licensure survey prior to issuance of a license.

(f)  Only persons who are 18 years of age or older shall be admitted to adult care home beds in a facility.

 

History Note:        Authority G.S. 131E‑79; 42 U.S.C. 1396 r (a);

Eff. February 1, 1986;

Amended Eff. March 1, 1990;

Temporary Amendment Eff. October 1, 1990 For a Period of 142 Days to Expire on February 28, 1991;

Amended Eff. March 1, 1991;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .1906      POLICIES AND PROCEDURES

The governing board shall assure written policies and procedures which are available to and implemented by staff. These policies and procedures shall cover at least the following areas:

(1)           admissions;

(2)           dietary;

(3)           discharges with physician orders and patients or residents leaving against physician advice;

(4)           gratuities and solicitation which at a minimum shall provide that no owner, operator, agent or employee of a facility nor any member of his family shall accept a gratuity directly or indirectly from an patient or resident in the facility or solicit for any type of contribution;

(5)           housekeeping;

(6)           infection control which must include, but shall not be limited to, requirements for sterile, aseptic and isolation techniques; and communicable disease screening including, at a minimum, annual tuberculosis screening for all staff and inpatients of the facility;

(7)           maintenance of patient medical or health care records including charging or record keeping;

(8)           orientation of all facility personnel;

(9)           patient or resident care plans, treatment and other health care or nursing care, including but not limited to all policies and procedures required by rules contained in this Subchapter;

(10)         patients' or residents' rights;

(11)         physical evaluation for residents and patients at least annually;

(12)         physician services and utilization of the individual's private physician;

(13)         procurement of supplies and equipment to meet individual patient care needs;

(14)         protection of patients from abuse and neglect;

(15)         range of services provided;

(16)         recording and reporting to the department of accidents or incidents occurring to patients in any part of the facility and maintenance of such reports or records;

(17)         rehabilitation services;

(18)         release of medical record information;

(19)         screening and reporting communicable disease to the local health department; and

(20)         transfers.

 

History Note:        Authority G.S. 131E‑79;

Eff. February 1, 1986;

Amended Eff. March 1, 1990;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .1907      GENERAL

The governing board shall assure that policies and procedures are available and implemented for assessing each patient's or resident's health care needs and planning for meeting identified health care needs. There shall be a system for evaluating the effectiveness of the assessment, planning and implementation (delivery of care processes) for each patient or resident.

 

History Note:        Authority G.S. 131E‑79;

Eff. February 1, 1986;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .1908      FREQUENCY: METHOD AND CONTENT OF ASSESSMENT: PLANNING

Each patient's and resident's condition must be assessed on a regular, periodic basis, at least quarterly, with appropriate notation and updating of the health care plan. Health care planning for each patient and resident shall be an on‑going process and must include, but shall not be limited to, the following:

(1)           data which is systematically and continuously collected about his or her health status; the data shall be recorded so as to be accessible and communicated to all staff involved in the patient's or resident's care;

(2)           current problems or needs identified and prioritized from a completed assessment relevant to the patient's or resident's response to aging, illness and general health status; and

(3)           a current plan of care developed in conjunction with the patient or resident or legal guardian that includes measurable time related goals and approaches, or measures to be employed by various disciplines in order to achieve the identified goals.

 

History Note:        Authority G.S. 131E‑79;

Eff. February 1, 1986;

Amended Eff. March 1, 1990;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .1909      IMPLEMENTATION OF HEALTH PLAN

All parts of the plan of care shall be assigned to specific disciplines or staff as indicated in the plan of care to assure that health care and rehabilitative services are performed daily and documented for those patients and residents who require such services.

 

History Note:        Authority G.S. 131E‑79;

Eff. February 1, 1986;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .1910      NURSING/HEALTH CARE ADMINISTRATION AND SUPERVISION

(a)  A licensed facility shall have a director of nursing service who shall be responsible for the overall organization and management of all nursing services and shall be currently licensed to practice as a registered nurse by the North Carolina Board of Nursing in accordance with G.S. 90, Article 9A.

(b)  The Director of Nursing shall not serve as administrator or assistant administrator.

(c)  A licensed facility with nursing facilities shall provide a full‑time director of nursing on duty at least eight hours per day, five days a week. A registered nurse shall relieve the Director of Nursing (be in charge of nursing) during the Director's absence.

(d)  A licensed facility shall employ and assign registered nurses, licensed practical nurses, nurse aides and nurse aide trainees for duties in accordance with G.S. 90, Article 9A.

(e)  The Director of Nursing shall cause the following to be accomplished:

(1)           establishment and implementation of nursing policies and procedures which shall include, but shall not be limited to the following:

(A)          assessment of and planning for patients' nursing care or health care needs, and implementation of nursing or health care plans;

(B)          daily charting of any unusual occurrences or acute episodes related to patient care, and progress notes written monthly reporting each patient's performance in accordance with identified goals and objectives and each patient's progress toward rehabilitative nursing goals;

(C)          assurance of the delivery of nursing services in accordance with physicians' orders, nursing care plans and the facility's policies and procedures;

(D)          notification of emergency physicians or on‑call physicians;

(E)           infection control to prevent cross‑infection among patients and staff;

(F)           reporting of deaths;

(G)          emergency reporting of fire, patient and staff accidents or incidents, or other emergency situations;

(H)          use of protective devices or restraints to assure that each patient or resident is restrained in accordance with physician orders and the facility's policies, and that the restrained patient or resident is appropriately evaluated and released at a minimum of every two hours;

(I)            special skin care and decubiti care;

(J)            bowel and bladder training;

(K)          maintenance of proper body alignment and restorative nursing care;

(L)           supervision of and assisting patients with feeding;

(M)         intake and output observation and reporting for those patients whose condition warrants monitoring of their fluid balance. This will include those patients on intravenous fluids or tube feedings, and patients with kidney failure and temperatures elevated to 102 degrees Fahrenheit or above;

(N)          catheter care; and

(O)          procedures used in caring for patients in the facility;

(2)           development of written job descriptions for nursing personnel;

(3)           periodic assessment of the nursing department with identification of personnel requirements as they relate to patient care needs and reporting same to the administrator;

(4)           a planned orientation and continuing inservice education program for nursing employees and documentation of staff attendance and subject matter covered during inservice education programs;

(5)           provision of appropriate reference materials for the nursing department, which includes a Physician's Desk Reference or comparable drug reference, policy and procedure manual, and medical dictionary for each nursing station; and

(6)           establishment of operational procedures to assure that appropriate supplies and equipment are available to nursing staff as determined by individual patient care needs.

 

History Note:        Authority G.S. 131E‑79; 42 U.S.C. 1396 r (a);

Eff. February 1, 1986;

Amended Eff. March 1, 1990;

Temporary Amendment Eff. October 1, 1990 For a Period of 142 Days to Expire on February 28, 1991;

Amended Eff. March 1, 1991;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .1911      VACANT DIRECTOR OF NURSING POSITION

(a)  The administrator shall notify the Department within 72 hours when the director of nursing position becomes vacant and shall provide the name and license number of the individual who is acting director or the replacement for the director of nursing.

(b)  A facility shall not operate without either a director of nursing or acting director or nursing.

(c)  The administrator shall employ a director of nursing within 30 days after a position becomes vacant. A vacancy which exceeds 30 days shall be reviewed by the Department for action relative to licensure status of the facility.

 

History Note:        Authority G.S. 131E‑79;

Eff. February 1, 1986;

Amended Eff. March 1, 1990;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .1912      NURSE STAFFING REQUIREMENTS

(a)  A licensed facility shall provide licensed nursing personnel sufficient to accomplish the following:

(1)           patient needs assessment,

(2)           patient care planning, and

(3)           supervisory functions in accordance with the level of patient or resident care advertised or offered by the facility.

The facility also shall provide other nursing personnel sufficient to assure that at least activities of daily living, personal grooming, restorative nursing actions and other health care needs as identified in each patient's or resident's plan of care are met.

(b)  A licensed multi‑storied facility (one having more than one story) shall provide at least one person on duty on each patient care floor at all times.

(c)  Daily direct patient care nursing staff, licensed and unlicensed, shall equal or exceed 2.1 nursing hours per patient. (This is sometimes referred to as nursing hours per patient day or NHPPD or NH/PD.)

(1)           Inclusive in these figures is the requirement that at least one licensed nurse is on duty for direct patient care at all time; and

(2)           Nursing care shall include the services of a registered nurse for at least eight consecutive hours a day, seven days a week. This coverage can be spread over more than one shift if such a need exists. The Director of Nursing may be counted as meeting the requirements for both the Director of Nursing and patient and resident care staffing for facilities of a total census of 60 beds or less.

(d)  Nursing support personnel including ward clerks, secretaries, nurse educators and persons in primarily administrative management positions and not actively involved in direct patient care shall not be counted toward compliance with minimum daily requirements for direct care staffing.

(e)  All exceptions to meeting minimum staffing requirements shall be reported to the Department at the end of each month. Staffing waivers granted by the federal government for Medicare and Medicaid certified beds shall be accepted for licensure purposes.

(f)  The ratio of male to female nurse aides will be determined by the needs of the patients, particularly the numbers of male patients requiring assistance with personal care.

 

History Note:        Authority G.S. 131E‑79; 42 U.S.C. 1396 r (b)(4)(C);

Eff. February 1, 1986;

Amended Eff. March 1, 1990;

Temporary Amendment Eff. October 1, 1990 For a Period of 142 Days to Expire on February 28, 1991;

Amended Eff. March 1, 1991;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .1913      reserved for future codification

 

10a NCAC 13B .1914      reserved for future codification

 

10A NCAC 13B .1915      adult care HOME PERSONNEL REQUIREMENTS

(a)  The administrator shall designate a person to be in charge of the adult care home residents at all times.  The nurse in charge of nursing services may also serve as supervisor‑in‑charge of the adult care home beds.

(b)  If adult care home beds are located in a separate building or a separate level of the same building, there must be a person on duty in the adult care home areas at all times.

(c)  A licensed facility shall provide sufficient staff to assure that activities of daily living, personal grooming, and assistance with eating are provided to each resident.  Medication administration as indicated by each resident's condition or physician's orders shall be carried out as identified in each resident's plan of care.

(d)  Adult care home facilities (Home for the Aged beds) licensed as a part of a combination facility shall comply with the staffing requirements of 10 NCAC 42D .1407 as adopted by the Social Services Commission for freestanding adult care homes.

 

History Note:        Filed as a Temporary Amendment Eff. October 1, 1990 For a Period of 142 Days to Expire on February 28, 1991;

Authority G.S. 131E‑79; 42 U.S.C. 1396 r (a);

Eff. February 1, 1986;

Amended Eff. March 1, 1991.

 

10A NCAC 13B .1916      REHABILITATIVE NURSING AND DECUBITUS CARE

Each patient or resident shall be given care to prevent contractures, deformities, and decubiti, including but not limited to:

(1)           changing positions of bedfast and chairfast patients or residents every two hours and administering simple preventive care. Documentation of such care and outcome must be included in routine summaries or progress notes;

(2)           maintaining proper alignment and joint movement to prevent contractures and deformities, which must be documented in routine summaries or progress notes;

(3)           implementing an individualized bowel and bladder training program except for patients or residents whose records are documented that such training is not effective. A monthly summary for patients and quarterly summaries for domiciliary residents shall be written relative to each patient's or resident's performance in the bowel and bladder training program; and

(4)           such other services as necessary to meet the needs of the patient.

 

History Note:        Authority G.S. 131E‑79; 42 U.S.C. 1396 r (a);

Eff. February 1, 1986;

Amended Eff. March 1, 1990;

Temporary Amendment Eff. October 1, 1990 For a Period of 142 Days to Expire on February 28, 1991;

Amended Eff. March 1, 1991;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .1917      MEDICATION ADMINISTRATION

(a)  A licensed facility shall have policies and procedures governing the administration of medications which shall be enforced and implemented by administration and staff. Policies and procedures shall include, but shall not be limited to:

(1)           automatic stop orders for treatment and drugs;

(2)           accountability of controlled substances as defined by the North Carolina Controlled Substances Act, G.S. 90, Article 5;

(3)           dispensing and administering behavior modifying drugs, such as hypnotics, sedatives, tranquilizers, antidepressants and other psychotherapeutic agents; insulin; intravenous fluids and medications; cardiovascular regulating drugs; and antibiotics.

(b)  All medications or drugs and treatments shall be administered and discontinued in accordance with signed physician's orders which are recorded in the patient's or resident's medical record.

(1)           Only physicians, registered nurses, licensed practical nurses or physician assistants, if in accordance with the assistant's approved practice, shall administer medications.

(2)           To ensure accountability, any medication shall be administered by the same licensed personnel who prepared the dose for administration. This Rule does not apply to the dispensing of medications from a pharmacy utilizing a unit of use drug delivery system.

(3)           Medications shall be administered within a half hour prior to or half hour after the prescribed time for administration unless precluded by emergency situations.

(4)           The person administering medications shall identify each patient or resident in accordance with the facility's policies and procedures prior to administering any medication.

(5)           Medication administered to a patient or resident shall be recorded in the patient's or resident's medication administration record immediately after administration in accordance with the facility's policies and procedures.

(6)           Omission of medication and the reason for the omission shall be indicated in the patient's or resident's medical record.

(7)           The person administering medications which are ordered to be given as needed (PRN) shall justify the need for the same in the patient's or resident's medical record.

(8)           Medication administration records shall provide identification of the drug and strength of drug, quantity of drug administered, name of administering employee, title of employee and time of administration.

(c)  Self‑administration of medications shall be permitted only if prescribed by a physician and directions are printed on the container.

(d)  The administration of one patient's or resident's medications to another patient or resident is prohibited except in the case of an emergency. In the event of such an emergency, steps shall be taken to assure that the borrowed medications shall be replaced promptly and so documented.

(e)  Verbal orders shall be countersigned by a physician within five days of issuance.

 

History Note:        Authority G.S. 131E‑79;

Eff. February 1, 1986;

Amended Eff. December 1, 1991; March 1, 1990;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .1918      TRAINING

(a)  A licensed facility shall provide for all patient or resident care employees a planned orientation and continuing education program emphasizing patient or resident assessment and planning, activities of daily living, personal grooming, rehabilitative nursing or restorative care, other patient or resident care policies and procedures, patients' rights, and staff performance expectations.  Attendance and subject matter covered shall be documented for each session and available for licensure inspections.

(b)  The administrator shall assure that each employee is oriented within the first week of employment to the facility's philosophy and goals.

(c)  Each employee shall have specific on‑the‑job training as necessary for the employee to properly perform his individual job assignment.

(d)  Unless otherwise prohibited, a nurse aide trainee may be employed to perform the duties of a nurse aide for a period of time not to exceed four months.  During this period of time the nurse aide trainee shall be permitted to perform only those tasks for which minimum acceptable competence has been demonstrated and documented on a skills check‑off record.  Job applicants for nurse aide positions who were formerly qualified nurse aides but have not been gainfully employed as such for a period of 24 consecutive months or more shall be employed only as nurse aide trainees and must re‑qualify as nurse aides within four months of hire by successfully passing an approved competency evaluation.  Any individual, nursing home, or education facility may offer Department approved vocational education for nursing home nurse aides.  An accurate record of nurse aide qualifications shall be maintained for each nurse aide used by a facility and shall be retained in the general personnel files of the facility.

(e)  The curriculum content required for nurse aide education programs shall be subject to approval by the Division of Health Service Regulation and shall include, as a minimum, basic nursing skills, personal care skills, cognitive, behavioral and social care, basic restorative services, and patients' rights.  Successful course completion shall be determined by passing a competency evaluation test.  The minimum number of course hours shall be 75 of which at least 20 hours shall be classroom and at least 40 hours of supervised practical experience.  The initial orientation to the facility shall be exclusive of the 75 hour training program.  Competency evaluation shall be conducted in each of the following areas:

(1)           Observation and documentation,

(2)           Basic nursing skills,

(3)           Personal care skills,

(4)           Mental health and social service needs,

(5)           Basic restorative services,

(6)           Residents' Rights.

(f)  Successful course completion and skill competency shall be determined by competency evaluation approved by the Department.  Commencing July 1, 1989, nurse aides who had formerly been fully qualified under nurse aide training requirements may re‑establish their qualifications by successfully passing a competency evaluation test.

 

History Note:        Filed as a Temporary Rule Eff. October 1, 1990 For a Period of 142 Days to Expire on February 28, 1991;

Authority G.S. 131E‑79; 42 U.S.C. 1396 r (b)(5);

Eff. February 1, 1986;

Amended Eff. March 1, 1991; March 1, 1990.

 

10A NCAC 13B .1919      DENTAL CARE

(a)  A dental examination shall be performed at the time of admission with the following information being placed in the patient's or resident's medical or health care record:

(1)           type of diet which the patient or resident can best manage (such as normal, soft or pureed);

(2)           the presence of infection of gums, teeth, or jaws;

(3)           brief descriptions of any removable dental appliances and a statement of their condition; and

(4)           indications for dental treatment at the time of admission.

(b)  Names of dentists who have agreed to render emergency dental care shall be maintained at each nursing station and at the supervisor's station in a adult care home.

(c)  Staff of the facility shall ensure that:

(1)           necessary daily dental care is provided;

(2)           each patient or resident possesses appropriate toothbrushes and is encouraged and, when necessary, assisted in their use; and

(3)           each patient or resident having a removable denture is furnished a receptacle in which to immerse the denture in water overnight.

 

History Note:        Authority G.S. 131E‑79;

Eff. February 1, 1986;

Amended Eff. March 1, 1990;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .1920      AVAILABILITY OF PHARMACEUTICAL SERVICES

(a)  A licensed facility shall provide pharmaceutical services under the supervision of a pharmacist currently licensed to practice pharmacy in North Carolina.

(b)  A facility shall be responsible for obtaining drugs, therapeutic nutrients and related products prescribed or ordered by a physician for patients or residents in the facility.

(c)  Services shall include documented on‑site pharmaceutical reviews accomplished at least every 31 calendar days for all patients and residents.

 

History Note:        Authority G.S. 131E‑79;

Eff. February 1, 1986;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .1921      DINING FACILITIES

Patients, including wheelchair patients, shall be encouraged to eat at the tables in the dining area and shall be assisted when necessary by non‑dietary staff. An overbed table shall be provided for patients who eat in bed. A sturdy tray stand shall be provided for those patients who eat out of bed but are unable to go to the dining area. An overbed table which can be lowered to chair height may substitute for the tray stand.

 

History Note:        Authority G.S. 131E‑79;

Eff. February 1, 1986;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .1922      ACTIVITIES AND RECREATION

(a)  The administrator shall designate an activities and recreation director to be in charge of activities and recreation for all patients and residents. The activities and recreation director shall have training and experience in directing recreational and group activities. The designated activities and recreation director shall be under the supervision of the administrator and shall be qualified to meet the needs of the patients and residents. A qualified individual shall be anyone eligible for a N.C. license as an occupational therapist or assistant therapist under G.S. 90‑270; anyone eligible for N.C. certification as a recreation therapist or assistant therapist under G.S. 90C‑9; anyone with a baccalaureate degree and one year experience; anyone who has completed an approved 36‑hour or longer course in activities program management; or anyone not otherwise qualified but receiving at least four hours consultation per month from one who is qualified.

(b)  The facility shall maintain and make available a listing of local resources for activities and recreation to be utilized in meeting the needs and interests of all patients and residents.

(c)  Restoration to self care and resumption of normal activity shall be one of the main goals of the recreation or activity program. The scope of the activity program shall include:

(1)           social activities involving individual and group participation which are designed to promote group relationships;

(2)           recreational activities, both indoor and outdoor;

(3)           opportunity to participate in activities outside the facility;

(4)           religious programs, including the right of each patient and resident to attend the church or religious program of his choice;

(5)           creative and expressive activities;

(6)           educational activities; and

(7)           exercise.

(d)  The facility shall have written policies and procedures which are available and implemented by staff that:

(1)           attempt to prevent the further mental or physical deterioration for those patients or residents who cannot realistically resume normal activities;

(2)           assure opportunities for patient involvement, both individual and group, in both planning and implementing the activity program;

(3)           provide patients or residents the opportunity for choice among a variety of activities; and

(4)           encourage participation by each patient or resident in social and recreational activities according to individual need and abilities and desires unless the patient's or resident's record contains documentation that he is unable to participate.

(e)  Each patient's or resident's activity plan shall be a part of his overall plan of care and shall contain documentation of periodic assessments of the individual's activity needs and interests. A record of activities and individuals participating shall be maintained in the facility.

(f)  A licensed facility shall display a monthly activities calendar which includes variety to appeal to different interest groups in the nursing care and adult care home services.

(g)  A licensed facility shall provide:

(1)           Space for recreational and diversional activities. In hospitals offering new nursing home services, space shall be provided separately from the main living and dining areas; however, these areas may also be used for social activities.

(2)           Designated indoor and outdoor activity areas for independent and group needs of patients and residents, and which are:

(A)          accessible to wheelchair and ambulatory patients; and

(B)          of sufficient size to accommodate necessary equipment and permit unobstructed movement of wheelchair and ambulatory patients or personnel responsible for instruction and supervision.

(3)           Adequate space to store equipment and supplies without blocking exists or otherwise threatening the health and safety of patients and residents.

(h)  There shall be equipment and supplies sufficient to carry out planned programs for both individual and group activities.

 

History Note:        Authority G.S. 131E‑79; 42 U.S.C. 1396 r (a);

Eff. February 1, 1986;

Amended Eff. March 1, 1990;

Temporary Amendment Eff. October 1, 1990 For a Period of 142 Days to Expire on February 1, 1991;

Amended Eff. March 1, 1991;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .1923      SOCIAL SERVICES

(a)  The administrator shall designate an employee to be responsible for the provision of social services. This person shall be known as the social services director. Subsequent to the effective date of the rules contained in this Subchapter any newly designated person must be a graduate of a four year college or university with one year's experience in the health care or long‑term care field or have an equivalent combination of education and experience. An equivalent combination of education and experience means the number of years of education leading to a baccalaureate or associate degree plus the number of years of long‑term nursing facility experience equal to five years; or eligible for certification as a social worker pursuant to G.S. 90B‑7. The social services director shall have authority to carry out provisions contained in Rule .1923(b) of this Section.

(b)  Each patient's or resident's plan of care shall contain a written plan for meeting his individual social needs and involving his active participation, the plan shall provide for:

(1)           needed assistance in meeting the patient's or resident's physical, social and emotional needs through consultation with the patient or resident or his legal guardian, and relative, physician or others;

(2)           assisting the patient or resident in adjusting to his environment, for referral to other supporting resources, for protective services, for financial services and for assistance at the time of discharge or transfer into a new environment;

(3)           the utilization of caseworkers employed by the county department of social services in the case of recipients of public assistance and for the utilization of appropriate persons with experience and training in the general area of social work in the case of those not on public assistance.

(c)  Discharge planning shall be in keeping with each patient's and resident's discharge needs. These are as follows:

(1)           The administrator shall assure that a medical order for discharge including any special instructions for meeting rehabilitation potential is obtained from all patients or residents except when a patient or resident leaves against a physician's order or advice; and

(2)           The social services director shall coordinate discharge instructions and assure that patients and residents and their families are instructed in accordance with discharge orders.

 

History Note:        Authority G.S. 131E‑79;

Eff. February 1, 1986;

Amended Eff. March 1, 1990;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .1924      RESTRAINTS

(a)  Patients and residents shall be restrained only by physician orders.

(b)  The nurse in charge shall be responsible for making the decision relative to necessity for, type and duration of restraint in emergency situations requiring restraints while contacting the physician. The nurse also shall be responsible for documenting same in the patient's or resident's record.

(c)  The type of restraint used and the time of application and removal shall be recorded by a licensed nurse in the patient's or resident's record.

 

History Note:        Authority G.S. 131E‑79;

Eff. February 1, 1986;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .1925      REQUIRED SPACES

The total space requirements shall be those set forth in Rule .1902(5) of this Section.  Physical therapy and occupational therapy space shall not be included in these totals.

 

History Note:        Authority G.S. 131E‑79;

Eff. February 1, 1986.

 

10A NCAC 13B .1926      NURSING HOME PATIENT OR RESIDENT RIGHTS

(a)  Written policies and procedures shall be developed and enforced to implement requirements in G.S. 131E‑115 et seq. (Nursing Home Patients' Bill of Rights) concerning the rights of patients and residents. The administrator shall make these policies and procedures known to the staff, patients and residents, and families of patients and residents and shall ensure their availability to the public by placing them in a conspicuous place.

(b)  Any violation of patient rights contained in G.S. 131E‑117 shall be determined by representatives of the Department by investigation or survey.

(c)  If a licensed facility is found to be in violation of any of the rights contained in G.S. 131E‑117, the Department shall impose penalties for each violation as provided by G.S. 131E‑129.

(d)  When the Department has been notified that corrective action has been taken for each violation, verification of same shall be made by a representative of the Department.

(e)  The Department shall calculate a total of all fines levied against a facility based on the number of violations and the number of days and patients or residents involved in each violation.

(f)  The Department shall mail a statement to the facility showing a total fine for each violation and a total of fines due to be paid for all violations. The facility shall pay the penalty within 60 days unless a hearing is requested under G.S. Chapter 150B.

(g)  When it is found that a violation of G.S. 131E‑117 has occurred but corrective action was taken prior to the date of discovery, fines shall be calculated and assessed in accordance with (e) and (f) of this Rule.

(h)  In matters of patient abuse, neglect or misappropriation the definitions shall have the meanings defined for abuse, neglect and exploitation respectively as contained in the North Carolina PROTECTION OF THE ABUSED, NEGLECTED OR EXPLOITED DISABLED ADULT ACT, G.S. 108A‑99 et seq.

 

History Note:        Authority G.S. 131E‑79; 42 U.S.C. 1396 r (e)(2)(B);

Eff. February 1, 1986;

Amended Eff. March 1, 1990;

Temporary Amendment Eff. October 1, 1990 For a Period of 142 Days to Expire on February 28, 1991;

Amended Eff. March 1, 1991;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .1927      BRAIN INJURY LONG‑TERM CARE PHYSICIAN SERVICES

(a)  For nursing facility patients located in designated brain injury long‑term care units, there shall be an attending physician who is responsible for the patient's specialized care program. The intensity of the program requires that there shall be direct patient contact by a physician at least once per week and more often as the patient's condition warrants. Each patient's interdisciplinary, long‑term care program shall be developed and implemented under the supervision of a physiatrist (a physician trained in Physical Medicine and Rehabilitation) or a physician of equivalent training and experience.

(b)  If a physiatrist or physician of equivalent training or experience, is not available on a weekly basis to the facility, the facility shall provide for weekly medical management of the patient, by another physician. In addition, oversight for the patient's interdisciplinary, long‑term care program shall be provided by a qualified consultant physician who visits patients monthly, makes recommendations for and approves the interdisciplinary care plan, and provides consultation as requested to the physician who is managing the patient on a weekly basis.

(c)  The attending physician shall actively participate in individual case conferences or care planning sessions and shall review and sign discharge summaries and records within 15 days of patient discharge. When patients are to be discharged to either another health care facility or a residential setting the attending physician shall assure that the patient has been provided with a discharge plan which incorporates optimum utilization of community resources and post discharge continuity of care and services.

 

History Note:        Authority G.S. 131E‑79;

Eff. December 1, 1991;

Amended Eff. February 1, 1993;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .1928      BRAIN INJURY LONG‑TERM CARE PROGRAM REQUIREMENTS

 

History Note:        Authority G.S. 131E‑79;

Eff. December 1, 1991;

Amended Eff. February 1, 1993;

Expired Eff. August 1, 2017 pursuant to G.S. 150B-21.3A.

 

10A NCAC 13B .1929      SPECIAL NURSING REQUIREMENTS FOR BRAIN INJURY LONG‑TERM CARE

Direct care nursing personnel staffing ratio (NH/PD) established in Rule .1912 of this Section shall not be applied to nursing services for patients who require brain injury long‑term care, due to their more intensive maintenance and nursing needs. The minimum direct care nursing staff shall be 5.5 hrs. per patient day allocated on a per shift basis as the facility chooses to appropriately meet the patient's needs. It is also required that regardless of how low the patient census the direct care nursing staff shall not fall below a registered nurse and a nurse aide I at any time during a 24‑hour period.

 

History Note:        Authority G.S. 131E‑79;

Eff. December 1, 1991;

Amended Eff. February 1, 1993;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .1930      VENTILATOR DEPENDENCE

The general requirements in this Subchapter shall apply when applicable. In addition, facilities having patients requiring the use of ventilators for more than eight hours a day must meet the following requirements:

(1)           Respiratory therapy shall be provided and supervised by a respiratory therapist currently registered by the National Board for Respiratory Care. The respiratory therapist shall:

(a)           make, as a minimum, weekly on‑site assessments of each patient receiving ventilator support with corresponding progress notes;

(b)           be on‑call 24 hours daily; and

(c)           assist the pulmonologist and nursing staff in establishing ventilator policies and procedures, including emergency policies and procedures.

(2)           Direct nursing care staffing shall be in accordance with Rule .1912 of this Section.

 

History Note:        Authority G.S. 131E‑79;

Eff. December 1, 1991;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .1931      PHYSICIAN SERVICES FOR VENTILATOR DEPENDENT PATIENTS

Hospitals with nursing facility beds with ventilator dependent care patients shall contract with a physician who is licensed to practice in North Carolina with Board Certification and who has specialized training in pulmonary medicine. This physician shall be responsible for respiratory services and shall:

(1)           establish, with the respiratory therapist and nursing staff, appropriate ventilator policies and procedures, including emergency procedures;

(2)           assess each ventilator patient's status at least monthly with corresponding progress notes;

(3)           be available on an emergency basis; and

(4)           participate in individual patient case planning.

 

History Note:        Authority G.S. 131E‑79;

Eff. December 1, 1991;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .1932      EMERGENCY ELECTRICAL SERVICE

(a)  A minimum of one dedicated emergency branch circuit per bed is required for ventilator dependent patients in addition to the normal system receptacle at each bed location required by the National Electrical Code. This emergency circuit shall be provided with a minimum of two duplex receptacles identified for emergency use. Additional emergency branch circuits/receptacles shall be provided where the electrical life support needs of the patient exceed the minimum requirements stated in this Paragraph. Each emergency circuit serving ventilator dependent patients shall be fed from the automatically transferred critical branch of the essential electrical system. This Paragraph shall apply to both new and existing facilities.

(b)  Heating equipment provided for ventilator dependent patient bedrooms shall be connected to the critical branch of the essential electrical system and arranged for delayed automatic or manual connection to the emergency power source if the heating equipment depends upon electricity for proper operation. This Paragraph shall apply to both new and existing facilities.

(c)  Task lighting connected to the automatically transferred critical branch of the essential electrical system shall be provided for each ventilator dependent patient bedroom. This Paragraph shall apply to both new and existing facilities.

 

History Note:        Authority G.S. 131E‑79;

Eff. December 1, 1991;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

SECTION .2000 – specialized rehabilitative and habilitative services

 

10A NCAC 13B .2001      ADMISSIONS TO THE HIV DESIGNATED UNIT

10A NCAC 13B .2002      DISCHARGE OF PATIENTS FROM THE HIV DESIGNATED UNIT

10A NCAC 13B .2003      HIV DESIGNATED UNIT POLICIES AND PROCEDURES

10A NCAC 13B .2004      PHYSICIAN SERVICES IN A HIV DESIGNATED UNIT

10A NCAC 13B .2005      SPECIAL NURSING REQUIREMENTS FOR A HIV DESIGNATED UNIT

10A NCAC 13B .2006      SPECIALIZED STAFF EDUCATION FOR THE HIV DESIGNATED UNIT

10A NCAC 13B .2007      USE OF INVESTIGATIONAL DRUGS ON THE HIV DESIGNATED UNIT

10A NCAC 13B .2008      SOCIAL WORK SERVICES IN A HIV DESIGNATED UNIT

 

History Note:        Authority G.S. 131E-79;

Eff. February 1, 1993;

Expired Eff. August 1, 2017 pursuant to G.S. 150B-21.3A.

 

10A NCAC 13B .2009      RESERVED FOR FUTURE CODIFICATION

 

10A NCAC 13B .2010      RESERVED FOR FUTURE CODIFICATION

 

10A NCAC 13B .2011      RESERVED FOR FUTURE CODIFICATION

 

10A NCAC 13B .2012      RESERVED FOR FUTURE CODIFICATION

 

10A NCAC 13B .2013      RESERVED FOR FUTURE CODIFICATION

 

10A NCAC 13B .2014      RESERVED FOR FUTURE CODIFICATION

 

10A NCAC 13B .2015      RESERVED FOR FUTURE CODIFICATION

 

10A NCAC 13B .2016      RESERVED FOR FUTURE CODIFICATION

 

10A NCAC 13B .2017      RESERVED FOR FUTURE CODIFICATION

 

10A NCAC 13B .2018      RESERVED FOR FUTURE CODIFICATION

 

10A NCAC 13B .2019      RESERVED FOR FUTURE CODIFICATION

 

10A NCAC 13B .2020      DEFINITIONS

The following definitions shall apply to inpatient rehabilitation facilities or units only:

(1)           "Case management" means the coordination of services, for a given patient, between disciplines so that the patient may reach optimal rehabilitation through the judicious use of resources.

(2)           "Comprehensive, inpatient rehabilitation program" means a program for the treatment of persons with functional limitations or chronic disabling conditions who have the potential to achieve a significant improvement in activities of daily living. A comprehensive, rehabilitation program utilizes a coordinated and integrated, interdisciplinary approach, directed by a physician, to assess patient needs and to provide treatment and evaluation of physical, psycho-social and cognitive deficits.

(3)           "Inpatient rehabilitation facility or unit" means a free-standing facility or a unit (unit pertains to contiguous dedicated beds and spaces) within an existing licensed health service facility approved in accordance with G.S. 131E, Article 9 to establish inpatient, rehabilitation beds and to provide a comprehensive, inpatient rehabilitation program.

(4)           "Medical consultations" means consultations which the rehabilitation physician or the attending physician determine are necessary to meet the acute medical needs of the patient and do not include routine medical needs.

(5)           "Occupational therapist" means any individual licensed in the State of North Carolina as an occupational therapist in accordance with the provisions of G.S. 90, Article 18D.

(6)           "Occupational therapist assistant" means any individual licensed in the State of North Carolina as an occupational therapist assistant in accordance with the provisions of G.S. 90, Article 18D.

(7)           "Psychologist" means a person licensed as a practicing psychologist in accordance with G.S. 90, Article 18A.

(8)           "Physiatrist" means a licensed physician who has completed a physical medicine and rehabilitation residency training program approved by the Accreditation Council of Graduate Medical Education or the American Osteopathic Association.

(9)           "Physical therapist" means any person licensed in the State of North Carolina as a physical therapist in accordance with the provisions of G.S. 90, Article 18B.

(10)         "Physical therapist assistant" means any person duly licensed in the State of North Carolina as a physical therapist assistant in accordance with the provisions of G.S. 90-270.24, Article 18B.

(11)         "Recreational therapist" means a person certified by the State of North Carolina Therapeutic Recreational Certification Board.

(12)         "Rehabilitation nurse" means a registered nurse licensed in North Carolina, with training, either academic or on‑the‑job, in physical rehabilitation nursing and at least one year experience in physical rehabilitation nursing.

(13)         "Rehabilitation aide" means an unlicensed assistant who works under the supervision of a registered nurse, licensed physical therapist or occupational therapist in accordance with the appropriate occupational licensure laws governing his or her supervisor and consistent with staffing requirements as set forth in Rule .2027 of this Section. The rehabilitation aide shall be listed on the North Carolina Nurse Aide Registry and have received additional staff training as listed in Rule .2028 of this Section.

(14)         "Rehabilitation physician" means a physiatrist or a physician who is qualified, based on education, training and experience regardless of specialty, of providing medical care to rehabilitation patients.

(15)         "Social worker" means a person certified by the North Carolina Social Work Certification and Licensure Board in accordance with G.S. 90B-3.

(16)         "Speech and language pathologist" means any person licensed in the State of North Carolina as a speech and language pathologist in accordance with the provisions of G.S. 90, Article 22.

 

History Note:        Authority G.S. 131E-79; 143B-165;

Eff. May 1, 1993;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .2021      PHYSICIAN REQS FOR INPATIENT REHABILITATION FACILITIES OR UNITS

10A NCAC 13B .2022      ADMISSION CRITERIA FOR INPATIENT REHABILITATION FACILITIES OR UNITS

10A NCAC 13B .2023      COMPREHENSIVE INPATIENT REHABILITATION EVALUATION

10A NCAC 13B .2024      COMPREHENSIVE INPATIENT REHABILITATION INTERDISCIPLINARY TREAT/PLAN

10A NCAC 13B .2025      DISCHARGE CRITERIA FOR INPATIENT REHABILITATION FACILITIES OR UNITS

10A NCAC 13B .2026      COMPREHENSIVE REHABILITATION PERSONNEL ADMINISTRATION

10A NCAC 13B .2027      COMPREHENSIVE INPATIENT REHABILITATION PROGRAM STAFFING REQS

10A NCAC 13B .2028      STAFF TRAINING FOR INPATIENT REHABILITATION FACILITIES OR UNIT

10A NCAC 13B .2029      EQUIPMENT REQS/COMPREHENSIVE INPATIENT REHABILITATION PROGRAMS

10A NCAC 13B .2030      PHYSICAL FACILITY REQS/INPATIENT REHABILITATION FACILITIES OR UNITS

10A NCAC 13B .2031      ADDITIONAL REQUIREMENTS FOR TRAUMATIC BRAIN INJURY PATIENTS

10A NCAC 13B .2032      ADDITIONAL REQUIREMENTS FOR SPINAL CORD INJURY PATIENTS

 

History Note:        Authority G.S. 131E-79; 143B-165;

Eff. May 1, 1993;

Amended Eff. December 1, 1993;

Expired Eff. August 1, 2017 pursuant to G.S. 150B-21.3A.

 

10A NCAC 13B .2033      DEEMED STATUS FOR INPATIENT REHABILITATION FACILITIES OR UNITS

(a)  If an inpatient rehabilitation facility or unit with a comprehensive inpatient rehabilitation program is surveyed and accredited by the Joint Commission for the Accreditation of Health Care Organizations (JCAHO) or the Commission on Accreditation of Rehabilitation Facilities (CARF) and has been approved by the Department in accordance with Article 9 Chapter 131E of the North Carolina General Statutes, the Department deems the facility to be in compliance with Rules .2020 through .2030 and .2033 of this Section.

(b)  Deemed status shall be provided only if the inpatient rehabilitation facility or unit provides copies of survey reports to the Division. The JCAHO report shall show that the facility or unit was surveyed for rehabilitation services. The CARF report shall show that the facility or unit was surveyed for comprehensive rehabilitation services. The facility or unit shall sign an agreement (Memorandum of Understanding) specifying these terms.

(c)  The inpatient rehabilitation facility or unit shall be subject to inspections or complaint investigations by representatives of the Department at any time. If the facility or unit is found not to be in compliance with the rules listed in Paragraph (a) of this Rule, the facility shall submit a plan of correction and be subject to a follow‑up visit to assure compliance.

(d)  If the inpatient rehabilitation facility or unit loses or does not renew its accreditation, the facility or unit shall notify the Division in writing within 30 days.

 

History Note:        Authority G.S. 131E-79;

Eff. May 1, 1993;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

SECTION .2100 – TRANSPARENCY IN HEALTH CARE COSTS

 

10A NCAC 13B .2101      definitions

In addition to the terms defined in G.S. 131E-214.13, the following terms shall apply throughout this Section, unless text indicates to the contrary:

(1)           "Current Procedural Terminology (CPT)" means a medical code set developed by the American Medical Association.

(2)           "Diagnostic related group (DRG)" means a system to classify hospital cases assigned by a grouper program based on ICD (International Classification of Diseases) diagnoses, procedures, patient's age, sex, discharge status, and the presence of complications or co-morbidities.

(3)           "Department" means the North Carolina Department of Health and Human Services.

(4)           "Financial assistance" means a policy, including charity care, describing how the organization will provide assistance at its hospital(s) and any other facilities. Financial assistance includes free or discounted health services provided to persons who meet the organization's criteria for financial assistance and are unable to pay for all or a portion of the services.  Financial assistance does not include:

(a)           bad debt;

(b)           uncollectable charges that the organization recorded as revenue but wrote off due to a patient's failure to pay;

(c)           the cost of providing such care to the patients in Sub-Item (4)(b) of this Rule; or

(d)           the difference between the cost of care provided under Medicare or other government programs, and the revenue derived therefrom.

(5)           "Healthcare Common Procedure Coding System (HCPCS)" means a three-tiered medical code set consisting of Level I, II and III services and contains the CPT code set in Level I.

 

History Note:        Authority G.S. 131E-214.13;

Temporary Adoption Eff. December 31, 2014;

Eff. September 30, 2015.

 

10A NCAC 13B .2102      REPORTING REQUIREMENTS

(a)  The Department shall establish the lists of the statewide 100 most frequently reported DRGs, 20 most common outpatient imaging procedures, and 20 most common outpatient surgical procedures performed in the hospital setting to be used for reporting the data required in Paragraphs (c) through (e) of this Rule.  The lists shall be determined annually based upon data provided by the certified statewide data processor.  The Department shall make the lists available on its website.  The methodology to be used by the certified statewide data processor for determining the lists shall be based on the data collected from all licensed facilities in the State in accordance with G.S. 131E-214.2 as follows:

(1)           the 100 most frequently reported DRGs shall be based upon all hospital's discharge data that has been assigned a DRG based on the Centers for Medicare & Medicaid Services grouper for each patient record, then selecting the top 100 to be provided to the Department;

(2)           the 20 most common imaging procedures shall be based upon all outpatient data for both hospitals and ambulatory surgical facilities and represent all occurrences of the diagnostic radiology imaging codes section of the CPT codes, then selecting the top 20 to be provided to the Department; and

(3)           the 20 most common outpatient surgical procedures shall be based upon the primary procedure code from the ambulatory surgical facilities and represent all occurrences of the surgical codes section of the CPT codes, then selecting the top 20 to be provided to the Department.

(b)  Information required or reported in Paragraphs (a), (c), (d), and (i) of this Rule shall be posted on the Department's website at: http://www.ncdhhs.gov/dhsr/ahc  and may be accessed at no cost.

(c)  In accordance with G.S. 131E-214.13, all licensed hospitals shall report the data required in Paragraph (e) of this Rule related to the statewide 100 most frequently reported DRGs to the certified statewide data processor in a format provided by the certified statewide processor.  Commencing with the reporting period ending September 30, 2015, an annual data report shall be submitted that includes all sites operated by the licensed hospital.  Each annual report shall be submitted by the due date of January 1.

(d)  In accordance with G.S. 131E-214.13, all licensed hospitals shall report the data required in Paragraph (e) of this Rule related to the statewide 20 most common outpatient imaging procedures and the statewide 20 most common outpatient surgical procedures to the certified statewide data processor in a format provided by the certified statewide processor.  This report shall include the related primary CPT and HCPCS codes.  Commencing with the reporting period ending September 30, 2015, an annual data report shall be submitted that includes all sites operated by the licensed hospital.  Each annual report shall be submitted by January 1.

(e)  The reports as described in Paragraphs (c) and (d) of this Rule shall be specific to each reporting hospital and shall include:

(1)           the average gross charge for each DRG, CPT code, or procedure without a public or private third party payer source;

(2)           the average negotiated settlement on the amount that will be charged for each DRG, CPT code, or procedure as required for patients defined in Subparagraph (e)(1) of this Rule.  The average negotiated settlement shall be calculated using the average amount charged all patients eligible for the hospital's financial assistance policy, including self-pay patients;

(3)           the amount of Medicaid reimbursement for each DRG, CPT code, or procedure, including all supplemental payments to and from the hospital;

(4)           the amount of Medicare reimbursement for each DRG, CPT code, or procedure; and

(5)           on behalf of patients who are covered by a Department of Insurance licensed third-party and teachers and State employees, the lowest, average, and highest amount of payments made for each DRG, CPT code, or procedure by each of the hospital's top five largest health insurers. 

(A)          each hospital shall determine its five largest health insurers based on the dollar volume of payments received from those insurers;

(B)          the lowest amount of payment shall be reported as the lowest payment from each of the five insurers on the DRG, CPT code, or procedure;

(C)          the average amount of payment shall be reported as the arithmetic average of each of the five health insurers payment amounts;

(D)          the highest amount of payment shall be reported as the highest payment from each of the five insurers on the DRG, CPT code, or procedure; and

(E)           the identity of the top five largest health insurers shall be redacted prior to submission.

(f)  The data reported, as defined in Paragraphs (c) through (e) of this Rule, shall reflect the payments received from patients and health insurers for all closed accounts. For the purpose of this Rule, "closed accounts" are patient accounts with a zero balance at the end of the data reporting period.

(g)  A minimum of three data elements shall be required for reporting under Paragraphs (c) and (d) of this Rule. 

(h)  The information submitted in the report shall be in compliance with the federal Health Insurance Portability and Accountability Act of 1996, 45 CFR Part 164.

(i)  The Department shall provide the location of each licensed hospital and all specific hospital data reported pursuant to this Rule on its website.  Hospitals shall be grouped by category on the website.  On each quarterly report, hospitals shall determine one category that most accurately describes the type of facility. The categories are:

(1)           "Academic Medical Center Teaching Hospital," means a hospital as defined in Policy AC-3 of the N.C. State Medical Facilities Plan.  The N.C. State Medical Facilities Plan may be accessed at: http://www.ncdhhs.gov/dhsr/ncsmfp  at no cost.

(2)           "Teaching Hospital," means a hospital that provides medical training to individuals, provided that such educational programs are accredited by the Accreditation Council for Graduated Medical Education to receive graduate medical education funds from the Centers for Medicare & Medicaid Services.

(3)           "Community Hospital," means a general acute hospital that provides diagnostic and medical treatment, either surgical or nonsurgical, to inpatients with a variety of medical conditions, and that may provide outpatient services, anatomical pathology services, diagnostic imaging services, clinical laboratory services, operating room services, and pharmacy services, that is not defined by the categories listed in this Subparagraph and Subparagraphs (i)(1), (2), or (5) of this Rule.

(4)           "Critical Access Hospital," means a hospital defined in the Centers for Medicare & Medicaid Services' State Operations Manual, Chapter 2 – The Certification Process, 2254D – Requirements for Critical Access Hospitals (Rev. 1, 05-21-04), including all subsequent updates and revisions. The manual may be accessed at the website: http://www.cms.gov/Regulations-and-Guidance/Guidance/Manuals/downloads/som107ap_a_hospitals.pdf at no cost.

(5)           "Mental Health Hospital," means a hospital providing psychiatric services pursuant to G.S. 131E-176(21).

 

History Note:        Authority G.S. 131E-214.4; 131E-214.13;

Temporary Adoption Eff. December 31, 2014;

Eff. September 30, 2015;

Temporary Amendment Eff. March 31, 2016;

Amended Eff. January 31, 2017.

 

SECTION .2200 - RESERVED FOR FUTURE CODIFICATION

 

10A NCAC 13B .2200      Reserved for future codification

 

SECTION .2300 - RESERVED FOR FUTURE CODIFICATION

 

10A NCAC 13B .2300      Reserved for future codification

 

SECTION .2400 - RESERVED FOR FUTURE CODIFICATION

 

10A NCAC 13B .2400      Reserved for future codification

 

SECTION .2500 - RESERVED FOR FUTURE CODIFICATION

 

10A NCAC 13B .2500      Reserved for future codification

 

SECTION .2600 - RESERVED FOR FUTURE CODIFICATION

 

10A NCAC 13B .2600      Reserved for future codification

 

SECTION .2700 - RESERVED FOR FUTURE CODIFICATION

 

10A NCAC 13B .2700      Reserved for future codification

 

SECTION .2800 - RESERVED FOR FUTURE CODIFICATION

 

10A NCAC 13B .2800      Reserved for future codification

 

SECTION .2900 - RESERVED FOR FUTURE CODIFICATION

 

10A NCAC 13B .2900      Reserved for future codification

 

SECTION .3000 - GENERAL INFORMATION

 

10A NCAC 13B .3001      DEFINITIONS

The following definitions shall apply throughout this Section, unless the context clearly indicates to the contrary:

(1)           "Appropriate" means suitable or fitting, or conforming to standards of care as established by professional organizations.

(2)           "Authority having jurisdiction" means the Division of Health Service Regulation.

(3)           "Certified Dietary Manager" or "CDM" means an individual who is certified by the Certifying Board of the Dietary Managers and meets the standards and qualification as referenced in the "Dietary Manager Training Program Requirements."  These standards include any subsequent amendments and editions of the referenced manual.  Copies of the "Dietary Manager Training Program Requirements" may be purchased for fifteen dollars ($15.00) from the Dietary Managers Association, 406 Surry Woods Dr., St. Charles, IL 60174.

(4)           "Competence" means the state or quality of being able to perform specific functions well; skill; ability.

(5)           "Comprehensive" means covering completely, inclusive; large in scope or content.

(6)           "Continuous" means ongoing or uninterrupted, 24 hours per day.

(7)           "CRNA" means a Certified Registered Nurse Anesthetist as credentialed by the Council on Certification of Nurse Anesthetists and recognized by the Board of Nursing in 21 NCAC 36 .0226.

(8)           "Credentialed" means that the individual having a given title or position has been credited with the right to exercise official responsibilities to provide specific patient care and treatment services, within defined limits, based primarily upon the individual's license, education, training, experience, competence, and judgment.

(9)           "Department" means the Department of Health and Human Services.

(10)         "Dietetics" means the integration and application of principles derived from the science of nutrition, biochemistry, physiology, food and management and from behavioral and social sciences to achieve and maintain optimal nutritional status.

(11)         "Dietitian" means an individual who is licensed according to G.S. 90, Article 25, or is registered by the Commission on Dietetic Registration (CDR) of the American Dietetic Association (ADA) according to the standards and qualifications as referenced in the second edition of the "Accreditation/Approval Manual for Dietetic Education Programs", "The Registration Eligibility Application for Dietitians" and the "Continuing Professional Education" and subsequent amendments or editions of the reference material.  Copies of the "Accreditation/Approval Manual for Dietetic Education Programs" may be purchased for twenty-one dollars and ninety-five cents ($21.95) plus three dollars ($3.00) minimum shipping and handling from ADA 216 W. Jackson Blvd., Chicago, IL 60606-9-6995.

(12)         "Dietetic Technician Registered" or "DTR" means an individual who is registered by the Commission on Dietetic Registration (CDR) of the American Dietetic Association (ADA) according to the standards and qualifications as referenced in the second edition of the "Accreditation/Approval Manual for Dietetic Education Programs" which is incorporated by reference including any subsequent amendments and editions.  Copies of the "Accreditation/Approval Manual for Dietetic Education Programs" may be purchased for twenty-one dollars and ninety-five cents ($21.95) plus three dollars ($3.00) minimum for shipping and handling from the ADA 216 W. Jackson Blvd., Chicago, IL 60606-9-6995.

(13)         "Direct Supervision" means the state of being under the immediate control of a supervisor, manager, or other person of authority.

(14)         "Division" means the Division of Health Service Regulation.

(15)         "Facility" means a hospital as defined in G.S. 131E-76.

(16)         "Free standing facility" means a facility that is physically separated from the primary hospital building or separated by a three hour fire containment wall.

(17)         "Full-time equivalent" means a unit of measure of employee work time that is equal to the number of hours that one full-time employee would work during one calendar year if the employee worked eight hours a day, five days a week, and 52 weeks a year; i.e. 2,080 hours per year.

(18)         "Governing body" means the authority as defined in G.S. 131E-76.

(19)         "Imaging" means a reproduction or representation of a body or body part for diagnostic purposes by radiologic intervention that may include conventional fluoroscopic exam, magnetic resonance, nuclear or radio-isotope scan.

(20)         "Invasive procedure" means a procedure involving puncture or incision of the skin, insertion of an instrument or foreign material into the body (excluding venipuncture and intravenous therapy).

(21)         "LDRP" (labor, delivery, recovery, post-partum) means a specific single occupancy obstetrical use room counted as a licensed bed.

(22)         "License" means formal permission to provide services as granted by the State.

(23)         "Medical staff" means the formal organization that is comprised of all of those individuals who have sought and obtained clinical privileges in a facility.  Those members of the medical staff who regularly and routinely admit patients to a facility constitute the active medical staff.

(24)         "Mission statement" means a written statement of the philosophy and beliefs of the organization or hospital as approved by the governing body.

(25)         "Neonate" means the newborn from birth to one month.

(26)         "NP" means a Nurse Practitioner as defined in G.S. 90-6; 90-18(14) and 90-18.2.

(27)         "Nurse executive" means a registered nurse who is the director of nursing services or a representative of decentralized nursing management staff.

(28)         "Nurse midwife" means a Certified Nurse Midwife as defined in G.S. 90, Article 10.

(29)         "Nursing facility" means that portion of a hospital that is approved to provide skilled nursing care.

(30)         "Nursing staff" means the registered nurses, licensed practical nurses, nurse aides, and others under nurse supervision, who provide direct patient care.  The term also includes clerical personnel who work in clinical areas under nurse supervision.

(31)         "Nutrition therapy" ranges from intervention and counseling on diet modification to administration of specialized nutrition therapies as determined necessary to manage a condition or treat illness or injury.  Specialized nutrition therapies include supplementation with medical foods, enteral and parenteral nutrition.  Nutrition therapy integrates information from the nutrition assessment with information on food and other sources of nutrients and meal preparation consistent with cultural background and socioeconomic status.

(32)         "Observation bed" means a bed used for no more than 24-hours, to evaluate and determine the condition and disposition of a patient and is not considered a part of the hospital's licensed bed capacity.

(33)         "Patient" means any person receiving diagnostic or medical services at a hospital.

(34)         "Pharmacist" means a person licensed according to G.S. 90, Article 4A, by the N.C. Board of Pharmacy to practice pharmacy.

(35)         "Physical Rehabilitation Services" means any combination of physical therapy, occupational therapy, speech therapy or vocational rehabilitation.

(36)         "Physician" means a person licensed according to G.S. 90, Article 1, by the N.C. Board of Medical Examiners to practice medicine.

(37)         "Provisional license" means a hospital license recognizing significantly less than full compliance with the licensure rules.

(38)         "Qualified" means having complied with the specific conditions for employment or the performance of a function.

(39)         "Reference" means to use in consultation to obtain information.

(40)         "Special Care Unit" means a designated unit or area of a hospital with a concentration of qualified professional staff and support services that provide intensive or extra ordinary care on a 24-hour basis to critically ill patients; these units may include but are not limited to Cardiac Care, Medical or Surgical Intensive Care Unit, Cardiothoracic Intensive Care Unit, Burn Intensive Care Unit, Neurologic Intensive Care Unit or Pediatric Intensive Care Unit.

(41)         "Unit" means a designated area of the hospital for the delivery of patient care services.

 

History Note:        Authority G.S. 131E-79;

RRC Objection due to lack of Statutory Authority Eff. July 13, 1995;

Eff. January 1, 1996.

 

section .3100 - procedure

 

10A NCAC 13B .3101      GENERAL REQUIREMENTS

(a)  An application for licensure shall be submitted to the Division prior to a license being issued or patients admitted.

(b)  An existing facility shall not sell, lease or subdivide a portion of its bed capacity without the approval of the Division.

(c)  Application forms may be obtained by contacting the Division.

(d)  The Division shall be notified in writing prior to the occurrence of any of the following:

(1)           addition or deletion of a licensable service;

(2)           increase or decrease in bed capacity;

(3)           change of chief executive officer;

(4)           change of mailing address;

(5)           ownership change; or

(6)           name change.

(e)  Each application shall contain the following information:

(1)           legal identity of applicant;

(2)           name or names under which the hospital or services are presented to the public;

(3)           name of the chief executive officer;

(4)           ownership disclosure;

(5)           bed complement;

(6)           bed utilization data;

(7)           accreditation data;

(8)           physical plant inspection data; and

(9)           service data.

(f)  A license shall include only facilities or premises within a single county.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Amended Eff. April 1, 2003.

 

10A ncac 13B .3102      PLAN APPROVAL

(a)  The facility design and construction shall be in accordance with the construction standards of the Division, the North Carolina Building Code, and local municipal codes.

(b)  Submission of Plans:

(1)           Before construction is begun, color marked plans and specifications covering construction of the new buildings, alterations or additions to existing buildings, or any change in facilities shall be submitted to the Division for approval.

(2)           The Division shall review the plans and notify the licensee that said buildings, alterations, additions, or changes are approved or disapproved.  If plans are disapproved the Division shall give the applicant notice of deficiencies identified by the Division.

(3)           In order to avoid unnecessary expense in changing final plans, as a preliminary step, proposed plans in schematic form shall be submitted by the applicant to the Division for review.

(4)           The plans shall include a plot plan showing the size and shape of the entire site and the location of all existing and proposed facilities.

(5)           Plans shall be submitted in triplicate in order that the Division may distribute a copy to the Department of Insurance for review of North Carolina State Building Code requirements and to the Department of Environment and Natural Resources for review under state sanitation requirements.

(c)  Location:

(1)           The site for new construction or expansion shall be approved by the Division.

(2)           Hospitals shall be so located that they are free from noise from railroads, freight yards, main traffic arteries, schools and children's playgrounds.

(3)           The site shall not be exposed to smoke, foul odors, or dust from industrial plants.

(4)           The area of the site shall be sufficient to permit future expansion and to provide parking facilities.

(5)           Available paved roads, water, sewage and power lines shall be taken into consideration in selecting the site.

(d)  The bed capacity and services provided in a facility shall be in compliance with G.S. 131E, Article 9 regarding Certificate of Need.  A facility shall be licensed for no more beds than the number for which required physical space and other required facilities are available.  Neonatal Level II, III and IV beds are considered part of the licensed bed capacity.  Level I bassinets are not considered part of the licensed bed capacity however, no more bassinets shall be placed in service than the number for which required physical space and other required facilities are available.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Temporary Amendment Eff. March 15, 2002;

Amended Eff. April 1, 2003.

 

10A NCAC 13B .3103      CLASSIFICATION OF MEDICAL FACILITIES

(a)  For purpose of this Subchapter the classification of "hospital" shall be restricted to facilities that provide as their functions diagnostic services and medical and nursing care in the treatment of acute stages of illness. On the basis of specialized facilities and services available, the Division shall license each such hospital according to the following medical types:

(1)           general acute care hospital;

(2)           rehabilitation hospital;

(3)           critical access hospital; or

(4)           long term acute care hospital which is a hospital which has been classified and certified as a long term care hospital pursuant to 42 CFR Part 412.

(b)  All other inpatient medical facilities accepting patients requiring skilled nursing services but which are not operated as a part of any hospital within the above meaning shall be considered to be operating as a nursing home and, therefore, are not subject to licensure pursuant to this Subchapter.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Amended Eff. June 1, 2005;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .3104      LENGTH OF LICENSE

Licenses shall remain in effect until one of the following occurs:

(1)           Division imposes an administrative sanction which specifies license expiration;

(2)           change of ownership;

(3)           closure;

(4)           change of site;

(5)           failure to comply with Rule .3105 of this Section.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .3105      STATISTICAL INFORMATION

Utilization data shall be submitted annually upon request by the Division. Forms for collection of this data will be forward to each facility by the Division.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .3106      LICENSURE SURVEYS

(a)  Prior to the initial issuance of a license to operate a facility, the Division shall conduct a survey to determine compliance with rules promulgated pursuant to G.S. 131E-79.

(b)  The Division may conduct an investigation of a complaint in any facility.

(c)  Facilities that are accredited through an accrediting body approved pursuant to section 1865(a) of the Social Security Act shall not be subject to routine inspections.

(d)  The Division shall survey non-accredited facilities at least once every three years.

 

History Note:        Authority G.S. 131E-79; 131E-80;

Eff. January 1, 1996;

Amended Eff. October 1, 2010;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .3107      DENIAL, AMENDMENT OR REVOCATION OF LICENSE

(a)  The Department may deny any licensure application upon becoming aware that the applicant is not in compliance with any applicable provision of the Certificate of Need law located in G.S. 131E, Article 9 and the rules adopted under that law.

(b)  The Department may amend a license by reducing it from a full license to a provisional license whenever the Department finds that:

(1)           the licensee has failed to comply with the provisions of G.S. 131E, Article 5 and the rules promulgated under that article;

(2)           there is a probability that the licensee can remedy the licensure deficiencies within a length of time not to exceed the expiration date on the license; and

(3)           there is a probability that the licensee will be able thereafter to remain in compliance with the hospital licensure rules for the foreseeable future.

(c)  The Department shall also amend a license to provisional status by specifically prohibiting a licensee from providing certain services, for which it has been found to be out of compliance with G.S. 131E, Articles 5 or 9. In all cases the Department shall give the licensee written notice of the amendment of the license. This notice shall be given by registered or certified mail or by personal service and shall set forth:

(1)           the length of the provisional license;

(2)           the factual allegations;

(3)           the statutes and rules alleged to be violated; and

(4)           notice of the facility's right to a contested case hearing on the amendment of the license.

(d)  The provisional license shall be effective immediately upon its receipt by the licensee and shall be posted in a prominent location, accessible to public view, within the licensed premises in lieu of the full license. The provisional license shall remain in effect until:

(1)           the Department restores the licensee to full licensure status;

(2)           the Department revokes the licensee's license; or

(3)           the end of the licensee's licensure period. If a licensee has a provisional license at the time that the licensee submits a renewal application, the license, if renewed, shall also be a provisional license unless the Department determines that the licensee can be returned to full licensure status. A decision to issue a provisional license is stayed during the pendency of an administrative appeal and the licensee may continue to display its full license during the appeal.

(e)  The Department shall revoke a license whenever:

(1)           The Department finds that:

(A)          the licensee has failed to comply with the provisions of G.S. 131E, Article 5 and the rules promulgated under that article; and

(B)          it is not probable that the licensee can remedy the licensure deficiencies within a length of time acceptable to the Department; or

(2)           The Department finds that:

(A)          The licensee has failed to comply with the provisions of G.S. 131E, Article 5; and

(B)          although the licensee may be able to remedy the deficiencies within a reasonable time, it is not probable that the licensee will be able to remain in compliance with hospital licensure rules for the foreseeable future; or

(3)           The Department finds that the licensee has failed to comply with any of the provisions of G.S. 131E, Article 5 and the rules promulgated thereunder that endangers the health, safety or welfare of the patients in the facility.

The issuance of a provisional license is not a procedural prerequisite to the revocation of a license pursuant to Subparagraphs (e)(1), (2) or (3) of this Rule.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .3108      SUSPENSION OF ADMISSIONS

(a)  The Department may amend a license, pursuant to G.S. 131E-78, by suspending the admission of any new patients to any facility when the conditions in the facility are detrimental to the health or safety of the patients in the facility.

(b)  The Department shall notify the facility by registered or certified mail or by personal service of the decision to suspend admissions. Such notice will include:

(1)           the period of the suspension;

(2)           factual allegations;

(3)           citation of statutes and rules alleged to be violated; and

(4)           notice of the facility's right to a contested case hearing.

(c)  The suspension shall be effective when the notice is served or on the date specified in the notice of suspension, whichever is later. The suspension shall remain effective for the period specified in the notice or until the facility demonstrates to the Department that conditions are no longer detrimental to the health and safety of the patient.

(d)  The facility shall not admit new patients during the effective period of the suspension.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .3109      PROCEDURE FOR APPEAL

A facility may appeal any decision of the Department to deny, revoke or amend a license or any decision to suspend admissions by making such an appeal in accordance with G.S. 150B.

 

History Note:        Authority G.S. 131E-78; 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .3110      ITEMIZED CHARGES

(a)  The facility shall either present an itemized list of charges to all discharged patients or the facility shall include on patients' bills that are not itemized, notification of the right to request an itemized bill within three years of receipt of the non-itemized bill or so long as the hospital, a collections agency, or other assignee asserts the patient has an obligation to pay the bill.

(b)  If requested, the facility shall present an itemized list of charges to each patient or the patient's representative. This list shall detail in language comprehensible to an ordinary layperson the specific nature of the charges or expenses incurred by the patient.

(c)  The itemized listing shall include each specific chargeable item or service in the following service areas:

(1)           room rate

(2)           laboratory;

(3)           radiology and nuclear medicine;

(4)           surgery;

(5)           anesthesiology;

(6)           pharmacy;

(7)           emergency services;

(8)           outpatient services;

(9)           specialized care;

(10)         extended care;

(11)         prosthetic and orthopedic appliances; and

(12)         professional services provided by the facility.

 

History Note:        Authority G.S. 131E-79; 131E-91; S.L. 2013-382, s. 13.1;

Eff. January 1, 1996;

Temporary Amendment Eff. May 1, 2014;

Amended Eff. November 1, 2014.

 

10A NCAC 13B .3111      TEMPORARY CHANGE IN BED CAPACITY

(a)  A hospital may temporarily increase its bed capacity by up to 10 percent over its licensed bed capacity, as determined by the administrator, by utilizing observational beds for inpatients for a period of no more than 60 consecutive days following approval by the Division of Health Service Regulation.

(b)  To qualify for a temporary change in licensed capacity, the hospital census shall be at least 90 percent of its licensed bed capacity, excluding beds that are under renovation or construction, and the hospital must demonstrate conditions requiring the temporary increase that may include but are not limited to the following:

(1)           natural disaster;

(2)           catastrophic event; or

(3)           disease epidemic.

(c)  The Division may approve a temporary increase in licensed beds only if:

(1)           It is determined that the request has met the requirements of Paragraphs (a) and (b) of this Rule; and

(2)           The hospital administrator certifies that the physical facilities to be used are adequate to safeguard the health and safety of patients. However this approval shall be revoked if the Division determines, as a result of a physical site visit, that these safeguards are not adequate to safeguard the health and safety of patients.

 

History Note:        Authority G.S. 131E-79;

Eff. April 1, 2003;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

SECTION .3200 - GENERAL HOSPITAL REQUIREMENTS

 

10A NCAC 13B .3201      HOSPITAL REQUIREMENTS

A facility shall have all of the following:

(1)           an organized governing body;

(2)           a chief executive officer;

(3)           an organized medical staff;

(4)           an organized nursing staff;

(5)           continuous medical services;

(6)           continuous nursing services;

(7)           permanent on-site facilities for the care of patients 24 hours a day;

(8)           a hospital-wide infection control program;

(9)           minimum on-site clinical provisions as follows:

(a)           appropriately equipped inpatient care areas;

(b)           nursing care units;

(c)           diagnostic and treatment areas to include on-site laboratory and imaging facilities with the capacity to provide immediate response to patient emergencies;

(d)           pharmaceutical services in compliance with the Pharmacy Laws of North Carolina;

(e)           facilities to assure the sterilization of equipment and supplies;

(f)            medical records services;

(g)           provision for social work services;

(h)           current reference sources to meet staff needs; and

(i)            nutrition services.

(10)         minimum supportive capabilities or facilities as follows:

(a)           nutrition and dietetic services;

(b)           scheduled general and preventive maintenance services for building, services and biomedical equipment;

(c)           capability for obtaining police and fire protection, emergency transportation, grounds-keeping, and snow removal;

(d)           personnel recruitment, training and continuing education;

(e)           business management capability;

(f)            short and long-range planning capability;

(g)           financial plan to provide continuity of operation under both normal and emergency conditions;

(h)           provision for patient, employee, and visitor safety; and

(i)            policies for preventive and corrective maintenance including procedures to be followed in the event of a breakdown of essential equipment.

(11)         facilities must comply with construction rules in Sections .6000 - .6200 of this Subchapter.

(12)         a risk management program as follows:

(a)           a specific staff member shall be assigned responsibility for development and administration of the program;

(b)           a written policy statement evidencing a current commitment to the risk management program together with written procedures, policies and educational programs applicable to a risk management program which are reviewed at least every three years and updated as necessary;

(c)           established lines of communication between the risk management program and other functions relating to quality of patient care, safety, and professional staff performance; and

(d)           a written report of the activities of the risk management program shall be annually submitted to the governing body.

(13)         a quality assessment and improvement program which provides:

(a)           continuous assessment and evaluation of patient care and related services in all services and departments;

(b)           a designated individual to coordinate the quality assessment and improvement program who will assist in the establishment of quality assessment and improvement plans and reporting methods for each service and department;

(c)           a committee made up of representatives of the medical and nursing staff, administration, and other services or departments as defined by the hospital to coordinate the program, meet at least quarterly and maintain minutes of the meetings and committee activities; and

(d)           for each service and department as defined by the hospital to be involved in the continuous assessment, monitoring and evaluation of patient care and related services.

 

History Note:        Authority G.S. 131E-75; 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .3202      ADMISSION AND DISCHARGE

(a)  The facility shall provide written admission and discharge, and referral policies.

(b)  There shall be on the premises at all times an employee authorized to receive patients and to make arrangements for their disposition.

(c)  A patient shall be admitted only under the care of a member of the medical staff meeting the provisions of Section .3700 of this Subchapter.

(d)  The facility shall take appropriate precautions to protect the safety and legal rights of patients and employees.

(e)  The facility shall maintain a complete and permanent record of all outpatients and inpatients including the date and time of admission and discharge. Effort shall be made to verify the full and true name, address, date of birth, nearest of kin, provisional diagnosis, condition on admission and discharge, referring physicians, attending physician or service.

(f)  Facility staff shall provide at the time of admission an identification bracelet, band, or other suitable device for positive identification of each patient.

(g)  No mentally competent adult shall be detained by the facility against his will, except as authorized by law.

 

History Note:        Authority G.S. 131E-75; 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .3203      DISCHARGE PLANNING

(a)  Discharge planning shall be an integral part of in-patient hospitalization.

(b)  The facility shall have written policies and procedures governing discharge planning. These shall include but need not be limited to the following:

(1)           appropriate screening to determine the need for discharge planning;

(2)           methods to facilitate the provision of follow-up care;

(3)           information to be given to the patient or his family or other persons involved in caring for the patient on matters such as the patient's condition; his health care needs; the amount of activity he should engage in; any necessary medical regimens including drugs, nutrition therapy, appointments or other forms of therapy; sources of additional help from other agencies; and procedures to follow in case of complications; and

(4)           procedures for assisting the patient and his family in gaining information regarding financial assistance in paying bills incurred as a result of the hospitalization, including how to receive assistance from the various federal and State government programs.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .3204      TRANSFER AGREEMENT

(a)  Any facility which does not provide hospital based nursing facility service shall maintain written agreements with institutions offering this kind of care.  Such agreements shall provide for the transfer and admission of patients who no longer require the services of the hospital but do require nursing facility services.

(b)  A patient shall not be transferred to another medical care facility unless prior arrangements for admission have been made.  Clinical records of sufficient content to provide continuity of care shall accompany the patient.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996.

 

10A NCAC 13B .3205      DISCHARGE OF MINOR OR INCOMPETENT

Any individual who cannot legally consent to his own care shall be discharged only to the custody of parents, legal guardian, person standing in loco parentis, or another competent adult unless otherwise directed by the parent or guardian or court of competent jurisdiction.  If the parent or guardian directs that discharge be made otherwise, he shall so state in writing, and the statement shall become a part of the permanent medical record of the patient.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996.

 

SECTION .3300 - PATIENT'S BILL OF RIGHTS

 

10A NCAC 13B .3301      PRINCIPLE

It is the purpose of these requirements to promote the interests and well-being of the patients in facilities subject to this Subchapter even in those instances where the interests of the patients may be in opposition to the interests of the facility. The facility has the right to expect the patient to fulfill patient responsibilities as may be stated in the facilities' policies affecting patient care and conduct.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .3302      MINIMUM PROVISIONS OF PATIENT'S BILL OF RIGHTS

This Rule does not apply to patients in licensed nursing facility beds since these individuals are granted rights pursuant to G.S. 131E-117. A patient in a facility subject to this Rule has the following rights: 

(1)           A patient has the right to respectful care given by competent personnel.

(2)           A patient has the right, upon request, to be given the name of his attending physician, the names of all other physicians directly participating in his care, and the names and functions of other health care persons having direct contact with the patient.

(3)           A patient has the right to privacy concerning his own medical care program.  Case discussion, consultation, examination, and treatment are considered confidential and shall be conducted discreetly.

(4)           A patient has the right to have all records pertaining to his medical care treated as confidential except as otherwise provided by law or third party contractual arrangements.

(5)           A patient has the right to know what facility rules and regulations apply to his conduct as a patient.

(6)           A patient has the right to expect emergency procedures to be implemented without unnecessary delay.

(7)           A patient has the right to good quality care and high professional standards that are continually maintained and reviewed.

(8)           A patient has the right to full information in laymen's terms, concerning his diagnosis, treatment and prognosis, including information about alternative treatments and possible complications.  When it is not possible or medically advisable to give such information to the patient, the information shall be given on his behalf to the patient's designee.

(9)           Except for emergencies, a physician must obtain necessary informed consent prior to the start of any procedure or treatment, or both.

(10)         A patient has the right to be advised when a physician is considering the patient as a part of a medical care research program or donor program.  Informed consent must be obtained prior to actual participation in such a program and the patient or legally responsible party, may, at any time, refuse to continue in any such program to which he has previously given informed consent.  An Institutional Review Board (IRB) may waive or alter the informed consent requirement if it reviews and approves a research study in accord with federal regulations for the protection of human research subjects including U.S. Department of Health and Human Services (HHS) regulations under 45 CFR Part 46 and U.S. Food and Drug Administration (FDA) regulations under 21 CFR Parts 50 and 56.  For any research study proposed for conduct under an FDA "Exception from Informed Consent Requirements for Emergency Research" or an HHS "Emergency Research Consent Waiver" in which informed consent is waived but community consultation and public disclosure about the research are required, any facility proposing to be engaged in the research study also must verify that the proposed research study has been registered with the North Carolina Medical Care Commission.  When the IRB reviewing the research study has authorized the start of the community consultation process required by the federal regulations for emergency research, but before the beginning of that process, notice of the proposed research study by the facility shall be provided to the North Carolina Medical Care Commission.  The notice shall include:

(a)           the title of the research study;

(b)           a description of the research study, including a description of the population to be enrolled;

(c)           a description of the planned community consultation process, including currently proposed meeting dates and times;

(d)           an explanation of the way that people choosing not to participate in the research study may opt out; and

(e)           contact information including mailing address and phone number for the IRB and the principal investigator.

The Medical Care Commission may publish all or part of the above information in the North Carolina Register, and may require the institution proposing to conduct the research study to attend a public meeting convened by a Medical Care Commission member in the community where the proposed research study is to take place to present and discuss the study or the community consultation process proposed.

(11)         A patient has the right to refuse any drugs, treatment or procedure offered by the facility, to the extent permitted by law, and a physician shall inform the patient of his right to refuse any drugs, treatment or procedures and of the medical consequences of the patient's refusal of any drugs, treatment or procedure.

(12)         A patient has the right to assistance in obtaining consultation with another physician at the patient's request and expense.

(13)         A patient has the right to medical and nursing services without discrimination based upon race, color, religion, sex, sexual orientation, gender identity, national origin or source of payment.

(14)         A patient who does not speak English shall have access, when possible, to an interpreter.

(15)         A facility shall provide a patient, or patient designee, upon request, access to all information contained in the patient's medical records.  A patient's access to medical records may be restricted by the patient's attending physician.  If the physician restricts the patient's access to information in the patient's medical record, the physician shall record the reasons on the patient's medical record.  Access shall be restricted only for sound medical reason.  A patient's designee may have access to the information in the patient's medical records even if the attending physician restricts the patient's access to those records.

(16)         A patient has the right not to be awakened by hospital staff unless it is medically necessary.

(17)         The patient has the right to be free from duplication of medical and nursing procedures as determined by the attending physician.

(18)         The patient has the right to medical and nursing treatment that avoids unnecessary physical and mental discomfort.

(19)         When medically permissible, a patient may be transferred to another facility only after he or his next of kin or other legally responsible representative has received complete information and an explanation concerning the needs for and alternatives to such a transfer.  The facility to which the patient is to be transferred must first have accepted the patient for transfer.

(20)         The patient has the right to examine and receive a detailed explanation of his bill.

(21)         The patient has a right to full information and counseling on the availability of known financial resources for his health care.

(22)         A patient has the right to be informed upon discharge of his continuing health care requirements following discharge and the means for meeting them.

(23)         A patient shall not be denied the right of access to an individual or agency who is authorized to act on his behalf to assert or protect the rights set out in this Section.

(24)         A patient has the right to be informed of his rights at the earliest possible time in the course of his hospitalization.

(25)         A patient has the right to designate visitors who shall receive the same visitation privileges as the patient's immediate family members, regardless of whether the visitors are legally related to the patient.

 

History Note:        Authority G.S. 131E-75; 131E-79; 143B-165;

RRC Objection due to ambiguity Eff. July 13, 1995;

Eff. January 1, 1996;

Temporary Amendment Eff. April 1, 2005;

Amended Eff. January 1, 2011; May 1, 2008; November 1, 2005.

 

10A NCAC 13B .3303      PROCEDURE

(a)  The facility shall develop and implement procedures to inform each patient of his rights.  Copies of the facilities' Patient's Bill of Rights shall be made available through one of the following ways:

(1)           prominent displays in appropriate locations in addition to copies available upon request; or

(2)           provision of a copy to each patient or responsible party upon admission or as soon after admission as is feasible.

(b)  The address and telephone number of the section in the Department responsible for the enforcement of the provisions of this part shall be posted.

(c)  The facility shall adopt procedures to ensure effective and fair investigation of violations of patients' rights and to ensure their enforcement.  These procedures shall ensure that:

(1)           a system is established to identify formal written complaints;

(2)           formal written complaints are recorded and investigated;

(3)           investigation and resolution of formal complaints shall be conducted; and

(4)           disciplinary and education procedures shall be developed for members of the hospital and medical staff who are noncompliant with facility policies.

(d)  The Division shall investigate or refer to appropriate State agencies all complaints within the jurisdiction of the rules in this Subchapter.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996.

 

SECTION .3400 - SUPPLEMENTAL RULES FOR THE LICENSURE OF critical access HOSPITALS

 

10A NCAC 13B .3401      SUPPLEMENTAL RULES

The rules of this Section pertain only to designated Critical Access Hospitals in accordance with 42 CFR 485 Subpart F. The general requirements of this Subchapter shall apply to such facilities except where they are specifically waived or modified by the rules of this Section.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Amended Eff. November 1, 2004;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .3402      DEFINITIONS

The following definitions shall apply throughout this Section, unless context otherwise clearly indicates to the contrary:

(1)           "Available" means provided directly by the facility or by written agreement with a qualified provider of the service within one hour driving time.

(2)           "Critical Access Hospital" means a facility designated by the North Carolina Office of Research, Demonstrations and Rural Health Development in accordance with 42 CFR 485 Subpart F.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Amended Eff. November 1, 2004;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .3403      LICENSURE APPLICATION

10A NCAC 13B .3404      FEDERALLY CERTIFIED PRIMARY CARE HOSPITAL

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Repealed Eff. November 1, 2004.

 

10A NCAC 13B .3405      DESIGNATED CRITICAL ACCESS HOSPITALS

The requirements of 10A NCAC 13B shall apply to Critical Access Hospitals with the following modifications:

(1)           Autopsy facilities required in Rule .4907 of this Subchapter are not required provided that the facility has in effect a written agreement with another facility meeting Rule .4907 of this Subchapter for providing autopsy services.

(2)           Radiological services required in Section .4800 and Rule .6210 of this Subchapter are not required provided that the facility has a written agreement with another licensed facility meeting the requirements of Section .4800 and Rule .6210 of this Subchapter which makes radiological service available.

(3)           Emergency services required in Rules .4102-.4110 of this Subchapter are not required. Emergency response capability set forth in Rule .4101 of this Subchapter shall be provided. Medical staff shall require that facility personnel are capable of initiating life-saving measures at a first-aid level of response for any patient or person in need of such services. This shall include:

(a)           Establishing protocols or agreements with any facility providing emergency services;

(b)           Initiating basic cardio-pulmonary resuscitation according to the American Red Cross or American Heart Association standards;

(c)           Availability of intravenous fluids and supplies required to establish intravenous access; and

(d)           Availability of first-line emergency drugs as specified by the medical staff.

(4)           Anesthesia services required in Section .4600 of this Subchapter are not required in hospitals not offering outpatient surgery services.

(5)           Food services required in Section .4700 of this Subchapter shall be provided for inpatients directly or made available through contractual arrangements.

(6)           "Observation bed" as defined in Rule .3001(32) of this Subchapter does not apply. For purposes of this Section, "Observation bed" means a bed used for no more than 48-hours, to evaluate and determine the condition and disposition of a patient and is not considered a part of the hospital's licensed bed capacity.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Amended Eff. November 1, 2004;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

SECTION .3500 - GOVERNANCE AND MANAGEMENT

 

10A NCAC 13B .3501      GOVERNING BODY

(a)  The governing body, owner or the person or persons designated by the owner as the governing authority shall be responsible for seeing that the objectives specified in the charter (or resolution if publicly owned) are attained.

(b)  The governing body shall be the final authority in the facility to which the administrator, the medical staff, the personnel and all auxiliary organizations are directly or indirectly responsible.

(c)  A local advisory board shall be established if the facility is owned or controlled by an organization or persons outside of North Carolina.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .3502      REQUIRED POLICIES, RULES, AND REGULATIONS

(a)  The governing body shall adopt written policies, rules, and regulations in accordance with all requirements con­tained in this Subchapter and in accordance with the community responsibility of the facility.  The written policies, rules, and regulations shall:

(1)           state the purpose of the facility;

(2)           describe the powers and duties of the governing body officers and committees and the responsibilities of the chief executive officer;

(3)           state the qualifications for governing body membership, the procedures for selecting members, and the terms of service for members, officers and committee chairmen;

(4)           describe the authority delegated to the chief executive officer and to the medical staff.  No assignment, referral, or delegation of authority by the governing body shall relieve the governing body of its responsibility for the conduct of the facility.  The governing body shall retain the right to rescind any such delegation;

(5)           require Board approval of the bylaws of any auxiliary organizations established by the hospital;

(6)           require the governing body to review and approve the bylaws of the medical staff organization;

(7)           establish a procedure for processing and evaluating the applications for medical staff membership and for the granting of clinical privileges;

(8)           establish a procedure for implementing, disseminating, and enforcing a Patient's Bill of Rights as set forth in Rule .3302 of this Subchapter and in compliance with  G.S. 131E-117; and

(9)           require the governing body to institute procedures to provide for:

(A)          orientation of newly elected board members to specific board functions and procedures;

(B)          the development of procedures for periodic reexamination of the relationship of the board to the total facility community; and

(C)          the recording of minutes of all governing body and executive committee meetings and the dissemination of those minutes, or summaries thereof, on a regular basis to all members of the governing body.

(b)  The governing body shall assure written policies and procedures to assure billing and collection practices in accordance with G.S. 131E-91.  These policies and procedures shall include:

(1)           a financial assistance policy as defined in G.S. 131E-214.14(b)(3);

(2)           how a patient may obtain an estimate of the charges for the statewide 100 most frequently reported Diagnostic Related Groups (DRGs), where applicable, 20 most common outpatient imaging procedures, and 20 most common outpatient surgical procedures.  The policy shall require that the information be provided to the patient in writing, either electronically or by mail, within three business days;

(3)           how a patient or patient's representative may dispute a bill;

(4)           issuance of a refund within 45 days of the patient receiving notice of the overpayment when a patient has overpaid the amount due to the hospital;

(5)           providing written notification to the patient or patient's representative at least 30 days prior to submitting a delinquent bill to a collections agency;

(6)           providing the patient or patient's representative with the facility's charity care and financial  assistance policies, if the facility is required to file a Schedule H, federal form 990;

(7)           the requirement that a collections agency, entity, or other assignee obtain written consent from the facility prior to initiating litigation against the patient or patient's representative;

(8)           a policy for handling debts arising from the provision of care by the hospital involving the doctrine of necessaries, in accordance with G.S. 131E-91(d)(5); and

(9)           a policy for handling debts arising from the provision of care by the hospital to a minor, in accordance with G.S. 131E-91(d)(6).

(c)  The written policies, rules, and regulations shall be reviewed every three years, revised as necessary, and dated to indicate when last reviewed or revised.

(d)  To qualify for licensure or license renewal, each facility must provide to the Division, upon application, an attestation statement in a form provided by the Division verifying compliance with the requirements of this Rule. 

(e)  On an annual basis, on the license renewal application provided by the Division, the facility shall provide to the Division the direct website address to the facility's financial assistance policy.  This Rule applies only to facilities required to file a Schedule H, federal form 990.

 

History Note:        Authority G.S. 131E-79; 131E-91; 131E-214.13(f); 131E-214.14; S.L. 2013-382, s. 10.1; S.L. 2013-382, s. 13.1;

Eff. January 1, 1996;

Temporary Amendment Eff. May 1, 2014;

Amended Eff. November 1, 2014.

 

10A NCAC 13B .3503      FUNCTIONS

The governing body shall:

(1)           provide management, physical resources and personnel required to meet the needs of the patients for which it is licensed;

(2)           require management to establish a quality control mechanism which includes as an integral part a risk management component and an infection control program;

(3)           formulate short-range and long-range plans for the development of the facility;

(4)           conform to all applicable federal, State and local laws and regulations;

(5)           provide for the control and use of the physical and financial resources of the facility;

(6)           review the annual audit, budget and periodic reports of the financial operations of the facility;

(7)           consider the advice of the medical staff in granting and defining the scope of clinical privileges to individuals.  When the governing body does not concur in the medical staff recommendation regarding the clinical privileges of an individual, there shall be a review of the recommendation by a joint committee of the medical staff and governing body before a final decision is reached by the governing body;

(8)           require that applicants be informed of the disposition of their application for medical staff membership or clinical privileges, or both, within an established period of time after their application has been submitted;

(9)           review and approve the medical staff bylaws, rules and regulations body;

(10)         delegate to the medical staff the authority to evaluate the professional competence of staff members and applicants for staff privileges and hold the medical staff responsible for recommending initial staff appointments, reappointments and assignments or curtailments of privileges;

(11)         require that resources be made available to address the emotional and spiritual needs of patients either directly or through referral or arrangement with community agencies;

(12)         maintain effective communication with the medical staff which shall be established, through:

(a)           meetings with the Executive Committee of the Medical Staff;

(b)           service by the president of the medical staff as a member of the governing body with or without a vote;

(c)           appointment of individual medical staff members to governing body committees; or

(d)           a joint conference committee;

(13)         require the medical staff to establish controls that are designed to provide that standards of ethical professional practices are met;

(14)         provide the necessary staff support to facilitate utilization review and infection control within the facility and to support quality control, any other medical staff functions required by this Subchapter or by the facility bylaws;

(15)         meet the following disclosure requirements:

(a)           provide data required by the Division;

(b)           disclose the facility's average daily inpatient charge upon request of the Division; and

(c)           disclose the identity of persons owning 5.0 percent or more of the facility as well as the facility's officers and members of the governing body upon request;

(16)         establish a procedure for reporting the occurrence and disposition of any unusual incidents.  These procedures shall require that:

(a)           incident reports are analyzed and summarized; and

(b)           corrective action is taken as indicated by the analysis of incident reports;

(17)         in a facility with one or more units, or portions of units, however described, utilized for psychiatric or substance abuse treatment, adopt policies implementing the provisions of G.S. 122C, Article 3, and Article 5, Parts, 2, 3, 4, 5, 7, and 8;

(18)         develop arrangements for the provision of extended care and other long-term healthcare services.  Such services shall be provided in the facility or by outside resources through a transfer agreement or referrals;

(19)         provide and implement a written plan for the care or for the referral, or for both, of patients who require mental health or substance abuse services while in the hospital;

(20)         develop a conflict of interest policy which shall apply to all governing body members and corporate officers.  All governing body members shall execute a conflict of interest statement;

(21)         prohibit members of the governing body from engaging in the following forms of self-dealing:

(a)           the sale, exchange or leasing of property or services between the facility and a governing board member, his employer or an organization substantially controlled by him on a basis less favorable to the facility than that on which such property or service is made available to the general public;

(b)           furnishing of goods, services or facilities by a facility to a governing board member, unless such furnishing is made on a basis not more favorable than that on which such goods, services, or facilities are made available to the general public or employees of the facility; or

(c)           any transfer to or use by or for the benefit of a governing board member of the income or assets of a facility, except by purchase for fair market value; and

(22)         prohibit the lease, sale, or exclusive use of any facility buildings or facilities receiving a license in accordance with this Subchapter to any entity which provides medical or other health services to the facility's patients, unless there is full, complete disclosure to and approval from the Division.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996.

 

SECTION .3600 - MANAGEMENT AND ADMINISTRATION OF OPERATIONS

 

10A NCAC 13B .3601      CHIEF EXECUTIVE OFFICER

(a)  The governing body shall designate a chief executive officer whose qualifications, authority, responsibilities and duties shall be defined in a written statement adopted by the governing body.

(b)  The chief executive officer shall be the designated representative of the governing body and may be given any one or more or all of the responsibilities set out in Rule .3602 of this Section.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .3602      RESPONSIBILITIES

The governing body shall adopt written policies, rules, and regulations that specify the officer or officers that shall:

(1)           act for the chief executive officer in his absence;

(2)           manage the facility consonant with its expressed aims and policies;

(3)           attend meetings of the governing body and appropriate meetings of the medical staff;

(4)           implement policies adopted by the governing body for the operation of the facility;

(5)           organize the administrative functions of the facility, delegate duties and establish formal means of accountability on the part of subordinates;

(6)           establish such facility departments as are indicated, provide for departmental and interdepartmental meetings and attend or be represented at such meetings, and appoint hospital departmental representatives to medical staff committees where appropriate or when requested to do so by the medical staff;

(7)           appoint the heads of administrative departments;

(8)           report to the governing body and to the medical staff on the overall activities of the facility as well as on appropriate federal, State and local developments that affect health care in the facility;

(9)           review the annual audit of the financial operations of the facility and acting upon recommendations therein;

(10)         provide fiscal planning and financial management of the facility including the provision of annual budgets and periodic financial status reports to the governing board;

(11)         develop in cooperation with the departmental heads and other appropriate staff, an overall organizational plan for the facility which will coordinate the functions, services and departments of the facility, when possible; and

(12)         require that the agreements with service providers, such as laundry, laboratory and imaging, specifically indicate that compliance will be maintained with applicable State rules as would apply to the same services if provided directly by the facility.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .3603      PERSONNEL POLICIES AND PRACTICES

The facility shall develop, establish and maintain personnel policies and practices which support sound patient care. The policies shall be in writing and made available to all employees, and they shall be reviewed periodically but no less often than once every three years. The date of the most recent review shall be indicated on the written policies. A procedure shall be established for notifying employees of changes in the established personnel policies.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .3604      JOB DESCRIPTIONS

The facility shall develop and make available to the employee a written job description for each type of job in the facility, including the chief executive officer and heads of departments. Each job description shall include a written description of the education, experience, license, certification, or other qualifications required for the position.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .3605      PERSONNEL RECORDS

(a)  The facility shall maintain accurate and complete personnel records for each facility employee during the term of employment and for two years thereafter. The chief executive officer may designate an individual to carry out this assignment.

(b)  Personnel records shall be maintained under such conditions as may be required by state or federal law and shall contain at least the following:

(1)           information regarding the employee's education, training and experience and clinical competence, including, if applicable, professional licensure status and license number, sufficient to verify the employee's qualifications for the job for which he is employed. Such information shall be kept current. Applicants for positions requiring a licensed person shall be hired only after obtaining verification of their licenses from the appropriate board;

(2)           current information relative to periodic work performance evaluations;

(3)           records of such pre-employment health examinations and of subsequent health services rendered to the employees as are necessary to determine that all facility employees are physically able to perform the essential duties of their positions.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .3606      EDUCATION PROGRAMS

The facility shall provide new employee orientation and continuing education programs for all employees to maintain the skills necessary for the performance of their duties and learn new developments in health care. Records shall be maintained of all orientation and educational programs, and of the participants.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .3607      PERSONNEL HEALTH REQUIREMENTS

Employees shall have pre-employment medical examinations and interim examinations in accordance with medical criteria established by the facility.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .3608      INSURANCE

The governing board shall have in place an insurance program which provides for the protection of the physical and financial resources of the facility.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .3609      AUDIT OF FINANCIAL OPERATIONS

An audit of the financial operations of the facility shall be performed by a public accountant at least once a year.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

SECTION .3700 - MEDICAL STAFF

 

10A NCAC 13B .3701      GENERAL PROVISIONS

The facility shall have a medical staff organized in accordance with the facility's by-laws which shall be accountable to the governing body and which shall have responsibility for the quality of professional services provided by individuals with clinical privileges.  Facility policy shall provide that individuals with clinical privileges shall perform only services within the scope of individual privileges granted.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996.

 

10A NCAC 13B .3702      ESTABLISHMENT

The medical staff shall be established in accordance with the by-laws, rules or regulations of the medical staff and with the written policies, rules or regulations of the facility.  The governing body of the facility, after considering the recommendations of the medical staff, may grant clinical privileges to other qualified, licensed practitioners in accordance with their training, experience, and demonstrated competence and judgment in accordance with the medical staff by-laws, rules or regulations.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996.

 

10A NCAC 13B .3703      APPOINTMENT

Formal appointment for membership and granting of clinical privileges shall follow procedures set forth in the by-laws, rules or regulations of the medical staff. These procedures shall require the following:

(1)           a signed application for membership, specifying age, year and school of graduation, date of licensure, statement of postgraduate or special training and experience with a statement of the scope of the clinical privileges sought by the applicant;

(2)           verification by the hospital of the qualifications of the applicant as stated in the application, including evidence of continuing education;

(3)           written notice to the applicant from the medical staff and the governing body, regarding appointment or reappointment which specifies the approval or denial of clinical privileges and the scope of the privileges granted; and

(4)           members of the medical staff and others granted clinical privileges in the facility shall hold current licenses to practice in North Carolina.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .3704      STATUS

(a)  Every facility shall have an active medical staff to deliver medical services within the facility.  The active medical staff shall be responsible for the organization and administration of the medical staff.  Every member of the active medical staff shall be eligible to vote at medical staff meetings and to hold office.

(b)  The active medical staff may establish other categories for membership in the medical staff.  These categories for membership shall be identified and defined in the medical staff bylaws, rules or regulations adopted by the active medical staff.  Examples of these other categories for membership are:

(1)           associate medical staff;

(2)           courtesy medical staff;

(3)           temporary medical staff;

(4)           consulting medical staff;

(5)           honorary medical staff; or

(6)           other staff classifications.

The medical staff bylaws, rules or regulations may grant limited or full voting rights to any one or more of these other membership categories.

(c)  Medical staff appointments shall be reviewed at least once every two years by the governing board.

(d)  The facility shall maintain an individual file for each medical staff member.  Representatives of the Department shall have access to these files in accordance with G.S. 131E-80.

(e)  Minutes of all actions taken by the medical staff and the governing board concerning clinical privileges shall be maintained by the medical staff and the governing board, respectively.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996.

 

10A NCAC 13B .3705      MEDICAL STAFF BYLAWS, RULES OR REGULATIONS

(a)  The active medical staff shall develop and adopt, subject to the approval of the governing body, a set of bylaws, rules or regulations, to establish a framework for self governance of medical staff activities and accountability to the governing body.

(b)  The medical staff bylaws, rules and regulations shall provide for at least the following:

(1)           organizational structure;

(2)           qualifications for staff membership;

(3)           procedures for admission, retention, assignment, and reduction or withdrawal of privileges;

(4)           procedures for fair hearing and appellate review mechanisms for denial of staff appointments, reappointments, suspension, or revocation of clinical privileges;

(5)           composition, functions and attendance of standing committees;

(6)           policies for completion of medical records and procedures for disciplinary actions;

(7)           formal liaison between the medical staff and the governing body;

(8)           methods developed to formally verify that each medical staff member on appointment or reappointment agrees to abide by current medical staff bylaws and facility bylaws; and

(9)           procedures for members of medical staff participation in quality assurance functions.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996.

 

10A NCAC 13B .3706      ORGANIZATION AND RESPONSIBILITIES OF THE MEDICAL STAFF

(a)  The medical staff shall be organized to accomplish its required functions and provide for the election or appointment of its officers.

(b)  There shall be an executive committee, or its equivalent, which represents the medical staff, which has responsibility for the effectiveness of all medical activities of the staff, and which acts for the medical staff.

(c)  All minutes of proceedings of medical staff committees shall be recorded and available for inspections by members of the medical staff and the governing body.

(d)  The following reviews and functions shall be performed by the medical staff:

(1)           credentialing review;

(2)           surgical case review;

(3)           medical records review;

(4)           medical care evaluation review;

(5)           drug utilization review;

(6)           radiation safety review;

(7)           blood usage review; and

(8)           bylaws review.

(e)  There shall be medical staff and departmental meetings for the purpose of reviewing the performance of the medical staff, departments or services, and reports and recommendations of medical staff and multi-disciplinary committees.  The medical staff shall ensure that minutes are taken at each meeting and retained in accordance with the policy of the facility.  These minutes shall reflect the transactions, conclusions and recommendations of the meetings.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996.

 

10A NCAC 13B .3707      MEDICAL ORDERS

(a)  No medication or treatment shall be administered or discontinued except in response to the order of a member of the medical staff in accordance with established rules and regulations and as provided in Paragraph (f) below.

(b)  Such orders shall be dated and recorded directly in the patient chart or in a computer or data processing system which provides a hard copy printout of the order for the patient chart.  A method shall be established to safeguard against fraudulent recordings.

(c)  All orders for medication or treatment shall be authenticated according to hospital policies.  The order shall be taken by personnel qualified by medical staff rules and shall include the date, time, and name of persons who gave the order, and the full signature of the person taking the order.

(d)  The names of drugs shall be recorded in full and not abbreviated except where approved by the medical staff.

(e)  The medical staff shall establish a written policy in conjunction with the pharmacy committee or its equivalent for all medications not specifically prescribed as to time or number of doses to be automatically stopped after a reasonable time limit, but no more than 14 days.  The prescriber shall be notified according to established policies and procedures at least 24 hours before an order is automatically stopped.

(f)  For patients who are under the continuing care of an out-of-state physician but are temporarily located in North Carolina, a hospital may process the out-of-state physician's prescriptions or orders for diagnostic or therapeutic studies which maintain and support the patient's continued program of care, where the authenticity and currency of the prescriptions or orders can be verified by the physician who prescribed or ordered the treatment requested by the patient, and where the hospital verifies that the out-of-state physician is licensed to prescribe or order the treatment.

 

History Note:        Authority G.S. 131E-75; 131E-79; 143B-165;

Eff. January 1, 1996;

Amended Eff. April 1, 2005; August 1, 1998.

 

10A NCAC 13B .3708      MEDICAL STAFF RESPONSIBILITIES FOR QUALITY IMPROVEMENT REVIEW

(a)  The medical staff shall have in effect a system to review medical services rendered, to assess quality, to provide a process for improving performance when indicated and to monitor the outcome.

(b)  The medical staff shall establish criteria for the evaluation of the quality of medical care.

(c)  The facility shall have a written plan approved by the medical staff, administration and governing body which generates reports to permit identification of patient care problems. The plan shall establish a system to use this data to document and identify interventions.

(d)  The medical staff shall establish and maintain a continuous review process of the care rendered to both inpatients and outpatients in every medical department of the facility. At least quarterly, the medical staff shall have a meeting to examine the review process and results. The review process shall include both practitioners and allied health professionals from the facility staff.

(e)  Minutes shall be taken at all meetings reviewing quality improvement, and these minutes shall be made available to the medical staff on a regular basis in accordance with established policy. These minutes shall be retained as determined by the facility.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

SECTION .3800 - NURSING SERVICES

 

10A NCAC 13B .3801      NURSE EXECUTIVE

(a)  Whether the facility utilizes a centralized or decentralized organizational structure, a nurse executive shall be responsible for the coordination of nursing organizational functions.

(b)  A nurse executive shall develop facility wide patient care programs, policies and procedures that describe how the nursing care needs of patients are assessed, met and evaluated.

(c)  The nurse executive shall develop and adopt, subject to the approval of the facility, a set of administrative policies and procedures to establish a framework to accomplish required functions.

(d)  There shall be scheduled meetings, at least every 60 days, of the members of the nursing staff to evaluate the quality and efficiency of nursing services.  Minutes of these meetings shall be maintained.

(e)  The nurse executive shall be responsible for:

(1)           the development of a written organizational plan which describes the levels of accountability and responsibility within the nursing organization;

(2)           identification of standards and policies and procedures related to the delivery of nursing care;

(3)           planning for and the evaluation of the delivery of nursing care delivery system;

(4)           establishment of a mechanism to validate qualifications, knowledge, and skills of nursing personnel;

(5)           provision of orientation and educational opportunities related to expected nursing performance, and maintenance of records pertaining thereto;

(6)           implementation of a system for performance evaluation;

(7)           provision of nursing care services in conformance with the North Carolina Nursing Practice Act;

(8)           assignment of nursing staff to clinical or managerial responsibilities based upon educational preparation, in conformance with licensing laws and an assessment of current competence; and

(9)           staffing nursing units with sufficient personnel in accordance with a written plan.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996.

 

10A NCAC 13B .3802      NURSING STAFF

(a)  Licensed nurses and other nursing personnel shall be qualified by training, education, experience and demonstrated abilities to provide nursing care within their scope of practice.

(b)  Staffing schedules which reflect personnel assignment by date and service unit shall be kept on file for at least three years by hospital management.

(c)  The facility shall establish policies for the provision of services for all contractual agreement personnel that include at a minimum the following:

(1)           verification of licensure or certification by the appropriate occupational board;

(2)           delivery and documentation of care;

(3)           participation on interdisciplinary care planning activities; and

(4)           supervision of contractual agreement personnel.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .3803      NURSING POLICIES AND PROCEDURES

(a)  Nursing policies and procedures shall be available to the nursing staff in each nursing care unit and service area and shall include the following:

(1)           method of noting diagnostic and therapeutic orders;

(2)           method of assigning nursing care of patients;

(3)           infection control measures;

(4)           patient safety measurers; and

(5)           method of implementing orders for medication or treatment.

(b)  Each unit shall have relevant clinical reference materials available. The following shall be provided to each unit:

(1)           a facility formulary or comparable drug reference;

(2)           a policy and procedure manual; and

(3)           a medical dictionary.

(c)  The facility shall provide a program of inservice education which shall be maintained and documented for all nursing staff personnel. Annual inservices shall include infection control measures, cardiopulmonary resuscitation and fire and safety.

(d)  Nursing care policies and procedures shall be reviewed at least every three years by the nursing staff and facility management and revised as necessary. They shall include the date to indicate the time of the most recent review or revision.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .3804      PATIENT CARE

(a)  Each patient's need for nursing care related to his or her admission shall be determined by a registered nurse. Patient needs shall be reassessed when warranted by the patient's condition.

(b)  Each patient's nursing care shall be based upon assessed needs and shall be coordinated with the therapies of other disciplines.

(c)  The patient's medical record shall include documentation of:

(1)           the initial assessment and reassessments of patient clinical status;

(2)           patient care needs;

(3)           interventions performed to meet the patient's nursing care needs;

(4)           implementation of physician's orders;

(5)           the nursing care provided; and

(6)           the patient's response to, and the outcomes of, the care provided.

(d)  Each plan of care shall be initiated within 24 hours of admission. The plan of care shall become a part of the clinical record.

(e)  The nursing care plan shall be readily available to all physicians and facility personnel involved with the care of the patient.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

SECTION .3900 - MEDICAL RECORD SERVICES

 

10A NCAC 13B .3901      ORGANIZATION

(a)  The facility shall establish a medical record service. It shall be directed, staffed and equipped to accurately process, index, and file all medical records. Orientation, on-the-job training and inservice programs for medical records personnel shall be provided.

(b)  The medical record service shall be equipped to enable its personnel to maintain medical records so that they are readily accessible and secure from unauthorized use.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .3902      MANAGER

(a)  The medical records service shall be directed and supervised by a qualified medical records manager. If the manager is not a registered record administrator or an accredited records technician, the facility shall retain a person with those qualifications on a part-time or consulting basis.

(b)  The manager of the medical record service shall advise, administer, supervise and perform work involved in the development, analysis, maintenance and use of medical records and reports.

(c)  Where the manager is employed on a part-time or consulting basis, he or she shall organize the department, train the regular personnel and make periodic visits to the facility. The manager shall evaluate the records and the operation of the service and document the visits by written reports. A written contract specifying his or her duties and responsibilities shall be kept on file and made available for inspection by the Division's surveyor.

(d)  The manager of the medical record service shall maintain a system of identification and filing to facilitate the prompt location of medical record of any patient.

(e)  The manager of the medical records service shall store medical records in such a manner as to provide protection from loss, damage, and unauthorized access.

 

History Note:        Authority G.S. 131E-79;

RRC Objection due to lack of Statutory Authority Eff. July 13, 1995;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .3903      PRESERVATION OF MEDICAL RECORDS

(a)  The manager of medical records service shall maintain medical records, whether original, computer media, or microfilm, for a minimum of 11 years following the discharge of an adult patient.

(b)  The manager of medical records shall maintain medical records of a patient who is a minor until the patient's 30th birthday.

(c)  If a hospital discontinues operation, its management shall make known to the Division where its records are stored. Records shall be stored in a business offering retrieval services for at least 11 years after the closure date.

(d)  The hospital shall give public notice prior to destruction of its records, to permit former patients or representatives of former patients to claim the record of the former patient.  Public notice shall be in at least two forms: written notice to the former patient or their representative and display of an advertisement in a newspaper of general circulation in the area of the facility.

(e)  The manager of medical records may authorize the microfilming of medical records.  Microfilming may be done on or off the premises.  If done off the premises, the facility shall provide for the confidentiality and safekeeping of the records.  The original of microfilmed medical records shall not be destroyed until the medical records department has had an opportunity to review the processed film for content.

(f)  Nothing in this Section shall be construed to prohibit the use of automation in the medical records service, provided that all of the provisions in this Rule are met and the information is readily available for use in patient care.

(g)  Only personnel authorized by state laws and Health Insurance Portability and Accountability Act regulations shall have access to medical records.  Where the written authorization of a patient is required for the release or disclosure of health information, the written authorization of the patient or authorized representative shall be maintained in the original record as authority for the release or disclosure.

(h)  Medical records are the property of the hospital, and they shall not be removed from the facility jurisdiction except through a court order.  Copies shall be made available for authorized purposes such as insurance claims and physician review.

 

History Note:        Authority G.S. 90-21.20B; 131E-79; 131E-97;

Eff. January 1, 1996;

Amended Eff. July 1, 2009.

 

10A NCAC 13B .3904      PATIENT ACCESS

The manager of medical records shall provide patients or patient designees, when requested, access to or a copy of their medical records, or both. Upon the death of a patient, the executor of the decedent's estate, or in the absence of an executor, the next of kin responsible for the disposition of the remains, shall have access to all medical records of the deceased patient. The patient or the patient's next of kin may be charged for the cost of reproducing copies.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .3905      PATIENT MEDICAL RECORDS

(a)  Hospital management shall maintain medical records for each patient treated or examined in the facility.

(b)  The medical record or medical record system shall provide data for each episode of care and treatment rendered by the facility.

(c)  Where the medical record does not combine all episodes of inpatient, outpatient and emergency care, the medical records system shall:

(1)           assemble, upon request of the physician, any or all divergently located components of the medical record when a patient is admitted to the facility or appears for outpatient or clinic services; or

(2)           require placing copies of pertinent portions of each inpatient's medical record, such as the discharge resume, the operative note and the pathology report, in the outpatient or combined outpatient emergency unit record file as directed by the medical staff.

(d)  The manager of medical records shall ensure that:

(1)           each patient's medical record is complete, readily accessible and available to the professional staff concerned with the care and treatment of the patient;

(2)           all clinical information pertaining to a patient is incorporated in his medical record;

(3)           all entries in the record are dated and authenticated by the person making the entry;

(4)           symbols and abbreviations are used only when they have been approved by the medical staff and when there exists a legend to explain them;

(5)           verbal orders include the date and signature of the person recording them. They shall be given and authenticated in accordance with the provisions of Rule .3707(c) of this Subchapter; and

(6)           records of patients discharged are completed within 30 days following discharge or disciplinary action is initiated as defined in the medical staff bylaws.

 

History Note:        Authority G.S. 131E-75; 131E-79; 143B-165;

Eff. January 1, 1996;

Amended Eff, April 1, 2005;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .3906      CONTENTS

(a)  The medical record shall contain sufficient information to justify the diagnosis, verify the treatment and document the course of treatment and results accurately.

(b)  All in-patient records shall include the following information:

(1)           identification data (name, address, age, sex) and, when the identification data is not obtainable, the reason for such;

(2)           date and time of admission and discharge;

(3)           medical history:

(A)          chief complaint;

(B)          details of the present illness;

(C)          relevant past, social, and family histories; and

(D)          reports of relevant physical examinations;

(4)           diagnostic and therapeutic orders;

(5)           reports of procedures, tests and their results;

(6)           provisional or admitting diagnosis;

(7)           evidence of appropriate informed consent or a written statement explaining why consent was not obtained;

(8)           clinical observations, including results of therapy;

(9)           record of medication and treatment administration;

(10)         progress notes of all disciplines;

(11)         conclusions at termination of hospitalization or evaluation and treatment;

(12)         all relevant diagnosis established by the time of discharge;

(13)         consultation reports;

(14)         surgical record, including anesthesia record, pre-operative diagnosis, surgeon's operative report and post-operative orders and any instructions given to the patient or family; and

(15)         autopsy findings, if performed.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .3907      MEDICAL RECORDS REVIEW

The medical staff shall review medical records periodically for completeness and shall:

(1)           establish requirements regarding completion of medical records, including a system for disciplinary actions for those who do not complete records in a timely manner; and

(2)           make recommendations to the medical records department regarding clinical information sufficient for medical care evaluation.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

SECTION .4000 - OUTPATIENT SERVICES

 

10A NCAC 13B .4001      ORGANIZATION

(a)  The facility shall establish and maintain outpatient care services in accordance with the facility's written mission statement.

(b)  The relationship of outpatient services to other divisions within the facility, including channels of responsibility and authority, shall be documented and made available for review by the facility.

(c)  The facility shall vest the direction of outpatient services in one or more individuals whose qualifications, authority and duties are defined in writing.

(d)  The facility shall establish and maintain procedures for the review and evaluation of outpatient services.

(e)  Each medical staff member shall have privileges delineated in accordance with criteria established by the medical staff by-laws, rules, or regulations.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .4002      STAFFING

(a)  The director of outpatient services shall require that ambulatory care services are staffed with sufficient personnel in accordance with a written plan.

(b)  The responsibility for the delivery of outpatient services by the professional staff shall be defined and documented by the director of ambulatory care services.

(c)  The facility shall provide education programs specifically related to outpatient care for the staff and document the extent of participation in education and training programs.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .4003      POLICIES AND PROCEDURES

(a)  The provision of outpatient services shall be guided by written policies and procedures which shall be developed by the facility and approved by the medical staff. The policies and procedures shall be reviewed by the medical staff at least every three years.

(b)  The policies shall include the following:

(1)           patient access to outpatient services;

(2)           the process of obtaining informed consent;

(3)           the location, storage and procurement of medications, supplies and equipment; and

(4)           the mechanism to be used to contact patients for necessary follow-up.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .4004      OUTPATIENT SURGICAL AND ANESTHESIA SERVICES

(a)  When surgical or anesthesia services are provided in an outpatient setting, the facility shall require that the medical staff approve all types of surgical procedures to be offered. The facility shall maintain and make available a current listing of approved outpatient procedures.

(b)  The facility shall define the scope of anesthesia services that may be provided, the locations where such anesthesia services may be administered and who shall provide anesthesia services.

(c)  The facility shall require that standards for informed consent, history and physical examination, preoperative studies, administration of anesthesia, medical records and discharge criteria meet the same standards of care as apply for inpatient surgery unless otherwise specified by the medical staff.

(d)  The facility shall provide for back-up service by other departments in the case of emergencies or complications.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .4005      MEDICAL RECORDS

(a)  The manager of outpatient services shall require that a record of outpatient care and services for each patient is maintained either in the ambulatory care services or medical records department.

(b)  The facility shall develop a system of identification and filing to prepare for safe storage and prompt retrieval of records upon subsequent inpatient or outpatient visits.

(c)  The facility shall establish medical records procedures which include provisions for maintaining the confidentiality of patient information and for the release of information to authorized individuals.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

SECTION .4100 - EMERGENCY SERVICES

 

10A NCAC 13B .4101      EMERGENCY RESPONSE CAPABILITY REQUIRED

The medical staff of each facility shall require that facility personnel are capable of initiating life-saving measures at a first-aid level of response for any patient or person in need of such services. This shall include:

(1)           initiating basic cardio-respiratory resuscitation according to American Red Cross or American Heart Association standards;

(2)           availability of first-line emergency drugs as specified by the medical staff;

(3)           availability of IV fluids and supplies required to establish IV access; and

(4)           establishing protocols or agreements for the transfer of patients to a facility for a higher level of care when these services are not available on site.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .4102      CLASSIFICATION OF OPTIONAL EMERGENCY SERVICES

(a)  Any facility providing emergency services shall classify its capability in providing such services according to the following criteria:

(1)           Level I:

(A)          the facility shall have a comprehensive, 24-hour-per-day emergency service with at least one physician experienced in emergency care on duty in the emergency care area;

(B)          the facility shall have in-hospital physician coverage by members of the medical staff or by senior-level residents for at least medical, surgical, orthopedic, obstetric, gynecologic, pediatric and anesthesia services;

(C)          services of other medical and surgical specialists shall be available; and

(D)          the facility shall provide prompt access to labs, radiology, operating suites, critical care and obstetric units and other services as defined by the governing body.

(2)           Level II:

(A)          the facility shall have 24-hour per day emergency service with at least one physician experienced in emergency care on duty in the emergency care area; and

(B)          the facility shall have consultation available within 30 minutes by members of the medical staff or by senior level residents to meet the needs of the patient. Consultation by phone is acceptable.

(3)           Level III: The facility shall have emergency service available 24 hours per day with at least one physician available to the emergency care area within 30 minutes through a medical staff call roster.

(b)  Facilities seeking trauma center designation shall comply with G.S. 131E-162.

(c)  The location of the emergency access area shall be identified by clearly visible signs.

 

History Note:        Authority G.S. 131E-79;

RRC objection due to lack of statutory authority Eff. July 13, 1995;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .4103      PROVISION OF EMERGENCY SERVICES

(a)  Any of any facility providing emergency services shall establish and maintain policies requiring appropriate medical screening, treatment and transfer services for any individual who presents to the facility emergency department and on whose behalf treatment is requested regardless of that person's ability to pay for medical services and without delay to inquire about the individual's method of payment.

(b)  Any facility providing emergency services under this Section shall install, operate and maintain, on a 24-hour per day basis, an emergency two-way radio licensed by the Federal Communications Commission in the Public Safety Radio Service capable of establishing voice radio communication with ambulance units transporting patients to said facility or having any written procedure or agreement for handling emergency services with the local ambulance service, rescue squad or other trained medical personnel.

(c)  All communication equipment shall be in compliance with current rules established by North Carolina Rules for Basic Life Support/Ambulance Service (10 NCAC 3D .1100) adopted by reference with all subsequent amendments.  Referenced rules are available at no charge from the Office of Emergency Medical Services, 2707 Mail Service Center, Raleigh, N.C. 27699-2707.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996.

 

10A NCAC 13B .4104      MEDICAL DIRECTOR

(a)  The governing body shall establish the qualifications, duties, and authority of the director of emergency services.  Appointments shall be recommended by the medical staff and approved by the governing body.

(b)  The medical staff credentials committee shall approve the mechanism for emergency privileges for physicians employed for brief periods of time such as evenings, weekends or holidays.

(c)  Level I and II emergency services shall be directed and supervised by a physician with experience in emergency care.

(d)  Level III services shall be directed and supervised by a physician with experience in emergency care or through a multi-disciplinary medical staff committee.  The chairman of this committee shall serve as director of emergency medical services.

 

History Note:        Authority G.S. 131E-79;

RRC objection due to lack of statutory authority Eff. July 13, 1995;

Eff. January 1, 1996.

 

10A NCAC 13B .4105      NURSING

(a)  Level I and Level II emergency services shall have one or more registered nurses assigned and on duty within the emergency service area at all times.

(b)  A Level III emergency service shall have a registered nurse available on at least an on-call, in-house basis at all times.

(c)  The facility shall document that all emergency services nursing personnel shall have orientation, training and continuing education in the reception and care of emergency patients.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .4106      POLICIES AND PROCEDURES

Each emergency department shall establish written policies and procedures which specify the scope and conduct of patient care to be provided in the emergency areas.  They shall include the following:

(1)           the location, storage, and procurement of medications, blood, supplies, equipment and the procedures to be followed in the event of equipment failure;

(2)           the initial management of patients with burns, hand injuries, head injuries, fractures, multiple injuries, poisoning, animal bites, gunshot or stab wounds and other acute problems;

(3)           the provision of care to an unemancipated minor not accompanied by a parent or guardian, or to an unaccompanied unconscious patient;

(4)           management of alleged or suspected child, elder or adult abuse;

(5)           the management of pediatric emergencies;

(6)           the initial management of patients with actual or suspected exposure to radiation;

(7)           management of alleged or suspected rape victims;

(8)           the reporting of individuals dead on arrival to the proper authorities;

(9)           the use of standing orders;

(10)         tetanus and rabies prevention or prophylaxis; and

(11)         the dispensing of medications in accordance with state and federal laws.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996.

 

10A NCAC 13B .4107      EMERGENCY RECORDS

(a)  The facility shall require all levels of emergency departments to maintain a continuous control register on each patient seen for services which shall include at least the name, age, sex, date, time, and means of arrival, nature of complaint, disposition, and time of discharge.

(b)  The facility shall maintain a record for each patient seeking emergency care. This shall include:

(1)           patient identification, time and means of arrival;

(2)           pertinent history and physical findings and patient vital signs;

(3)           diagnostic and therapeutic orders;

(4)           clinical observations including results of treatment;

(5)           reports of procedures, tests and results;

(6)           diagnostic impression; and

(7)           discharge or transfer summary of treatment including final disposition, the patient's condition, and any instructions given to the patient and or family for follow-up care.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .4108      OBSERVATION BEDS

When observation beds are used, the facility shall implement written policies and procedures that address the type of patient use, the mechanism for providing appropriate clinical monitoring, the length of time services may be provided in this setting and documentation requirements.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .4109      TRANSFER

(a)  The facility shall establish and implement protocols for stabilization and transportation of emergency patients.

(b)  A facility with specialized capabilities, such as burn units, shock-trauma units and neonatal intensive care units, shall not refuse to accept an appropriate transfer for those services if the hospital has the capacity to treat the individual.

(c)  The facility shall not transfer a patient until the receiving organization has consented to accept the patient and the patient is sufficiently stable for transport.

(d)  If the patient or the person acting on the patient's behalf refuses transfer, the facility staff shall:

(1)           explain to the individual or his representative the risks and benefits of transfer; and

(2)           shall request the patient's or his representative's refusal of transfer in writing.

(e)  The facility shall forward at the time of transfer a copy of all medical records related to the emergency condition for which the individual has presented.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .4110      DISASTER AND MASS CASUALTY PROGRAM

(a)  The facility shall describe:

(1)           the level of emergency services available during an external disaster;

(2)           the emergency department's role in the facility's external disaster plan;

(3)           procedures to be followed in the event of an internal disaster; and

(4)           the facility's connection to other community services such as fire, police and the American Red Cross.

(b)  The medical staff and governing body shall approve the plan, review it and revise it if needed, annually.

(c)  The plan shall:

(1)           provide for prompt medical attention for all emergency patients as their needs may dictate;

(2)           include protocols for handling non-emergency cases;

(3)           establish medical staff coverage procedures or methods;

(4)           specify drugs, solutions and equipment to be continuously available;

(5)           provide for the evacuation and transfer for all inpatients as their needs may indicate in the event of an internal disaster; and

(6)           include mutual support agreements with area providers.

(d)  Schedules, names and telephone numbers of all physicians and others on emergency duty shall be maintained by the facility.

(e)  Names and telephone numbers of those to be contacted in the event of an internal disaster shall be maintained by the facility.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

SECTION .4200 - SPECIAL CARE UNITS

 

10A NCAC 13B .4201      ORGANIZATION

(a)  The governing body shall approve the type and scope of special care units.

(b)  The facility shall document the relationship of the special care units to the other departments within the hospital, including channels of responsibility and authority.

(c)  The facility shall provide necessary equipment and supplies for delivery of nursing care specific to the unit population for each special care unit.

(d)  The facility shall provide sufficient emergency drugs and equipment to meet anticipated needs as determined by the medical staff.

(e)  The governing body shall delegate to the medical and nursing staff the responsibility to develop policies and procedures concerning the scope and provision of safe care in each unit.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .4202      MEDICAL STAFF

(a)  The governing body shall provide that each special care unit or group of similar units be directed by qualified members of the medical staff whose clinical and administrative privileges have been approved by the governing board.

(b)  The governing body shall designate the director to be responsible for making decisions in consultation with the physician responsible for the patient, for the disposition of a patient when patient load exceeds optimal operation capacity.

(c)  The governing body shall require that the medical staff provide medical staff coverage sufficient to meet the specific needs of the patients on a 24-hour basis.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .4203      NURSING STAFF

The supervision of nursing care for each special care unit shall be provided by a qualified registered nurse and shall include the following:

(1)           unit-specific orientation and competency evaluation for each staff member;

(2)           a staffing plan based upon the needs of the patient population which is implemented to ensure a sufficient number of qualified Registered Nurses are on duty when patients are in the unit;

(3)           assessment, planning, implementation and evaluation of nursing care which is documented according to policy; and

(4)           delivery of nursing care in accordance with the North Carolina Nurse Practice Act.

 

History Note:        Authority G.S. 131E-79;

RRC objection due to lack of statutory authority Eff. July 13, 1995;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .4204      POLICIES AND PROCEDURES

(a)  The facility in conjunction with the medical and nursing staff shall develop written policies and procedures which guide the provision of care in a special care unit. These policies and procedures shall be approved by the medical staff and include:

(1)           patient admission and discharge criteria;

(2)           notification of appropriate medical staff for changes in the condition of the patient;

(3)           use of standing orders and emergency protocols;

(4)           designation of staff members authorized to perform special procedures and special circumstances requiring such authorization;

(5)           patient care procedures, including medication administration;

(6)           infection control;

(7)           pertinent safety practices;

(8)           use of equipment and procedures to be followed in the event of equipment failure;

(9)           regulations governing visitors and traffic control; and

(10)         role of special care unit in internal and external disaster plans.

(b)  The governing body shall review, update and approve regularly, but at least every three years, its policies and procedures.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

SECTION .4300 - MATERNAL - NEONATAL SERVICES

 

10A NCAC 13B .4301      ORGANIZATION MATERNAL SERVICES

(a)  The governing body shall approve the scope of obstetric services offered based upon the level of patient need, qualifications of the credentialed staff, and resources of the facility.

(b)  The following capabilities and minimum services shall be made available when obstetric services are provided:

(1)           identification of high-risk mothers and fetuses;

(2)           continuous electronic fetal monitoring;

(3)           cesarean delivery capability within 30 minutes of decision;

(4)           blood or fresh frozen plasma for transfusion;

(5)           anesthesia on a 24-hour or on-call basis;

(6)           radiology and ultrasound examination;

(7)           stabilization of unexpectedly small or sick neonates before transfer;

(8)           neonatal resuscitation;

(9)           laboratory services on a 24-hour or on-call basis;

(10)         consultation and transfer agreements;

(11)         assessment and care for the neonates; and

(12)         nursery or other appropriate space for care of the neonates.

(c)  In a facility without intensive care nursery services, the facility management shall establish and maintain a plan for the stabilization and transportation of sick newborns to a regional neonatal unit.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .4302      MEDICAL STAFF MATERNAL SERVICES

(a)  The medical staff shall require that each birth be attended by a physician or certified nurse midwife who has documented evidence of current competence and appropriate privileges.

(b)  At all times medical staff with obstetrical privileges shall be available within 30 minutes to provide services and attend deliveries. An on-call schedule shall be available to the Division for review.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .4303      NURSING SERVICES MATERNAL SERVICES

(a)  The nurse executive or the decentralized nursing management staff shall designate a registered nurse who has education, training, and experience in obstetrical care as supervisor of obstetrical services.

(b)  A registered nurse shall be responsible for providing the type and amount of nursing care needed by each patient. A staffing plan shall be available to the Division for review.

 

History Note:        Authority G.S. 131E-79;

RRC objection due to lack of statutory authority Eff. July 13, 1995;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .4304      POLICIES AND PROCEDURES MATERNAL SERVICES

(a)  The provision of patient care shall be guided by written policies and procedures developed by the medical and nursing staff and approved by the medical staff.

(b)  Written policies shall relate to at least the following:

(1)           a system for informing the physician or certified nurse midwife responsible for a patient of the following:

(A)          the patient's admission;

(B)          the onset of labor; and

(C)          pertinent information about progress of labor or changes in patient's condition.

(2)           emergency response protocols for patients who demonstrate evidence of maternal, fetal or neonatal distress;

(3)           a program to prevent isoimmunization of RH-negative mothers;

(4)           administration of oxytocic agents when used for induction or stimulation of labor;

(5)           the use and administration of analgesics and anesthetics;

(6)           administration of magnesium sulfate when and for the treatment preeclampsia;

(7)           the location and storage of medications, supplies, and special equipment;

(8)           the method of identification for the neonates;

(9)           assessment and care of the neonates;

(10)         provision of resuscitation, stabilization, and preparation for the transport of sick neonates at any hour; and

(11)         an infection control plan.

(c)  Accurate and complete medical records shall be provided for each obstetric patient.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A ncac 13B .4305      ORGANIZATION OF NEONATAL SERVICES

(a)  The governing body shall approve the scope of all neonatal services and the facility shall classify its capability in providing a range of neonatal services using the following criteria:

(1)           LEVEL I: Full-term and pre-term neonates that are stable without complications.  This may include, small for gestational age or large for gestational age neonates.

(2)           LEVEL II: Neonates or infants that are stable without complications but require special care and frequent feedings; infants of any weight who no longer require Level III or LEVEL IV neonatal services, but who still require more nursing hours than normal infant.  This may include infants who require close observation in a licensed acute care bed

(3)           LEVEL III: Neonates or infants that are high-risk, small (or approximately 32 and less than 36 completed weeks of gestational age) but otherwise healthy, or sick with a moderate degree of illness that are admitted from within the hospital or transferred from another facility requiring intermediate care services for sick infants, but not requiring intensive care.  The beds in this level may serve as a "step-down" unit from Level IV. Level III neonates or infants require less constant nursing care, but care does not exclude respiratory support.

(4)           LEVEL IV (Neonatal Intensive Care Services): High-risk, medically unstable or critically ill neonates approximately under 32 weeks of gestational age, or infants, requiring constant nursing care or supervision not limited to continuous cardiopulmonary or respiratory support, complicated surgical procedures, or other intensive supportive interventions.

(b)  The facility shall provide for the availability of equipment, supplies, and clinical support services.

(c)  The medical and nursing staff shall develop and approve policies and procedures for the provision of all neonatal services.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Temporary Amendment Eff. March 15, 2002;

Amended Eff. April 1, 2003.

 

10A NCAC 13B .4306      MEDICAL STAFF OF NEONATAL SERVICES

The medical staff shall require that the director or other designated physician in charge of the neonatal special or intensive care unit has training and experience in care of the neonate.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .4307      NURSING STAFF OF NEONATAL SERVICES

(a)  The nurse executive or the decentralized nursing management staff shall designate a registered nurse who has training and experience in the care of neonates as supervisor of neonatal services.

(b)  A registered nurse shall be responsible for providing the type and amount of nursing care needed by each patient. A staffing plan shall be available to the Division for review.

(c)  The nursing staff shall provide educational opportunities for parents of neonates on routine care and procedures needed by the neonate.

(d)  The nursing staff shall provide opportunities for parental participation in care of the neonate to facilitate bonding and family adjustment to the neonate's needs.

 

History Note:        Authority G.S. 131E-79;

RRC objection due to lack of statutory authority Eff. July 13, 1995;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .4308      POLICIES AND PROCEDURES OF NEONATAL SERVICES

(a)  The provision of neonatal care at all levels shall be guided by written policies and procedures developed and approved by the medical and nursing staffs.

(b)  The policies and procedures shall include but are not limited to:

(1)           emergency resuscitation and stabilization of the neonate;

(2)           equipment for routine and emergency care of the neonate;

(3)           continuous oxygen supply and means of administration including ventilators;

(4)           administration of medications;

(5)           insertion and care of invasive lines;

(6)           prevention of infectious diseases or processes; and

(7)           family involvement in care of the neonate.

(c)  The medical and nursing staff shall review, update and approve its policies and procedures every three years.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

SECTION .4400 - RESPIRATORY CARE SERVICES

 

10A NCAC 13B .4401      ORGANIZATION

(a)  The governing body shall appoint a medical director of the respiratory care service who is an anesthesiologist, pulmonologist or other qualified physician.

(b)  The facility shall appoint a qualified individual as the director of respiratory care services.

(c)  When the facility is without a distinct respiratory care service, the facility shall:

(1)           designate the department responsible for the delivery of respiratory care services;

(2)           designate a person to supervise the delivery of respiratory care services; and

(3)           establish and maintain policies and procedures for the delivery of respiratory care services offered.

 

History Note:        Authority G.S. 131E-79;

RRC objection due to lack of statutory authority Eff. July 13, 1995;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .4402      STAFFING

(a)  Staffing numbers shall be determined by the types and complexities of the services offered.

(b)  The director of the service shall provide for the availability of trained respiratory technicians, Certified Respiratory Therapy Technicians, registry eligible or Registered Respiratory Therapist needed for the scope of services offered.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .4403      POLICIES AND PROCEDURES

The facility shall establish and maintain written policies and procedures for the services offered. These shall include but are not limited to:

(1)           scope of services and treatment offered;

(2)           medication administration;

(3)           cleaning, assembly and storage of equipment;

(4)           safety;

(5)           infection control;

(6)           documentation of delivered care or treatments; and

(7)           care and supervision of all ventilated patients.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

SECTION .4500 - PHARMACY SERVICES AND MEDICATION ADMINISTRATION

 

10A NCAC 13B .4501      PROVISION OF SERVICE

The facility shall provide for pharmaceutical services which are administered in accordance with the pharmacy laws of North Carolina including but not limited to G.S. 90 and G.S. 106.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .4502      PHARMACIST

(a)  The pharmacy service shall be directed by a pharmacist licensed by the State of North Carolina. If a facility has a limited service as defined by the N.C. Board of Pharmacy, a part-time director of pharmacy shall have responsibility for control and dispensing of drugs.

(b)  The director of pharmacy shall be responsible to the chief executive officer or his designee for developing, supervising, and coordinating all the activities of pharmacy services throughout the facility.

(c)  The director of pharmacy shall require that the pharmacists are trained in the specialized functions of facility pharmacy.

(d)  The dispensing of drugs in the absence of a pharmacist shall be done by facility staff under the direct supervision of staff approved by the pharmacy committee and who are responsible for following policies established by the pharmacy committee.

 

History Note:        Authority G.S. 131E-79;

RRC objection due to lack of statutory authority Eff. July 13, 1995;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .4503      STAFF

The director of pharmacy shall be assisted by additional pharmacists and such other personnel as the activities of the pharmacy may require to meet the pharmaceutical needs of the patients served.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .4504      PHARMACY COMMITTEE

(a)  A pharmacy committee or its equivalent, to include physicians, registered nurses, pharmacists and the administrator or designee shall be established.

(b)  The committee shall meet at least quarterly, record its proceedings and report to the medical staff. It shall assist in the formulation of broad professional policies regarding the evaluation, appraisal, selection, procurement, storage, distribution, use and safety procedures, and all other matters relating to drugs in the facility. This shall include a mechanism to review and evaluate adverse drug reactions and drug usage evaluations, offering appropriate recommendations, actions, and follow-up if necessary. The committee shall:

(1)           serve as an advisory group to the medical staff and the pharmacy director on matters pertaining to drug selection;

(2)           develop an ongoing mechanism to review a formulary or drug list for use in the hospital;

(3)           recommend and develop policies regarding the use and control of investigational drugs and research in the use of U.S. Food and Drug Administration approved drugs;

(4)           evaluate clinical data concerning new drugs or preparations requested for use in the facility;

(5)           make recommendations concerning drugs to be stocked on the nursing units and by other services;

(6)           establish mechanisms which will prevent formulary duplication;

(7)           establish policies and procedures that address therapeutic drug substitution;

(8)           establish a policy describing the duration of drug therapy or number of doses for all medication orders; and

(9)           make recommendations regarding medication administration policies and procedures.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .4505      PHARMACY FACILITIES

(a)  The facility shall provide sufficient space for the pharmaceutical service to carry out its professional and administrative functions.

(b)  Equipment shall be provided for the storage, preparation, dispensing, distributing and safeguarding of drugs throughout the hospital.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .4506      SUPPLIES

The director of pharmacy shall maintain an inventory of drugs and pharmaceutical devices to meet the needs of the patients as described in the facility's formulary.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .4507      STORAGE

(a)  All drugs and related pharmaceutical supplies located throughout the facility shall be under the control of the pharmacy service.

(b)  All areas where drugs and related pharmaceutical supplies are stored shall be monitored at least monthly by the pharmacy service.

(c)  The director of pharmacy shall require that corresponding records are maintained of drug inventory variances and the corrective action taken.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .4508      RESERVED FOR FUTURE CODIFICATION

 

10A NCAC 13B .4509      SECURITY

(a)  The director of pharmacy shall require that all drugs and related pharmaceutical supplies be stored in a lockable environment except when under the direct supervision of personnel authorized by the pharmacy committee to handle drugs.

(b)  Controlled substances and other drugs the facility deems subject to abuse shall be stored as outlined in the U.S. Controlled Substance Act, CFR 1301.41 and the N.C. Controlled Substances Act, G.S. 90, Article 5. These rules are available from the Drug Regulatory Branch of the N.C. Division of Mental health, Development Disabilities & Substance Abuse Services, 3016 Mail Service Center, Raleigh, NC 27699-3016 (919/715-0652) without charge to current registrants.

(c)  All keys and other locking devices to the pharmacy and controlled substances throughout the facility shall be under the control of the director of pharmacy and the facility management.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .4510      RECORDS

(a)  The director of pharmacy shall provide that all drug transactions of the pharmacy shall be recorded as described in policies approved by the pharmacy committee.

(b)  The director of pharmacy shall establish and maintain a system of records and bookkeeping in accordance with the policies of the facility in order to maintain adequate control over the requisitioning and dispensing of all drugs and pharmaceutical supplies and over patient billing for all drugs and pharmaceutical supplies.

(c)  The director of pharmacy shall maintain records for all drugs purchased, ordered, dispensed, distributed, returned and disposed of in accordance with the pharmacy laws of North Carolina from the pharmacy.

(d)  Verbal orders for drugs shall be subject to medical staff policies.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .4511      MEDICATION ADMINISTRATION

(a)  A facility shall establish and maintain policies and procedures governing the administration of medications which shall be enforced and implemented by administration and staff. Policies and procedures shall include:

(1)           accountability of controlled substances as defined by the G.S. 90, Article 5; and

(2)           storage, distribution, administration and monitoring the effects of medications.

(b)  All medications and treatments shall be administered and discontinued in accordance with signed medical staff orders which are recorded in the patient's medical record.

(c)  The categories of staff that are privileged to administer medications shall be delineated by the operational policies of the facility. These policies shall be in agreement with current rules of North Carolina Occupational Boards for each category of staff.

(d)  Medications shall be scheduled and administered according to the established policies of the facility.

(e)  Variances to the medication administration policy shall be reviewed and evaluated by the nurse executive or her designee.

(f)  The person administering medications shall identify each patient in accordance with the facility's policies and procedures prior to administering any medication.

(g)  Medication administered to a patient shall be recorded in the patient's medication administration record immediately after administration in accordance with the facility's policies and procedures.

(h)  Omission of medication and the reason for the omission shall be indicated in the patient's medical record.

(i)  The person administering medications which are ordered to be given as needed (PRN) shall justify the need for the same in the patient's medical record.

(j)  Medication administration records shall provide identification of the drug and strength of drug, quantity of drug administered, route administered, name and title of person administering the medication, and time and date of administration.

(k)  Self-administration of medications shall be permitted only if prescribed by the medical staff. Directions must be printed on the container.

(l)  The administration of one patient's medications to another patient is prohibited except in the case of an emergency. In the event of such as emergency, steps shall be taken by a pharmacist to ensure that the borrowed medications shall be replaced and so documented.

(m)  Verbal orders shall be signed in accordance with Rule .3707(c) of this Subchapter.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Amended Eff. November 1, 2005; May 1, 2005;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .4512      MEDICATIONS DISPENSED

(a)  Except as provided in Paragraph (c) of this Rule, the pharmacy shall dispense only those drugs which are listed in one or more of the references listed in Paragraph (b) of this Rule. No drug which is listed in Paragraph (b) of this Rule shall be used for any purpose which is not approved by the U.S. Food and Drug Administration unless the use has been approved by the facility's pharmacy committee.

(b)  References:

(1)           United States Pharmacopoeia;

(2)           National Drug Formulary;

(3)           Evaluations of Drug Interactions by the American Pharmaceutical Association;

(4)           American Hospital Formulary Service; and

(5)           Other references approved by the Pharmacy Committee.

(c)  Any drug approved for use as an investigational drug or otherwise by the U.S. Food and Drug Administration but not listed in Paragraph (b) of this Rule may be used in accordance with standards established by the facility's pharmacy committee, or its equivalent and approved by the U.S. Food and Drug Administration, Dockets Management Branch, FDS, Room 4062, 5600 Fishers Lane, Rockfield, Maryland 20857, at a cost dependent on the material requested.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .4513      DRUG DISTRIBUTION SYSTEMS

(a)  The pharmacy committee shall develop written policies and procedures pertaining to the intra-facility drug distribution system. In developing such policies the committee shall utilize representatives of other disciplines within the facility, including nursing services.

(b)  The label of each patient's individual medication container shall bear all information required by the Pharmacy Laws of North Carolina.

(c)  The pharmacist, with the advice and guidance of the pharmacy committee or its equivalent, shall be responsible for specifications as to quality, quantity and source of supplies of all drugs.

(d)  There shall be a formulary or list of drugs accepted for use in the facility which shall be developed and amended as necessary by the pharmacy committee.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .4514      EMERGENCY PHARMACEUTICAL SERVICES

The director of pharmacy shall be responsible for emergency pharmaceutical services as currently described in the Pharmacy Laws of North Carolina.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .4515      DISPOSITION

Drugs, and pharmaceutical devices which are outdated, visibly deteriorated, unlabeled, inadequately labeled, recalled, discontinued or obsolete shall be identified by a pharmacist and shall be disposed of in compliance with applicable state and federal laws and regulations.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .4516      COMMERCIAL PHARMACEUTICAL SERVICE

A facility using an outside pharmacist or pharmaceutical service must have a contract with that pharmacist or service. As part of the contract, the pharmacist or service shall be required to maintain at least the standards for operation of the pharmaceutical services outlined in this Subchapter.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

SECTION .4600 - SURGICAL AND ANESTHESIA SERVICES

 

10A NCAC 13B .4601      ORGANIZATION

(a)  The governing body shall approve the types of surgery and types of anesthesia services to be available throughout the hospital consistent with identified needs and resources.

(b)  The facility shall require that surgical or anesthesia procedures are performed only when the necessary equipment and personnel are available.

(c)  A facility that provides surgical or obstetric services shall provide anesthesia services on a 24-hour basis.

(d)  The requirements and standards identified in this Section apply when any patient, in any setting, receives for any purpose, by any route:

(1)           general, spinal or other major regional anesthesia; or

(2)           sedation or analgesia that may result in the loss of protective reflexes; or

(3)           surgery or other invasive procedure while receiving such anesthesia.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .4602      DIRECTOR OF SURGICAL SERVICES

(a)  Each department or service providing surgical services shall be directed by members of the medical staff whose clinical and administrative privileges have been approved by the governing body.

(b)  The medical staff shall establish and maintain a system for monitoring and evaluating the quality and appropriateness of the care and treatment of surgical patients, and for monitoring the clinical performance of all individuals with clinical privileges.

(c)  In facilities where there is no anesthesiologist on staff the facility shall:

(1)           with review of the medical staff, establish a consultation agreement with a board-certified or board-eligible anesthesiologist for the purpose of establishing policies and procedures that relate to the safe administration of anesthesia in all departments or services of the facility;

(2)           assume the responsibility for establishing general policies for anesthesia services; and

(3)           establish a line of communication and supervision for staff.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .4603      SURGICAL AND ANESTHESIA STAFF

(a)  The facility shall develop processes which require that each individual provides only those services for which proof of licensure and competency can be demonstrated.

(b)  The facility shall require that:

(1)           when anesthesia is administered, a qualified physician is immediately available in the facility to provide care in the event of a medical emergency;

(2)           a roster of practitioners with a delineation of current surgical and anesthesia privileges is available and maintained for the service;

(3)           an on-call schedule of surgeons with privileges to be available at all times for emergency surgery and for post-operative clinical management is maintained;

(4)           the operating room is supervised by a qualified registered nurse or doctor of medicine or osteopathy; and

(5)           an operating room register which shall include date of the operation, name and patient identification number, names of surgeons and surgical assistants, name of anesthetists, type of anesthesia given, pre- and post-operative diagnosis, type and duration of surgical procedure, and the presence or absence of complications in surgery is maintained.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996.

 

10A NCAC 13B .4604      DIRECTION OF ANESTHESIA SERVICES

(a)  The facility shall be organized, directed and integrated with other related services or departments of the facility.

(b)  The department of anesthesia shall require that all anesthetics are administered according to procedures established in medical staff rules. In facilities where there is no department of anesthesia, the medical staff shall assume the responsibility for establishing general policies and for supervising the administration of anesthetics.

(c)  The facility shall provide that anesthesia services be directed by a member, or members, of the medical staff whose responsibilities shall be approved by the governing body and shall include:

(1)           establishment of criteria and procedures for the evaluation of the quality of all anesthesia care rendered;

(2)           review of clinical privileges for all licensed practitioners whose primary clinical activity is the provision of anesthesia services; and

(3)           establishment of written policies and procedures for anesthesia services.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .4605      POLICIES AND PROCEDURES

(a)  The director of surgical services shall develop policies and procedures for surgical and anesthesia services which shall be available to the medical, surgical, anesthesia staff and nursing personnel.

(b)  The facility shall require that policies on anesthesia procedures include the delineation of pre-anesthesia and post-anesthesia responsibilities.

(c)  The facility shall require that the policies listed in this Paragraph are followed and that each surgical patient's record contain the following documentation:

(1)           a complete history and physical documented in the record of every patient prior to surgery, including clinical indications for the surgical procedure;

(2)           written evidence of informed consent, in the patient's record before surgery. If prior written consent was not obtained, the record shall contain a written explanation of why prior consent was not obtained;

(3)           an evaluation of the patient and anesthesia planned, documented according to medical staff bylaws by an individual qualified to administer anesthesia services. Re-evaluation of the patient immediately prior to the induction of anesthesia shall be performed prior to surgery;

(4)           an operative report describing techniques, findings, tissue removed or altered, and pre and post-surgical diagnosis. This report must be written or dictated following surgery and signed by the surgeon in compliance with medical staff rules;

(5)           an intraoperative anesthesia record including the dosage of all drugs and agents used, the duration of anesthesia, and the type and amount of all fluids or blood and blood products administered shall be documented;

(6)           evaluation and documentation of the postoperative status of the patient on admission to and discharge from the post-anesthesia recovery area.

(d)  The director of anesthesia services shall establish criteria for discharge and facility management shall require that a physician or CRNA with appropriate clinical privileges be responsible for the decision to discharge a patient from a post-anesthesia recovery area.

(e)  The facility shall establish regulations governing visitors and traffic control.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

SECTION .4700 - NUTRITION AND DIETETIC SERVICES

 

10A NCAC 13B .4701      PROVISION OF SERVICES

The nutrition and dietetic services shall be organized, directed, staffed and integrated with other facility departments to provide optimal nutritional therapy and quality food service to patients. Nutrition therapy shall apply the principles of the science of nutrition and be administered in accordance with the law and rules including but not limited to G.S. 90, Article 25.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .4702      ORGANIZATION

(a)  The nutrition and dietetic services shall be under the full-time direction of a person who is trained or experienced in food services administration and therapeutic diets. The director shall be one of the following:

(1)           A qualified dietitian;

(2)           Bachelor's degree in Foods and Nutrition or Food Service Management;

(3)           Dietetic Technician Registered (DTR); or

(4)           Certified Dietary Manager (CDM); or

(5)           An individual who is enrolled in a program to complete the minimum qualifications in Paragraph (a)(1)(2)(A)(B)(C) of this Rule.

(b)  The nutrition and dietetic services of the facility shall have at least one dietitian either full-time, part-time, or as consultant. The qualifications of the dietitian shall be included in the personnel files. If the director of nutrition and dietetic services is not a registered dietitian, there shall be an established method of communication between the director and the dietitian which ensures that the dietitian supervises the nutritional aspects of patient care and ensures that quality nutritional care is provided to patients. Dietitians or qualified designees shall attend and participate in meetings relevant to patient nutritional care, including but not limited to patient care conferences and discharge planning.

(c)  When a dietitian serves only in a consultant capacity, the facility management shall establish and maintain a written contract with the individual defining the responsibilities of the dietician including requirements for submission of written reports to the hospital administrator and the director of the nutrition and dietetic services describing the extent and quality of the services provided. Frequency of visits of the consultant dietitian shall be defined in the contract. The consultant dietitian shall provide, on site, no less than eight hours of service every two weeks to provide the nutritional aspects of patient care including but not limited to the following:

(1)           approval of regular and modified menus, including standardized recipes;

(2)           performance of nutritional assessments;

(3)           development of nutrition care plans;

(4)           provision of nutrition therapy;

(5)           participation in development of policies and procedures; and

(6)           monitoring and evaluation of the effectiveness and appropriateness of nutrition and dietetic services.

(d)  The facility shall establish and maintain written policies and procedures to govern all nutrition and dietetic service activities. These policies shall be developed by the nutrition and dietetic services in cooperation with personnel from other departments or services which are involved with nutrition and dietetic services and they shall be reviewed at least every three years, revised as necessary, and dated to indicate the time of last review. Administrative policies and procedures concerning food procurement, preparation, and service shall be written by the director of the nutrition and dietetic services. Nutritional care policies and procedures shall be written by the qualified dietitian. The nutrition and dietetic service policies and procedures shall include, but not be limited to the following:

(1)           provision of food and nutrition therapy prescriptions/orders;

(2)           development, approval and provision of regular and modified menus, including standardized recipes;

(3)           food purchasing, storage, inventory, preparation and service;

(4)           identification system designed to ensure that each patient receives appropriate diet as ordered;

(5)           ancillary dietetic services, as appropriate, including food storage and kitchens on patient care units, formula supply, cafeterias, vending operations and ice making;

(6)           preparation, storage, distribution, and administration of enteral nutrition programs;

(7)           assessment and monitoring of patients receiving enteral and total parenteral nutrition;

(8)           personal hygiene and health of dietetic personnel;

(9)           infection control measures to minimize the possibility of contamination and transfer of infection, including establishment of monitoring procedure to ensure that personnel are free from communicable infections and open skin lesions; and

(10)         pertinent safety practices, including control of electrical, flammable, mechanical, and radiation hazards.

(e)  Nutrition and dietetic services shall be provided by qualified personnel under supervision to meet needs of patients. The director of the nutrition and dietetic services shall require that personnel assigned to the department perform all functions necessary to meet the nutritional needs of patients. The director or qualified designee shall attend and participate in meetings, including that of department heads, and function as an integral member of the facility.

(f)  A facility which has a contract with an outside food management service, shall require as a part of the contract that the company complies with all applicable requirements and standards outlined in Section .4700 of this Subchapter for such service. The contract shall be available for review by the Division.

 

History Note:        Authority G.S. 131E-79;

RRC objection due to lack of statutory authority Eff. July 13, 1995;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .4703      SANITATION AND SAFETY

(a)  The nutrition and dietetic service shall comply with current laws and rules for sanitation as promulgated by the Commission for Public Health, including but not limited to 15A NCAC 18A .1300. Copies of 15A NCAC 18A .1300 may be obtained at no charge from the Environmental Health Services Section, Division of Environmental Health, N.C. Department of Environment and Natural Resources, 1630 Mail Service Center, Raleigh, NC 27699-1630. The facilities and equipment of the nutrition and dietetic services shall also comply with applicable and safety laws and rules.

(b)  Sufficient space and equipment shall be provided for the nutrition and dietetic services to accomplish the following:

(1)           store food and nonfood supplies under sanitary and secure conditions;

(2)           store food separately from nonfood supplies. When storage facilities are limited, paper products may be stored with food supplies;

(3)           prepare and distribute food, including therapeutic diets;

(4)           clean and sanitize utensils and dishes apart from food preparation areas; and

(5)           allow personnel to perform their duties.

(c)  Cleaning schedules and instructions for cleaning all equipment and work and storage areas shall be posted and followed in the nutrition and dietetic services area and accessible to all nutrition and dietetics staff. Procedures for cleaning all equipment and work areas shall be followed consistently and documented to safeguard the health of the patient.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .4704      DISTRIBUTION OF FOOD

(a)  Food shall be transported and displayed pursuant to the rules adopted by the Commission for Public Health.

(b)  At the time of serving, the temperature of hot foods shall be no less than:

(1)           Hot liquids - 150 degrees Fahrenheit (minimum);

(2)           Hot Cereal - 150 degrees Fahrenheit (minimum);

(3)           Hot Soups - 130 degrees Fahrenheit (minimum); and

(4)           Other hot foods - 110 degrees Fahrenheit (minimum).

(c)  At the time of serving, the temperature of cold foods shall be no more than:

(1)           Cold liquids - 50 degrees Fahrenheit (maximum); and

(2)           Other cold foods - 65 degrees Fahrenheit (maximum).

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .4705      NUTRITIONAL SUPPORT

(a)  The administration of the nutritional support shall be directed by a qualified dietitian. Observations and information pertinent to nutrition therapy shall be documented in the medical record of the patient.

(b)  The facility shall have a current nutrition care manual accessible to hospital personnel. The nutrition care manual shall be reviewed every three years, revised as necessary by a qualified dietitian, and approved jointly by the nutrition service and medical staff.

(c)  Therapeutic diets and enteral and parenteral nutrition therapy shall be prescribed in written orders on the medical records and provided as ordered.

(d)  The nutrition care manual shall reflect the standards for nutrition care in accordance with those referenced in the most current edition of "Recommended Dietary Allowance" of the Food and Nutrition Board of the National Research Council of the National Academy of Sciences which are hereby incorporated by reference. These standards include any subsequent amendments and editions of the referenced material and are available from the National Academy Press, 2101 Constitution Avenue, N.W., Lockbox 285, Washington, D.C. 20055 at a cost of six dollars ($6.00) per copy. The nutrition deficiencies of any modified diet that is not in compliance with the recommended dietary allowances shall be specified in the nutrition care manual.

(e)  The qualified dietitian shall be responsible for the development of a nutritional care plan in compliance with medical staff's orders to meet the nutritional needs of the patient. The nutrition care plan shall be included in the medical record of the patient on his discharge plan and transfer orders to the extent necessary for continuity of care. Facilities with long term care units shall have at least a three week menu cycle in the long term care units.

 

History Note:        Authority G.S. 131E-79;

RRC objection due to lack of statutory authority Eff. July 13, 1995;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

SECTION .4800 - DIAGNOSTIC IMAGING

 

10A NCAC 13B .4801      ORGANIZATION

(a)  Imaging services shall be under the supervision of a full-time radiologist, consulting radiologist, or a physician experienced in the particular imaging modality and the physician in charge must have the credentials required by facility policies.

(b)  Activities of the imaging service may include radio-therapy.

(c)  All imaging equipment shall be operated under professional supervision by qualified personnel trained in the use of imaging equipment and knowledgeable of all applicable safety precautions required by the North Carolina Department of Environment and Natural Resources, Division of Environmental Health Radiation Protection Section.  Copies of regulations are available from the N.C. Department of Environment and Natural Resources, Radiation Protection Section, 3825 Barrett Drive, Raleigh, NC  27609 at a cost of sixteen dollars ($16.00) each.

 

History Note:        Authority G.S. 131E-79;

RRC objection due to lack of statutory authority and ambiguity Eff. July 13, 1995;

Eff. January 1, 1996.

 

10A NCAC 13B .4802      RECORDS

(a)  A documented record on each imaging examination shall be included in the patient's medical record.

(b)  Imaging reports shall be signed by the physician interpreting the study.

(c)  Copies of current reports made by private physicists or governing authority surveying the radiographic facilities shall be available to the Division.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .4803      STAFFING

(a)  The staffing of the imaging department shall be determined by the radiologist in charge or by another person designated by hospital management.

(b)  There shall be a minimum of one radiologic technologist available to the department on at least an on-call basis.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .4804      MONITORING RADIATION EXPOSURE OF PERSONNEL

(a)  The facility shall establish procedures for the monitoring of personnel and shall maintain a record for each individual working in the area of radiation where there is a reasonable probability of receiving one-fourth of the maximum permissible dose.

(b)  Records documenting the monitoring of personnel receiving radiation exposure through the use of film badges or dosimeters must also be maintained by the facility. Readings from badges or dosimeters shall be recorded on at least a monthly basis.

(c)  Upon termination of employment, each employee shall be provided with a summary of his exposure record.

(d)  Permanent records of radiological exposure on all monitored personnel shall be maintained for review by the Division.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .4805      SAFETY

(a)  The facility shall require that all imaging equipment is operated under the supervision of a physician and by qualified personnel.

(b)  The facility shall require that proper caution is exercised to protect all persons from exposure to radiation.

(c)  Safety inspections of the imaging department, including equipment, shall be conducted by the North Carolina Division of Environmental Health, Radiation Protection Services Section.  Copies of the report shall be available for review by the Division.

(d)  The governing authority shall appoint a radiation safety committee.  The committee shall include but is not limited to:

(1)           a physician experienced in the handling of radio-active isotopes and their therapeutic use; and

(2)           other representatives of the medical staff.

(e)  All radio-active isotopes, whether for diagnostic, therapeutic, or research purposes shall be received, handled, and disposed of in accordance with the requirements of the North Carolina Department of Environment and Natural Resources, Division of Environmental Health, Radiation Protection Services Section.  Copies of regulations are available from the North Carolina Department of Environment, Health, and Natural Resources, Division of Radiation Protection, 3825 Barrett Drive, Raleigh, NC 27609 at a cost of six dollars ($6.00) each.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996.

 

10A NCAC 13B .4806      NUCLEAR MEDICINE SERVICES

When nuclear medicine services are offered, the facility shall establish and maintain written policies and procedures for the provision of those services which shall provide for the safety of patients and staff, management of radioactive isotopes and the maintenance of equipment according to the manufacturers' recommendations.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

SECTION .4900 - LABORATORY SERVICES AND PATHOLOGY

 

10A NCAC 13B .4901      ORGANIZATION

The laboratory shall be under the supervision of a clinical pathologist, or a physician who has training in clinical laboratory diagnosis designated by the governing body.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .4902      RECORDS

(a)  All requests for laboratory services shall be documented.

(b)  All reports of laboratory services performed, including autopsy, shall be placed in the patient's medical record.

(c)  Records of proficiency testing appropriate to the scope of services offered shall be available to the Division for review.

(d)  Records of equipment calibration and quality controls as recommended by the manufacturer shall be maintained and be available to the Division for review.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .4903      STAFFING

The laboratory supervisor or his appointed designee, shall require that:

(1)           procedures and tests conducted are within the scope of the laboratory as approved by the hospital;

(2)           at least one qualified medical technologist is available at all times; and

(3)           qualified staff are available to carry out the functions of the laboratory.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .4904      TESTS

(a)  Laboratory tests to be performed on a patient at the time of admission (if any) shall be established by the medical staff and be approved by the governing board of the hospital. In the event the medical staff and governing body elect not to establish routine laboratory tests for new admissions, the request for such tests shall be left to the discretion of the attending medical staff members.

(b)  Serological tests for patients admitted shall be optional with the hospital. However, there shall be records indicating that obstetrical patients have had a serological test during their current pregnancy.

(c)  When laboratories outside of the facility are used, such laboratories shall be approved by the governing body and medical staff of the facility. In case of such usage, a legible copy of the laboratory report must be included in the patient record.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .4905      TISSUE REMOVAL AND DISPOSAL

(a)  The medical staff shall establish and maintain written policies for pathological examination of tissue and specimens removed during surgery.

(b)  Pathological waste disposal shall comply with the rules Governing the Sanitation of Hospitals, Nursing and Rest Homes, Sanitariums, Sanatoriums, and Educational and Other Institutions, contained in 15A NCAC 18A .1300. Copies of 15A NCAC 18A .1300 may be obtained at no charge from the Environmental Health Services Section, Division of Environmental Health, N.C. Department of Environment and Natural Resources, 1630 Mail Service Center, Raleigh, NC 27699-1630.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .4906      BLOOD BANK

(a)  Facilities which provide for procurement, storage and transfusion of blood shall meet the standards of the American Association of Blood Banks as outlined in the most current edition of Standards of Blood Banks and Transfusion Services, which is incorporated by reference, including all subsequent amendments and additions, and which is available from the American Association of Blood Banks, 8101 Glenbrook Road, Bethesda, Maryland 20814-2749 at a cost of thirty-three dollars and fifty cents ($33.50) per copy.

(b)  The governing body shall approve the pathologist or physician as physician-in-charge of the blood bank service.

(c)  Records shall be kept on file indicating the receipt and disposition of all blood handled. Care shall be taken to ascertain that blood administered has not exceeded its expiration date, and meets all criteria for safe administration.

(d)  The facility shall make arrangements to secure on short notice all necessary supplies of blood, typed and cross-matched as required, for emergencies.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .4907      MORGUE AND AUTOPSY FACILITIES

(a)  Morgue and autopsy services shall be provided either on site or by written agreement with a facility that provides those services.

(b)  Procedures for the transport and storage of deceased patients shall be established and maintained by the facility.

(c)  Procedures for post mortem cleaning of patients with diagnosed contagious diseases shall be established and maintained by the facility.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

SECTION .5000 - PHYSICAL REHABILITATION SERVICES

 

10A NCAC 13B .5001      ORGANIZATION

The facility shall designate an individual responsible for the administration and supervision of each rehabilitation service.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .5002      DELIVERY OF CARE

(a)  A member of the medical staff shall be responsible for the general medical care of the inpatient.

(b)  The delivery of all rehabilitation services shall be provided by practitioners credentialed or licensed in their respective fields.

 

History Note:        Authority G.S. 131E-79;

RRC objection due to lack of statutory authority Eff. July 13, 1995;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .5003      POLICIES AND PROCEDURES

The facility shall establish and maintain written policies and procedures that include but are not limited to:

(1)           provision for assessment and evaluation of the services performed;

(2)           safety measures;

(3)           infection control measures; and

(4)           procedures for referral to other facilities for services not available on site.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .5004      PATIENT RECORDS

The patient record shall contain documentation of physical rehabilitation services utilized that include but is not limited to:

(1)           diagnosis to support the services requested;

(2)           assessment of patient's rehabilitative status;

(3)           re-assessment and progress of patient's rehabilitative status;

(4)           individualized plan of care and goals of rehabilitation; and

(5)           discharge plan.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .5005      CARDIAC REHABILITATION PROGRAM

When a facility elects to provide an outpatient cardiac rehabilitation program, the program shall be subject to 10 NCAC 3S, Sections .0300 - .1000, which are incorporated by reference with all subsequent amendments. Referenced rules are available from the North Carolina Department of Health and Human Services, Division of Health Service Regulation, Licensure and Certification Section, 2711 Mail Service Center, Raleigh, NC 27699 at a cost of three dollars ($3.00) each.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

SECTION .5100 - INFECTION CONTROL

 

10A NCAC 13B .5101      ORGANIZATION

(a)  The governing body shall establish and maintain an infection control program that includes all patient care and patient care support services and departments for the surveillance, prevention and control of infection.

(b)  The infection control committee shall include representatives of the medical staff, nursing staff, administration and the person directly responsible for the surveillance program activities.

(c)  The infection control committee shall assume responsibility for the infection control program.

(d)  The facility shall designate a person to manage the infection control, prevention and surveillance program.

(e)  The infection control committee shall involve facility departments and services as needed to maintain the infection control program.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .5102      POLICY AND PROCEDURES

(a)  Each facility department or service shall establish and maintain written infection control policies and procedures.  These shall include but are not limited to:

(1)           the role and scope of the service or department in the infection control program;

(2)           the role and scope of surveillance activities in the infection control program;

(3)           the methodology used to collect and analyze data, maintain a surveillance program on nosocomial infection, and the control and prevention of infection;

(4)           the specific precautions to be used to prevent the transmission of infection and isolation methods to be utilized;

(5)           the method of sterilization and storage of equipment and supplies, including the reprocessing of disposable items;

(6)           the cleaning of patient care areas and equipment;

(7)           the cleaning of non-patient care areas; and

(8)           exposure control plans.

(b)  The infection control committee shall approve all infection control policies and procedures.  The committee shall review all policies and procedures at least every three years and indicate the last date of review.

(c)  The infection control committee shall meet at least quarterly and maintain minutes of meetings.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996.

 

10A NCAC 13B .5103      LAUNDRY SERVICE

The facility shall provide, directly or by contract, a laundry service or department that provides the following:

(1)           24 hour a day availability of clean linen for patient care needs; and

(2)           delivery of clean linen and removal of soiled linen in a manner that reduces the spread of infection.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .5104      ENVIRONMENTAL SERVICES

The facility shall require that environmental services (housekeeping) provide the following:

(1)           24 hour a day availability of personnel or supplies and equipment for the cleaning of patient rooms, patient care equipment, and the cleaning of spills;

(2)           a routine cleaning schedule for all areas of the facility to assist in the prevention and spread of disease; and

(3)           removal and appropriate disposal of waste materials including biologicals.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .5105      STERILE SUPPLY SERVICES

The facility shall provide for the following:

(1)           decontamination and sterilization of equipment and supplies;

(2)           monitoring of sterilizing equipment on a routine schedule;

(3)           establishment of policies and procedures for the use of disposable items; and

(4)           establishment of policies and procedures addressing shelf life of stored sterile items.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996.

 

SECTION .5200 - PSYCHIATRIC SERVICES

 

10A NCAC 13B .5201      PSYCHIATRIC OR SUBSTANCE ABUSE SERVICES: APPLICABILITY OF RULES

The rules contained in this Section shall apply to all psychiatric and substance abuse services provided by any facility.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .5202      DEFINITIONS APPLICABLE TO PSYCHIATRIC OR SUBSTANCE ABUSE SERVICES

(a)  "Certified counselor" means an alcoholism, drug abuse or substance abuse counselor who is certified by the North Carolina Substance Abuse Professional Certification Board.

(b)  "Certified substance abuse counselor/supervisor" means an individual who is a "certified counselor" as defined in 10 NCAC 3C .5202(a) and is designated by the North Carolina Substance Abuse Professional Certification Board as a qualified substance abuse supervisor.

(c)  "Clinical/professional supervision" means regularly scheduled assistance by a qualified mental health, professional or a qualified substance abuse professional to a staff member who is providing direct, therapeutic intervention to a client or clients. The purpose of clinical supervision is to ensure that each client receives appropriate treatment or habilitation which is consistent with accepted standards of practice and the needs of the client.

(d)  "Detoxification service" means a unit or department whose primary purpose is the medical management or care of persons who are under the influence of alcohol or drugs.

(e)  "Direct care staff" means an individual who provides active direct care, treatment, or rehabilitation or habilitation services to clients on a continuous and regularly scheduled basis.

(f)  "Psychiatric nurse" means an individual who is licensed to practice as a registered nurse in North Carolina by the North Carolina Board of Nursing; and has:

(1)           a graduate degree from an accredited master's level program in psychiatric mental health nursing with two years of experience; or

(2)           a master's degree in behavioral science with two years of supervised clinical experience in psychiatric mental health nursing; or

(3)           a baccalaureate degree in behavioral science with four years of supervised clinical experience in psychiatric mental health nursing.

(g)  "Psychiatric service" means an inpatient or outpatient unit or department whose primary purpose is the treatment of mental illness. It also means the mental health treatment provided in such a unit or department.

(h)  "Psychiatric social worker" means an individual who holds a master's degree in social work from an accredited school of social work and has two years of clinical social work experience.

(i)  "Psychiatrist" means an individual who is licensed to practice medicine in North Carolina and who has completed an accredited training program in psychiatry.

(j)  "Psychologist" means an individual licensed to practice psychology in North Carolina by the North Carolina State Board of Examiners of Practicing Psychologists.

(k)  "Qualified mental health professional" means any one of the following: psychiatrist, psychiatric nurse, practicing psychologist, psychiatric social worker, an individual with at least a masters degree in a related human service field and two years of supervised clinical experience in mental health services or an individual with a baccalaureate degree in a related human service field and four years of supervised clinical experience in mental health services.

(l)  "Qualified substance abuse professional" means an individual who is:

(1)           certified by the North Carolina Substance Abuse Professional Certification Board;

(2)           certified by the National Consortium of Chemical Dependency Nurses, Inc;

(3)           certified by the National Nurses Society on Addictions; or

(4)           a graduate of a college or university with a baccalaureate or advanced degree in a human service related field with documentation of at least two years of supervised experience in the profession of alcoholism and drug abuse counseling.

(m)  "Restraint" means the limitation of one's freedom of movement and includes the following:

(1)           mechanical restraint which means restraint of a client with the intent of controlling behavior with mechanical devices which include, but are not limited to, cuff, ankle straps, sheets or restraining shirts; or

(2)           physical restraint which means restraint of a client until calm. As used in these Rules, the term physical restraint does not apply to the use of professionally recognized methods for therapeutic holds of brief duration (five minutes or less).

(n)  "Restrictive facility" means a facility so designated by the Division of Health Service Regulation which uses mechanical restraint or seclusion in accordance with G.S. 122C-60 in order to restrain a client's freedom of movement.

(o)  "Seclusion" means isolating a client in a separate locked room for the purpose of controlling a client's behavior.

(p)  "Substance abuse service" means inpatient or outpatient unit or department whose primary purpose is the treatment of chemical dependency. It also means the chemical dependency treatment provided in such a unit or department.

 

History Note:        Authority G.S. 131E-79;

RRC objection due to lack of statutory authority Eff. July 13, 1995;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .5203      STAFFING FOR PSYCHIATRIC OR SUBSTANCE ABUSE SERVICES

(a)  General Requirements:

(1)           A physician shall be present in the facility or on call 24 hours per day. The medical appraisal and medical treatment of each patient shall be the responsibility of a physician;

(2)           Each facility shall determine its overall staffing requirements based upon the age categories (child, adolescent, adult, elderly), clinical characteristics, treatment requirements and numbers of patients;

(3)           There shall be a sufficient number of appropriately qualified clinical and support staff to assess and address the clinical needs of the patients;

(4)           Staff members shall have training or experience in the provision of care in each of the age categories assigned for treatment.

(b)  Psychiatric Services:

(1)           Staff coverage for psychiatric services shall include at least one each of the following: psychiatrist, psychiatric nurse, psychologist, and psychiatric social worker;

(2)           A qualified mental health professional shall be available by telephone or page and able to reach the facility within 30 minutes on a 24 hour basis;

(3)           Each clinical or direct care staff member who is not a qualified mental health professional shall receive professional supervision from a qualified mental health professional;

(4)           When detoxification services are provided, there shall be liaison and consultation with a qualified substance abuse professional prior to the discharge of a client.

(c)  Substance Abuse Services:

(1)           At least one registered nurse shall be on duty during each shift;

(2)           Certified substance abuse counselors or qualified substance abuse professionals shall be employed at the ratio of one staff member for each 10 inpatients or fraction thereof. In documented instances of bona fide shortages of certified persons, uncertified individuals expecting to become certified may be employed for a maximum of 38 months without qualifications;

(3)           The facility shall have a minimum of two staff members providing care, treatment and services directly to patients on duty at all times and maintain a shift ratio of one staff member for each 20 or less inpatients with the following exceptions:

(A)          When there are minor inpatients there shall be staff available on the ratio of one staff member for each five minor inpatients or fraction thereof during each shift from 7:00 a.m. - 11:00 p.m.;

(B)          When detox services are offered there shall be no less than one staff member for each nine inpatients or fraction thereof on each shift.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .5204      PSYCHIATRIC OR SUBSTANCE ABUSE SERVICES RECORD REQUIREMENTS

(a)  In addition to the general record keeping requirements of 10A NCAC 13B .3906, specialized assessment and treatment plans for individuals undergoing psychiatric or substance abuse treatment are as follows:

(1)           Within 24 hours following admission each individual shall have a completed admission assessment. The initial assessment shall include the reason for admission, admitting diagnosis, mental status including suicide potential, diagnostic tests or evaluations, and a determination of the need for additional information to include the potential for the physical abuse of self or others and a family assessment when a minor is involved;

(2)           Within 72 hours following admission, a preliminary individual treatment plan shall be completed and implemented; and

(3)           Within five days following admission, a comprehensive individual treatment plan shall be developed and implemented. For outpatient services, the plan shall be developed and implemented within 30 days of admission to treatment.

(b)  Individual treatment plans for psychiatric and substance abuse patients shall be developed in partnership with the patient or individual acting on behalf of the patient. Clinical responsibility for the development and implementation of the plan shall be clearly designated. Minimum components of the comprehensive treatment plan shall include diagnosis and time specific short and long term measurable goals, strategies for reaching goals, and staff responsibility for plan implementation. The plan shall be revised as medically or clinically indicated.

(c)  Progress notes shall be entered in each individual's record. Included is information which may have a significant impact on the individual's condition or expected outcome such as family conferences or major events related to the patient. Patient status shall be documented each shift for any inpatient psychiatric or substance abuse services, and on a per visit basis for outpatient psychiatric and substance abuse services.

(d)  For each individual to whom substance abuse services are provided, a written plan for aftercare services shall be developed which minimally includes:

(1)           plan for delivering aftercare services, including the aftercare services which are provided; and

(2)           provision for agreements with individuals or organizations if aftercare services are not provided directly by the facility.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .5205      SECLUSION

At least one seclusion room shall be provided in all hospitals licensed to provide a psychiatric program, a substance abuse program or both.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .5206      COMPLIANCE WITH STATUTORY REQUIREMENTS

(a)  Facilities providing psychiatric or substance abuse services shall develop procedures to protect the rights of psychiatric and substance abuse patients in accordance with North Carolina statutes addressing the rights of psychiatric and substance abuse patients. Statutes addressing such rights are as follows:

(1)           G.S. 122C-51. Declaration of policy on clients' rights;

(2)           G.S. 122C-52. Right to confidentiality;

(3)           G.S. 122C-53. Exceptions; client;

(4)           G.S. 122C-54. Exceptions; abuse reports and court proceedings;

(5)           G.S. 122C-55. Exceptions; care and treatment;

(6)           G.S. 122C-56. Exceptions; research and planning;

(7)           G.S. 122C-57. Right to treatment and consent to treatment;

(8)           G.S. 122C-58. Civil rights and civil remedies;

(9)           G.S. 122C-59. Use of corporal punishment;

(10)         G.S. 122C-60. Use of physical restraints or seclusion;

(11)         G.S. 122C-61. Treatment rights in 24-hour facilities;

(12)         G.S. 122C-62. Additional rights in 24-hour facilities;

(13)         G.S. 122C-65. Offenses relating to clients; and

(14)         G.S. 122C-66. Protection from abuse and exploitation; reporting.

(b)  Facilities providing psychiatric or substance abuse services shall develop procedures to protect confidentiality of information regarding communicable disease and conditions in compliance with G.S. 130A-143.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .5207      PSYCHIATRIC OR SUBSTANCE ABUSE OUTPATIENT SERVICES

Partial hospitalization, outpatient and day treatment facilities shall be subject to 10A NCAC 27G .1100, 10A NCAC 27G .3500, and 10A NCAC 27G .3700 respectively, which are incorporated by reference with all subsequent amendments. Referenced rules are available from the N.C. Division of Mental Health, Developmental Disabilities, and Substance Abuse Services, Advocacy, Client Rights and Quality Improvement Section, 3009 Mail Service Center, Raleigh, NC 27699-3009 at a cost of five dollars and seventy-five cents ($5.75) per copy.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

SECTION .5300 - NURSING AND ADULT CARE HOME BEDS

 

10A NCAC 13B .5301      THE LICENSURE OF NURSING AND ADULT CARE HOME BEDS IN A HOSPITAL

When a facility has nursing facility beds or adult care home beds, the beds shall be provided under the hospital's license as provided in Rule .3101 of this Subchapter. The nursing facility beds and the adult care home beds shall be subject to the rules in 10A NCAC 13D with the exception that the following rules shall not apply: 10A NCAC 13D .2001(5); .2101 - .2108; .2201; .2208; .2209; .2211; .2212; .2302; .2401; .2402; .2503; .2504; .2602; .2607; .2701; and .2901. With these exceptions, the rules in 10A NCAC 13D are incorporated by reference with all subsequent amendments. Referenced rules are available from the NC Division of Health Service Regulation, 2711 Mail Service Center, Raleigh, N.C. 27699-2711 at a cost of six dollars ($6.00) per copy.

 

History Note:        Authority G.S. 131E-79;

Eff. March 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

SECTION .5400 - COMPREHENSIVE INPATIENT REHABILITATION

 

10A NCAC 13B .5401      DEFINITIONS

The following definitions shall apply to inpatient rehabilitation facilities or units only:

(1)           "Case management" means the coordination of services, for a given patient, between disciplines so that the patient may reach optimal rehabilitation through the judicious use of resources.

(2)           "Comprehensive, inpatient rehabilitation program" means a program for the treatment of persons with functional limitations or chronic disabling conditions who have the potential to achieve a significant improvement in activities of daily living. A comprehensive, rehabilitation program shall utilize a coordinated and integrated, interdisciplinary approach, directed by a physician, to assess patient needs and to provide treatment and evaluation of physical, psycho-social and cognitive deficits.

(3)           "Inpatient rehabilitation facility or unit" means a free-standing facility or a unit (unit pertains to contiguous dedicated beds and spaces) approved in accordance with G.S. 131E, Article 9 to establish inpatient, rehabilitation beds and to provide a comprehensive, inpatient rehabilitation program within an existing licensed health service facility.

(4)           "Medical consultations" means consultations which the rehabilitation physician or the attending physician determine are necessary to meet the acute medical needs of the patient and do not include routine medical needs.

(5)           "Occupational therapist" means any individual licensed in the State of North Carolina as an occupational therapist in accordance with the provisions of G.S. 90, Article 18D.

(6)           "Occupational therapist assistant" means any individual licensed in the State of North Carolina as an occupational therapist assistant in accordance with the provisions of G.S. 90, Article 18D.

(7)           "Psychologist" means a person licensed as a practicing psychologist in accordance with G.S. 90, Article 18A.

(8)           "Physiatrist" means a licensed physician who has completed a physical medicine and rehabilitation residency training program approved by the Accreditation Council of Graduate Medical Education or the American Osteopathic Association.

(9)           "Physical therapist" means any person licensed in the State of North Carolina as a physical therapist in accordance with the provisions of G.S. 90, Article 18B.

(10)         "Physical therapist assistant" means any person licensed in the State of North Carolina as a physical therapist assistant in accordance with the provisions of G.S. 90-270.24, Article 18B.

(11)         "Recreational therapist" means a person certified by the State of North Carolina Therapeutic Recreational Certification Board.

(12)         "Rehabilitation aide" means an unlicensed assistant who works under the supervision of a registered nurse, licensed physical therapist or occupational therapist in accordance with the appropriate occupational licensure laws governing his or her supervisor and consistent with staffing requirements as set forth in Rule .5508 of this Section. The rehabilitation aide shall be listed on the North Carolina Nurse Aide Registry and have received additional staff training as listed in Rule .5509 of this Section.

(13)         "Rehabilitation nurse" means a registered nurse licensed in North Carolina, with training, either academic or on-the-job, in physical rehabilitation nursing and at least one year experience in physical rehabilitation nursing.

(14)         "Rehabilitation physician" means a physiatrist or a physician who is qualified, based on education, training and experience regardless of specialty, of providing medical care to rehabilitation patients.

(15)         "Social worker" means a person certified by the North Carolina Social Work Certification and Licensure Board in accordance with G.S. 90B-3.

(16)         "Speech and language pathologist" means any person licensed in the State of North Carolina as a speech and language pathologist in accordance with the provisions of G.S. 90, Article 22.

 

History Note:        Authority G.S. 131E-79;

RRC Objection due to lack of statutory authority Eff. January 18, 1996;

Eff. May 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .5402      PHYSICIAN REQUIREMENTS FOR INPATIENT REHABILITATION FACILITIES OR UNITS

(a)  In a rehabilitation facility or unit, a physician shall participate in the provision and management of rehabilitation services and in the provision of medical services.

(b)  In a rehabilitation facility or unit, a rehabilitation physician shall be responsible for a patient's interdisciplinary treatment plan. Each patient's interdisciplinary treatment plan shall be developed and implemented under the supervision of a rehabilitation physician.

(c)  The rehabilitation physician shall participate in the preliminary assessment within 48 hours of admission, prepare a plan of care and direct the necessary frequency of contact based on the medical and rehabilitation needs of the patient. The frequency shall be appropriate to justify the need for comprehensive inpatient rehabilitation care.

(d)  An inpatient rehabilitation facility or unit's contract or agreements with a rehabilitation physician shall require that the rehabilitation physician shall participate in individual case conferences or care planning sessions and shall review and sign discharge summaries and records. When patients are to be discharged to another health care facility, the discharging facility shall ensure that the patient has been provided with a discharge plan which incorporates post discharge continuity of care and services. When patients are to be discharged to a residential setting, the facility shall ensure that the patient has been provided with a discharge plan that incorporates the utilization of community resources when available and when included in the patient's plan of care.

(e)  The intensity of physician medical services and the frequency of regular contacts for medical care for the patient shall be determined by the patient's pathophysiologic needs.

(f)  Where the attending physician of a patient in an inpatient rehabilitation facility or unit orders medical consultations for the patient, such consultations shall be provided by qualified physicians within 48 hours of the physician's order. In order to achieve this result, the contracts or agreements between inpatient rehabilitation facilities or units and medical consultants shall require that such consultants render the requested medical consultation within 48 hours.

(g)  An inpatient rehabilitation facility or unit shall have a written procedure for setting the qualifications of the physicians, rendering physical rehabilitation services in the facility or unit.

 

History Note:        Authority G.S. 131E-79;

RRC Objection due to lack of statutory authority Eff. January 18, 1996;

Eff. May 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .5403      ADMISSION CRITERIA FOR INPATIENT REHABILITATION FACILITIES OR UNITS

(a)  The facility shall have written criteria for admission to the inpatient rehabilitation facility or unit. A description of programs or services for screening the suitability of a given patient for placement shall be available to staff and referral sources.

(b)  For patients found unsuitable for admission to the inpatient rehabilitation facility or unit, there shall be documentation of the reasons.

(c)  Within 48 hours of admission, a preliminary assessment shall be completed by members of the interdisciplinary team to insure the appropriateness of placement and to identify the immediate needs of the patients.

(d)  Patients admitted to an inpatient rehabilitation facility or unit must be able to tolerate a minimum of three hours of rehabilitation therapy, five days a week, including at least two of the following rehabilitation services: physical therapy, occupational therapy or speech therapy.

(e)  Patients admitted to an inpatient rehabilitation facility or unit must be medically stable, have a prognosis indicating a progressively improved medical condition and have the potential for increased independence.

 

History Note:        Authority G.S. 131E-79;

Eff. March 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .5404      COMPREHENSIVE INPATIENT REHABILITATION EVALUATION

(a)  A comprehensive, inpatient rehabilitation evaluation is required for each patient admitted to an inpatient rehabilitation facility or unit. At a minimum this evaluation shall include the reason for referral, a summary of the patient's clinical condition, functional strengths and limitations, and indications for specific services. This evaluation shall be completed within three days.

(b)  Each patient shall be evaluated by the interdisciplinary team to determine the need for any of the following services: medical, dietary, occupational therapy, physical therapy, prosthetics and orthotics, psychological assessment and therapy, therapeutic recreation, rehabilitation medicine, rehabilitation nursing, therapeutic counseling or social work, vocational rehabilitation evaluation and speech-language pathology.

 

History Note:        Authority G.S. 131E-79;

Eff. March 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .5405      COMPREHENSIVE INPATIENT REHABILITATION INTER-DISCIPLINARY TREAT/PLAN

(a)  The interdisciplinary treatment team shall develop an individual treatment plan for each patient within seven days after admission. The plan shall include evaluation findings and information about the following:

(1)           prior level of function;

(2)           current functional limitations;

(3)           specific service needs;

(4)           treatment, supports and adaptations to be provided;

(5)           specified treatment goals;

(6)           disciplines responsible for implementation of separate parts of the plan; and

(7)           anticipated time frames for the accomplishment of specified long-term and short-term goals.

(b)  The treatment plan shall be reviewed by the interdisciplinary team at least every other week. All members of the interdisciplinary team, or a representative of their discipline, shall attend each meeting. Documentation of each review shall include progress toward defined goals and identification of any changes in the treatment plan.

(c)  The treatment plan shall include provisions for all of the services identified as needed for the patient in the comprehensive inpatient rehabilitation evaluation completed in accordance with Rule .5404 of this Section.

(d)  Each patient shall have a designated case manager who shall be responsible for the coordination of the patient's individualized treatment plan. The case manager shall be responsible for promoting the program's responsiveness to the needs of the patient and shall participate in all team conferences concerning the patient's progress toward the accomplishment of specified goals. Any of the professional staff involved in the patient's care may be the designated case manager for one or more cases.

 

History Note:        Authority G.S. 131E-79;

Eff. March 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .5406      DISCHARGE CRITERIA FOR INPATIENT REHABILITATION FACILITIES OR UNITS

(a)  Discharge planning shall be an integral part of the patient's treatment plan and shall begin upon admission to the facility.  After established goals have been reached, or a determination has been made that care in a less intensive setting would be appropriate, or that further progress is unlikely, the patient shall be discharged to an appropriate setting.  Other reasons for discharge may include an inability or unwillingness of patient or family to cooperate with the planned therapeutic program or medical complications that preclude a further intensive rehabilitative effort.  The facility shall involve the patient, family, staff members and referral sources in discharge planning.

(b)  The case manager shall facilitate the discharge or transfer process in coordination with the facility social worker.

(c)  If a patient is being referred to another facility for further care, appropriate documentation of the patient's current status shall be forwarded with the patient.  A formal discharge summary shall be forwarded within 48 hours following discharge and shall include the reasons for referral, the diagnosis, functional limitations, services provided, the results of services, referral action recommendations and activities and procedures used by the patient to maintain and improve functioning.

 

History Note:        Authority G.S. 131E-79;

Eff. March 1, 1996.

 

10A NCAC 13B .5407      COMPREHENSIVE REHABILITATION PERSONNEL ADMINISTRATION

(a)  The facility shall have qualified staff members, consultants and contract personnel to provide services to the patients admitted to the inpatient rehabilitation facility or unit.

(b)  Personnel shall be employed or provided by contractual agreement in sufficient types and numbers to meet the needs of all patients admitted for comprehensive rehabilitation.

(c)  Written agreements shall be maintained by the facility when services are provided by contract on an ongoing basis.

 

History Note:        Authority G.S. 131E-79;

RRC Objection due to lack of statutory authority Eff. January 18, 1996;

Eff. May 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .5408       COMPREHENSIVE INPATIENT REHABILITATION PROGRAM STAFFING REQUIREMENTS

(a)  The staff of the inpatient rehabilitation facility or unit shall include at a minimum:

(1)           the inpatient rehabilitation facility or unit shall be supervised by a rehabilitation nurse.  The facility shall identify the nursing skills necessary to meet the needs of the rehabilitation patients in the unit and assign staff qualified to meet those needs;

(2)           the minimum nursing hours per patient in the rehabilitation unit shall be 5.5 nursing hours per patient day.  At no time shall direct care nursing staff be less than two full-time equivalents, one of which must be a registered nurse;

(3)           the inpatient rehabilitation unit shall employ or provide by contractual agreements sufficient therapist to provide a minimum of three hours of specific (physical, occupational or speech) or combined rehabilitation therapy services per patient day;

(4)           physical therapy assistants and occupational therapy assistants shall be supervised on-site by physical therapists or occupational therapists;

(5)           rehabilitation aides shall have documented training appropriate to the activities to be performed and the occupational licensure laws of his or her supervisor.  The overall responsibility for the on-going supervision and evaluation of the rehabilitation aide remains with the registered nurse as identified in Subparagraph (a)(1) of this Rule.  Supervision by the physical therapist or by the occupational therapist is limited to that time when the therapist is on-site and directing the rehabilitation activities of the aide; and

(6)           hours of service by the rehabilitation aide are counted toward the required nursing hours when the aide is working under the supervision of the nurse.  Hours of service by the rehabilitation aide are counted toward therapy hours during that time the aide works under the immediate, on-site supervision of the physical therapist or occupational therapist.  Hours of service shall not be dually counted for both services.  Hours of service by rehabilitation aides in performing nurse-aide duties in areas of the facility other than the rehabilitation unit shall not be counted toward the 5.5 hour minimum nursing requirement described for the rehabilitation unit.

(b)  Additional personnel shall be provided as required to meet the needs of the patient, as defined in the comprehensive inpatient rehabilitation evaluation.

 

History Note:        Authority G.S. 131E-79;

RRC Objection due to lack of statutory authority Eff. January 18, 1996;

Eff. May 1, 1996.

 

10A NCAC 13B .5409      STAFF TRAINING FOR INPATIENT REHABILITATION FACILITIES OR UNIT

Prior to the provision of care, all rehabilitation personnel, excluding physicians, assigned to the rehabilitation unit shall be provided training or shall provide documentation of training that includes at a minimum the following:

(1)           active and passive range of motion;

(2)           assistance with ambulation;

(3)           transfers;

(4)           maximizing functional independence;

(5)           the psycho-social needs of the rehabilitation patient;

(6)           the increased safety risks of rehabilitation training (including falls and the use of restraints);

(7)           proper body mechanics;

(8)           nutrition, including dysphagia and restorative eating;

(9)           communication with the aphasic and hearing impaired patient;

(10)         behavior modification;

(11)         bowel and bladder training; and

(12)         skin care.

 

History Note:        Authority G.S. 131E-79;

RRC Objection due to lack of statutory authority Eff. January 18, 1996;

Eff. May 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .5410      EQUIPMENT REQUIREMENTS/COMPREHENSIVE INPATIENT REHABILITATION PROGRAMS

(a)  The facility shall provide each discipline with the necessary equipment and treatment methods to achieve the short and long-term goals specified in the comprehensive inpatient rehabilitation interdisciplinary treatment plans for patients admitted to these facilities or units.

(b)  Each patient's needs for a standard wheelchair or a specially designed wheelchair or additional devices to allow safe and independent mobility within the facility shall be met.

(c)  Special physical therapy and occupational therapy equipment for use in fabricating positioning devices for beds and wheelchairs shall be provided including splints, casts, cushions, wedges and bolsters.

(d)  Physical therapy devices shall be provided, including a mat, table, parallel bars, sliding boards, and special adaptive bathroom equipment.

 

History Note:        Authority G.S. 131E-79;

Eff. March 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .5411      PHYSICAL FACILITY REQUIREMENTS/INPATIENT REHABILITATION FACILITIES OR UNIT

(a)  The inpatient rehabilitation facility or unit shall be in a designated area and shall be used for the specific purpose of providing a comprehensive inpatient rehabilitation program.

(b)  The floor area of a single bedroom shall be sufficient for the patient or the staff to easily transfer the patient from the bed to a wheelchair and to maneuver a 180 degree turn with a wheelchair on at least one-side of the bed.

(c)  The floor area of a multi-bed bedroom shall be sufficient for the patient or the staff to easily transfer the patient from the bed to a wheelchair and to maneuver a 180 degree turn with a wheelchair between beds.

(d)  Each patient room shall meet the following requirements:

(1)           maximum room capacity of no more than four patients;

(2)           operable windows;

(3)           a nurse call system designed to meet the special needs of rehabilitation patients;

(4)           in single and two-bed rooms with private toilet room, the lavatory may be located in the toilet room;

(5)           a wardrobe or closet for each patient which is wheelchair accessible and arranged to allow the patient to access the contents;

(6)           a chest of drawers or built-in drawer storage with mirror above, which is wheelchair accessible; and

(7)           a bedside table for toilet articles and personal belongings.

(e)  Space for emergency equipment such as resuscitation carts shall be provided and shall be under direct control of the nursing staff, in proximity to the nurse's station and out of traffic.

(f)  Patients' bathing facilities shall meet the following specifications:

(1)           there shall be at least one shower stall or one bathtub for each 15 beds not individually served.  Each tub or shower shall be in an individual room or privacy enclosure which provides space for the private use of the bathing fixture, for drying and dressing and for a wheelchair and an assisting attendant;

(2)           showers in central bathing facilities shall be at least five feet square without curbs and designed to permit use by a wheelchair patient;

(3)           at least one five-foot-by-seven-foot shower shall be provided which can accommodate a stretcher and an assisting attendant.

(g)  Patients' toilet rooms and lavatories shall meet the following specifications:

(1)           the size of toilet room shall permit a wheelchair, a staff person and appropriate wheel-to-water closet transfers;

(2)           a lavatory in the room shall permit wheelchair access;

(3)           lavatories serving patients shall:

(A)          allow wheelchairs to extend under the lavatory; and

(B)          have water supply spout mounted so that its discharge point is a minimum of five inches above the rim of the fixture; and

(4)           lavatories used by patients and by staff shall be equipped with blade-operated supply valves.

(h)  The space provided for physical therapy, occupational therapy and speech therapy by all inpatient rehabilitation facilities or units may be shared but shall, at a minimum, include:

(1)           office space for staff;

(2)           office space for speech therapy evaluation and treatment;

(3)           waiting space;

(4)           training bathroom which includes toilet, lavatory and bathtub;

(5)           gymnasium or exercise area;

(6)           work area such as tables or counters suitable for wheelchair access;

(7)           treatment areas with available privacy curtains or screens;

(8)           an activities of daily living training kitchen with sink, cooking top (secured when not supervised by staff), refrigerator and counter surface for meal preparation;

(9)           storage for clean linens, supplies and equipment;

(10)         janitor's closet accessible to the therapy area with floor receptor or service sink and storage space for housekeeping supplies and equipment (one closet or space may serve more than one area of the inpatient rehabilitation facility or unit); and

(11)         hand washing facilities.

(i)  For social work and psychological services the following shall be provided:

(1)           office space for staff;

(2)           office space for private interviewing and counseling for all family members; and

(3)           work space for testing, evaluation and counseling.

(j)  If prosthetics and orthotics services are provided, the following space shall be made available as necessary:

(1)           work space for technician; and

(2)           space for evaluation and fittings (with provisions for privacy).

(k)  If vocational therapy services are provided, the following space shall be made available as necessary:

(1)           office space for staff;

(2)           work space for vocational services activities such as prevocational and vocational evaluation;

(3)           training space;

(4)           storage for equipment; and

(5)           counseling and placement space.

(l)  Recreational therapy space requirements shall include the following:

(1)           activities space;

(2)           storage for equipment and supplies;

(3)           office space for staff; and

(4)           access to male and female toilets.

(m)  The following space shall be provided for patient's dining, recreation and day areas:

(1)           sufficient room for wheelchair movement and wheelchair dining seating;

(2)           if food service is cafeteria type, adequate width for wheelchair maneuvers, queue space within the dining area (and not in a corridor) and a serving counter low enough to view food;

(3)           total space for inpatients, a minimum of 25 square feet per bed;

(4)           for outpatients participating in a day program or partial day program, 20 square feet when dining is a part of the program and 10 square feet when dining is not a part of the program;

(5)           storage for recreational equipment and supplies, tables and chairs; and

(6)           the patient dining, recreation and day area spaces shall be provided with windows that have glazing of an area not less than eight percent of the floor area of the space, and at least one-half of the required window area must be operable.

(n)  A laundry shall be available and accessible for patients.

 

History Note:        Authority G.S. 131E-79;

Eff. March 1, 1996.

 

10A NCAC 13B .5412      ADDITIONAL REQUIREMENTS FOR TRAUMATIC BRAIN INJURY PATIENTS

Inpatient rehabilitation facilities providing services to persons with traumatic brain injuries shall meet the requirements in this Rule in addition to those identified in this Section.

(1)           Direct-care nursing personnel staffing ratios established in Rule .5408 of this Section shall not be applied to nursing services for traumatic brain injury patients in the inpatient, rehabilitation facility or unit.  The minimum nursing hours per traumatic brain injury patient in the unit shall be 6.5 nursing hours per patient day.  At no time shall direct care nursing staff be less than two full-time equivalents, one of which shall be a registered nurse.

(2)           The inpatient rehabilitation facility or unit shall employ or provide by contractual agreements physical, occupational or speech therapists in order to provide a minimum of 4.5 hours of specific or combined rehabilitation therapy services per traumatic brain injury patient day.

(3)           The facility shall provide special facility or special equipment needs for patients with traumatic brain injury, including specially designed wheelchairs, tilt tables and standing tables.

(4)           The medical director of an inpatient traumatic brain injury program shall have two years management in a brain injury program, one of which may be in a clinical fellowship program and board eligibility or certification in the medical specialty of the physician's training.

(5)           The facility shall provide the consulting services of a neuropsychologist.

(6)           The facility shall provide continuing education in the care and treatment of brain injury patients for all staff.

(7)           The size of the brain injury program shall be adequate to support a comprehensive, dedicated ongoing brain injury program.

 

History Note:        Authority G.S. 131E-79;

RRC Objection due to lack of statutory authority Eff. January 18, 1996;

Eff. May 1, 1996.

 

10A NCAC 13B .5413      ADDITIONAL REQUIREMENTS FOR SPINAL CORD INJURY PATIENTS

Inpatient rehabilitation facilities providing services to persons with spinal cord injuries shall meet the requirements in this Rule in addition to those identified in this Section.

(1)           Direct-care nursing personnel staffing ratios established in Rule .5408 of this Section shall not be applied to nursing services for spinal cord injury patients in the inpatient rehabilitation facility or unit.  The minimum nursing hours per spinal cord injury patient in the unit shall be 6.0 nursing hours per patient day.  At no time shall direct care nursing staff be less than two full-time equivalents, one of which shall be a registered nurse.

(2)           The inpatient rehabilitation facility or unit shall employ or provide by contractual agreements physical, occupational or speech therapists in order to provide a minimum of 4.0 hours of specific or combined rehabilitation therapy services per spinal cord injury patient day.

(3)           The facility shall provide special facility or special equipment needs of patients with spinal cord injury, including specially designed wheelchairs, tilt tables and standing tables.

(4)           The medical director of an inpatient spinal cord injury program shall have either two years experience in the medical care of persons with spinal cord injuries or six months minimum in a spinal cord injury fellowship.

(5)           The facility shall provide continuing education in the care and treatment of spinal cord injury patients for all staff.

(6)           The facility shall provide specific staff training and education in the care and treatment of spinal cord injury.

(7)           The size of the spinal cord injury program shall be adequate to support a comprehensive, dedicated ongoing spinal cord injury program.

 

History Note:        Authority G.S. 131E-79;

RRC Objection due to lack of statutory authority Eff. January 18, 1996;

Eff. May 1, 1996.

 

10A NCAC 13B .5414      DEEMED STATUS FOR INPATIENT REHABILITATION FACILITIES OR UNIT

(a)  If an inpatient rehabilitation facility or unit with a comprehensive inpatient rehabilitation program is surveyed and accredited by the Joint Commission for the Accreditation of Health Care Organizations (JCAHO) or the Commission on Accreditation of Rehabilitation Facilities (CARF) and has been approved by the Department in accordance with G.S. 131E, Article 9, the Department deems the facility to be in compliance with Rules .5401 through .5413 of this Section.

(b)  Deemed status shall be provided only if the inpatient rehabilitation facility or unit provides copies of survey reports to the Department. The JCAHO report shall show that the facility or unit was surveyed for rehabilitation services. The CARF report shall show that the facility or unit was surveyed for comprehensive rehabilitation services. The facility or unit shall sign an agreement (Memorandum of Understanding) with the Department specifying these terms.

(c)  The inpatient rehabilitation facility or unit shall be subject to inspections or complaint investigations by representatives of the Department at any time. If the facility or unit is found not to be in compliance with the rules listed in Paragraph (a) of this Rule, the facility shall submit a plan of correction and be subject to a follow-up visit to ensure compliance.

(d)  If the inpatient rehabilitation facility or unit loses or does not renew its accreditation, the facility or unit shall notify the Division in writing within 30 days.

 

History Note:        Authority G.S. 131E-79;

Eff. March 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

section .5500 – supplemental rules for hospitals providing living organ donation transplant services

 

10A NCAC 13B .5501      applicability of rules

The rules contained in this Section shall apply to hospitals providing living organ donation transplant services.

 

History Note:        Authority G.S. 131E-75; 131E-79; 143B-165;

Eff. April 1, 2006;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .5502      INDEPENDENT DONOR ADVOCATE TEAM

(a)  The facility shall appoint an Independent Donor Advocate Team (IDAT) whose sole purpose is to represent and ensure the well-being of the potential donor, making sure he or she is aware of the risks and benefits of donation and that the choice to donate is voluntary. The IDAT shall ensure the potential donor learns about the entire donation process. This would include the selection of recipients for the transplant, the procedures to be employed for both the donor and recipient, and possible outcomes. Sufficient time for the discussion, supplemented with written materials, must be allowed for comprehension and assimilation of the information about transplantation and the ramifications of donation. Written and verbal presentations shall be in language in accordance with the person's ability to understand.

(b)  The IDAT shall consist of a physician, a clinical transplant coordinator, and a social worker or qualified mental health professional as defined in Rule .5202(k) of this Subchapter. The physician shall be the leader of the IDAT. The IDAT members shall have experience in organ transplantation processes and programs and shall be able to act for the interests of the potential donor independent of any financial or facility influence. Based on the outcome of the evaluation of the potential donor pursuant to Rule .5504 of this Section, if the IDAT determines any potential donor is unsuitable for donation, it shall provide the reasons both verbally and in writing.

(c)  In order to ensure the well-being of the potential donor, the IDAT shall:

(1)           Protect and represent the interests of the potential donor;

(2)           Make it clear to the potential donor that the choice to donate is entirely his or hers;

(3)           Inform and discuss with the potential donor the medical, psychosocial and financial aspects related to the live donation;

(4)           Explain to the potential donor the evaluation process, what it means and his or her option to stop at any time;

(5)           Determine the intellectual and emotional ability of the potential donor to understand the legal and ethical aspects of informed choice;

(6)           Assess if the potential donor has understood the risks and the benefits and how they impact on his or her own core beliefs and values; and

(7)           Identify for the potential donor resources that will be available to provide continuous care during hospitalization and referrals in medicine, psychiatry or social work, which may be needed or required following discharge.

 

History Note:        Authority G.S. 131E-75; 131E-79; 143B-165;

Eff. May 1, 2006;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .5503      INFORMED CHOICE

(a)  The potential donor must be free to make an informed independent decision, which has been termed informed choice. Informed choice addresses the decision process of the potential donor as he or she determines whether or not to donate. Informed choice has several aspects. First, the potential donor must know he or she has a choice, meaning he or she can freely decide either to donate or not to donate an organ. Second, the potential donor must be aware of both the risks and benefits of donation. The potential donor must be able to weigh the positive aspects of the donation as well as take into account the technical aspects such as the surgery, recovery, financial impact and any unexpected but potential consequences that may result such as a change in the patient's life, health, insurability, employment or emotional stability.

(b)  The person who consents to be a live organ donor shall be:

(1)           Legally competent;

(2)           Willing to donate;

(3)           Free from coercion, including financial coercion, actual or implied;

(4)           Medically suitable;

(5)           Informed and able to express understanding of the risks and benefits of donation; and

(6)           Informed of the risks, benefits and alternative treatment regimens available to the recipient.

(c)  A statement signed by the potential donor that his or her participation is completely voluntary and may be withdrawn at any time shall be placed in the medical record.

(d)  Understanding

(1)           The potential donor shall be able to demonstrate that he or she understands the essential elements of the donation process with emphasis on the risks associated with the procedure;

(2)           With the potential donor's permission, the donor's designee, family or next of kin shall be given the opportunity to openly discuss the donor's concerns in a safe and non-threatening environment; and

(3)           The potential donor shall understand, agree to, and commit to postoperative follow-up and testing by the facility performing the surgical removal of the organ and subsequent organ transplant.

(e)  Disclosure

(1)           The donor surgical team and the IDAT shall disclose any facility affiliations to the potential donor;

(2)           The potential donor shall have a period of reflection appropriate to the acuity of the clinical condition of the recipient and reaffirmation of the decision to donate subsequent to the completion of the medical work-up and final approval to proceed by the IDAT. After the period of reflection the potential donor may sign the consent for the donation procedure;

(3)           Non-English speaking candidates and hearing impaired candidates must be provided with a non-family interpreter who understands the donor's language and culture;

(4)           A member of the IDAT shall witness the potential donor signing the consent documents for removal of the donor organ; and

(5)           The overall donation process and experience shall be explained to the potential donor and shall be provided in writing to include:

(A)          Donor evaluation procedure;

(B)          Surgical procedure;

(C)          Recuperative period;

(D)          Short-term and long term follow-up care;

(E)           Alternative donation and transplant procedure;

(F)           Potential psychological benefits to donor;

(G)          Transplant facility and surgeon-specific statistics of donor and recipient outcomes;

(H)          Confidentiality of the donor's information and decisions;

(I)            Donor's ability to opt out at any point in the process;

(J)            Information about how the facility performing the transplant will attempt to follow the health of the donor; and

(K)          Need for the donor to review potential personal insurability for future insurance coverage.

(f)  The IDAT shall make the potential donor aware of the following risk factors:

(1)           Physical

(A)          Potential for surgical complications including risk of donor death;

(B)          Potential for organ failure and the need for future organ transplant for the donor;

(C)          Potential for other medical complications including long-term complications and complications currently unforeseen;

(D)          Scars;

(E)           Pain;

(F)           Fatigue; and

(G)          Abdominal or bowel symptoms such as bloating and nausea.

(2)           Psychosocial

(A)          Potential for problems with body image;

(B)          Possibility of transplant recipient death;

(C)          Possibility of transplant recipient rejection and need for re-transplantation;

(D)          Possibility of recurrent disease in a transplant recipient;

(E)           Possibility of post surgery adjustment problems;

(F)           Impact on the donor's family or next of kin;

(G)          Impact on the transplant recipient's family or next of kin; and

(H)          Potential impact of donation on the donor's lifestyle.

(3)           Financial

(A)          Out of pocket expenses;

(B)          Child care costs;

(C)          Possible loss of employment;

(D)          Potential impact on the ability to obtain future employment; and

(E)           Potential impact on the ability to obtain or afford health and life insurance.

(g)  The potential donor shall provide assurance and consent that the following areas have been addressed:

(1)           That there is no monetary profit to the potential donor. Coverage for expenses incurred as a result of the organ donation is not considered monetary profit;

(2)           That family members or others did not coerce the potential donor into making his or her decision;

(3)           That the potential donor has been provided with a general statement of unsuitability for donation if requested. Medical information regarding the potential donor shall not be falsified to provide the donor with an excuse to decline donation;

(4)           That the potential donor is intellectually and emotionally capable of participation in a discussion of potential risks and benefits;

(5)           That the potential donor has been provided adequate information to ensure his or her understanding regarding the risks of the donation;

(6)           That the potential donor has been educated regarding the recipient's options for organs from deceased persons, including risks and outcomes; and

(7)           That the potential donor understands that he or she may decline to donate at any time.

(h)  Documentation

(1)           A medical record, separate and distinct from the transplant recipient's record, shall be maintained to protect donor confidentiality; and

(2)           The informed choice process and evaluation protocol shall be documented and placed in the potential donor's medical record.

(i)  Decision to Donate. Once the IDAT determines the suitability of the potential donor the IDAT shall discuss with the potential donor's surgical team and transplant team its decision prior to its presentation to the potential donor. If the potential donor wishes to donate, but the IDAT does not agree, the IDAT's opposition shall be so noted in a report to the donor surgeon, who shall document reasons for proceeding against the IDAT advice. The reason why the IDAT has objections shall be explained to the potential donor. For example, the potential donor may not have the ability to understand the information provided to him or her or the donor may be unable to integrate the degree of risk pertinent to his or her situation or there may be a lack of balance between the risks to the potential donor and potential benefits to the transplant recipient. Even if the potential donor is willing to donate his or her organ, the final review and decision whether or not to proceed with the donation rests with the donor surgical team and transplant team.

(j)  In cases involving living liver donation, prior to reaching a decision to donate the potential donor shall be provided in writing the U.S. Department of Health and Human Services Advisory Committee on Organ Transplantation (ACOT) recommendations entitled "Living Liver Donor Initial Consent for Evaluation" which is hereby incorporated by reference with all subsequent amendments. The ACOT recommendations can be obtained free of charge via the internet at: http://www.organdonor.gov/acotrecs.html. The items contained in the ACOT recommendations must be explained to the potential donor in language and terms which he or she can understand and then be signed by the donor and the signature witnessed. Subsequent to this, if all the facts show that the potential donor is, in fact, in all respects a viable potential donor, then he or she shall execute the ACOT recommended form entitled "Living Liver Donor Informed Consent for Surgery" which is hereby incorporated by reference with all subsequent amendments. In addition, this form shall comply with G.S. 90-21.13 Informed Consent which is hereby incorporated by reference with all subsequent amendments.

 

History Note:        Authority G.S. 131E-75; 131E-79; 143B-165;

Eff. May 1, 2006;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .5504      EVALUATION PROTOCOL FOR LIVING ORGAN DONORS

Hospitals shall complete the following evaluation protocols prior to living organ donation:

(1)           The facility shall confirm the potential donor's ABO blood type.

(2)           Only individuals 18 years of age or older shall be considered for living organ donation. The facility shall complete a screening interview with the potential donor which confirms the donor's age, height, weight, demographic information, medical and surgical history, medications, drug or alcohol history, smoking history, and a family or social history. Insurance issues (health and life) shall also be discussed with the potential donor and an attempt shall be made to answer any questions asked by the donor. Written information on the living donor process shall be made available to the potential donor.

(3)           The donor surgical team shall determine whether the potential donor shall be excluded based on the medical information or family history: for example, exclusionary criteria may include the presence of diabetes, uncontrolled hypertension, liver, pulmonary or cardiac disease, renal dysfunction or high Body Mass Index (BMI).

(4)           An IDAT shall be assigned for the potential donor pursuant to Rule .5502(c) of this Section. The IDAT leader shall not be a physician who is the primary physician of the potential transplant recipient.

(5)           The IDAT leader shall conduct a medical evaluation of the potential donor. The medical evaluation shall include a full and frank discussion of the risks associated with the evaluation tests with the potential donor and the donor's chosen designee. If the potential donor wishes to proceed, laboratory and diagnostic tests shall be ordered as necessary.

(6)           An IDAT member shall conduct a psychosocial evaluation of the potential donor. The IDAT member shall also discuss financial considerations.

(7)           The IDAT shall review the laboratory and diagnostic test results, as well as psychosocial evaluation and discuss them with the donor to decide whether to move forward with the potential donor's evaluation.

(8)           The donor surgeon shall evaluate the mortality and morbidity risks associated with donation and disclose those risks to the potential donor with adequate time for any questions to be answered in detail. The donor's designee shall also be present at this appointment.

(9)           The IDAT shall perform a final review and makes its recommendation as set out in Rule .5503(i) of this Section.

(10)         The hospital shall schedule an appointment for pre-operative screening with the potential donor after the entire process of evaluation is complete. An informed consent as required in Rule .4605(c)(2) of this Subchapter is necessary for the donation and surgical procedure and shall be completed by this time. In addition, where applicable, the potential donor shall be given ample time for autologous blood donation through the American Red Cross.

 

History Note:        Authority G.S. 131E-75; 131E-79; 143B-165;

Eff. May 1, 2006;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .5505      Perioperative Care and Facility Support

(a)  The donor surgical team shall have primary concern and responsibility for the donor's care and welfare throughout his or her entire hospital stay. The donor surgical team consists of the donor surgeon, his or her surgical and medical partners, fellows, residents, and physician assistants or nurse practitioners.

(b)  Preoperative Preparation

(1)           The facility shall have the ability to allow donors to bank a minimum of one unit of blood before surgery. Facilities shall have the ability to store and transfuse autologous blood;

(2)           The transplant coordinator or another team member shall be assigned the responsibility of providing updates to the families of both the donor and transplant recipient during the surgical procedures; and

(3)           For live donor liver procedures, surgeries shall be scheduled only when staffing will be available for the postoperative period. If surgery is scheduled on a Thursday or Friday, the hospital shall ensure that there is adequate attending physician, resident physician, physician assistant or nurse practitioner, and registered nursing coverage during the weekend.

(c)  Postoperative Care

(1)           After live donor nephrectomy, the patient shall receive post-operative care equivalent to that provided for abdominal procedures under general anesthesia; and

(2)           For live liver donors:

(A)          Day 0-1: The live adult liver donor shall receive care in the intensive care unit (ICU) or post-anesthesia care unit (PACU);

(B)          Day 2: If stable and cleared for transfer by the donor surgical team, the donor shall be cared for in a hospital unit that is dedicated to the care of transplant recipients or a hospital unit in which patients who undergo hepatobiliary resectional surgery are provided care. Liver donors shall not at any time be cared for on any other unit unless a specific medical condition of the donor warrants such a transfer;

(C)          The donor shall be evaluated at least daily by a liver transplant attending physician with documentation in the medical record;

(D)          The donor surgical team shall be responsible for the clinical management of the donor;

(E)           The patient care staff shall be familiar with the common complications associated with the donor and transplant recipient operations and have appropriate monitoring in place to detect these problems if they arise; and

(F)           If there is an emergent complication requiring re-operation, these patients shall be prioritized for access to the operating room based on the facility's operating room policies and guidelines.

(d)  Medical Staffing. For live donor nephrectomy patients, there shall be continuous physician coverage available for patient evaluation as needed. These patients shall be provided post-operative care equivalent to patients undergoing a nephrectomy.

(e)  Nurse Staffing

(1)           Nursing staff shall be familiar with recovery of nephrectomy patients. They shall be aware of the signs and symptoms of hypovolemia due to post-operative bleeding or to excessive diuresis. They shall have ready access to the surgical team responsible for the patient's post-operative care;

(2)           For live liver donors, nursing staff shall have ongoing education and training in live donor liver transplantation nursing care for both donors and recipients. This shall include education on the pain management issues particular to the donor. The registered nursing to patient ratio in the ICU or PACU level setting shall be appropriate for the acuity level of the patients. For live liver donors, the same registered nurse shall not take care of both the donor and the recipient. For live liver donors, the nursing service shall provide the potential donor with pre-surgical information including, if possible, a tour of the unit before surgery; and

(3)           For all donors, the names and beeper numbers of the donor surgical team or team responsible for the donor's post-operative surgical care (e.g. urology service or laparoscopic general surgery service for some donor nephrectomy patients) shall be posted on all units receiving transplant donors.

(f)  Radiology. For facilities performing live donor nephrectomies, radiological staff shall be available for pre-operative assessment, peri-operative care, and post-operative follow-up as required.

 

History Note:        Authority G.S. 131E-75; 131E-79; 143B-165;

Eff. April 1, 2006;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

10A NCAC 13B .5506      DISCHARGE PLANNING

(a)  Pre-Donation. At the time of evaluation by the IDAT, a discussion shall be held between the IDAT social worker and the potential donor and his or her family or next of kin to address the following areas:

(1)           Living arrangements after discharge from the surgery or while the donor recuperates until able to travel;

(2)           Transportation arrangements from the hospital to the donor's accommodations or back to follow up appointments;

(3)           Caregivers to provide assistance or support upon discharge; if the donor has children or other dependents, a plan for the children's or dependent's care while the donor recuperates;

(4)           Financial considerations: Encourage donor to discuss with employer about medical leave or disability. This discussion shall include checking with health or life insurance carriers about future "pre-existing conditions" or "exclusions" that may result from donation;

(5)           Provided consent is first obtained, referrals to other living organ donors from that particular facility and suggestions from other resources such as publications and websites; and

(6)           Emotional issues surrounding the organ donation process.

(b)  Day of Discharge

(1)           A written discharge plan shall be provided to the donor with the following instructions:

(A)          Restrictions on activities;

(B)          Permitted activities (i.e. return to work);

(C)          Diet;

(D)          Pain medication with prescription;

(E)           Follow up appointments with surgeon;

(F)           Contact numbers for the Independent Donor Advocate Team should the donor have questions, concerns or problems; and

(G)          Additional instructions for caregivers, if any.

(2)           The discharge plan shall be reviewed with the donor by the facility discharge planner or primary care nurse.

(c)  Post Discharge medical follow-up, social, psychological and financial support

(1)           Post-operative visits shall be scheduled by the donor with the surgeon to assess the following:

(A)          Wound healing;

(B)          Signs and symptoms of infections; and

(C)          Laboratory results as appropriate to the organ type, as well as any imaging or other diagnostic findings.

(2)           Dictated summaries of surgery and follow-up visits shall be sent to the donor's primary care physician by the facility to ensure appropriate medical care.

(3)           Referrals shall be made to community agencies to address the donor's emotional and psychological issues if needed or requested by the donor, his or her designee, family, next of kin or the IDAT to;

(A)          Provide the donor the opportunity to participate in a support group; and

(B)          Provide the donor recognition as determined by the facility.

(d)  Any questions or concerns regarding the discharge plan or discharge planning process by the donor, the donor's designee, the donor's next of kin or legally responsible party shall be addressed by facility staff.

 

History Note:        Authority G.S. 131E-75; 131E-79; 143B-165;

Eff. April 1, 2006;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. July 22, 2017.

 

SECTION .5600 - RESERVED FOR FUTURE CODIFICATION

 

10A NCAC 13B .5600      Reserved for future codification

 

SECTION .5700 - RESERVED FOR FUTURE CODIFICATION

 

10A NCAC 13B .5700      Reserved for future codification

 

SECTION .5800 - RESERVED FOR FUTURE CODIFICATION

 

10A NCAC 13B .5800      Reserved for future codification

 

SECTION .5900 - RESERVED FOR FUTURE CODIFICATION

 

10A NCAC 13B .5900      Reserved for future codification

 

SECTION .6000 - PHYSICAL PLANT

 

10A NCAC 13B .6001      LOCATION

(a)  The site of any facility shall be accessible to service vehicles, fire protection and emergency apparatus.

(b)  The water supply system available to the site shall be tested to determine the mineral and salts content and their effect on the various water systems in the facility.  When these tests indicate the facility will have problems in maintenance and upkeep, the facility shall provide a water treatment system.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996.

 

10A NCAC 13B .6002      ROADS AND PARKING

(a)  Paved roads shall be provided within the property lines to provide access to the main entrance, emergency entrance, and to service entrances, including loading and unloading docks for delivery trucks.

(b)  Facilities having an organized emergency services department shall have the emergency entrance well marked to facilitate entry from the public roads or streets serving the site.

(c)  Paved walkways shall be provided for necessary pedestrian traffic.

(d)  Off-street parking shall be made available for patients, staff, and visitors.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996.

 

10A NCAC 13B .6003      definitions

In addition to the definitions set forth in G.S. 131E-76, the following definitions shall apply in Sections .6000 through .6200 of this Subchapter:

(1)           "Construction documents" means final building plans and specifications for the construction of a facility that a governing body submits to the Construction Section for approval as specified in Rule .3102 of this Subchapter.

(2)           "Construction Section" means the Construction Section of the Division of Health Service Regulation.

(3)           "Division" means the Division of Health Service Regulation of the North Carolina Department of Health and Human Services.

(3)           "Facility" means a hospital as defined in G.S. 131E-76.

 

History Note:        Authority G.S. 131E-76; 131E-79; S.L. 2017-174;

Temporary Adoption Eff. December 1, 2017.

 

SECTION .6100 - GENERAL REQUIREMENTS

 

10A NCAC 13B .6101      GENERAL

The design, construction, maintenance and operation of a facility shall be in accordance with those codes and standards listed in Rule .6102, LIST OF REFERENCED CODES AND STANDARDS of this Section, and codes, ordinances, and regulations enforced by city, county, or other state jurisdictions with the following requirements:

(1)           Notify the Division when all construction or renovation has been completed, inspected and approved by the architect and engineer having responsibility, and the facility is ready for a final inspection.  Prior to using the completed project, the facility shall receive from the Division written approval for use.  The approval shall be based on an on-site inspection by the Division or by documentation as may be required by the Division;

(2)           In the absence of any requirements by other authorities having jurisdiction, develop a master fire and disaster plan with input from the local fire department and local emergency management agency to fit the needs of the facility.  The plan shall require:

(a)           Training of facility employees in the fire plan implementation, in the use of fire-fighting equipment, and in evacuation of patients and staff from areas in danger during an emergency condition;

(b)           Conducting of quarterly fire drills on each shift;

(c)           A written record of each drill shall be on file at the facility for at least three years;

(d)           The testing and evaluation of the emergency electrical system(s) once each year by simulating a utility power outage by opening of the main facility electrical breaker(s).  Documentation of the testing and results shall be completed at the time of the test and retained by the facility for three years; and

(e)           Disaster planning to fit the specific needs of the facility's geographic location and disaster history, with at least one documented disaster drill conducted each year.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996.

 

10A NCAC 13B .6102      LIST OF REFERENCED CODES AND STANDARDS

The following codes and standards are adopted by reference including subsequent amendments.  Copies of these publications can be obtained from the various organizations at the addresses listed:

(1)           The North Carolina State Building Code, current edition, all volumes including subsequent amendments.  Copies of this code may be purchased from the N.C. Department of Insurance Engineering and Codes Division located at 410 North Boylan Avenue, Raleigh, NC 27603 at a cost of two hundred fifty dollars ($250.00).

(2)           The National Fire Protection Association codes and standards listed in this Paragraph, current editions including subsequent amendments.  Copies of these codes and standards may be obtained from the National Fire Protection Association, 1 Batterymarch Park, PO Box 9101, Quincy, MA  02269-9101 at the cost shown for each code or standard listed.

(a)           10                           Portable Fire Extinguishers                                                                ($22.50)

(b)           12                           Carbon Dioxide Extinguishing Systems                                         ($20.25)

(c)           12A                        Halon 1301 Fire Extinguishing Systems                                         ($22.25)

(d)           12B                        Halon 1211 Fire Extinguishing Systems                                         ($20.25)

(e)           13                           Installation of Sprinkler Systems                                                     ($28.50)

(f)                                            13D                        Installation of Sprinkler Systems in One- and

Two-Family Dwellings and Manufactured Homes                      ($20.25)

(g)           13R                        Installation of Sprinkler Systems in Residential

Occupancies up to and including Four Stories

in Height                                                                                               ($20.25)

(h)           14                           Installation of  Standpipe and Hose Systems                                 ($20.25)

(i)            15                           Water Spray Fixed Systems                                                              ($20.25)

(j)            17                           Dry Chemical Extinguishing Systems                                             ($20.25)

(k)           17A                        Wet Chemical Extinguishing Systems                                            ($16.75)

(l)            20                           Installation of Centrifugal Fire Pumps                                            ($20.25)

(m)          22                           Water Tanks for Private Fire Protection                                         ($22.25)

(n)           25                           Water-Based Fire Protection Systems                                             ($22.25)

(o)           30                           Flammable and Combustible Liquids Code                                   ($22.25)

(p)           31                           Installation of Oil-Burning Equipment                                           ($20.25)

(q)           37                           Stationary Combustion Engines and Gas Turbines                       ($16.75)

(r)            45                           Fire Protection for Laboratories Using Chemicals                        ($20.25)

(s)            49                           Hazardous Chemicals Data                                                               ($26.50)

(t)            50                           Bulk Oxygen Systems at Consumer Sites                                       ($16.75)

(u)           53                           Fire Hazards in Oxygen-Enriched Atmospheres                           ($22.50)

(v)           54                           National Fuel Gas Code                                                                     ($26.50)

(w)          55                           Compressed and Liquefied Gases in Portable Cylinders              ($16.75)

(x)           58                           Storage and Handling of Liquefied Petroleum Gases                   ($26.50)

(y)           59A                        Liquefied Natural Gas (LNG)                                                            ($20.25)

(z)           72                           National Fire Alarm Code                                                                 ($32.25)

(aa)         80                           Fire Doors and Windows                                                                   ($22.50)

(bb)         82                           Incinerators, Waste and Linen Handling Systems

and Equipment                                                                                    ($16.75)

(cc)         88A                        Parking Structures                                                                               ($16.75)

(dd)         90A                        Installation of Air Conditioning and Ventilating Systems           ($20.25)

(ee)         90B                        Installation of Warm Air Heating and Air Conditioning

Systems                                                                                                 ($16.75)

(ff)          92A                        Smoke-Control Systems                                                                    ($20.25)

(gg)         92B                        Smoke Management Systems in Malls, Atria, Large Areas        ($20.25)

(hh)         96                           Ventilation Control and Fire Protection of Commercial

Cooking Operations                                                                            ($20.25)

(ii)           99                           Health Care Facilities                                                                          ($32.25)

(jj)           99B                        Hypobaric Facilities                                                                            ($20.25)

(kk)         101                         Safety to Life from Fire in Buildings and Structures                    ($39.50)

(ll)           101M                     Alternative Approaches to Life Safety                                           ($22.25)

(mm)      105                         Smoke-Control Door Assemblies                                                     ($16.75)

(nn)         110                         Emergency and Standby Power Systems                                        ($20.25)

(oo)         111                         Stored Electrical Energy Emergency and Standby

Power Systems                                                                                     ($16.75)

(pp)         204M                     Smoke and Heat Venting                                                                   ($20.25)

(qq)         220                         Types of Building Construction                                                       ($16.75)

(rr)           221                         Fire Walls and Fire Barrier Walls                                                     ($16.75)

(ss)          241                         Construction, Alteration, and Demolition Operations                  ($20.25)

(tt)           251                         Fire Tests of Building Construction and Materials                       ($20.25)

(uu)         255                         Test of Surface Burning Characteristics of Building

Materials                                                                                               ($16.75)

(vv)         321                         Basic Classification of Flammable and Combustible

Liquids                                                                                                   ($16.75)

(ww)       325                         Fire Hazard Properties of Flammable Liquids, Gases,

and Volatile Solids                                                                              ($22.25)

(xx)         407                         Aircraft Fuel Servicing                                                                       ($20.25)

(yy)         418                         Roof-top Heliport Construction and Protection                             ($16.75)

(zz)         704                         Identification of the Fire Hazards of Materials                              ($16.75)

(aaa)      705                         Field Flame Test for Textiles and Films                                          ($16.75)

(bbb)      780                         Lightning Protection Code                                                                ($20.25)

(ccc)       801                         Facilities Handling Radioactive Materials                                     ($20.25)

(3)           American Society of Heating, Refrigerating & Air Conditioning Engineers Inc., (ASHRAE) HVAC APPLICATIONS, current edition including subsequent amendments.  Copies of this document may be obtained from the American Society of Heating, Refrigerating & Air Conditioning Engineers, Inc. at 1791 Tullie Circle NE, Atlanta, GA 30329 at a cost of one hundred nineteen dollars ($119.00).

(4)           Rules and Statutes Governing the Licensure of Ambulatory Surgical Facilities, current edition including subsequent amendments.  Copies of this document may be obtained from the N.C. Department of Health and Human Services, Division of Health Service Regulation, Licensure and Certification Section, 2711 Mail Service Center, Raleigh, NC  27699-2711 at a cost of three dollars ($3.00).

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996.

 

10A NCAC 13B .6103      APPLICATION OF PHYSICAL PLANT REQUIREMENTS

The physical plant requirements for each facility shall be applied as follows:

(1)           New construction shall comply with the requirements of Section .6000 of this Subchapter;

(2)           Existing buildings shall meet licensure and code requirements in effect at the time of construction, alteration, or modification;

(3)           New additions, alterations, modifications, and repairs shall meet the technical requirements of Section .6000 of this Subchapter, however, where strict conformance with current requirements would be impractical, the authority having jurisdiction may approve alternative measures where the facility can demonstrate to the Division's satisfaction that the alternative measures do not reduce the safety or operating effectiveness of the facility;

(4)           Rules contained in Section .6000 of this Subchapter are minimum requirements and not intended to prohibit buildings, systems or operational conditions that exceed minimum requirements;

(5)           Equivalency: Alternate methods, procedures, design criteria, and functional variations from the physical plant requirements, because of extraordinary circumstances, new programs, or unusual conditions, may be approved by the authority having jurisdiction when the facility can effectively demonstrate to the Division's satisfaction, that the intent of the physical plant requirements are met and that the variation does not reduce the safety or operational effectiveness of the facility; and

(6)           Where rules, codes, or standards have any conflict, the most stringent requirement shall apply.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996.

 

10A NCAC 13B .6104      ACCESS AND SAFETY

Projects involving replacement, alterations of, and additions to existing facilities shall be planned and phased so that construction will minimize disruptions of essential facility operations.  Facility access, exit ways, safety provisions, and building and life safety systems shall be maintained so that the health and safety of the occupants will not be jeopardized during construction.  Additional safety and operating measures shall be planned and executed to compensate for hazards related to construction or renovation activities to maintain an equivalent degree of health, safety, and operational effectiveness to that required by rules, standards, and codes for a facility not under construction or renovation.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996.

 

10A NCAC 13B .6105      Incorporation by reference and application of the requirements of the guidelines

(a)  The Guidelines for the Design and Construction of Hospitals and Outpatient Facilities are incorporated herein by reference, including all subsequent amendments and editions; however, the following chapters of the Guidelines shall not be incorporated herein by reference:

(1)           Chapter 2.6;

(2)           Chapter 3.1;

(3)           Chapter 3.2;

(4)           Chapter 3.3;

(5)           Chapter 3.4;

(6)           Chapter 3.5;

(7)           Chapter 3.6;

(8)           Chapter 3.7;

(9)           Chapter 3.8;

(10)         Chapter 3.9;

(11)         Chapter 3.10;

(12)         Chapter 3.11;

(13)         Chapter 3.12; and

(14)         Chapter 3.14.

(b)  The Guidelines for the Design and Construction of Hospitals and Outpatient Facilities incorporated by this Rule may be purchased from the Facility Guidelines Institute online at https://www.fgiguidelines.org/guidelines-main/purchase/ at a cost of two hundred dollars ($200.00) or accessed electronically free of charge at https://www.fgiguidelines.org/guidelines/2014-hospital-outpatient/read-only-copy/.

(c)  A new facility or any additions or alterations to an existing facility whose construction documents were approved by the Construction Section on or after January 1, 2018 shall meet the standards established in:

(1)           Sections .6000 through .6200 of this Subchapter; and

(2)           the edition of the Guidelines for the Design and Construction of Hospitals and Outpatient Facilities that was in effect at the time the construction documents were approved by the Construction Section.

(d)  An existing facility whose construction documents were approved by the Construction Section prior to January 1, 2018 shall meet those standards established in Sections .6000 through .6200 of this Subchapter that were in effect at the time the construction documents were approved by the Construction Section.

(e)  Any existing building converted from another use to a new facility shall meet the requirements of Paragraph (c) of this Rule.

 

History Note:        Authority G.S. 131E-79; S.L. 2017-174;

Temporary Adoption Eff. December 1, 2017.

 

SECTION .6200 - CONSTRUCTION REQUIREMENTS

 

10A NCAC 13B .6201      MEDICAL, SURGICAL AND POST-PARTUM CARE UNIT

The following requirements shall apply to licensed beds:

(1)           Each patient room shall meet the following requirements:

(a)           Maximum room capacity shall be four patients;

(b)           Minimum room areas exclusive of toilet rooms, closets, lockers, wardrobes, bathing room, or vestibules less than six feet wide shall be 100 square feet in single bed rooms and 80 square feet per bed in multi-bed rooms;

(c)           A minimum of three feet of clear working space on three sides of each bed shall be provided;

(d)           A window which can be opened from the inside shall be provided.  The window sill shall not be higher than three feet above the floor and shall be above grade;

(e)           A nurses' calling station at each patient bed and toilet room shall be provided;

(f)            At least one lavatory shall be provided in each patient room.  In a single bedroom other than post-partum rooms, the lavatory may be omitted from the patient room when a lavatory is located in an adjoining toilet room which serves that room only;

(g)           A toilet room containing a water closet and a lavatory shall be provided to serve no more than four beds or two patient rooms;

(h)           A wardrobe, locker or closet shall be provided for each patient suitable for hanging garments as well as for storage of personal effects; and

(i)            Provision shall be made for the visual privacy of each patient in multi-bed rooms.

(2)           The following service areas shall be located no further than 120 feet travel distance from each patient bedroom door:

(a)           Nurses' station with work counter and storage facilities;

(b)           Hand washing facilities located at the nurses' station;

(c)           Charting facilities;

(d)           A clean workroom or a clean holding room for storage and distribution of clean supply materials.  The clean workroom shall contain a work counter and hand washing and storage facilities.  A clean holding room shall be similar to a clean workroom except it shall be a part of a clean supply system and the work counter and hand washing facilities may be omitted;

(e)           A soiled workroom or a soiled holding room as a part of a system for the collection and disposal of soiled materials.  The soiled workroom shall contain a clinical sink or other suitable flushing device, sink equipped for hand washing, a work counter, a waste receptacle, and a linen receptacle.  A soiled holding room shall be similar to the soiled workroom except that it shall be a part of the soiled disposal system. The waste receptacle clinical sink and work counter may be omitted;

(f)            A drug distribution station that meets the current minimum requirements of governing state and federal agencies regulating controlled substances including a lavatory;

(g)           A clean linen storage closet.  This may be a designated area within the clean workroom.  If a closed cart system is used, storage may be in a controlled alcove out of corridor traffic;

(h)           A separate nourishment station that contains a lavatory, equipment for serving nourishment between meals, refrigerator and storage facilities.  Ice dispensing facilities for patient service and treatment shall be of a type that will not require use of scoops;

(i)            Storage of equipment including emergency equipment shall be provided to insure corridors are kept clear; and

(j)            Parking for stretchers and wheelchairs located out of corridor widths.

(3)           The following service areas shall be provided for each nursing unit:

(a)           Nurses office;

(b)           Closets or compartments for the safekeeping of coats and personal effects of staff;

(c)           Conference room;

(d)           Room for examination and treatment of patients.  This room may be omitted if all patient rooms are single-bed rooms.  This room shall have a minimum floor area of 100 square feet, excluding space for vestibule less than six feet wide, toilet, closets and work counters (whether fixed or movable).  The minimum room dimension shall be 10 feet.  The room shall contain a lavatory, a work counter, storage facilities and a desk, counter or shelf space for writing;

(e)           Lounge and toilet room for staff;

(f)            Janitors' closet.  This room shall contain a floor receptor or service sink and storage space for housekeeping supplies and equipment; and

(g)           Individually enclosed bathtubs or individually enclosed showers at the rate of one for each 12 beds or fraction thereof which are not otherwise served by bathing facilities within the patient rooms.

(4)           Each facility shall make provisions for at least one room for patients needing close supervision including provisions to minimize the chance of a patients' hiding, escape, injury or suicide.

(5)           Isolation Rooms.  Rooms for patients requiring protective or infectious isolation for infection control purposes shall be provided at the ratio of one isolation room for each 30 acute care licensed beds or major fraction thereof.  These may be located within each nursing unit or placed together in a separate unit.  Each isolation room shall be a single-bed room and shall conform to the requirements of Item (1) of this Rule except as follows:

(a)           A private toilet room containing a water closet and a bath or shower for the exclusive use of the patient which can be entered directly from the patient bed area without passing through the vestibule or anteroom shall be provided;

(b)           A lavatory for the exclusive use of the patient shall be provided.  It may be located in the patient room or in the private toilet room;

(c)           Entrance from the corridor shall be through a closed anteroom which contains facilities to assist staff personnel in maintaining aseptic conditions.  The anteroom shall contain a lavatory equipped for hand washing, storage for clean and soiled materials, and gowning facilities; and

(d)           A view window in the door for nursing observation of the patient from the anteroom shall be provided.

(6)           Provision shall be made for delivery of medications to patients.  All medications and related items shall be stored in compliance with current Federal and State laws and rules and made accessible only to authorized personnel.  A medication preparation area, alcove, room or other designated area shall be under the direct supervision of the nursing staff when not in use.  It shall contain at least a work counter, lavatory, medication-only refrigerator and designated locked area for controlled substances; if mobile systems are used, storage in corridors is prohibited except when in use by the nursing staff.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996.

 

10A NCAC 13B .6202      SPECIAL CARE UNIT

(a)  Each patient room shall meet the following requirements:

(1)           Clearance between beds in multi-bed rooms shall be not less than 7 feet with provision for visual privacy of patients.  Each patient bed space shall have a minimum of 130 square feet with a minimum dimension of 11 feet;

(2)           One single isolation bedroom meeting the requirements of Rule .6201(5) of this Section shall be provided for each 12 special care beds or fraction thereof;

(3)           Glazing in all viewing panels in partitions and doors shall be safety glass, wire glass, or fire rated glass;

(4)           A lavatory shall be provided in each patient room.  In multi-bed rooms, lavatories shall be provided within 10 feet of each bed;

(5)           A nurse call system is required except in neonatal units;

(6)           Each single-bed cubicle or room shall have a window to the outdoors.  In the case of ward-type patient bed areas of two or more patients where cubicle privacy curtains are used, at least one window shall be provided for every two beds.  Windows shall be positioned to provide a maximum distance of 18 feet between the normal head position of each patient and a window.  Window sills shall not exceed five feet above the floor; and

(7)           Toilet facilities provided for each special care unit shall be accessible from within the unit. Portable toilets may be used within the patient room.  Storage and service of portable toilets shall be provided, if used.  Fixed toilets shall have sufficient clearance to facilitate use by patients needing assistance.

(b)  The service elements and areas listed below shall be provided within each special care unit:

(1)           A nurses' station located to permit visual observation of each patient served;

(2)           Hand washing facilities convenient to nurses' station;

(3)           Designated charting space in addition to monitoring service space;

(4)           A staff toilet room containing a water closet and a lavatory;

(5)           Facilities for the safekeeping of coats and personal effects of staff;

(6)           A clean workroom or a system for storage and distribution of clean supplies.  The clean area shall contain a work counter, hand washing facilities and storage facilities;

(7)           A soiled workroom, or a soiled holding room as part of a system for the collection and disposal of soiled materials.  The soiled workroom shall contain a clinical sink or other flushing device, a sink equipped for hand washing, and a work counter.  A soiled holding room shall be similar to the soiled workroom except that the clinical sink and work counter may be omitted;

(8)           A drug distribution station that meets the current minimum requirements of governing state and federal agencies including lavatory;

(9)           A clean linen storage closet or alcove.  This may be a designated area within the clean workroom.  If a closed cart system is used, storage may be in a controlled alcove clear of corridor width;

(10)         A separate nourishment area with a sink, equipment for serving nourishment between meals, a refrigerator, and storage facilities.  New or replacement ice dispensing equipment for patient service shall be of a self-dispensing type that will not require use of utensils;

(11)         Storage area for emergency and other rolling equipment outside of corridor width;

(12)         Secure facilities for storage of patients' personal effects;

(13)         Bedpan washing devices; and

(14)         A separate waiting room with seating accommodations for visitors, a toilet room, and a public telephone.  The waiting room may serve more than one special care unit.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996.

 

10A NCAC 13B .6203      NEONATAL LEVEL I AND LEVEL II NURSERY UNIT

(a)  Neonatal infant units shall be on the same floor as post-partum nursing units. No nursery shall open directly into another nursery.  Each nursery shall contain the following:

(1)           Lavatory located within 20 feet travel distance of each bassinet;

(2)           Emergency calling system;

(3)           Glazed observation windows for viewing infants from public areas; and

(4)           Charting facilities.

(b)  A full term nursery shall contain not more than 24 bassinets.  The minimum floor area per bassinet shall be 30 square feet exclusive of fixed work or storage counters, toilet rooms, or vestibules less than six feet wide.  There shall be available three feet clear in all directions for each bassinet.

(c)  Each nursery shall be served by a connecting workroom.  It shall contain gowning facilities at the entrance for staff and housekeeping personnel, lavatory, and storage area.  One workroom may serve more than one nursery.

(d)  Space for examination and treatment shall contain a counter, storage, and a lavatory.  It may serve more than one nursery room and may be located in a workroom.

(e)  If commercially-prepared formula is not used, space and equipment to accommodate the handling, storage, and preparation of formula shall be provided.

(f)  A janitor's closet for the exclusive use of the housekeeping staff in maintaining the nursery suite shall be provided.  It shall contain a floor receptor or service sink and storage space for housekeeping equipment and supplies.

(g)  Doors to nurseries shall be no less than three feet wide.  If doors are provided directly from nurseries to public corridors or public spaces, they shall be equipped with "one-way" hardware for exit only to prevent unauthorized entry.

(h)  Smoke detection shall be provided in each nursery bed space.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996.

 

10A NCAC 13B .6204      NEONATAL LEVEL III AND LEVEL iv NURSERY

(a)  Units shall be accessible to post-partum nursing and delivery units.

(b)  The nursery shall be located and arranged to preclude unrelated traffic through the nursery.

(c)  Each nursery shall contain the following:

(1)           Lavatory located within 20 feet travel distance of each bassinet;

(2)           Emergency calling system; and

(3)           Charting facilities.

(d)  There shall be six feet between bassinets for Neonatal Level IV units and five feet between bassinets for Neonatal Level III units.  Neonatal Level IV nurseries shall have 80 square feet per bassinet not including corridors and cabinets.  Neonatal Level III nurseries shall have 50 square feet per bassinet not including cabinets and corridors.  Corridors or aisles shall have at least eight feet of clear width for access to bassinets.

(e)  Each nursery shall be served by a connecting workroom.  It shall contain gowning facilities at the entrance for staff and housekeeping personnel, lavatory, and storage.  One workroom may serve more than one nursery.  The workroom may be omitted if equivalent work area and facilities are provided within the nursery.  Gowning and hand washing facilities shall be provided at the entrance to each nursery.

(f)  Space for examination and treatment shall be provided and shall contain a counter, storage, and lavatory. It may serve more than one nursery room and may be located in a workroom.

(g)  If commercially prepared formula is not used, space and equipment to accommodate the handling, storage, and preparation of formula shall be provided.

(h)  A janitor's closet for the exclusive use of the housekeeping staff in maintaining the nursery suite shall be provided.  It shall contain a floor receptor or service sink and storage space for housekeeping equipment and supplies.

(i)  Doors to nurseries shall be no less than three feet wide.  If doors are provided directly from nurseries to public corridors or public spaces, they shall be equipped with "one-way" hardware for exit only to prevent unauthorized entry.

(j)  Smoke detection shall be provided in each nursery bed space.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Amended Eff. November 1, 2004.

 

10A NCAC 13B .6205      PSYCHIATRIC UNIT

When a facility elects to establish an identifiable psychiatric unit, the following requirements shall be met:

(1)           Patient rooms shall meet the requirements of Rule .6201 of this Section with the following exceptions:

(a)           Patient room doors shall be designed with hardware that will permit the doors to swing into the corridors by the use of a special tool for emergency purposes;

(b)           Patient room doors shall be lockable from the corridor side only;

(c)           Outside wall corners shall be omitted where possible;

(d)           The ceiling shall be of monolithic construction and the air distribution devices, lighting fixtures, sprinkler heads, and other appurtenances shall be of the security type;

(e)           Oxygen and suction outlets are not required;

(f)            All windows shall have security screens or be designed to prevent escape and shall be openable without keys or tools; and

(g)           Each patient room shall be provided with a private toilet that meets the following requirements:

(i)            The door shall not be lockable;

(ii)           The door shall be capable of swinging outward;

(iii)          Where provided, electrical outlets shall be protected by ground fault interrupting devices;

(iv)          A nurse call system is not required where the documented programmatic demands of the facility prohibit its use; and

(v)           The ceiling shall comply with the requirements of Subitem (1)(d) of this Rule.

(2)           Where provided, a seclusion room shall meet the following requirements:

(a)           The room shall meet the requirements of Subitems (1)(a), (b), (c), (d) and (f) of this Rule;

(b)           The room shall have a view window of impact resistant glass in the door that permits visual observation of the entire room;

(c)           The floor space of the room shall not be less than 50 square feet in area with a ceiling height of not less than eight feet; and

(d)           The walls shall be completely free of objects.

(3)           The service areas noted in Rule .6201 of this Section and the following shall be provided:

(a)           Consultation room;

(b)           Examination and treatment room for exclusive use of the psychiatric unit located within the unit;

(c)           A conference room for exclusive use of the psychiatric unit located within the unit;

(d)           Space for dining and recreation with a total area of 35 square feet per patient;

(e)           Storage closets or cabinets for recreational and occupational therapy equipment; and

(f)            Storage facilities for patients' personal effects.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996.

 

10A NCAC 13B .6206      SURGICAL DEPARTMENT REQUIREMENTS

(a)  Each operating room shall have an emergency communication system connected to the operating suite control station.

(b)  A separate room for direct observation of post-anesthesia surgical patients shall be provided.  This space shall include medicine dispensing facilities, hand washing facilities, charting facilities, clinical sink with flushing device, and storage space for supplies and equipment.  A toilet room for nursing staff with water closet and lavatory shall be provided adjacent to the recovery room.  Provisions shall also be made for observation and isolation of infectious patients.

(c)  Service areas shall be provided in individual rooms when so noted; otherwise, alcoves or other open space which will not interfere with traffic may be used.  Services, except for the soiled workroom and the janitor's closet, may be shared with and organized as a part of the obstetrical facilities.  The following service areas shall be provided:

(1)           An operating suite control station.  The station shall be located to permit visual surveillance of all traffic which enters the operating suite or provisions shall be made to prevent unauthorized entry into the suite;

(2)           Supervisor's office or station;

(3)           Sterilizing facilities with a high speed autoclave located to serve the operating rooms;

(4)           Medicine dispensing facilities;

(5)           Scrub stations adjacent to each operating room and arranged to minimize any incidental splatter on nearby personnel or supply carts.  A minimum of two scrub sinks per operating room shall be provided.  Facilities with no more than three operating rooms may reduce the number of scrub sinks to four;

(6)           A soiled workroom containing a flushing device, a work counter, and a sink equipped for hand washing;

(7)           A soiled linen holding room with a sink equipped for hand washing.  This service may be combined with soiled workroom and/or trash holding room;

(8)           A trash holding room with a sink equipped for hand washing.  This service may be combined with the soiled workroom and/or soiled linen holding room;

(9)           Clean workroom or clean supply room when clean materials require assembly prior to use and this assembly is performed within the surgical suite.  This room shall contain a work counter, a sink equipped for hand washing and space for clean and sterile supplies.  A clean supply room shall be provided when the program defines a system for the storage and distribution of clean and sterile supplies which would not require the use of a clean workroom;

(10)         Anesthesia storage.  If facility bylaws do not prohibit flammable anesthetics, a separate room shall be provided for storage of flammable gases;

(11)         Anesthesia workroom with a work counter and sink for cleaning, testing, and storage of anesthesia equipment;

(12)         A room for storage of medical gas reserve cylinders;

(13)         Equipment storage room for equipment and supplies used in surgical suite;

(14)         Staff clothing change areas appropriate for male and female personnel working within the surgical suite.  These areas shall contain lockers, showers, toilets, lavatories, and space for donning scrub suits and boots.  These areas shall be arranged to provide a one-way traffic pattern so that personnel entering from outside the surgical suite can change, shower, gown and move directly into the surgical suite;

(15)         Patients' holding area to accommodate stretcher patients waiting for surgery.  This waiting area shall be under the visual control of operating room staff and shall be in a room or in an alcove out of the direct line of normal traffic;

(16)         Storage area for stretchers out of the corridor width;

(17)         Staff lounges and toilet facilities for staff located to facilitate use without leaving the surgical suite; and

(18)         Janitors' closet containing a floor receptor or service sink and storage space for housekeeping supplies and equipment for the exclusive use of the surgical suite.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996.

 

10A NCAC 13B .6207      OUTPATIENT SURGICAL FACILITIES

(a)  When a facility elects to share outpatient surgical facilities with inpatient surgical facilities, the outpatient operating room and support areas shall meet the same physical plant requirements as inpatient, general operating rooms and support areas.

(b)  When a facility elects to provide separate, non-sharable outpatient surgical facilities, the operating rooms and support areas shall meet the physical plant construction requirements of Outpatient Surgical Licensure requirements of 10A NCAC 13C .1400.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996.

 

10A NCAC 13B .6208      OBSTETRICAL DEPARTMENT REQUIREMENTS

(a)  The obstetrical unit shall be located so as to prevent unrelated traffic through the unit and to provide for reasonable protection of mothers from infection and from cross-infection.

(b)  An emergency communication system connected to the operations and control station shall be provided by the facility.

(c)  Resuscitation facilities for neonates shall be provided within the obstetrical unit and convenient to the delivery room.

(d)  A labor room shall be provided and shall meet the following requirements:

(1)           A minimum of 80 sq. ft. of area shall be provided per labor bed;

(2)           The labor rooms shall be located so as to permit visual observation of each room from the nurses' work station;

(3)           Labor rooms shall afford privacy, and shall be conveniently located with reference to the delivery room;

(4)           If labor rooms also serve as birthing rooms, they shall be equipped to handle obstetric and neonatal emergencies;

(5)           A labor room shall contain facilities for medication, hand washing, charting, and storage for supplies and equipment;

(6)           At least one shower with direct access from within the delivery unit shall be provided;

(7)           At least two labor beds with adjacent toilet shall be provided for each delivery room; and

(8)           No more than two labor beds may be located in one labor room.

(e)  A toilet with hand-washing facilities shall be provided for the staff.

(f)  A separate recovery room may be omitted in facilities with less than 1500 births per year.  When provided, the recovery room shall meet the following requirements:

(1)           A recovery room shall contain not less than two beds and shall have charting facilities located so as to permit visual observation of all beds;

(2)           Provisions for medicine dispensing, hand washing, clinical sink with bedpan washer, and storage for supplies and equipment shall be provided; and

(3)           A toilet with hand washing facilities shall be provided for staff.

(g)  When a facility elects to provide labor, delivery and recovery room (LDR) service as a part of its total services, the following requirements shall be met:

(1)           Each LDR room shall have a minimum of 250 square feet of floor space exclusive of toilet room, closet, or vestibule;

(2)           A toilet directly accessible from each LDR room shall be provided for use by that room only and equipped with a clinical sink or other suitable flushing device for emptying bed pans;

(3)           Each LDR room shall be provided with directly accessible shower for use by that room only;

(4)           Each LDR room shall be equipped with oxygen, suction, medical air, and electrical outlets; and

(5)           Each LDR room shall contain facilities for medication storage, hands-free hand washing, charting, and storage for supplies and equipment.

(h)  When a facility elects to provide labor, delivery, recovery and postpartum (LDRP) service as a part of its total services the following requirements shall be met:

(1)           Each LDRP room shall meet the requirements listed in Paragraph (g) of this Rule; and

(2)           Each LDRP room shall be counted as a single patient room for purposes of determining the facility's bed capacity.

(i)  The following shall be provided:

(1)           If analgesia is used, beds shall be equipped with side rails; and

(2)           There shall be facilities for examination and preparation of patients.

(j)  The obstetrical (OB) unit shall be provided with the following services either in individual rooms, alcoves, or other open spaces not subject to traffic:

(1)           Scrub facilities with stations located adjacent to each pair of delivery rooms and arranged to minimize incidental splatter on nearby personnel or supply carts;

(2)           A storage room for equipment and supplies;

(3)           One delivery room with support services meeting the requirements of a surgical operating room and support services referenced in Rule .6206 of this Section if caesarean sections are to be performed in the obstetrical delivery unit; and

(4)           One janitor's closet exclusively for use by the obstetrics unit.

(k)  The obstetrical unit shall be provided with the following services either in individual rooms, alcoves, or other open spaces not subject to traffic, however, they may be located either in the obstetrics unit or may be shared with the surgical unit if arranged so as to avoid cross traffic between the surgical and obstetrics units:

(1)           Delivery unit control station located so as to permit visual surveillance of all traffic which enters the obstetrical unit;

(2)           Supervisor's office or station;

(3)           Medicine dispensing facilities;

(4)           Scrub facilities with stations located adjacent to each pair of delivery rooms and arranged so as to minimize incidental splatter on nearby personnel or supply carts;

(5)           Soiled workroom or a soiled holding room as a part of a system for the collection and disposal of soiled materials:

(A)          A soiled workroom may not be shared with the surgical unit and shall contain a flushing device, a work counter and sink equipped for hand washing, a waste receptacle, and a linen receptacle; and

(B)          A soiled holding room may be shared with the surgical unit and shall be similar to the soiled workroom except that the flushing device and work counter may be omitted.

(6)           Fluid waste disposal facilities convenient to the delivery rooms; the flushing device in a soiled workroom meets this requirement;

(7)           Staff clothing change areas appropriate for male and female personnel working within the obstetrics unit including lockers, shower, toilet, and lavatory, and space for donning scrub suit and boots;

(8)           Lounge and toilet facilities for obstetrical staff;

(9)           Stretcher storage provisions out of direct line of traffic;

(10)         Clean workroom, or clean supply room:

(A)          A clean workroom or supply room is required when clean materials require assembly prior to use and this assembly is performed within the obstetrics unit; and

(B)          Clean workroom shall contain a work counter, a sink equipped for hand washing, and space for clean and sterile supplies;

(11)         Anesthesia workroom for the cleaning, testing, and storage of anesthesia equipment with a work counter and sink;

(12)         Space for storage of nitrous oxide and oxygen cylinders;

(13)         A storage room for equipment and supplies used in a surgical unit;

(14)         Delivery room(s) used for no other purpose than for the completion of labor and delivery and including a minimum clear area of 300 square feet, exclusive of fixed and movable cabinets and shelves.  The minimum room dimension shall be 16 feet; and

(15)         One delivery room meeting the following requirements if caesarean sections are to be performed in the obstetrics unit:

(A)          The delivery room shall meet the requirements for surgical operating rooms; and

(B)          Support services required for surgical operating rooms shall be provided.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996;

Amended Eff. July 1, 1996.

 

10A NCAC 13B .6209      EMERGENCY SERVICES

(a)  The minimum requirements for emergency care required under Section .4100 of this Subchapter shall determine the type facilities to be provided.

(b)  When a facility provides emergency services under one of the classifications listed in Section .4100 of this Subchapter, the following shall be provided:

(1)           Level I, II, III:

(A)          a drive at grade level with provision for ambulance and pedestrian service and a well marked covered entrance with a minimum clear passage height of 12 feet 8 inches and a clear width of 16 feet;

(B)          public waiting space with toilet facilities, telephone, drinking fountain, stretcher, and wheelchair storage;

(C)          nurses' work and charting space shall be provided.  This may be combined with reception and control area for Level III;

(D)          storage for clean supplies and equipment.  Facilities shall be available for the administration of blood, blood plasma, and intravenous medication as well as for the control of bleeding, emergency splinting of fractures, and the administration of oxygen, anesthesia, and suction;

(E)           soiled holding area with flushing device;

(F)           janitor's closet with service sink;

(G)          patient toilets; and

(H)          staff toilets.

(2)           Level I, II:

(A)          a reception and control area that is staffed around the clock;

(B)          visual control of the entrance, waiting room, and treatment area shall be maintained;

(C)          communication with other facility departments;

(D)          at least one treatment room shall be available around the clock for the examination and initial treatment of emergency patients.  This room shall be independent of the operating room;

(E)           treatment rooms or areas shall contain cabinets, medication storage, work counters, X-ray film illuminators, and space for storage of emergency equipment;

(F)           the size of the rooms or areas shall allow for a minimum of 3 feet clear on three sides of each stretcher; and

(G)          hand washing facilities shall be provided.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996.

 

10A NCAC 13B .6210      IMAGING SERVICES

Imaging services include fluoroscopy, radiography, mammography, computerized tomography scanning, position emission tomography, ultrasound, magnetic resonance imaging, angiography, cardiac catheterization and other similar techniques.

(1)           Radiology services are required for all facilities and shall contain the following:

(a)           Radiographic and fluoroscopic rooms;

(b)           Film processing equipment;

(c)           Administration and viewing areas;

(d)           Provisions for film storage;

(e)           Toilet room with hand washing facilities directly accessible to each fluoroscopy and radiography room where gastrointestinal or genitourinary system procedures are performed;

(f)            Dressing area with immediate access to toilets;

(g)           Waiting room or alcove for patients;

(h)           Holding area for stretcher patients out of corridor width; and

(i)            A shielded control alcove with a view window for full view of patient.

(2)           Angiography or cardiac catheterization services are not required for licensure; however, when either service is offered, the following shall be provided:

(a)           Procedure room sized to accommodate and service the equipment purchased but having a minimum area of 400 square feet;

(b)           A control room with a view window that permits a full view of the patient;

(c)           A designated radiographic view area having a minimum length of 10 feet (3.05 meters);

(d)           Scrub sink outside staff entrance to the procedure room;

(e)           Patient holding area large enough to accommodate two stretchers out of the corridor width;

(f)            Storage area for portable equipment and supplies out of the corridor width; and

(g)           Post procedure observation area for patients.

(3)           Computerized Tomography (CT) Scanning or positron emission tomography service is not required for licensure; however, when either service is offered, the following shall be provided:

(a)           Procedure room sized to accommodate and service the equipment purchased;

(b)           Control room with a view window to permit full view of the patient;

(c)           Film processing area adjacent to the control room;

(d)           Patient toilet with hand washing facilities, located within 50 feet of the procedure room door; accessible to the procedure room located to permit the patient to exit the toilet without reentering the procedure room;

(e)           At least one emergency light located in the procedure room; and

(f)            Hand washing sink within the procedure room.

(4)           Magnetic Resonance Imaging (MRI) service is not required for licensure; however, when this service is offered, the following shall be provided:

(a)           Procedure and support rooms sized to accommodate and service the equipment purchased;

(b)           A control room with full view of the patient and MRI unit and having a minimum area of 100 square feet;

(c)           A patient holding area located near the MRI unit and large enough to accommodate stretchers out of the corridor width;

(d)           Patient toilet with hand washing facilities, located within 50 feet of the procedure room door;

(e)           At least one emergency light located in the procedure room; and

(f)            Hand washing sink adjacent to the entrance to the procedure room.

(5)           Design and performance specifications related to the radiation shielding of imaging rooms shall be furnished by a qualified physicist approved by the Radiation Protection Division of the N.C. Department of Environment and Natural Resources.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996.

 

10A NCAC 13B .6211      LABORATORY SERVICES

Laboratory services may be provided within the facility or through contract with a laboratory service.  If laboratory services are offered within the facility, then the following shall be provided:

(1)           Laboratory work counter with sink, vacuum, gas and electrical outlets;

(2)           Lavatory or counter sinks equipped for hand washing;

(3)           Blood storage equipment with temperature monitoring and alarm signals; and

(4)           Specimen collection:

(a)           Urine collection rooms shall be equipped with a water closet and lavatory; and

(b)           Blood collection area shall have space for a chair, work counter, and hand washing sink.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996.

 

10A NCAC 13B .6212      MORGUE

(a)  Where facilities have an agreement to transfer bodies within six hours of death, a single room large enough to contain a stretcher is acceptable.

(b)  When autopsies are conducted at the facility, the morgue shall be directly accessible to the service entrance or an outside entrance, and shall be located to avoid movement of bodies through lobbies and other public areas.  The following elements shall be provided:

(1)           Refrigeration equipment for body-holding; and

(2)           Autopsy room containing:

(A)          Work counter with sink equipped for hand washing;

(B)          Storage space for supplies, equipment, and specimens;

(C)          Autopsy table;

(D)          A deep sink for washing of specimens;

(E)           Clothing change area with shower, toilet, and lockers; and

(F)           Janitor's closet with service sink or receptor.

(c)  Where no transfer agreement exists with another facility, or bodies cannot be transferred within six hours or autopsies are not conducted at the facility, a well ventilated, temperature controlled body-holding room shall be provided.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996.

 

10A NCAC 13B .6213      PHARMACY SERVICES

The size of the pharmacy and the type of services to be provided in the pharmacy will depend upon the facility mission statement, the type of drug distribution system to be used in the facility, and the extent of shared or purchased services.  When pharmacy services are planned, provisions shall be made for the following:

(1)           Administrative functions including pick-up and receiving, requisition processing, drug information and storage for general supplies, volatile fluids and alcohol;

(2)           Quality control area with sufficient counter space when bulk compounding and packaging functions are performed;

(3)           Secure storage for controlled substances;

(4)           An area for temporary storage, exchange and restocking of carts; and

(5)           Hand washing facilities within each separate room where open medication is handled.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996.

 

10A NCAC 13B .6214      DIETARY SERVICES

(a)  Construction, equipment, and installation shall comply with the standards of the N.C. Department of Environment and Natural Resources.

(b)  The following shall be provided to implement the type of food service system outlined in the hospital's mission statement:

(1)           Control station for receiving food supplies;

(2)           Space for four days' food supply including refrigeration space is required for a conventional food preparation system;

(3)           Food preparation space for conventional food preparation equipment needed in preparing, cooking, and baking foods; convenience food service systems (frozen prepared meals, bulk packaged entrees, individual packaged portions, etc.) or systems utilizing contractual commissary services require space and equipment for thawing, portioning, cooking and baking.  In addition, a lavatory shall be provided in the food preparation area;

(4)           Tray assembly and distribution space;

(5)           Dining space for ambulatory patients, staff, and visitors;

(6)           Dietary office;

(7)           Locker room and toilet facilities for dietary staff;

(8)           Storage space for housekeeping equipment and supplies located within the dietary department, including a floor receptor or service sink; and

(9)           Ice making equipment convenient to salad preparation area and cafeteria.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996.

 

10A NCAC 13B .6215      ADMINISTRATION

(a)  The facility entrance shall be at grade level, sheltered from the effects of inclement weather, and able to accommodate wheelchairs and stretchers.

(b)  The entrance lobby shall contain:

(1)           Reception and information counter or desk;

(2)           Waiting space;

(3)           Storage area(s) for wheelchairs and stretchers;

(4)           Public toilets;

(5)           Public telephone; and

(6)           Drinking fountain.

(c)  Private interview space shall be provided.

(d)  Office spaces for administrative staff shall be provided.

(e)  Medical library shall be provided.

(f)  Staff toilets shall be provided.

(g)  Storage for office equipment and supplies shall be provided.

(h)  A janitor's closet containing a floor receptor or service sink and storage space for housekeeping equipment and supplies shall be provided.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996.

 

10A NCAC 13B .6216      MEDICAL RECORDS SERVICES

Medical records services shall include the following:

(1)           Medical record director's office or space;

(2)           A separate review and dictating room;

(3)           Work area for sorting, recording, or microfilming records;

(4)           Storage area for records; and

(5)           A smoke detection system, approved by the authority having jurisdiction, interconnected with the facility fire alarm system if medical records are stored in a separate building.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996.

 

10A NCAC 13B .6217      CENTRAL MEDICAL AND SURGICAL SUPPLY SERVICES

(a)  A separate receiving room shall be provided and shall contain work space and equipment for initial sterilization and disinfection of medical and surgical equipment and for disposal or processing of unclean articles.  Hand washing facilities shall be provided.

(b)  A separate clean workroom shall be provided and shall contain work space and equipment for sterilizing medical and surgical equipment and supplies. Storage areas for clean supplies and for sterile supplies shall be included in this room.

(c)  A separate storage room for assembly, final packaging, and storage of sterile supplies and equipment shall be provided.

(d)  A storage room for unsterile supplies and equipment shall be provided but may be located in another area of the facility.

(e)  Provisions shall be made for cleaning and sanitizing carts serving the central supply services, dietary services, and linen services departments and may be centralized or departmentalized.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996.

 

10A NCAC 13B .6218      GENERAL STORAGE

General storage room(s) shall have a total area of not less than 20 square feet (1.86 square meters) per inpatient bed and shall be concentrated in one area but may be divided in a multiple building complex and shall include:

(1)           Receiving area; and

(2)           Off street loading area.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996.

 

10A NCAC 13B .6219      LAUNDRY SERVICES

(a)  When the facility elects to provide its own laundry, the laundry shall contain the following:

(1)           A soiled linen holding room;

(2)           A designated clean linen storage area unless a closed linen cart system is utilized;

(3)           A linen cart cleanup and storage area;

(4)           Toilet facilities accessible to employees from soiled linen, clean linen, and laundry processing;

(5)           Laundry processing area with hand washing facilities and commercial type equipment which can process seven days' needs within a scheduled work week;

(6)           A janitor's closet containing a floor receptor or service sink and storage space for housekeeping equipment and supplies; and

(7)           Supply storage.

(b)  When the facility elects to contract for laundry service off premises it shall provide the following:

(1)           Soiled linen holding room;

(2)           Clean linen holding room;

(3)           Linen cart cleanup and storage room; and

(4)           Hand washing facilities.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996.

 

10A NCAC 13B .6220      PHYSICAL REHABILITATION SERVICES

When physical rehabilitation services are offered in the facility, the following shall be provided:

(1)           Patient waiting space, with provisions for wheelchair patients and stretcher patients;

(2)           Office space;

(3)           Patients' toilet;

(4)           Hand washing facilities;

(5)           Treatment areas or room that provides visual privacy (visual privacy not required for Occupational Therapy and Speech Therapy);

(6)           Soiled linen storage (not required for Occupational Therapy and Speech Therapy);

(7)           Clean linen storage (not required for Occupational Therapy and Speech Therapy);

(8)           Equipment storage; and

(9)           Wheelchair and stretcher storage.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996.

 

10A NCAC 13B .6221      ENGINEERING SERVICES

The following provisions for engineering services shall be included:

(1)           A room or separate building for boilers, mechanical equipment, and electrical equipment;

(2)           Office;

(3)           Maintenance shop;

(4)           Maintenance supplies storage room; and

(5)           Locker and toilet rooms for engineering service employees.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996.

 

10A NCAC 13B .6222      WASTE PROCESSING

Each facility shall provide for the processing and disposing of all waste products in accordance with local city or  county requirements and the requirements of the N.C. Department of Environment Health and Natural Resources and shall produce evidence of approval from each regulatory agency having jurisdiction prior to the start of facility operation.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996.

 

10A NCAC 13B .6223      DETAILS AND FINISHES

(a)  All details and finishes for modernization projects as well as for new construction shall meet the following requirements:

(1)           All rooms containing baths, showers, and toilets, subject to patient occupancy, shall be equipped to open from the outside without the use of a key in any emergency.  When such rooms have only one opening, the door shall open outward from the room or shall be designed so that the door can be opened without need to push against the occupant in the room;

(2)           Doors in all openings between corridors and rooms or spaces subject to occupancy shall be of the side hinged type or an approved sliding type door;

(3)           No doors shall swing into corridors in a manner that might obstruct traffic flow or reduce the required corridor width except for doors to spaces such as closets less than 25 square feet in floor area, which are not subject to occupancy;

(4)           Grab bars shall be provided at all patient toilets, showers, and tubs.  Grab bars shall have not less than 1-1/2 inch clearance to the wall or support and shall be capable of supporting not less than a 250 pound concentrated load;

(5)           Single use soap dispensers, towel dispensers or air driers shall be provided at all hand washing fixtures except scrub sinks;

(6)           All rooms shall have not less than 8 foot high ceilings except that ceilings of corridors, storage rooms, toilet rooms, and other minor rooms shall be no less than 7 feet 6 inches high.  Suspended tracks, rails, pipes, etc., located in the path of normal traffic, shall be no less than 7 feet 6 inches above the floor;

(7)           Rooms containing equipment shall be insulated or ventilated to prevent any patient use floor surface above from exceeding a temperature 10 degrees F. above the ambient room temperature; and

(8)           Fire extinguishers shall be provided throughout the building to comply with National Fire Protection Association Standard 10 as found in Rule .6102(2) of this Section.

(b)  Finishes shall meet the following requirements:

(1)           Floors in areas used for food preparation or food assembly shall be water, oil and slip resistant.  Joints in tile and similar material in such areas shall be resistant to food acids.  In all areas subject to frequent wet cleaning, floors shall not be physically affected by germicidal and cleaning solutions.  Floors that are subject to traffic while wet, as in kitchens, showers, and bath areas and similar work areas, shall have a non-slip surface;

(2)           Floors and wall bases in operating and delivery rooms shall be joint free.  Wall bases shall be tightly sealed within the wall and constructed without voids that can harbor vermin;

(3)           Floors and wall bases in kitchens, soiled workrooms, and other areas subject to frequent wet cleaning, shall be made integral with the floor, tightly sealed to the wall, and constructed without voids that can harbor vermin;

(4)           In patient care areas, walls shall be washable; in the immediate area of plumbing fixtures, the finish shall be smooth, moisture resistant, and easily cleanable;

(5)           Floor and wall penetrations and joints of structural elements shall be tightly sealed to minimize entry of rodents and insects;

(6)           Ceilings throughout shall be easily cleanable.  Ceilings in operating and delivery rooms, nurseries, isolation rooms, sterile processing rooms, and other sensitive areas shall be readily washable and without crevices that can retain dirt particles.  Dietary and food preparation areas shall have a finished ceiling covering all overhead structural elements and building systems.  Finished ceilings may be omitted in mechanical and equipment spaces, shops, general storage areas, and similar spaces except where required for fire rating;

(7)           Rooms used for protective isolation shall not have carpet.  Ceilings shall be of monolithic construction; and

(8)           Rooms where impact noises are generated shall not be located directly over or under patient bed areas, and delivery or operating suites unless special provisions are made to minimize noise.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996.

 

10A NCAC 13B .6224      ELEVATOR REQUIREMENTS

Elevators shall meet the following:

(1)           Facilities with patient areas located on other than the grade-level entrance floor shall have at least one hospital-type elevator;

(2)           In the absence of an engineered traffic study, the following guidelines for number of elevators shall apply:

(a)           At least one hospital-type elevator shall be installed when 60 patient beds or less are located on any floor other than the main entrance floor;

(b)           At least two hospital-type elevators shall be installed when 61 to 200 patient beds are located on floors other than the main entrance floor, or where inpatient services are located on a floor other than those containing patient beds.  Elevator service may be reduced for those floors providing only partial inpatient services;

(c)           At least three hospital-type elevators shall be installed where 201 to 350 patient beds are located on floors other than the main entrance floor, or where inpatient services are located on a floor other than those containing patient beds.  Elevator service may be reduced for those floors providing only partial inpatient services; and

(d)           For facilities with more than 350 beds, the number of elevators shall be determined from an engineering study of the facility plan and the expected vertical transportation requirements.

(3)           Hospital-type elevator cars shall have inside dimensions that will accommodate a patient's bed with attendants. Cars shall be at least five feet (1.52 meters) wide by seven feet six inches (2.29 meters) deep.  Car doors shall have a clear opening of not less than four feet (1.22 meters) wide and seven feet (2.13 meters) high; and

(4)           Elevators, except freight elevators, shall be equipped with a two-way service switch for staff use for bypassing all landing button calls and traveling directly to any floor.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996.

 

10A NCAC 13B .6225      MECHANICAL REQUIREMENTS

(a)  Prior to occupancy of the facility, the facility shall obtain documentation verifying that all mechanical systems have been tested, balanced, and operated to demonstrate that the installation and performance of these systems conform to the approved design.  Test results shall be maintained in the facility maintenance files.

(b)  Upon completion of equipment installation, the facility shall acquire and maintain a complete set of manufacturers' operating, maintenance, and preventive maintenance instructions, parts lists, and procurement information including equipment numbers and descriptions.

(c)  Operating staff shall be provided with instructions for properly operating systems and equipment.

(d)  The facility structure, component parts, and building systems shall be kept in good repair and maintained with consideration for the safety and comfort of patients, staff and visitors.

(e)  There shall be a definite assignment of maintenance functions to qualified personnel under supervision.

(f)  General design requirements shall meet the following:

(1)           Heating plants shall be adequate to maintain a cold weather temperature of 70 degrees F. (21.1 degrees C.) in all rooms used by patients;

(2)           Boilers shall have capacity to supply all the heating functions of the facility.  The number and arrangement of boilers shall accommodate the facility's needs despite the breakdown or routine maintenance of any one boiler;

(3)           Insulating materials shall be provided within the facility to conserve energy, protect personnel, prevent vapor condensation, and reduce unnecessary noise and vibration;

(4)           Facility design considerations shall include recognized energy saving measures.  When using variable air volume systems within the facility special care shall be taken to assure that minimum ventilation rates and pressure relationships between various departments are maintained;

(5)           The general air pressure relationships, ventilation rates, and relative humidity requirements of Table 1 shall be maintained;

 

Table 1

Ventilation Requirements for Areas Affecting Patient Care in Hospitals and Skilled Nursing Units and Outpatient Facilities in Hospitals1


Area Designation

 

 

 

 

Air

movement relationship to adjacent area2

Minimum air changes of outdoor air per hour3

Minimum total air changes per hour4

All air exhausted directly to outdoors5

Recirculated by means of room units6

Relative humidity (%)7

Design temperature (o F/o C)8

 

Surgery and Critical Care

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Operating room9

Out

3

15

--

No

50

70-75/21-24

Delivery room9

Out

4

15

--

No

45

70-75/21-24

Recovery room9

--

2

6

--

No

30

70/21

Special care

--

2

6

--

No

30

70-75/21-24

Treatment room10

--

--

6

--

--

 

75/24

Trauma room10

Out

3

15

--

No

45

70-75/21-24

Anesthesia gas storage

--

--

8

Yes

--

 

--

 

NURSING

Patient room

Toilet room

Newborn nursery suite

Protective isolation when provided11

Infectious isolation when provided12

Isolation alcove or anteroom11 12

Labor/delivery/recovery

Labor/delivery/recovery/postpartum

Patient corridor

 

 

--

In

--

Out

In

In/Out

--

--

--

 

 

1

--

2

1

1

--

--

--

--

 

 

2

10

6

6

6

10

2

2

2

 

 

--

Yes

--

--

Yes

Yes

--

--

--

 

 

--

Yes

No

No

No

No

--

--

--

 

 

--

--

30-60

--

--

--

--

--

--

 

 

70-75/21-24

--

75/24

70-75/21-24

70-75/21-24

--

70-75/21-24

70-75/21-24

--

 

ANCILLARY

Radiology13

  X-ray (surg/critical care)

  X-ray (diagnostic & treat.)

  Darkroom

Laboratory

  General14

  Biochemistry14

  Cytology

  Glass Washing

  Histology

  Microbiology14

  Nuclear medicine13

  Pathology

  Serology

  Sterilizing

Autopsy room

Non refrigerated body-holding room15

Pharmacy

 

 

 

Out

--

In

 

--

Out

In

In

In

In

In

In

Out

In

In

In

--

 

 

 

3

--

--

 

--

--

--

--

--

--

--

 

--

--

--

--

--

 

 

 

15

6

10

 

6

6

6

10

6

6

6

6

6

10

12

10

4

 

 

 

 

--

--

Yes

 

--

--

Yes

Yes

Yes

Yes

Yes

Yes

--

Yes

Yes

Yes

--

 

 

 

No

--

No

 

--

No

No

--

No

No

No

No

No

--

No

Yes

--

 

 

 

45-60

--

--

 

--

--

--

--

--

--

--

--

--

--

--

--

--

 

 

 

70-75/21-24

75/24

--

 

--

--

--

--

--

--

--

--

--

--

--

70/21

--

 

DIAGNOSTIC AND TREATMENT

Examination Room

Medication room

Treatment room

Physical therapy and hydrotherapy

Soiled workroom or soiled holding

Clean workroom or clean holding

 

 

--

--

--

In

In

--

 

 

--

--

--

--

--

--

 

 

6

4

6

6

10

4

 

 

--

--

--

--

Yes

--

 

 

--

--

--

--

No

--

 

 

--

--

--

--

--

--

 

 

75/24

--

75/24

75/24

--

--

 

STERILIZING AND SUPPLY

ETO-sterilizer room16

Sterilizer equipment room16

Central medical and surgical supply

Soiled or decontamination room

Clean workroom and sterile storage

 

 

In

In

Out

In

Out

 

 

--

--

--

--

--

 

 

10

10

6

4

6

 

 

Yes

Yes

--

Yes

--

 

 

No

--

No

--

No

 

 

--

--

--

--

(Max) 70

 

 

75/24

--

--

--

75/24

 

 

 

 

 

 

 

 

 

SERVICE

Food preparation center17

Warewashing

Dietary day storage

Laundry, general

Soiled linen (sorting and storage)

Clean linen storage

Soiled linen and trash chute room

Bedpan room

Bathroom

Janitor's closet

 

 

--

In

In

--

In

--

In

In

--

In

 

 

--

--

--

--

--

--

--

--

--

--

 

 

10

10

2

10

10

2

10

10

10

10

 

 

--

Yes

--

Yes

Yes

--

Yes

Yes

--

Yes

 

 

No

No

--

--

No

--

No

Yes

--

No

 

 

--

--

--

--

--

--

--

--

--

--

 

 

--

--

--

--

--

--

--

--

75/24

--

 

Table Notes:

 

1                      The ventilation rates in this table cover ventilation for comfort, as well as for asepsis and odor control in areas of acute care hospitals that directly affect patient care and are determined based on health care facilities being predominantly "No Smoking" facilities.  Where smoking may be allowed, ventilation rates will need adjustments.  Specialized patient care areas, including organ transplant units, burn units, specialty procedure rooms, etc., shall have additional ventilation provisions for air quality control as may be appropriate. 

2                      Design of the ventilation system shall provide that air movement is from "clean to less clean" areas.  However, continuous compliance may be impractical with full utilization of some forms of variable air volume and load shedding systems that may be used for energy conversation.  Areas that do require positive and continuous control are noted with "Out" or "In" to indicate the required direction of air movement in relation to the space named.  Rate of air movement may be varied as needed within the limits required for positive control.  Air movement for rooms with dashes and non-patient areas may vary as necessary to satisfy the requirements of those spaces.  Additional adjustments may be needed when space is unused or unoccupied and air systems are de-energized or reduced.

3                      To satisfy exhaust needs, replacement air from outside is necessary.  Table 1 does not attempt to describe specific amounts of outside air to be supplied to individual spaces except for certain areas such as those listed.  Distribution of the outside air, added to the system to balance required exhaust, shall be as required by good engineering practice.

4                      Number of air changes may be reduced when the room is unoccupied if provisions are made to ensure that the number of air changes indicated is reestablished any time the space is being utilized.  Adjustments shall include provisions so that the direction of air movement shall remain the same when the number of air changes is reduced.  Areas not indicated as having continuous directional control may have ventilation systems shut down when space is unoccupied and ventilation is not otherwise needed.

5                      Air from areas with contamination and/or odor problems shall be exhausted to the outside and not recirculated to other areas.  Note that individual circumstances may require special consideration for air exhaust to outside, e.g., in intensive care unit in which patients with pulmonary infection are treated, and rooms for burn patients.

6                      Because of cleaning difficulty and potential for buildup of contamination, recirculating room units shall not be used in areas marked "No."  Isolation and intensive care unit rooms may be ventilated by reheat induction units in which only the primary air supplied from a central system passes through the reheat unit.  Gravity-type heating or cooling units such as radiators or connectors shall not be used in operating rooms and other special care areas.

7                      The ranges listed are minimum and maximum limits where control is specifically needed.

8                      Dual temperature indications (such as 70-75/21-24) are for an upper and lower variable range at which the room temperature shall be controlled.  A single figure indicates a heating or cooling capacity of at least the indicated temperature.  This is usually applicable when patients may be undressed and require a warmer environment.  Nothing in these rules shall be construed as precluding the use of temperatures lower than those noted when the patients' comfort and medical conditions make lower temperatures desirable.  Unoccupied areas such as storage rooms shall have temperatures appropriate for the function intended.

9                      For Information Only - National Institute of Occupational Safety and Health (NIOSH) Criteria Documents regarding Occupational Exposure to Waste Anesthetic Gases and Vapors, and Control of Occupational Exposure to Nitrous Oxide indicate a need for both local exhaust (scavenging) systems and general ventilation of the areas in which the respective gases are utilized.

10                   The term trauma room as used here is the operating room space in the emergency department or other trauma reception area that is used for emergency surgery.  The first aid room and/or "emergency room" used for initial treatment of accident victims may be ventilated as noted for the "treatment room."

11                   The protective isolation rooms described in these rules are those that might be utilized for patients with a high susceptibility to infection from leukemia, burns, bone marrow transplant, or acquired immunodeficiency syndrome and that require special consideration for which air movement relationship to adjacent areas would be positive rather than negative.  For protective isolation the patient room shall be positive to both anteroom and toilet.  Anteroom shall be neutral to corridor.   Where requirements for both infectious and protective isolation are reflected in the anticipated patient load, ventilation shall be modified as necessary.  Variable supply air and exhaust systems that allow maximum isolation room space flexibility with reversible air movement direction would be acceptable only if appropriate adjustments can be ensured for different types of isolation occupancies.  Control of the adjustments shall be under the supervision of the medical staff.

12                   The infectious isolation rooms described in these rules are those that might be utilized in the average community hospital.  The assumption is made that most isolation procedures will be for infectious patients and that the room is suitable for normal private patient use when not needed for isolation.  This compromise obviously does not provide for ideal isolation.  The design shall consider types and numbers of patients who might need this separation within the facility.  Isolation room shall be negative to anteroom and positive to toilet.  Anteroom shall be neutral to corridor.

13                   Large hospitals may have separate departments for diagnostic and therapeutic radiology and nuclear medicine.  For specific information on radiation precautions and handling of nuclear materials, refer to appropriate sections of requirements developed by the Division of Radiation Protection, NCDEHNR.

14                   When required, appropriate hoods and exhaust devices for the removal of noxious gases shall be provided.

15                   A non-refrigerated body-holding room would be applicable only for health care facilities in which autopsies are not performed on-site, or the space is used only for holding bodies for short periods prior to transferring.

16                   For Information Only - Specific OSHA regulations regarding ethylene oxide (ETO) use have been promulgated. 29CRF Part 1910.1047 includes specific ventilation requirements including local exhaust of the ETO sterilizer area.

17                   Food preparation centers shall have an excess air supply for "out" air movements when hoods are not in operation.  The number of air changes may be reduced or varied to any extent required for odor control when the space is not in use.

 

(6)           Air duct liners exposed to the air stream shall not be used in ducts serving special care areas or special procedure rooms when such liners are constructed with frangible materials that will enter the air stream;

(7)           All central ventilation or air conditioning systems shall be equipped with filters with efficiencies equal to, or greater than, those specified in Table 2.  Where two filter beds are required, filter bed No. 1 shall be located upstream of the air conditioning equipment and filter bed No. 2 shall be downstream of any fan or blowers.  A manometer shall be installed across each filter bed having a required efficiency of 75 percent or more;

 

Table 2

Filter Efficiencies for Central Ventilation and Air Conditioning Systems in General Hospitals

                Area Designation

No. filter beds

Filter bed No. 1

Filter bed No. 2

All areas for inpatient care, treatment, and diagnosis, and those areas providing direct service or clean supplies such as sterile and clean processing, etc.

                2

                25%o

                90%o

Protective isolation room when used

                2

                25%o

                99.7%5

Laboratories

                1

                80%o

                --

Administrative, bulk storage, soiled holding areas, food preparation areas, and laundries

                1

                25%o

                --

Table notes:          Note 1 - Ratings based on ASHRAE 52-76

Note 2 - Rating based on DOP (Dioctyl-phthalate) test method

 

(8)           Any system utilized for occupied areas shall include provisions to avoid air stagnation in interior spaces where comfort demands are met by temperatures of surrounding areas;

(9)           All rooms and areas in the facility used for patient care shall have provisions for year round mechanical ventilation;

(10)         Each patient's room shall have at least one openable window, opening to the outside to permit ventilation; and

(11)         In psychiatric units, all convectors, HVAC enclosures, or air distribution devices that are exposed in the room shall be constructed with rounded corners and shall be fastened with tamper-proof screws.

(g)  Mechanical air intakes shall meet the following:

(1)           Air intakes shall be located not less than 30 feet (9.14 m.) from exhaust outlets of combustion equipment stacks, ventilation exhaust outlets from the facility or adjoining buildings, medical-surgical vacuum system exhausts or areas that may be subject to vehicular exhaust or other noxious fumes; and

(2)           The bottom of the outdoor air intakes shall be at least 6 feet (1.83 m.) above ground level, or if installed above the roof, at least 3 feet (.91 m.) above roof level.

(h)  Mechanical air exhaust/ventilation systems shall meet the following:

(1)           Fans serving exhaust duct systems shall be located at the discharge end of the duct and shall be readily accessible for servicing; and

(2)           Exhaust outlets shall be located a minimum of 10 feet (3 m.) above ground and directed away from occupied areas, doors, or openable windows.  Prevailing winds, adjacent buildings, and discharge velocities shall be taken into account when designing such outlets.

(i)   Surgery and special care areas shall meet the following:

(1)           All air shall be supplied at or near the ceiling and removed from at least two remote locations near the floor;

(2)           Bottom of exhaust or return registers shall be no less than 3 inches (7.62 cm.) above the finished floor level; and

(3)           Exhaust grilles for anesthesia evacuation and other special applications shall be permitted to be installed in the ceiling.

(j)  Nursery, labor, delivery, recovery, postpartum, and invasive procedure rooms shall meet the following:

(1)           Air supply shall be at or near the ceiling. Return or exhaust air registers shall be near the floor;

(2)           Bottom of exhaust or return registers shall be no less than 3 inches (7.62 cm.) above the finished floor level; and

(3)           Exhaust grilles for anesthesia evacuation and other special applications shall be permitted to be installed in the ceiling.

(k)  Isolation units shall meet the following:

(1)           Rooms for isolation of patients shall meet the ventilation requirements of Table 1 (See 10A NCAC 13B .6225);

(2)           A separate anteroom used as an air lock to minimize the potential for airborne particulates from the patients' area reaching adjacent areas shall be provided; and

(3)           Air supply shall be introduced at or near the ceiling, flowing past the patient, and exhausted or returned at the floor.

(l)  Smoke control/evacuation system(s) shall meet the following:

(1)           When an engineered smoke control/evacuation system is provided, the system shall incorporate a design of the air duct system(s) and controls to inhibit the migration of smoke from the fire zone to the required means of egress and refuge areas;

(2)           When an emergency manual control stop switch is provided to shut down supply, return, and exhaust fans, the switch shall be incorporated into the smoke control system in a manner that will not jeopardize the effectiveness or dependability of the smoke control/evacuation system;

(3)           Static pressure sensors, freeze-stats, or other operating controls shall not jeopardize the effectiveness of the smoke control system during emergency operation;

(4)           Where smoke dampers are required to be installed as part of a passive smoke control system, smoke dampers shall be installed in ducts that are capable of communicating smoke between floors; and

(5)           Smoke dampers shall have a maximum air leakage of 10 cubic feet per minute per square foot of damper opening when tested at one inch water gauge of duct pressure.  Smoke dampers shall be fail-safe to the emergency position.  Dampers shall close upon activation of the fire alarm system unless a part of an engineered smoke control system.

(m)  Laboratories shall meet the following:

(1)           In new construction and renovation work, each hood used to process infectious or radioactive materials shall have a minimum face velocity of 150 feet per minute with static pressure operated dampers and audio-visual alarms to alert staff of ventilation system failure.  Each hood shall also have filters with a 99.7 percent efficiency (based on the DOP, dioctyl-phthalate test method) in the exhaust stream, and be designed and equipped to permit the safe removal, disposal, and replacement of contaminated filters; and

(2)           Each installation shall have an exhaust fan located at the discharge end of the duct system to maintain a negative pressure in the exhaust duct.

(n)  Where ethylene oxide is used, the following requirements shall be met:

(1)           Equipment utilizing ethylene oxide shall be installed in accordance with equipment manufacturer's installation instructions; and

(2)           An air flow sensing device shall be installed in the exhaust duct.  The sensor shall activate a visible and audible signal to alert personnel of ventilation system failure.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996.

 

10A NCAC 13B .6226      PLUMBING AND OTHER PIPING SYSTEMS REQUIREMENTS

(a)  A toilet room shall be directly accessible from each patient room and from each central bathing area without going through the general corridor. One toilet room may serve two patient rooms but not more than eight beds. The lavatory may be omitted from the toilet room if one is provided in each patient room.

(b)  All plumbing systems shall be installed in such a manner as to completely prevent the possibility of cross connections between safe and unsafe supplies or back siphonage.

(c)  The following standards shall apply to plumbing fixtures:

(1)           Lavatories and sinks installed in patient care areas shall have the water spout mounted so that its discharge point is a minimum distance of 5 inches (12.7 cm.) above the rim of the fixture;

(2)           All fixtures used by medical and nursing staff and all lavatories used by patients and food handlers shall be trimmed with valves that can be operated without hands (single-lever devices may be used).  Blade handles used for this purpose shall not exceed 4.5 inches (11.4 cm.) in length.  Handles on scrub sinks and clinical sinks shall be at least 6 inches (15.2 cm.) long; and

(3)           Showers and tubs shall have non-slip walking surfaces.

(d)  The following standards shall apply to potable water supply systems:

(1)           Vacuum breakers shall be installed on hose bibbs and supply nozzles used for connection of hoses or tubing;

(2)           Bedpan-flushing devices shall be provided in each inpatient toilet room; installation is optional in psychiatric and substance-abuse treatment units where patients are ambulatory;

(3)           Potable water storage vessels (hot and cold) not intended for constant use shall not be installed; and

(4)           All piping, except control-line tubing, shall be identified.  All valves shall be tagged, and a valve schedule shall be provided to the facility owner for permanent record and reference.  Where the functional program includes hemodialysis, continuously circulated filtered cold water shall be provided.

(e)  The following standards shall apply to hot water systems:

(1)           The water-heating system shall have sufficient supply capacity at the temperatures and amounts indicated in Table 3.  Water temperature is measured at the point of use or inlet to the equipment; and

 

Table 3

Minimum Hot Water Capacity Requirements

 

 

Use

 

 

Clinical

Dietary

Laundry

Gallons/Hour/Bed

6.5

4

4.5

Liters/Second/Bed

.007

.004

.005

Temperature EF

116

180

180

Temperature EC

46.7

82.2

82.2

 

(2)           Hot-water distribution systems serving patient care areas shall be under constant recirculation to provide continuous hot water at each hot water outlet with a temperature range of 100EF to 116EF (37.8EC to 46.6EC).

(f)  The following standards shall apply to drainage systems:

(1)           Drain lines serving some types of automatic blood-cell counters shall be of carefully selected material that will eliminate the potential for undesirable chemical reactions or explosions between sodium azide wastes and copper, lead, brass, and solder;

(2)           Drainage piping shall be installed to avoid installations in the ceiling directly over operating and delivery rooms, nurseries, food preparation centers, food serving facilities, food storage areas, central services, electronic data processing areas, electrical closets, and other sensitive areas.  Where overhead drain piping in these areas is unavoidable, special provisions such as auxiliary drain pans shall be installed to protect the space below from leakage;

(3)           Floor drains shall not be installed in operating and delivery rooms, but may be installed in cystoscopic operating rooms;

(4)           Drain systems for autopsy tables shall be designed to avoid splatter or overflow onto floors or back siphonage and for easy cleaning and trap flushing;

(5)           Kitchen grease traps, unless of the self-skimming type, shall be located and arranged to permit access without the need to enter food preparation or storage areas; and

(6)           Where plaster traps are used, provisions shall be made for routine access and cleaning.

(g)  The performance, maintenance, installation, and testing of medical gas systems, laboratory gas systems, and clinical vacuum systems shall comply with the requirements of the latest edition of National Fire Protection Association Standard 99 and Table 4 for medical gas station outlet requirements.  When any piping or supply of medical gases is installed, altered, or augmented, the altered zone shall be tested and certified as required by National Fire Protection Association Standard 99.  Testing shall be conducted by the facility and at least one other independent testing organization to ensure that the system is safe for patient use.

 

Table 4

Minimum Medical Gas Station Outlets and Vacuum Station Inlets

Location

Oxygen

Vacuum

Medical Air

Operating Room

2/room

3/room

1/room

Delivery Rooms

2/room

3/room

1/room

Cystoscopy Room

1/room

3/room

-

Special Procedures Room

1/room

3/room

1/room

Other anesthetizing Locations

1/room

3/room

1/room

Recovery Room

1/bed

3/bed

1/bed

Intensive Care Unit

2/bed

3/bed

1/bed

Cardiac Intensive Care Unit

2/bed

2/bed

1/bed

Emergency Room

1/bed

1/bed

1/bed

Trauma Room

2/bed

3/bed

1/bed

Catheterization Lab

1/bed

2/bed

-

Labor Room

1/bed

1/bed

-

Nurseries

1/bassinet

1/bassinet

1/bassinet

Patient Room

1/bed

1/bed

-

Exam & Treatment Rooms

1/bed

1/bed

-

Anesthesia Workroom

1/room

1/room

1/room

Autopsy Room

-

1/room

-

 

(h)  The line pressure for the medical gases shall be set in the following order:

(1)           Oxygen, highest pressure;

(2)           Medical air, next to lowest pressure; and

(3)           Nitrous oxide, lowest pressure.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996.

 

10A NCAC 13B .6227      ELECTRICAL REQUIREMENTS

(a)  All material and equipment, including conductors, controls, and signaling devices, shall be installed in compliance with applicable sections of North Carolina State Building Code, Electrical Code as found in Rule .6102(1) of this Subchapter.  A written record of performance tests on electrical systems and equipment shall show compliance with applicable codes and standards.

(b)  The main switchboard shall be located in an area separate from plumbing and mechanical equipment and shall be accessible to authorized persons only.  The main switchboard shall be located in a dry, ventilated space free of corrosive or explosive fumes, gases, or any combustible material.

(c)  Panelboards serving normal lighting and appliance circuits shall be located on the same floor as the circuits they serve.  Panelboards for emergency system critical branch and equipment system branch circuits shall be located on each floor that has service requirements.  Only panels for emergency system life safety branch circuits may serve floors other than the floor that the panel is located on.

(d)  Lighting shall be provided as follows:

(1)           Approaches to buildings and parking lots, and all occupied spaces within buildings shall have fixtures for lighting;

(2)           Patient rooms shall have general lighting and night lighting.  A reading light shall be provided for each patient.  At least one night light fixture in each patient room shall be controlled at the room entrance.  All light controls in patient areas shall be quiet-operating.  Lighting for special care bed areas shall permit staff observation of the patient but shall minimize glare;

(3)           Nursing unit corridors shall have general illumination with provisions for reducing light levels at night; and

(4)           Consideration shall be given to controlling lighting intensity to prevent harm to the patients' eyes (i.e., retina damage in premature infants and cataracts due to ultraviolet light).

(e)  Receptacles shall be provided as follows:

(1)           Each operating room and delivery room shall have at least eight 120 volt duplex receptacles;

(2)           In areas where mobile X-ray equipment is intended to be used, single receptacles marked for X-ray equipment only shall be installed;

(3)           Neonatal Level I nurseries shall have a minimum of one 120 volt duplex receptacle located on each nursery wall connected to the critical branch of the emergency electrical system in addition to the receptacles for each bassinet required by Section 517-18 of the North Carolina State Building Code Volume IV;

(4)           Emergency department examination and treatment rooms shall have a minimum of two 120 volt duplex receptacles located convenient to the head of each bed. Trauma rooms shall have a minimum of three 120 volt duplex receptacles convenient to the head of each bed;

(5)           120 volt duplex receptacles for general use shall be installed 50 feet (15.2 m.) apart in all corridors and within 25 feet (7.6 m.) of corridor ends; and

(6)           Inhalation anesthetizing locations and other areas where patients are intended to have a direct electrical path to the heart muscle shall be equipped with an isolated power system, approved by the authority having jurisdiction including the following requirements:

(A)          The line isolation monitor shall be visible to attending staff while caring for the patient;

(B)          No more than one patient may be served by an isolated power system serving emergency power receptacles;

(C)          Transformers shall not be located over any patient bed location; and

(D)          Branch circuit wiring for isolated power systems shall have a dielectric constant of less than 3.5.

(f)  Emergency electrical service shall be provided as follows:

(1)           To provide electricity during an interruption of normal electrical service, a generating set or sets located on the facility site capable of carrying the full emergency load shall be installed;

(2)           Fuel shall be stored on the site in sufficient quantity to provide for not less than 24 hours of operation;

(3)           Where the generator sets are in close proximity to the heating plant, the emergency generator fuel storage capacity may be included in the standby fuel storage tank for the heating burners when the fuels are the same;

(4)           All devices, switches, receptacles, etc., connected to the automatically started generator shall be distinctively identified so that personnel can easily select which device is expected to operate during a failure of the normal source of power; and

(5)           As a minimum, the following areas shall be connected to the essential electrical system:

(A)          Task lighting connected to the critical branch of the emergency system to serve boiler rooms, main switchgear rooms, electrical closets, fire pump rooms, central fire alarm and control rooms, central telephone switchboard room; and

(B)          Heating equipment and associated controls to provide heating for patient care areas shall be connected to the equipment system.

(g)  A nurses' calling system shall be provided as follows:

(1)           Each patient room shall be served by at least one calling station for two-way voice communication.  Each bed shall be provided with a call device.  Two call devices serving adjacent beds may be served by one calling station.  Calls shall activate a visible signal in the corridor at the patient's door, in the clean workroom, in the soiled workroom, and at the nursing station of the nursing unit.  In multi-corridor nursing units, additional visible signals shall be installed at corridor intersections.  In rooms containing two or more calling stations, indicating lights shall be provided at each station.  Nurses calling systems at each calling station shall be equipped with an indicating light which remains lighted as long as the voice circuit is operating;

(2)           An emergency calling station shall be provided at each patient-use toilet, bath, sitz bath, and shower.  This station shall be accessible to a patient lying on the floor.  Inclusion of a pull cord approved by the authority having jurisdiction will satisfy this standard.  The emergency call system shall be designed so that a signal activated at a patient's calling station will initiate a visible and audible signal distinct from the regular nurse calling system that can be turned off only at the patient calling station.  The signal shall activate an enumerator panel at the nurse station, and a visible signal in the corridor at the room;

(3)           In areas such as special care where patients are under constant visual surveillance, the nurses' call system may be limited to a bedside button or station that activates a signal readily seen at the control station; and

(4)           A staff emergency assistance system for staff to summon additional assistance shall be provided in each operating, delivery, recovery, emergency examination or treatment area, and in special care units, nurseries, special procedure rooms, stress-test areas, triage, out-patient surgery admission and discharge areas, and areas for mental patients, including seclusion and security rooms, anterooms and toilet rooms serving them, communal toilet and bathing facility rooms, therapy, exam, and treatment rooms.  This system shall annunciate at the nurse station with back-up to another staffed area from which assistance can be summoned.

 

History Note:        Authority G.S. 131E-79;

Eff. January 1, 1996.

 

10A NCAC 13B .6228      Neonatal Level I, II, III, and Iv Nurseries

A facility that provides neonatal services as specified in Rule .4305 of this Subchapter shall meet the requirements of the Guidelines for the Design and Construction of Hospitals and Outpatient Facilities, as incorporated by reference in Rule .6105 of this Subchapter, as follows:

(1)           a Neonatal Level I nursery shall comply with the requirements of Section 2.2- 2.12;

(2)           a Neonatal Level II nursery shall comply with the requirements of Sections 2.2-2.12 and 2.2-2.12.3.3;

(3)           a Neonatal Level III nursery shall comply with the requirements of Section 2.2- 2.10; and

(4)           a Neonatal Level IV nursery shall comply with the requirements of Section 2.2- 2.10.

 

History Note:        Authority G.S. 131E-79; S.L. 2017-174;

Temporary Adoption Eff. December 1, 2017.

 

 

 

subchapter 13C – licensing of ambulatory surgical facilities

 

section .0100 – general

 

10A NCAC 13C .0101      RESERVED FOR FUTURE CODIFICATION

10A NCAC 13C .0102      reserved for future codification

 

10A ncac 13C .0103      DEFINITIONS

In addition to the terms defined in G.S. 131E-214.13, the following terms shall apply throughout this Subchapter, unless the context clearly requires otherwise:

(1)           "Adequate" means, when applied to various areas of services, that the services are satisfactory in meeting a referred to need when measured against professional standards of practice.

(2)           "AAAASF" means American Association for Accreditation of Ambulatory Surgery Facilities.

(3)           "AAAHC" means Accreditation Association for Ambulatory Health Care.

(4)           "Ancillary nursing personnel" means persons employed to assist registered nurses or licensed practical nurses in the care of patients.

(5)           "Anesthesiologist" means a physician whose specialized training and experience qualify him or her to administer anesthetic agents and to monitor the patient under the influence of these agents.  For the purpose of this Subchapter, the term "anesthesiologist" shall not include podiatrists.

(6)           "Anesthetist" means a physician or dentist qualified, as defined in Items (10) and (24) of this Rule, to administer anesthetic agents or a registered nurse qualified, as defined in Items (25) and (27) of this Rule, to administer anesthesia.

(7)           "Authority having jurisdiction" means the Division of Health Service Regulation.

(8)           "Chief executive officer" or "administrator" means a qualified person appointed by the governing authority to act in its behalf in the overall management of the facility and whose office is located in the facility.

(9)           "Current Procedural Terminology (CPT)" means a medical code set developed by the American Medical Association.

(10)         "Dentist" means a person who holds a valid license issued by the North Carolina Board of Dental Examiners to practice dentistry.

(11)         "Department" means the North Carolina Department of Health and Human Services.

(12)         "Director of nursing" means a registered nurse who is responsible to the chief executive officer or administrator and has the authority and direct responsibility for all nursing services and nursing care for the entire facility at all times.

(13)         "Financial assistance" means a policy, including charity care, describing how the organization will provide assistance at its facility. Financial assistance includes free or discounted health services provided to persons who meet the organization's criteria for financial assistance and are unable to pay for all or a portion of the services.  Financial assistance does not include:

(a)           bad debt;

(b)           uncollectable charges that the organization recorded as revenue but wrote off due to a patient's failure to pay; 

(c)           the cost of providing such care to the patients in Sub-Item (13)(b) of this Rule; or

(d)           the difference between the cost of care provided under Medicare or other government programs, and the revenue derived therefrom.

(14)         "Governing authority" means the individual, agency, group, or corporation appointed, elected, or otherwise designated, in which the ultimate responsibility and authority for the conduct of the ambulatory surgical facility is vested.

(15)         "Healthcare Common Procedure Coding System (HCPCS)" means a three tiered medical code set consisting of Level I, II and III services and contains the CPT code set in Level I.

(16)         "JCAHO" or "Joint Commission" means Joint Commission on Accreditation of Healthcare Organizations.

(17)         "Licensing agency" means the Department of Health and Human Services, Division of Health Service Regulation.

(18)         "Licensed practical nurse (L.P.N.)" means any person licensed as such under the provisions of G.S. 90-171.20(8).

(19)         "Nursing personnel" means registered nurses, licensed practical nurses, and ancillary nursing personnel.

(20)         "Operating room" means a room in which surgical procedures are performed.

(21)         "Patient" means a person admitted to and receiving care in a facility.

(22)         "Person" means an individual, a trust or estate, a partnership or corporation, including associations, joint stock companies and insurance companies; the State, or a political subdivision or instrumentality of the state.

(23)         "Pharmacist" means a person who holds a valid license issued by the North Carolina Board of Pharmacy to practice pharmacy in accordance with G.S. 90-85.3A.

(24)         "Physician" means a person who holds a valid license issued by the North Carolina Medical Board to practice medicine.  For the purpose of carrying out these Rules, a "physician" may also mean a person holding a valid license issued by the North Carolina Board of Podiatry Examiners to practice podiatry.

(25)         "Qualified person," when used in connection with an occupation or position, means a person:

(a)           who has demonstrated through experience the ability to perform the required functions; or

(b)           who has certification, registration, or other professional recognition.

(26)         "Recovery area" means a room used for the post-anesthesia recovery of surgical patients.

(27)         "Registered nurse" means a person who holds a valid license issued by the North Carolina Board of Nursing to practice nursing as defined in G.S. 90-171.20(7).

(28)         "Surgical suite" means an area that includes one or more operating rooms and one or more recovery rooms.

 

History Note:        Authority G.S. 131E‑149; 131E-214.13;

Eff. October 14, 1978;

Amended Eff. April 1, 2003; November 1, 1989;

Temporary Amendment Eff. December 31, 2014;

Amended Eff. September 30, 2015.

 

SECTION .0200 ‑ LICENSING PROCEDURES

 

10A NCAC 13C .0201      APPLICATION

(a)  A person shall submit an application for a license to establish or maintain an ambulatory surgical facility to the Department in writing on the form provided by the Department.  Each application shall contain all necessary and reasonable information that the Department may by rule require, including the following and other pertinent information the Department may deem appropriate to carry out its responsibilities for statistical data collection and long range health planning:

(1)           name of facility,

(2)           address of facility,

(3)           telephone number of facility,

(4)           names of owners,

(5)           names of operator and governing authority,

(6)           name of chief executive officer,

(7)           composition of medical and paramedical staff,

(8)           name of chief of staff,

(9)           director of nursing service,

(10)         number of operating rooms and recovery beds,

(11)         list of surgical procedures to be performed in facility,

(12)         qualification of persons responsible for anesthesia services,

(13)         information regarding use and storage of flammable anesthesia,

(14)         description of laboratory and pathology services,

(15)         name of hospital(s) with which transfer agreement has been made,

(16)         description of arrangements for emergency transportation of patients from the facility,

(17)         description of arrangements for food service, and

(18)         information regarding sanitation inspection and fire inspection.

(b)  The person shall make application for a license for a new facility or for the renewal of a license for an existing facility.  Applications for licensure for a new facility shall be submitted at least 120 days prior to opening.

(c)  Any ambulatory surgical facility desiring licensure which is in operation at the time of promulgation of any applicable rules or regulations shall be given a reasonable time, not to exceed one year from the date of such promulgation, within which to comply with such rules and regulations.

 

History Note:        Authority G.S. 131E‑147; 131E‑149;

Eff. October 14, 1978;

Amended Eff. November 1, 1989.

 

10A ncac 13C .0202      REQUIREMENTS FOR ISSUANCE OF LICENSE

(a)  Upon application for a license from a facility never before licensed, a representative of the Department shall make an inspection of that facility. Every building, institution, or establishment for which a license has been issued shall be inspected for compliance with the rules found in this Subchapter.  An ambulatory surgery facility shall be deemed to meet licensure requirements if the ambulatory surgery facility is accredited by The Joint Commission (formerly known as "JCAHO"), AAAHC or AAAASF.  Accreditation does not exempt a facility from statutory or rule requirements for licensure nor does it prohibit the Department from conducting inspections as provided in this Rule to determine compliance with all requirements.

(b)  If the applicant has been issued a Certificate of Need and is found to be in compliance with the Rules found in this Subchapter, then the Department shall issue a license to expire on December 31 of each year.

(c)  The Department shall be notified at the time of:

(1)           any change of the owner or operator;

(2)           any change of location;

(3)           any change as to a lease; and

(4)           any transfer, assignment, or other disposition or change of ownership or control of 20 percent or more of the capital stock or voting rights thereunder of a corporation that is the operator or owner of an ambulatory surgical facility, or any transfer, assignment, or other disposition of the stock or voting rights thereunder of such corporation that results in the ownership or control of more than 20 percent of the stock or voting rights thereunder of such corporation by any person.

A new application shall be submitted to the Department in the event of such a change or changes.

(d)  The Department shall not grant a license until the plans and specifications that are stated in Section .1400 of this Subchapter, covering the construction of new buildings, additions, or material alterations to existing buildings are approved by the Department.

(e)  The facility design and construction shall be in accordance with the licensure rules for ambulatory surgical facilities found in this Subchapter, the North Carolina State Building Code, and local municipal codes.

(f)  Submission of Plans.

(1)           Before construction is begun, schematic plans and specifications and final plans and specifications covering construction of the new buildings, alterations, renovations, or additions to existing buildings shall be submitted to the Division for approval.

(2)           The Division shall review the plans and notify the licensee that said buildings, alterations, additions, or changes are approved or disapproved.  If plans are disapproved the Division shall give the applicant notice of deficiencies identified by the Division.

(3)           The plans shall include a plot plan showing the size and shape of the entire site and the location of all existing and proposed facilities.

(4)           Plans shall be submitted in duplicate. The Division shall distribute a copy to the Department of Insurance for review of the North Carolina State Building Code requirements if required by the North Carolina State Building Code which is hereby incorporated by reference, including all subsequent amendments. Copies of the Code may be accessed electronically free of charge at http://www.ecodes.biz/ecodes_support/Free_Resources/2012NorthCarolina/12NorthCarolina_main.html.

(g)  To qualify for licensure or license renewal, each facility shall provide to the Division, with its application, an attestation statement in a form provided by the Division verifying compliance with the requirements defined in Rule .0301(d) of this Subchapter.

 

History Note:        Authority G.S. 131E-91; 131E‑147; 131E‑149; S.L. 2013-382, s. 13.1;

Eff. October 14, 1978;

Amended Eff. April 1, 2003;

Temporary Amendment Eff. May 1, 2014;

Amended Eff. November 1, 2014.

 

10A NCAC 13C .0203      SUSPENSION OR REVOCATION: AMBULATORY SURGICAL FACILITY

(a)  The license may be suspended or revoked at any time for noncompliance with the regulations of the Department.

(b)  Suspension or revocation of the license shall be covered by the rules regarding contested cases as found in 10 NCAC 3B .0200.

(c)  Notwithstanding Subsection (a) and (b) of this Rule, the Department may summarily suspend the license pursuant to General Statute 150B‑3(c).

 

History Note:        Authority G.S. 131E‑148; 131E‑149; 143B‑165; 150B‑3(c);

Eff. October 14, 1978;

Amended Eff. November 1, 1989.

 

10A NCAC 13C .0204      TYPE OF FACILITY DEEMED TO BE LICENSED

An ambulatory surgical facility shall be deemed a suitable facility for the performance of abortions pursuant to G.S. 14‑45.1(a).

 

History Note:        Authority G.S. 14‑45.1; 131E‑147; 131E-149;

Eff. June 30, 1980;

Amended Eff. November 1, 1989.

 

10A NCAC 13C .0205      ITEMIZED CHARGES

(a)  The facility shall either present an itemized list of charges to all discharged patients or include on patients' bills that are not itemized notification of the right to request an itemized bill within three years of receipt of the non‑itemized bill or so long as the facility, collections agency, or other assignee asserts the patient has an obligation to pay the bill.

(b)  If requested, the facility shall present an itemized list of charges to each patient or his or her representative.  This list shall detail in language comprehensible to an ordinary layperson the specific nature of the charges or expenses incurred by the patient.

(c)  The listing shall include each specific chargeable item or service in the following service areas:

(1)           Surgery (facility fee);

(2)           Anesthesiology;

(3)           Pharmacy;

(4)           Laboratory;

(5)           Radiology;

(6)           Prosthetic and Orthopedic appliances; and

(7)           Other professional services.

(d)  The facility shall indicate on the initial or renewal license application that patient bills are itemized, or that each patient or his or her representative is formally advised of the patient's right to request an itemized listing within three years of receipt of a non‑itemized bill.

 

History Note:        Authority G.S. 131E‑91; 131E-147.1; S.L. 2013-382, s. 13.1;

Eff. December 1, 1991;

Temporary Amendment Eff. May 1, 2014;

Amended Eff. November 1, 2014.

 

10A NCAC 13C .0206      REPORTING REQUIREMENTS

(a)  The Department shall establish the lists of the statewide 20 most common outpatient imaging procedures and 20 most common outpatient surgical procedures performed in the ambulatory surgical facility setting to be used for reporting the data required in Paragraphs (c) and (d) of this Rule.  The lists shall be determined annually based upon data provided by the certified statewide data processor.  The Department shall make the lists available on its website.  The methodology to be used by the certified statewide data processor for determining the lists shall be based on the data collected from all licensed facilities in the State in accordance with G.S. 131E-214.2 as follows:

(1)           the 20 most common imaging procedures shall be based upon all outpatient data for ambulatory surgical facilities and represent all occurrences of the diagnostic radiology imaging codes section of the CPT codes, then selecting the top 20 to be provided to the Department; and

(2)           the 20 most common outpatient surgical procedures shall be based upon the primary procedure code from the ambulatory surgical facilities and represent all occurrences of the surgical codes section of the CPT codes, then selecting the top 20 to be provided to the Department.

(b)  All information required by this Rule shall be posted on the Department's website at: http://www.ncdhhs.gov/dhsr/ahc  and may be accessed at no cost.

(c)  In accordance with G.S. 131E-214.13, all licensed ambulatory surgical facilities shall report the data required in Paragraph (d) of this Rule related to the statewide 20 most common outpatient imaging procedures and the statewide 20 most common outpatient surgical procedures to the certified statewide data processor in a format provided by the certified statewide processor.  This report shall include the related primary CPT and HCPCS codes.  Commencing with the reporting period ending September 30, 2015, an annual data report shall be submitted.  Each annual report shall be submitted by January 1.

(d)  The report as described in Paragraph (c) of this Rule shall be specific to each reporting ambulatory surgical facility and shall include:

(1)           the average gross charge for each CPT code or procedure without a public or private third party payer source;

(2)           the average negotiated settlement on the amount that will be charged for each CPT code or procedure as required for patients defined in Subparagraph (d)(1) of this Rule.  The average negotiated settlement shall be calculated using the average amount charged all patients eligible for the facility's financial assistance policy, including self-pay patients;

(3)           the amount of Medicaid reimbursement for each CPT code or procedure, including all supplemental payments to and from the ambulatory surgical facility;

(4)           the amount of Medicare reimbursement for each CPT code or procedure; and

(5)           on behalf of patients who are covered by a Department of Insurance licensed third-party and teachers and State employees, the lowest, average, and highest amount of payments made for each CPT code or procedure by each of the facility's top five largest health insurers. 

(A)          each ambulatory surgical facility shall determine its five largest health insurers based on the dollar volume of payments received from those insurers;

(B)          the lowest amount of payment shall be reported as the lowest payment from each of the five insurers on the CPT code or procedure;

(C)          the average amount of payment shall be reported as the arithmetic average of each of the five health insurers payment amounts;

(D)          the highest amount of payment shall be reported as the highest payment from each of the five insurers on the CPT code or procedure; and

(E)           the identity of the top five largest health insurers shall be redacted prior to submission.

(e)  The data reported, as defined in Paragraphs (c) and (d) of this Rule, shall reflect the payments received from patients and health insurers for all closed accounts.  For the purpose of this Rule, "closed accounts" are patient accounts with a zero balance at the end of the data reporting period.

(f)  A minimum of three data elements shall be required for reporting under Paragraph (c) of this Rule. 

(g)  The information submitted in the report shall be in compliance with the federal Health Insurance Portability and Accountability Act of 45 CFR Part 164.

(h)  The Department shall provide all specific ambulatory surgical facility data reported pursuant to this Rule on its website.

 

History Note:        Authority G.S. 131E-147.1; 131E-214.4; 131E-214.13;

Temporary Adoption Eff. December 31, 2014;

Eff. September 30, 2015;

 Temporary Amendment Eff. March 31, 2016;

Amended Eff. January 31, 2017.

 

SECTION .0300 – GOVERNING AUTHORITY MANAGEMENT

 

10A NCAC 13C .0301      GOVERNING AUTHORITY

(a)  The facility's governing authority shall adopt bylaws or other operating policies and procedures to assure that:

(1)           a named individual is identified who is responsible for the overall operation and maintenance of the facility.  The governing authority shall have methods in place for the oversight of the individual's performance;

(2)           at least annual meetings of the governing authority are conducted if the governing authority consists of two or more individuals.  Minutes shall be maintained of such meetings;

(3)           a policy and procedure manual is created that is designed to ensure professional and safe care for the patients.  The manual shall be reviewed annually and revised when necessary.  The manual shall include provisions for administration and use of the facility, compliance, personnel quality  assurance, procurement of outside services and consultations, patient care policies and services offered; and

(4)           annual reviews and evaluations of the facility's policies, management, and operation are conducted.

(b)  When services such as dietary, laundry, or therapy services are purchased from others, the governing authority shall be responsible to assure the supplier meets the same local and state standards the facility would have to meet if it were providing those services itself using its own staff.

(c)  The governing authority shall provide for the selection and appointment of the professional staff and the granting of clinical privileges and shall be responsible for the professional conduct of these persons.

(d)  The governing authority shall establish written policies and procedures to assure billing and collection practices in accordance with G.S. 131E-91.  These policies and procedures shall include:

(1)           a financial assistance policy as defined in G.S. 131E-214.14(b)(3);

(2)           how a patient may obtain an estimate of the charges for the statewide 20 most common outpatient imaging procedures and 20 most common outpatient surgical procedures based on the primary Current Procedure Code (CPT).  The policy shall require that the information be provided to the patient in writing, either electronically or by mail, within three business days;

(3)           how a patient or patient's representative may dispute a bill;

(4)           issuance of a refund within 45 days of the patient receiving notice of the overpayment when a patient has overpaid the amount due to the facility;

(5)           providing written notification to the patient or patient's representative, at least 30 days prior to submitting a delinquent bill to a collections agency;

(6)           providing the patient or patient's representative with the facility's charity care and financial  assistance policies, if the facility is required to file a Schedule H, federal form 990;

(7)           the requirement that a collections agency, entity, or other assignee obtain written consent from the facility prior to initiating litigation against the patient or patient's representative;

(8)           a policy for handling debts arising from the provision of care by the ambulatory surgical facility involving the doctrine of necessaries, in accordance with G.S. 131E-91(d)(5); and

(9)           a policy for handling debts arising from the provision of care by the ambulatory surgical facility to a minor, in accordance with G.S. 131E-91(d)(6).

 

History Note:        Authority G.S. 131E-91; 131E-147.1; 131E-149; 131E-214.13(f); 131E-214.14; S.L. 2013-382, s. 10.1; S.L. 2013-382, s. 13.1;

Eff. October 14, 1978;

Amended Eff. November 1, 1989; November 1, 1985; December 24, 1979;

Temporary Amendment Eff. May 1, 2014;

Amended Eff. November 1, 2014.

 

10A NCAC 13C .0302      CHIEF EXECUTIVE OFFICER OR ADMINISTRATOR

(a)  The governing authority shall appoint a qualified person as chief executive officer of the facility to represent the governing authority and shall define his authority and duties in writing.  He shall be responsible for the management of the facility, implementation of the policies of the governing authority and authorized and empowered to carry out the provisions of these regulations.

(b)  The chief executive officer shall designate, in writing, a qualified person to act in his behalf during his absence.  In the absence of the chief executive officer, the person on the grounds of the facility who is designated by the chief executive officer to be in charge of the facility shall have reasonable access to all areas in the facility related to patient care and to the operation of the physical plant.

(c)  When there is a planned change in ownership or in the chief executive officer, the governing authority of the facility shall notify the Department.

 

History Note:        Authority G.S. 131E‑149;

Eff. October 14, 1978.

 

10A NCAC 13C .0303      ADMINISTRATIVE RECORDS

(a)  The following essential documents and references shall be on file in the administrative office of the facility:

(1)           appropriate documents evidencing control and ownerships, such as deeds, leases, or corporation or partnership papers;

(2)           bylaws of policies and procedures of the governing authority;

(3)           minutes of the governing authority meetings if applicable;

(4)           minutes of the facility's professional and administrative staff meetings;

(5)           a current copy of these regulations;

(6)           reports of inspections, reviews, and corrective actions taken related to licensure; and

(7)           contracts and agreements related to licensure to which the facility is a party.

(b)  All operating licenses, permits and certificates shall be appropriately displayed on the licensed premises.

 

History Note:        Authority G.S. 131E‑149;

Eff. October 14, 1978.

 

10A NCAC 13C .0304      SURGICAL PROCEDURES PERFORMED

A current listing of all types of surgical procedures offered by the facility shall be available.

 

History Note:        Authority G.S. 131E‑149;

Eff. October 14, 1978.

 

10A NCAC 13C .0305      PERSONNEL

(a)  Personnel Records

(1)           A record of each employee shall be maintained which includes the following:

(A)          employee's identification;

(B)          resume of education and work experience;

(C)          verification of valid license (if required), education, training, and prior employment experience; and

(D)          verification of references.

(2)           Personnel records shall be confidential.

(3)           Notwithstanding the requirement found in Subparagraph (a)(2) of this Rule, representatives of the Department conducting an inspection of the facility shall have the right to inspect personnel records.

(b)  Job Descriptions

(1)           Every position shall have a written description which adequately describes the duties of the position.

(2)           Each job description shall include position title, authority, specific responsibilities and minimum qualifications.  Qualifications shall include education, training, experience, special abilities and license or certification required.

(3)           Job descriptions shall be reviewed annually, kept current and given to each employee when assigned to the position and whenever the job description is changed.

(c)  Orientation shall be provided to familiarize each new employee with the facility, its policies, and job responsibilities.

(d)  All persons having direct responsibility for patient care shall be at least 18 years of age.  All other employees working in the facility shall be not less than 16 years of age.

(e)  The governing authority shall be responsible for insuring health standards for employees which are consistent with recognized professional practices for the prevention and transmission of communicable diseases.

 

History Note:        Authority G.S. 131E‑149;

Eff. October 14, 1978;

Amended Eff. November 1, 1989; December 24, 1979.

 

10A NCAC 13C .0306      QUALITY ASSURANCE

(a)  The governing authority shall establish a quality assurance program for the purpose of providing standards of care for the facility.  The program shall include the establishment of a committee which shall evaluate:

(1)           appropriateness and necessity of surgical procedures performed, and

(2)           compliance with facility procedure and policies.

The committee shall determine corrective action if indicated.

(b)  The committee shall consist of at least one physician or dentist (who is not an owner), the chief executive officer (or his designee), and other health professionals as indicated.  There shall be at least one meeting of the committee quarterly.

(c)  The functions of the committee shall include development of policies for selection of patients, review of credentials for staff privileges, peer review, tissue review, establishment of infection control procedures, and approval of additional surgical procedures to be performed in the facility.

(d)  Records shall be kept of the activities of the committee.  These records shall include as a minimum:

(1)           reports made to the governing authority;

(2)           minutes of committee meetings including date, time, persons attending, description and results of cases reviewed, and recommendations made by the committee; and

(3)           information on any corrective action taken.

(e)  Appropriate orientation, training or education programs shall be conducted as necessary to correct deficiencies which are uncovered as a result of the quality assurance program.

 

History Note:        Authority G.S. 131E‑149;

Eff. October 14, 1978.

 

SECTION .0400 ‑ MEDICAL AND SURGICAL SERVICES

 

10A NCAC 13c .0401      MEDICAL SERVICES

(a)  All patients admitted to the facility shall be under the direct care of a physician or dentist.

(b)  The facility shall have available an anesthetist and he or she shall be available to administer regional or general anesthesia.

(c)  Any patient undergoing general or regional anesthesia shall, prior to surgery, have a history and physical examination, relative to the intended procedure, performed by a licensed physician or a dentist who has successfully completed a postgraduate program in oral and maxillofacial surgery accredited by the American Dental Association.  Results of the examination and the preoperative diagnosis shall be recorded in the patient's chart prior to surgery.

(d)  The attending physician and dentist, prior to surgery, shall obtain written, informed consent of the patient or legal guardian for surgery and shall record this in the patient's medical record.

(e)  The facility shall have the capability of obtaining blood and blood products to meet emergency situations.

 

History Note:        Authority G.S. 131E‑149;

Eff. October 14, 1978;

Amended Eff. November 1, 1985.

 

10A ncac 13C .0402      SURGICAL SERVICES

(a)  The governing authority shall delineate surgical privileges for each physician and dentist performing surgery in accordance with criteria which it has established provided, however, that no physician or dentist may be given privileges to perform surgical procedures for which he or she does not have privileges to perform at the hospital with which the facility has a transfer agreement as provided in Paragraph (a) in Rule .0403 of this Section.

(b)  A roster of medical personnel having surgical and anesthesia privileges at the facility specifying the privileges and limitations of each, shall be readily obtainable by the person in charge of the surgical suite.

(c)  The administrator or his designee shall maintain a chronological register of all surgical procedures performed.  This shall include type of procedure performed, type of anesthesia used, personnel participating, post operative diagnosis and any unusual or untoward occurrence.

 

History Note:        Authority G.S. 131E‑149;

Eff. October 14, 1978;

Amended Eff. April 1, 2003.

 

10A NCAC 13C .0403      EMERGENCY CASES

(a)  Each facility shall have a written plan for the transfer of emergency cases to a nearby hospital when hospitalization becomes necessary.

(b)  There shall be procedures, personnel and suitable equipment to handle medical emergencies which may arise in connection with services provided by the facility.

(c)  There shall be a written agreement between the facility and a nearby hospital to facilitate the transfer of patients who are in need of emergency care.  A facility which has documentation of its efforts to establish such a transfer agreement with a hospital which provides emergency services and has been unable to secure such an agreement shall be considered to be in compliance with this Rule.

 

History Note:        Authority G.S. 131E‑149;

Eff. October 14, 1978.

 

SECTION .0500 ‑ ANESTHESIA SERVICES

 

10A NCAC 13C .0501      PROVIDING ANESTHESIA SERVICES

Only a physician, dentist or qualified anesthetist shall administer anesthetic agents (general and regional).  Podiatrists shall administer only local anesthesia.  The governing authority shall establish written policies and procedures concerning the provision of anesthesia services, including the designation of those persons authorized to administer anesthetics.

 

History Note:        Authority G.S. 131E‑149;

Eff. October 14, 1978.

 

10A NCAC 13C .0502      EQUIPMENT

All equipment for the administration of anesthetics shall be readily available, kept clean or sterile, and maintained in good working condition.

 

History Note:        Authority G.S. 131E‑149;

Eff. October 14, 1978.

 

10A NCAC 13C .0503      POST ANESTHESIA NOTE

Patient's anesthesiologist or anesthetist shall write a post anesthetic follow‑up note prior to the patient's discharge.  The note shall include the general condition of the patient and any instructions to the patient pertaining to his care and protection.

 

History Note:        Authority G.S. 131E‑149;

Eff. October 14, 1978.

 

10A NCAC 13C .0504      REQUIREMENT OF PERSON TRAINED IN CPR

A person with training and experience in cardio‑pulmonary resuscitation shall be on the premises of the facility until all surgical patients are discharged.

 

History Note:        Authority G.S. 131E‑149;

Eff. October 14, 1978.

 

SECTION .0600 ‑ PATHOLOGY SERVICES

 

10A NCAC 13C .0601      PROVISION FOR LABORATORY TESTS

(a)  Each facility shall have the capability of providing or obtaining laboratory tests required in connection with the surgery to be performed.

(b)  The governing authority shall establish written policies requiring examination by a pathologist of all surgical specimens except for those types of specimens which the governing authority has determined do not require examination.

 

History Note:        Authority G.S. 131E‑149;

Eff. October 14, 1978.

 

10A NCAC 13C .0602      DISPOSAL OF WASTE

Methods for the disposal of pathological waste, contaminated dressings and other similar material shall meet the approval of governing local and state authorities.

 

History Note:        Authority G.S. 131E‑149;

Eff. October 14, 1978.

 

SECTION .0700 ‑ RADIOLOGY SERVICES

 

10A NCAC 13c .0701      PROVISION FOR RADIOLOGY SERVICES

Each facility shall have the capability of providing or obtaining diagnostic radiology services in connection with the surgery to be performed.

 

History Note:        Authority G.S. 131E‑149;

Eff. October 14, 1978.

 

10A NCAC 13c .0702      REGULATIONS FOR PERFORMED SERVICES

Radiation protection shall be provided in accordance with the rules and regulations adopted by the Radiation Protection Commission found in 10 NCAC 3G, and the recommendations of the National Council on Radiation Protection and Measurements.  Records shall be kept of at least annual checks and calibration of all ionizing radiation therapy equipment used in the facility.

 

History Note:        Authority G.S. 131E‑149;

Eff. October 14, 1978.

 

SECTION .0800 ‑ PHARMACEUTICAL SERVICES

 

10A NCAC 13C .0801      DRUG DISPENSING

The governing authority, with the advice of a registered pharmacist, shall assure that there are appropriate methods, procedures and controls for obtaining, dispensing, and administering drugs and biologicals.

 

History Note:        Authority G.S. 131E‑149;

Eff. October 14, 1978.

 

10A NCAC 13C .0802      REGULATIONS FOR DISPENSING

When the facility maintains its own pharmaceutical services, it shall comply with applicable regulations adopted by the North Carolina Board of Pharmacy pursuant to General Statute 90‑62.

 

History Note:        Authority G.S. 131E‑149;

Eff. October 14, 1978.

 

SECTION .0900 ‑ NURSING SERVICES

 

10A NCAC 13C .0901      NURSING ADMINISTRATION

(a)  The facility shall have an organized nursing Department under the supervision of a director of nursing who is currently licensed as a registered nurse and who has responsibility and accountability for all nursing services.

(b)  The director of nursing shall be responsible and accountable to the chief executive officer for:

(1)           provision of nursing services to patients;

(2)           developing a nursing policy and procedure manual and written job descriptions for nursing personnel.

 

History Note:        Authority G.S. 131E‑149;

Eff. October 14, 1978;

Amended Eff. December 24, 1979.

 

10A NCAC 13C .0902      NURSING PERSONNEL

(a)  An adequate number of licensed and ancillary nursing personnel shall be on duty to assure that staffing levels meet the total nursing needs of patients based on the number of patients in the facility and their individual nursing care needs.

(b)  At least one registered nurse shall be in the facility during the hours it is in operation.  Nursing personnel shall be assigned to duties consistent with their training and experience.

 

History Note:        Authority G.S. 131E‑149;

Eff. October 14, 1978.

 

SECTION .1000 ‑ MEDICAL RECORDS SERVICES

 

10A NCAC 13C .1001      MEDICAL RECORD SYSTEM

The facility shall maintain a medical record system designed to provide readily available information on each patient.  The medical record system shall be under the supervision of a designated qualified person.

 

History Note:        Authority G.S. 131E‑149;

Eff. October 14, 1978.

 

10A NCAC 13c .1002      INDIVIDUAL PATIENT RECORDS

(a)  Each patient's medical record shall be maintained in accordance with professional standards and shall include at least the following information:

(1)           patient's identification, including name, address, date of birth, next of kin and a patient number;

(2)           admitting diagnosis;

(3)           preoperative history and physical examination pertaining to the procedure to be performed;

(4)           anesthesia report;

(5)           surgeon's operative report;

(6)           anesthesiologist's or anesthetist's report if applicable;

(7)           pertinent laboratory, pathology and X‑ray reports;

(8)           postoperative orders and follow‑up care;

(9)           discharge summary, including discharge diagnosis;

(10)         record of informed consent; and

(11)         physician's, dentist's, and nurse's progress notes.

(b)  The administrator shall be responsible for safeguarding information on the medical record against loss, tampering, or use by unauthorized persons.

(c)  Medical records shall be the property of the facility and shall not be moved from the premises wherein they are filed except by subpoena or court order.

(d)  For licensing purposes the length of time that medical records are to be retained is dependent upon the need for their use in continuing patient care and for legal, research, or educational purposes.  This length of time shall not be less than 20 years.

(e)  Should a facility cease operation, there shall be an arrangement for preservation of records to insure compliance with these regulations.  The Department shall be notified, in writing, concerning the arrangements.

 

History Note:        Authority G.S. 131E‑149;

Eff. October 14, 1978.

 

SECTION .1100 ‑ SURGICAL FACILITIES AND EQUIPMENT

 

10A NCAC 13C .1101      OPERATING SUITE

(a)  Each operating suite shall be adequately equipped for the types of procedures to be performed.

(b)  Each recovery area shall be adequately equipped for the proper care of post anesthesia recovery of surgical patients.

(c)  The following equipment shall be available in the operating suite and recovery area:

(1)           cardio‑pulmonary resuscitation drugs and intubation equipment,

(2)           cardiac monitor,

(3)           resuscitator including oxygen and suction equipment,

(4)           suitable surgical instruments customarily available for the planned surgical procedure,

(5)           defibrillator, and

(6)           tracheostomy set.

 

History Note:        Authority G.S. 131E‑149;

Eff. October 14, 1978.

 

10A NCAC 13C .1102      CARE OF OPERATING SUITE

(a)  Dry sweeping and dusting shall be prohibited in treatment areas.

(b)  Adequate and conveniently located spaces shall be provided for the storage of janitorial supplies and equipment.

 

History Note:        Authority G.S. 131E‑149;

Eff. October 14, 1978.

 

SECTION .1200 ‑ FUNCTIONAL SAFETY

 

10A NCAC 13c .1201      GENERAL

(a)  The governing authority shall develop written policies and procedures designed to enhance safety within the facility and on its grounds and minimize hazards to patients, staff and visitors.

(b)  The policies and procedures shall include establishment of the following:

(1)           safety rules and practices pertaining to personnel, equipment, gases, liquids, drugs;

(2)           provisions for reporting and the investigation of accidental events regarding patients, visitors and personnel (incidents) and corrective action taken;

(3)           provision for dissemination of safety‑related information to employees and users of the facility; and

(4)           provision for syringe and needle storage, handling and disposal.

(c)  Smoking shall be permitted only in designated areas which shall not include patient care and treatment areas.

 

History Note:        Authority G.S. 131E‑149;

Eff. October 14, 1978;

Amended Eff. December 24, 1979.

 

10A ncac 13C .1202      PREVENTIVE MAINTENANCE

A schedule of preventive maintenance shall be developed for all of the medical and surgical equipment in the facility to assure satisfactory operation when needed.

 

History Note:        Authority G.S. 131E‑149;

Eff. October 14, 1978;

Amended Eff. April 1, 2003.

 

SECTION .1300 ‑ CONTROL AND SANITATION

 

10A NCAC 13c .1301      GENERAL

The governing authority shall employ procedures to minimize sources and transmission of infections.  Professionally recognized surveillance methods shall be used. The governing authority shall provide space, equipment, and personnel to assure safe and aseptic treatment and protection of all patients and personnel against cross‑infection.

 

History Note:        Authority G.S. 131E‑149;

Eff. October 14, 1978;

Amended Eff. November 1, 1989.

 

10A NCAC 13C .1302      STERILIZATION PROCEDURES

(a)  Policies and procedures shall be established in writing for storage, maintenance and distribution of sterile supplies and equipment.

(b)  Sterile supplies and equipment shall not be mixed with unsterile supplies, and shall be stored in dust proof and moisture free units. They shall be properly labeled.

(c)  Sterilizing equipment shall be available and of the necessary type and capacity to sterilize instruments and operating room materials, as well as laboratory equipment and supplies.  The sterilizing equipment shall have design control and safety features intact.  The accuracy of instrumentation and equipment shall be checked quarterly by any professionally recognized method and periodic calibration and preventive maintenance shall be provided as necessary, and a log maintained.

(d)  The date of expiration shall be marked on all supplies sterilized in the facility.

 

History Note:        Authority G.S. 131E‑149;

Eff. October 14, 1978;

Amended Eff. November 1, 1989.

 

10A NCAC 13C .1303      HOUSEKEEPING

Operating rooms shall be appropriately cleaned in accordance with established written procedures after each operation.  Recovery rooms shall be maintained in a clean condition.

 

History Note:        Authority G.S. 131E‑149;

Eff. October 14, 1978.

 

10A NCAC 13C .1304      LINEN AND LAUNDRY

(a)  An adequate supply of clean linen or disposable materials shall be maintained.

(b)  Provisions for proper laundering of linen and washable goods shall be made.  Soiled and clean linen shall be handled and stored separately.

(c)  A sufficient supply of cloth or disposable towels shall be available so that a fresh towel can be used after each handwashing.  Towels shall not be shared.

 

History Note:        Authority G.S. 131E‑149;

Eff. October 14, 1978.

 

10A NCAC 13C .1305      SANITATION

(a)  All parts of the facility, the premises and equipment shall be kept clean and free of insects, rodents, litter and rubbish.

(b)  All garbage and waste shall be collected, stored and disposed of in a manner designed to prevent the transmission of disease.  Containers shall be washed and sanitized before being returned to work areas. Disposable type containers shall not be reused.

 

History Note:        Authority G.S. 131E‑149;

Eff. October 14, 1978.

 

SECTION .1400 ‑ PHYSICAL PLANT CONSTRUCTION

 

10A NCAC 13c .1401      OPERATING SUITE

The size and design of the suite shall be in accordance with individual programs, but the following basic elements designed to ensure no flow of through traffic must be incorporated in all facilities:

(1)           Operating Room(s).  The number shall depend on the projected case load and types of procedures to be performed.  Rooms used for surgery shall have adequate space to accommodate necessary equipment and personnel.

(2)           Service Areas.  The following supporting services shall be provided:

(a)           scrub‑up facilities with foot or knee controls;

(b)           personnel locker and dressing areas so located that personnel enter from uncontrolled areas and exit directly into a surgical suite.  Locker space shall be provided for each employee; and a toilet, shower, and dressing area shall be provided in each personnel dressing room;

(c)           separate rooms for clean and for soiled supplies and equipment;

(d)           anesthesia workroom;

(e)           one clerical‑control station; and

(f)            a janitor's closet conveniently located to serve only the licensed facility.

 

History Note:        Authority G.S. 131E‑149;

Eff. October 14, 1978;

Amended Eff. December 24, 1979.

 

10A NCAC 13C .1402      RECOVERY AREA

Recovery area with handwashing facilities, secured medication storage space, clerical work space, storage for clerical supplies, linens, and patient care supplies and equipment shall be provided.

 

History Note:        Authority G.S. 131E‑149;

Eff. October 14, 1978;

Amended Eff. December 24, 1979.

 

10A ncac 13C .1403      SUPPORTING ELEMENTS

In addition to those areas covered in Rules .1401 and .1402 of this Section, the facility shall provide space for the following:

(1)           the receiving and registering of patients in privacy for obtaining confidential information;

(2)           waiting space with public toilets, public telephone, drinking fountain, and wheelchair storage;

(3)           preoperative preparation and post operative space for both males and females with dressing rooms and toilet facilities; and

(4)           secure storage for patients' personal effects.

 

History Note:        Authority G.S. 131E‑149;

Eff. October 14, 1978;

Amended Eff. April 1, 2003.

 

10A NCAC 13C .1404      DETAILS AND FINISHES

All details and finishes must meet the following requirements:

(1)           Details

(a)           The type of construction shall meet the requirement of the current edition of the North Carolina State Building Code for "Business Occupancy‑(B)," except that in the construction of new facilities required exit doors to stairs or to the outside shall be no less than 44" wide doors.

(b)           Exit corridors, in addition to meeting the appropriate requirements of the North Carolina State Building Code, shall:

(i)            be no less than 7'0" clear width between doors from the recovery area or operating rooms and required exit doors; or

(ii)           if in a one‑story building or on the ground floor of a multi‑story building and is less than 7'0" clear width be so arranged as to allow a stretcher to exit from the recovery area or operating room directly into the corridor without turning and move to the required exit without having to make a turn.

(c)           Doors between preoperative preparation, operating rooms and recovery areas and recovery rooms and corridors shall be no less than 44" wide.  All recovery areas shall have at least one door opening to an exit passage way meeting the requirements of (b)(i) and (b)(ii) of this Rule.

(d)           Items such as drinking fountains, telephone booths, vending machines, and portable equipment shall be located so as not to restrict corridor traffic or reduce the corridor width below the required minimum.

(e)           No doors shall swing into corridors in a manner that might obstruct traffic flow or reduce the required corridor width except doors to spaces such as small closets which are not subject to occupancy.

(f)            Thresholds and expansion joint covers shall be made flush with the floor surface to facilitate use of wheelchairs and carts.

(g)           Single use towel dispensers or air driers shall be provided at all handwashing fixtures except scrub sinks.

(h)           All other rooms shall have not less than 8'0" (2.44 m.) high ceilings except that corridors, storage rooms, toilet rooms, and other minor rooms may be not less than 7'‑8" (2.34 m.).  Suspended tracks, rails, pipes, etc., located in the path of normal traffic, shall be not less than 7'‑6" (2.28 m.) above the floor.

(2)           Finishes

(a)           Floors shall be easily cleanable and have wear resistance appropriate for the locations involved.  Joints in tile and similar material in such areas shall be resistant to food acids.

(b)           Wall bases in operating rooms, soiled workrooms, and other areas subject to frequent wet cleaning shall be integral and covered with the floor, tightly sealed within the wall, and constructed without voids that can harbor vermin.

(c)           Walls shall be washable; and, in the immediate area of plumbing fixtures, the finish shall be smooth, moisture resistant, and easily cleaned.

(d)           Floor and wall penetrations by pipes, ducts, conduits, etc., shall be tightly sealed to minimize entry of rodents and insects.  Joints of structural elements shall be similarly sealed.

(e)           Ceilings in operating rooms shall be readily washable and without crevices that can retain dirt particles.  Finished ceilings may be omitted in mechanical and equipment spaces, shops, general storage areas, and similar spaces except where required for fire rating.

 

History Note:        Authority G.S. 131E‑149;

Eff. October 14, 1978;

Amended Eff. November 1, 1989; December 24, 1979.

 

10A ncac 13C .1405      MECHANICAL REQUIREMENTS

(a)  Temperatures and Relative Humidity

(1)           The heating and air conditioning systems shall be designed to provide the temperature and humidities shown below:

Area Designation                                 Temperature                                         Relative Humidity

Percent

Operating                                              70‑75° F*  21‑24° C*                         50‑60

Recovery                                               70-75° F*  21-24° C*                         30-60

 

*Variable Range Required

 

(2)           For all other occupied or use areas, a minimum design temperature of 72°F. (22°C) at winter design conditions shall be provided.

(b)  All air‑supply and air‑exhaust systems for the operating suite and recovery area shall be mechanically operated.  All fans serving exhaust systems shall be located at the discharge end of the system.  The ventilation rates shown in this Paragraph shall be minimum acceptable rates and shall not be construed as precluding the use of higher ventilation rates.

(1)           Outdoor intakes for operating rooms shall be located not less than 30 feet (9.14 m.) from exhausts from other ventilating systems, combustion equipment and plumbing vents and at least 3 feet 0 inches (.92 m.) above the roof and 6 feet (1.83 m.) above ground level.

(2)           The ventilation systems shall be designed and balanced to provide the pressure relationship as shown in this Paragraph.

(3)           All air supplied to operating rooms shall be delivered at or near the ceiling of the area served and all exhaust from the area shall be removed near floor level. At least two exhaust outlets shall be used in all operating rooms.

(4)           The bottom of any room supply air inlets, recirculation, and exhaust air outlets shall be located not less than 3 inches (7.62 cm.) above the floor.

(5)           Corridors shall not be used to supply air to or exhaust air from any room, except that exhaust from corridors may be used to exhaust‑ventilate bathrooms, toilet rooms, janitors' closets and electrical or telephone closets opening directly on corridors.

(6)           All ventilation or air conditioning systems serving operating rooms shall have a minimum of two filter beds:

(A)          Filter bed No. 1 shall be located upstream of the air conditioning equipment and shall have a minimum efficiency of 25 percent.  Filter bed No. 2 shall be downstream of the supply fan and of recirculating spray water and water reservoir‑type humidifiers. Filter bed No. 2 shall have a minimum efficiency of 90 percent.

(B)          All filter efficiencies shall be certified by an independent testing agency and shall be based on the atmospheric dust spot efficiency determination in accordance with ASHRAE Standard 52‑68; except that the exhausts from all laboratory hoods in which infectious or radioactive materials are processed shall be equipped with filters having a 99 percent efficiency based on the DOP (dioctyophthalate) test method and there shall be equipment and procedure for the safe removal of contaminated filters.

(C)          Filter frames shall provide an airtight fit with the enclosing ductwork.  All joints between filter segments and the enclosing ductwork shall be gasketed or sealed to provide a positive seal against air leakage.  Each filter bed serving sensitive areas or central air systems shall have a manometer installed across each filter bed.

(D)          Ventilation systems serving recovery rooms shall not be tied in with soiled holding or work rooms, janitors' closets, or waiting rooms if the air is to be recirculated in any manner except through approved filters.

(7)           Air handling duct systems shall not have duct linings.

(8)           The following general air pressure relationships and ventilation shall apply:

 

Minimum

Pressure                 Total Air                 All Air

Relationship         Changes per          Exhausted             Recirculated

Area                                       to Adjacent           Hour Supplied      Directly to             Within

Designation                           Areas                      to Room                Outdoors               Room Units

____________________________________________________________________________________

Operating Room                  P                              25                           Optional                Only with

approved

filters.

Recovery Room                   E                             6                              Optional                See Sub-

paragraph

(b)(6)(D)

of this

Rule.

Soiled Workroom

or

Soiled Holding                     N                             10                           Yes                          No

Clean Workroom

or

Clean Holding                      P                              4                              Optional                Optional

Examination Room            +/-                           6                              Optional                Optional

Treatment Room                 +/-                           6                              Optional                Optional

Medication room                 P                              4                              Optional                Optional

X-Ray (Diagnostic

And Treatment)                   +/-                           6                              Optional                Optional

Laboratory (general)           N                             6                              Optional                Optional

 


P = Positive                           N = Negative      E = Equal     +/-   = continuous Directional control not required

 

(9)           Operating rooms or procedure rooms which are used with either life sustaining electrical equipment or identified as a critical care location shall comply with the requirements for ventilation in NFPA 99, Chapter 5, Environmental Systems.

(10)         Prior to occupancy of the facility, the facility shall obtain documentation verifying that all mechanical systems have been tested, balanced, and operated to demonstrate that the installation and performance of these systems conform to the approved design.  Test results shall be maintained in the facility maintenance files.

(11)         Upon completion of equipment installation, the facility shall acquire and maintain a complete set of manufacturers' operating, maintenance, and preventive maintenance instructions, parts lists, and procurement information including equipment numbers and descriptions. 

(12)         Operating staff shall be provided with instructions for properly operating systems and equipment.

(c)  Medical gases:  The performance, maintenance, installation, and testing of medical gas systems shall comply with the requirements of National Fire Protection Association Standard 99.  When any piping or supply of medical gases is installed, altered, or augmented, the altered zone shall be tested and certified as required by National Fire Protection Association Standard 99.  Testing shall be conducted by the facility and at least one other independent testing organization to ensure that the system is safe for patient use.

 

History Note:        Authority G.S. 131E‑149;

Eff. October 14, 1978;

Amended Eff. April 1, 2003; December 24, 1979.

 

10A ncac 13C .1406      PLUMBING AND OTHER PIPING SYSTEMS

(a)  All building plumbing systems shall be installed in accordance with the requirements of the North Carolina State Building Code, Volume II.

(b)  Plumbing Fixtures

(1)           The material used for plumbing fixtures shall be of non‑absorptive acid‑resistant material.

(2)           Lavatories and sinks required shall have the water supply spout mounted so that its discharge point is a minimum distance of five inches (12.7 cm.) above the rim of the fixture.  All fixtures used by medical and nursing staff shall be trimmed with valves which can be operated without the use of hands.  Where blade handles are used for this purpose, they shall not exceed four and one-half inches (11.43 cm.) in length, except that handles on scrub sinks and clinical sinks shall be not less than six inches (15.24 cm.) long.

(3)           Clinical sinks shall have an integral trap in which the upper portion of a visible trap seal provides a water surface.

(c)  Water Supply Systems

(1)           Systems shall be designed to supply water to the fixtures and equipment at a sufficient pressure to operate all fixtures and equipment during maximum demand periods.

(2)           Each water service main, branch main, riser and branch to a group of fixtures shall be valved.  Stop valves shall be provided at each fixture.

(3)           Backflow preventers shall be installed on hose bibbs and on all fixtures to which hoses or tubing can be attached.

(4)           Hot water distribution systems shall be arranged to provide hot water at each hot water outlet at all times.  Hot water at the handwashing and bathing facilities shall not exceed 116° F (46.6°C).

(d)  Drainage Systems

(1)           Drain lines from sinks in which acid wastes may be poured shall be fabricated from an acid‑resistant material.

(2)           Piping systems shall be designed to avoid, insofar as is possible, installations in the ceiling directly over operating rooms.

(3)           Floor drains shall not be installed in operating rooms.

(4)           Building sewers shall discharge into a community sewerage system.  Where such a system is not available, a facility providing sewage treatment which conforms to applicable local and state regulations is required.

(e)  Non‑flammable medical gas system installations shall be in accordance with the requirements of NFPA Standard 99 and NFPA 50. Clinical vacuum (suction) system installations shall be in accordance with the requirements of NFPA Standard 99.  The minimum number of outlets is shown below.

 

Minimum Medical Gas Station Outlets and Vacuum Station Inlets

 

Location

Oxygen

Vacuum

Medical Air

Operating Room

2/room

3/room

1/room

Recovery Room

1/bed

3/bed

1/bed

 

(f)  Service outlets for built‑in housekeeping vacuum systems, if used, shall not be located within operating rooms.

 

History Note:        Authority G.S. 131E‑149;

Eff. October 14, 1978;

Amended Eff. April 1, 2003.

 

10A ncac 13c .1407      ELECTRICAL REQUIREMENTS

(a)  General

(1)           All material including equipment, conductors, controls and signaling devices shall be installed to provide a complete electrical system with the necessary characteristics and capacity to supply the electrical facilities shown in the specifications or indicated on the plans.  All materials shall be listed as complying with applicable standards of Underwriters' Laboratories, Inc., or other similarly established standards, where such standards have been established.

(2)           All material and equipment, including conductors, controls, and signaling devices, shall be installed in compliance with applicable sections of North Carolina State Building Code, Volume VII IV, Electrical.   A written record of performance tests on electrical systems and equipment shall show compliance with applicable codes and standards.

(3)           Lighting and appliance panelboards shall be located on the same floor as the circuits they serve.

(b)  Lighting

(1)           All spaces occupied by people and equipment shall have electric lighting.

(2)           Operating rooms shall have general lighting for the room in addition to local lighting provided by special lighting units at the surgical and obstetrical tables.  Each fixed special lighting unit at the tables, except for portable units, shall be connected to an independent circuit.

(c) Power

(1)           If non-flammable anesthetics are to be used, the facility shall meet the requirements of NFPA 99, Health Care Facilities Code. 

(2)           Procedures that create a direct electrical pathway to the heart or create conditions meeting the definition of a wet location shall be provided with an isolated power system (IPS) in the patient care area.

(3)           Procedures that require electrically powered devices that because of patient safety cannot tolerate an outage due to equipment faults shall be provided with an isolated power system (IPS) in the patient care area.

(4)           Procedures that can be safely carried out with conventional grounded power systems shall be provided with ground fault circuit interrupters on each circuit installed in the operating or procedure room serving the patient care area.

(5)           Critical care areas require a Type 1 essential electrical system.

(6)           Procedures requiring the use of electrical life support equipment require a Type 1 essential electrical system.

(7)           All facilities shall have as a minimum a Type 3 essential electrical system.

(8)           All devices, switches, receptacles connected to the essential electrical system shall be distinctively identified so that personnel can easily select which device is expected to operate during failure of normal source of power.

(9)           Fuel for the essential electrical system generator shall be stored on site in sufficient quantity to provide for not less than 24 hours of operation.

(d)  Receptacles

(1)           Each operating or procedure room shall have at least eight 120 volt duplex receptacles.

(2)           In locations where mobile X‑ray is used, an additional receptacle, distinctively marked for X‑ray use, shall be provided.

(3)           Fixed and mobile X‑ray equipment installations shall conform to Article 660 of the North Carolina State Building Code, Electrical.

 

History Note:        Authority G.S. 131E‑149;

Eff. October 14, 1978;

Amended Eff. April 1, 2003.

 

10A NCAC 13C .1408      GENERAL

The design, construction, maintenance and operation of a facility shall be in accordance with those codes and standards listed in Rule .1409, LIST OF REFERENCED CODES AND STANDARDS, and codes, ordinances, and regulations enforced by city, county, or other state jurisdictions with the following requirements:

(1)           The facility shall notify the Division when all construction or renovation has been completed, inspected and approved by the architect and engineer having responsibility, and the facility is ready for a final inspection.  Prior to using the completed project, the facility shall receive from the Division, written approval for use.

(2)           In the absence of any requirements by other authorities having jurisdiction, the facility shall develop a master fire and disaster plan with input from the local fire department and local emergency management agency to fit the needs of the facility.  The plan shall require:

(A)          Training of facility employees in the fire plan implementation, in the use of fire-fighting equipment, and in evacuation of patients and staff from areas in danger during an emergency condition;

(B)          Conducting of quarterly fire drills on each shift;

(C)          A written record of each drill shall be on file at the facility for at least three years;

(D)          The testing and evaluation of the emergency electrical system(s) once each year by simulating a utility power outage by opening of the main facility electrical breaker(s).  Documentation of the testing and results shall be completed at the time of the test and retained by the facility for three years; and

(E)           Disaster planning to fit the specific needs of the facility's geographic location and disaster history, with at least one documented disaster drill conducted each year;

(3)           The facility structure, component parts, and building systems shall be kept in good repair and maintained with consideration for the safety and comfort of patients, staff and visitors; and

(4)           There shall be a definite assignment of maintenance functions to qualified personnel under supervision.

 

History Note:        Authority G.S. 131E‑149;

Eff. April 1, 2003.

 

10A ncac 13C .1409      LIST OF REFERENCED CODES AND STANDARDS

The following codes and standards are adopted by reference including subsequent amendments.  Copies of these publications can be obtained from the various organizations at the addresses listed:

(1)           The North Carolina State Building Code, current edition, all volumes.  Copies of this code may be purchased from the N.C. Department of Insurance Engineering Division located at 410 North Boylan Avenue, Raleigh, NC 27603 at a cost of four hundred eight dollars ($408.00).

(2)           The National Fire Protection Association codes and standards listed below, current editions. Copies of these codes and standards may be obtained from the National Fire Protection Association, 1 Batterymarch Park, PO Box 9101, Quincy, MA  02269-9101 at the cost shown for each code or standard listed.

(a)           10           Portable Fire Extinguishers                                                                               $29.75

(b)           13           Installation of Sprinkler Systems                                                                     $42.75

(c)           20           Installation of Centrifugal Fire Pumps                                                            $29.75

(d)           22           Water Tanks for Private Fire Protection                                                         $29.75

(e)           25           Water-Based Fire Protection Systems                                                             $32.75

(f)            30           Flammable and Combustible Liquids Code                                                   $32.25

(g)           31           Installation of Oil-Burning Equipment                                                           $29.75

(h)           37           Stationary Combustion Engines and Gas Turbines                                       $26.75

(i)            50           Bulk Oxygen Systems at Consumer Sites                                                      $22.25

(j)            53           Fire Hazards in Oxygen-Enriched Atmospheres                                           $29.75

(k)           54           National Fuel Gas Code                                                                                     $35.25

(l)            55           Compressed and Liquefied Gases in Portable Cylinders                             $22.25

(m)          58           Storage and Handling of Liquefied Petroleum Gases                                   $35.25

(n)           59A        Liquefied Natural Gas (LNG)                                                                           $26.75

(o)           72           National Fire Alarm Code                                                                                 $42.75

(p)           80           Fire Doors and Windows                                                                                   $29.75

(q)           82           Incinerators, Waste and Linen Handling Systems and Equipment            $22.25

(r)            90A        Installation of Air Conditioning and Ventilating Systems                           $26.75

(s)            90B        Installation of Warm Air Heating and Air Conditioning Systems             $22.25

(t)            92A        Smoke-Control Systems                                                                                    $26.75

(u)           92B        Smoke Management Systems in Malls, Atria, Large Areas                        $26.75

(v)           99           Health Care Facilities                                                                                         $42.75

(w)          101         Safety to Life from Fire in Buildings and Structures                                    $53.50

(x)           101A      Alternative Approaches to Life Safety                                                            $35.25

(y)           105         Smoke-Control Door Assemblies                                                                    $22.25

(z)           110         Emergency and Standby Power Systems                                                        $26.75

(aa)         221         Fire Walls and Fire Barrier Walls                                                                    $22.25

(bb)         241         Construction, Alteration, and Demolition Operations                                                  $26.75

(cc)         780         Lightning Protection Code                                                                                $29.75

(dd)         801         Facilities Handling Radioactive Materials                                                      $26.75

(3)           American Society of Heating, Refrigerating & Air Conditioning Engineers, (ASHRAE) HVAC APPLICATIONS, current edition.  Copies of this document may be obtained from the American Society of Heating, Refrigerating & Air Conditioning Engineers at United Engineer Center, 345 East 47th Street, New York, NY 10017 at a cost of one hundred forty-four dollars ($144.00).

 

History Note:        Authority G.S. 131E‑149;

Eff. April 1, 2003.

 

10A ncac 13C .1410      APPLICATION OF PHYSICAL PLANT REQUIREMENTS

The physical plant requirements for each facility shall be applied as follows:

(1)           All newly licensed facilities shall comply with the requirements of Section .1400;

(2)           Existing licensed facilities shall meet licensure and code requirements in effect at the time of construction, alteration, or modification;

(3)           New additions, alterations, modifications, and repairs of existing licensed facilities shall meet the technical requirements of Section .1400, however, where strict conformance with current requirements would be impractical, the authority having jurisdiction shall approve alternative measures where the facility can demonstrate to the Division's satisfaction that the alternative measures do not reduce the safety or operating effectiveness of the facility;

(4)           Rules contained in Section .1400 are minimum requirements and not intended to prohibit buildings, systems or operational conditions that exceed minimum requirements;

(5)           Equivalency: Alternate methods, procedures, design criteria, and functional variations from the physical plant requirements, because of extraordinary circumstances, new programs, or unusual conditions, shall be approved by the authority having jurisdiction when the facility can effectively demonstrate to the Division's satisfaction, that the intent of the physical plant requirements are met and that the variation does not reduce the safety or operational effectiveness of the facility; and

(6)           Where rules, codes, or standards have any conflict, the most stringent requirement shall apply.

 

History Note:        Authority G.S. 131E‑149;

Eff. April 1, 2003.

 

10A ncac 13C .1411      ACCESS AND SAFETY

Projects involving replacement of, alterations of, and additions to existing licensed facilities shall be planned and phased so that construction will minimize disruptions of facility operations.  Facility access, exit ways, safety provisions, and building and life safety systems shall be maintained so that the health and safety of the occupants will not be jeopardized during construction.  Additional safety and operating measures shall be planned, documented, and executed to compensate for hazards related to construction or renovation activities to maintain an equivalent degree of health, safety, and operational effectiveness to that required by rules, standards, and codes for a facility not under construction or renovation.

 

History Note:        Authority G.S. 131E‑149;

Eff. April 1, 2003.

 

 

 

subchapter 13D – rules for the licensing of nursing homes

 

section .0100 – reserved for future codification

 

10A NCAC 13D .0100      Reserved for future codification

 

section .0200 – reserved for future codification

 

10A NCAC 13D .0200      Reserved for future codification

 

section .0300 – reserved for future codification

 

10A NCAC 13D .0300      Reserved for future codification

 

section .0400 – reserved for future codification

 

10A NCAC 13D .0400      Reserved for future codification

 

section .0500 – reserved for future codification

 

10A NCAC 13D .0500      Reserved for future codification

 

section .0600 – reserved for future codification

 

10A NCAC 13D .0600      Reserved for future codification

 

section .0700 – reserved for future codification

 

10A NCAC 13D .0700      Reserved for future codification

 

section .0800 – reserved for future codification

 

10A NCAC 13D .0800      Reserved for future codification

 

section .0900 – reserved for future codification

 

10A NCAC 13D .0900      Reserved for future codification

 

section .1000 – reserved for future codification

 

10A NCAC 13D .1000      Reserved for future codification

 

section .1100 – reserved for future codification

 

10A NCAC 13D .1100      Reserved for future codification

 

section .1200 – reserved for future codification

 

10A NCAC 13D .1200      Reserved for future codification

 

section .1300 – reserved for future codification

 

10A NCAC 13D .1300      Reserved for future codification

 

section .1400 – reserved for future codification

 

10A NCAC 13D .1400      Reserved for future codification

 

section .1500 – reserved for future codification

 

10A NCAC 13D .1500      Reserved for future codification

 

section .1600 – reserved for future codification

 

10A NCAC 13D .1600      Reserved for future codification

 

section .1700 – reserved for future codification

 

10A NCAC 13D .1700      Reserved for future codification

 

section .1800 – reserved for future codification

 

10A NCAC 13D .1800      Reserved for future codification

 

SECTION .1900 ‑ RESERVED FOR FUTURE CODIFICATION

 

10A NCAC 13D .1900      Reserved for future codification

 

SECTION .2000 –  GENERAL INFORMATION

 

10A NCAC 13D .2001      DEFINITIONS

The following definitions will apply throughout this Subchapter:

(1)           "Abuse" means the willful infliction of injury, unreasonable confinement, intimidation or punishment with resulting physical harm, pain, or mental anguish.

(2)           "Accident" means an unplanned event resulting in the injury or wounding, no matter how slight, of a patient or other individual.

(3)           "Addition" means an extension or increase in floor area or height of a building.

(4)           "Administrator" as defined in G.S. 90-276(4).

(5)           "Alteration" means any construction or renovation to an existing structure other than repair, maintenance, or addition.

(6)           "Brain injury long term care" means an interdisciplinary, intensive maintenance program for patients who have incurred brain damage caused by external physical trauma and who have completed a primary course of rehabilitative treatment and have reached a point of no gain or progress for more than three consecutive months. Brain injury long term care is provided through a medically supervised interdisciplinary process and is directed toward maintaining the individual at the optimal level of physical, cognitive, and behavioral functions.

(7)           "Capacity" means the maximum number of patient or resident beds for which the facility is licensed to maintain at any given time.

(8)           "Combination facility" means a combination home as defined in G.S. 131E‑101.

(9)           "Comprehensive, inpatient rehabilitation program" means a program for the treatment of persons with functional limitations or chronic disabling conditions who have the potential to achieve a significant improvement in activities of daily living, including bathing, dressing, grooming, transferring, eating, and using speech, language, or other communication systems. A comprehensive, inpatient rehabilitation program utilizes a coordinated and integrated, interdisciplinary approach, directed by a physician, to assess patient needs and to provide treatment and evaluation of physical, psychosocial, and cognitive deficits.

(10)         "Department" means the North Carolina Department of Health and Human Services.

(11)         "Director of nursing" means a registered nurse who has authority and direct responsibility for all nursing services and nursing care.

(12)         "Discharge" means a physical relocation of a patient to another health care setting, the discharge of a patient to his or her home, or the relocation of a patient from a nursing bed to an adult care home bed, or from an adult care home bed to a nursing bed.

(13)         "Existing facility" means a facility currently licensed, a proposed facility, a proposed addition to a licensed facility, or a proposed remodeled licensed facility that will be built according to design development drawings and specifications approved by the Department for compliance with the standards established in Sections .3100, .3200, and .3400 of this Subchapter, to the effective date of this Rule.

(14)         "Facility" means a nursing facility or combination facility as defined in this Rule. 

(15)         "Incident" means any accident, event, or occurrence that is unplanned, or unusual, and has actually caused harm to a patient, or has the potential for harm.

(16)         "Inpatient rehabilitation facility or unit" means a free‑standing facility or a unit (unit pertains to contiguous dedicated beds and spaces) within an existing licensed health service facility approved in accordance with G.S. 131E, Article 9 to establish inpatient, rehabilitation beds and to provide a comprehensive, inpatient rehabilitation program.

(17)         "Interdisciplinary" means an integrated process involving representatives from disciplines of the health care team.

(18)         "Licensee" means the person, firm, partnership, association, corporation, or organization to whom a license to operate the facility has been issued. The licensee is the legal entity that is responsible for the operation of the business.

(19)         "Medication error rate" means the measure of discrepancies between medication that was ordered for a patient by the health care provider and medication that is actually administered to the patient. The medication error rate is calculated by dividing the number of errors observed by the surveyor by the opportunities for error, multiplied times 100.

(20)         "Misappropriation of property" means the deliberate misplacement, exploitation, or wrongful, temporary or permanent use of a patient's belongings or money without the patient's consent.

(21)         "Neglect" means a failure to provide goods and services necessary to avoid physical harm, mental anguish, or mental illness.

(22)         "New facility" means a proposed facility, a proposed addition to an existing facility, or a proposed remodeled portion of an existing facility that will be built according to design development drawings and specifications approved by the Department for compliance with the standards established in Sections .3100, .3200, and .3400 of this Subchapter after the effective date of this Rule.

(23)         "Nurse Aide" means a person who is listed on the N.C. Nurse Aide Registry and provides nursing or nursing-related services to patients in a nursing home.  A nurse aide is not a licensed health professional. Nursing homes that participate in Medicare or Medicaid shall comply with 42 CFR Part 483.75(e), which is incorporated by reference, including subsequent amendments.  The Code of Federal Regulations may be accessed at http://www.access.gpo.gov/nara/cfr/waisidx_08/42cfr483_08.

(24)         "Nursing facility" means a nursing home as defined in G.S. 131E‑101.

(25)         "Patient" means any person admitted for nursing care.

(26)         "Remodeling" means alterations, renovations, rehabilitation work, repairs to structural systems, and replacement of building systems at a nursing or combination facility.

(27)         "Repair” means reconstruction or renewal of any part of an existing building for the purpose of its maintenance.

(28)         "Resident" means any person admitted for care to an adult care home part of a combination facility as defined in G.S. 131E‑101

(29)         "Respite care" means services provided for a patient on a temporary basis, not to exceed 30 days.

(30)         "Surveyor" means an authorized representative of the Department who inspects nursing facilities and combination facilities to determine compliance with rules as set forth in G.S. 131E-117; Subchapters 13D and 13F of this Chapter; and 42 CFR Part 483, Requirements for States and Long Term Care Facilities.

(31)         "Ventilator dependence" means a physiological dependency by a patient on the use of a ventilator for more than eight hours a day.

(32)         "Violation" means a failure to comply with the regulations, standards, and requirements set forth in G.S. 131E-117 and 131D–21; Subchapters 13D and 13F of this Chapter; or 42 CFR Part 483, Requirements for States and Long Term Care Facilities, that directly relates to a patient's or resident's health, safety, or welfare, or which creates a substantial risk that death, or serious physical harm will occur.

 

History Note:        Authority G.S. 131E‑104;

RRC objection due to lack of statutory authority Eff. July 13, 1995;

Eff. January 1, 1996;

Readopted Eff. July 1, 2016.

 

SECTION .2100 ‑ LICENSURE

 

10A NCAC 13D .2101      APPLICATION REQUIREMENTS

(a)  A legal entity shall submit an application for licensure for a new facility to the Nursing Home Licensure and Certification Section of the Division of Health Service Regulation at least 30 days prior to a license being issued or patients admitted.

(b)  The application shall contain the following:

(1)           legal identity of applicant (licensee) and mailing address;

(2)           name or names under which the facility is presented to the public;

(3)           location and mailing address of facility;

(4)           ownership disclosure;

(5)           bed complement;

(6)           magnitude and scope of services offered;

(7)           name and current license number of the administrator;

(8)           name and current license number of the director of nursing; and

(9)           name and current license number of the medical director.

 

History Note:        Authority G.S. 131E‑104; 131E-102;

Eff. January 1, 1996;

Amended Eff. July 1, 2012;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

10A NCAC 13D .2102      ISSUANCE OF LICENSE

(a)  Only one license shall be issued to each facility.  The Department shall issue a license to the licensee of the facility following review of operational policies and procedures and verification of compliance with applicable laws and rules.

(b)  Licenses are not transferable.

(c)  The bed capacity and services provided in a facility shall be in compliance with G.S. 131E, Article 9 regarding Certificate of Need.

(d)  The license shall be posted in a prominent location, accessible to public view, within the licensed premises.

 

History Note:        Authority G.S. 131E‑104;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

10a NCAC 13d .2103      LENGTH OF LICENSURE

Licenses shall remain in effect up to 12 months, unless any of the following occurs:

(1)           Department imposes an administrative sanction which specifies license expiration;

(2)           closure;

(3)           change of ownership;

(4)           change of site;

(5)           change in bed complement; or

(6)           failure to comply with Rule .2104 of this Section.

 

History Note:        Authority G.S. 131E‑104;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

10A NCAC 13D .2104      REQUIREMENTS FOR LICENSURE RENEWAL OR CHANGES

(a)  The Department shall renew the facility's license at the end of each calendar year, if the following occur:

(1)           The licensee maintains and submits to the Department, at least 30 days prior to the licensure expiration date, statistical data for the State's medical facilities plan and review for certificate of need determination.  The Department shall provide forms annually to the facility for this purpose.

(2)           The facility is in conformance with G.S. 131E‑102(c).

(3)           The combination facility shall specify on the annual license renewal application with which rules for the adult care home beds it plans to comply for the upcoming calendar year.  The rule selection shall be effective for the duration of the renewed licensed year.  The facility may choose one of the following:

(A)          nursing home licensure rules under this Subchapter;

(B)          adult care home licensure rules under 10A NCAC 13F; or

(C)          a combination of nursing home and adult care home licensure rules.  The facility shall identify in writing the specific rule governing compliance with the adult care home rules and shall identify in writing the specific requirements governing compliance with the nursing home rules.

(b)  The facility shall notify the Nursing Home Licensure and Certification Section of the Division of Health Service Regulation in writing and make changes in the licensure application at least 30 days prior to the occurrence of the following:

(1)           a change in the name or names under which the facility is presented to the public;

(2)           a change in the legal identity (licensee) which has ownership responsibility and liability (such information shall be submitted by the proposed new owner);

(3)           a change in the licensed bed capacity; or

(4)           a change in the location of the facility.

The Department shall issue a new license following notification and verification of data submitted.

(c)  The facility shall notify the Nursing Home Licensure and Certification Section of the Division of Health Service Regulation within one working day following the occurrence of:

(1)           change in administration;

(2)           change in the director of nursing;

(3)           change in facility mailing address or telephone number;

(4)           changes in magnitude or scope of services; or

(5)           emergencies or situations requiring relocation of patients to a temporary location away from the facility.

 

History Note:        Authority G.S. 131E‑104;

Eff. January 1, 1996;

Amended Eff. September 1, 2006;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

10A NCAC 13D .2105      TEMPORARY CHANGE IN BED CAPACITY

(a)  A continuing care retirement community, having an agreement to care for all residents regardless of level of care needs, may temporarily increase bed capacity by 10 percent or 10 beds, whichever is less, over the licensed bed capacity for a period up to 60 days following notification to and approval by the Division of Health Service Regulation.

(b)  In an emergency situation, such as a natural disaster, a facility may exceed its licensed capacity as determined by its disaster plan and as authorized by the Division of Health Service Regulation.  Emergency authorizations shall not exceed 60 days. 

(c)  The Division shall authorize, in writing, a temporary increase in licensed beds in accordance with Paragraphs (a) and (b) of this Rule, if it is determined that:

(1)           the increase is not associated with a capital expenditure; and

(2)           the increase would not jeopardize the health, safety and welfare of the patients.

 

History Note:        Authority G.S. 131E‑104; 131E-112;

Eff. January 1, 1996;

Amended Eff. March 1, 2013;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

10A NCAC 13D .2106      DENIAL, AMENDMENT, OR REVOCATION OF LICENSE

(a)  The Department shall deny any licensure application upon becoming aware that the applicant is not in compliance with G.S. 131E, Article 9 and the rules adopted under that law.

(b)  The Department may amend a license by reducing it from a full license to a provisional license whenever the Department finds that:

(1)           the licensee has substantially failed to comply with the provisions of G.S. 131E, Article 6 and the rules promulgated under that article; and

(2)           there is continued non-compliance after the third revisit.

(c)  The Department shall give the licensee written notice of the amendment to the license.  This notice shall be given personally or by certified mail and shall set forth:

(1)           the length of the provisional license;

(2)           a reference to the statement of deficiencies that contains the facts;

(3)           the statutes or rules alleged to be violated; and

(4)           notice of the facility's right to a contested case hearing on the amendment of the license.

(d)  The provisional license shall be effective as specified in the notice and shall be posted in a location within the facility, accessible to public view, in lieu of the full license.  The provisional license shall remain in effect until:

(1)           the Department restores the licensee to full licensure status; or

(2)           the Department revokes the licensee's license.

(e)  The Department may revoke a license whenever:

(1)           The Department finds that:

(A)          the licensee has substantially failed to comply with the provisions of G.S. 131E, Article 6 and the rules promulgated under that article; and

(B)          there continues to be non-compliance at the third revisit; or

(2)           The Department finds that there has been any failure to comply with the provisions of G.S. 131E, Article 6 and the rules promulgated under that article that endanger the health, safety or welfare of the patients in the facility.

(f)  The issuance of a provisional license is not a procedural prerequisite to the revocation of a license pursuant to Paragraph (e) of this Rule.

(g)  The Department may, in accordance with G.S. 131E-232, petition to have a temporary manager appointed to operate a facility.

 

History Note:        Authority G.S. 131E-104;

Eff. January 1, 1996;

Amended Eff. January 1, 2013;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

10A NCAC 13D .2107      SUSPENSION OF ADMISSIONS

(a)  The Department may suspend the admission of new patients to a facility when warranted under the provisions of G.S. 131E-109(c).

(b)  The Department shall notify the facility personally or by certified mail of the decision to suspend admissions. Such notice shall include:

(1)           a reference to the statement of deficiencies that contains the facts;

(2)           citation of statutes and rules alleged to be violated; and

(3)           notice of the facility's right to a contested case hearing on the suspension.

(c)  The suspension is effective on the date specified in the notice of suspension.  The suspension shall remain effective until the facility demonstrates to the Department that conditions are no longer detrimental to the health and safety of the patients.

(d)  The facility shall not admit new patients during the effective period of the suspension.

(e)  Patients requiring hospitalization during the period of suspension of admissions shall be readmitted after hospitalization or on return from temporary care to the facility based on the availability of a bed and the ability of the facility to provide necessary care.  Upon return from the hospital, the requirements of G.S. 131E-130 apply.

 

History Note:        Authority G.S. 131E-104;

Eff. January 1, 1996;

Amended Eff. January 1, 2013;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

10A NCAC 13D .2108      PROCEDURE FOR APPEAL

(a)  The facility may appeal any decision of the Department to deny, revoke or alter a license or any decision to suspend admissions by making such an appeal in accordance with G.S. 150B and 10A NCAC 01.

(b)  A decision to issue a provisional license is stayed during the pendency of an administrative appeal and the licensee may continue to display full license during the appeal.

 

History Note:        Authority G.S. 131E‑104;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

10A NCAC 13D .2109      INSPECTIONS

(a)  The facility shall allow inspection by an authorized representative of the Department at any time.

(b)  At the time of inspection, any authorized representative of the Department shall make his or her presence known to the administrator or other person in charge who shall cooperate with the representative and facilitate the inspection.

(c)  Inspections of medical records will be carried out in accordance with G.S. 131E‑105.

(d)  The administrator shall provide and make available to representatives of the Department financial and statistical records required to verify compliance with all rules contained in this Subchapter.

(e)  The Department shall mail a written report to the facility within 10 working days from the date of the licensure survey or complaint investigation exit conference.  The report shall include statements of any deficiencies or violations cited during the survey or investigation.

(f)  The administrator shall prepare a written plan of correction and mail it to the Department within 10 working days following receipt of any statement of deficiencies or violations.  The Department shall review and accept or reject the plan of correction, with written notice given to the administrator within 10 working days following receipt of the plan.

 

History Note:        Authority G.S. 131E‑104;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

10A NCAC 13D .2110      PUBLIC ACCESS TO DEPARTMENT LICENSURE RECORDS

 

History Note:        Authority G.S. 8‑53; 108A‑80; 131E‑104; 131E‑124(c); 132‑1.1;

Eff. January 1, 1996;

Repealed Eff. July 1, 2012.

 

10A NCAC 13D .2111      ADMINISTRATIVE PENALTY DETERMINATION PROCESS

 

History Note:        Authority G.S. 131D-34; 131E-104; 143B-165;

Eff. August 3, 1992;

Amended Eff. March 1, 1995;

Transferred and recodified from 10 NCAC 03H .0221 Eff. January 10, 1996;

Amended Eff. July 1, 2014;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015;

Repealed Eff. July 1, 2017.

 

SECTION .2200 ‑ GENERAL STANDARDS OF ADMINISTRATION

 

10A NCAC 13D .2201      ADMINISTRATOR

(a)  The facility shall be under the direct management control of an administrator.  The administrator shall not serve simultaneously as the director of nursing.

(b)  If an administrator is not the sole owner of a facility, his or her authority and responsibility shall be clearly defined in a written agreement or in the facility's governing bylaws.

(c)  The administrator shall be responsible for the operation of a facility on a full‑time basis.

(d)  The administrator shall ensure patient services are provided in accordance with all applicable local, state and federal regulations and codes, and with acceptable standards of practice that apply to professionals providing such services in the facility.

(e)  The administrator shall be responsible for developing and implementing policies for the management and operation of the facility.

(f)  In the temporary absence of the administrator, a person shall be on‑site who is designated to be in charge of the overall facility operation.

 

History Note:        Authority G.S. 90‑284; 131E‑104;

RRC objection due to lack of statutory authority Eff. July 13, 1995;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

10A NCAC 13D .2202      ADMISSIONS

(a)  No patient shall be admitted except by a physician.  Admission shall be in accordance with facility policies and procedures.

(b)  The facility shall acquire, prior to or at the time of admission, orders for the immediate care of the patient from the admitting physician.

(c)  Within 48 hours of admission, the facility shall acquire medical information which shall include current medical findings, diagnoses, and other information necessary to formalize the initial plan of care.

(d)  Only persons who are 18 years of age or older shall be admitted to the adult care home portion of a combination facility.

 

History Note:        Authority G.S. 131E-104;

RRC objection due to lack of statutory authority Eff. July 13, 1995;

Eff. January 1, 1996;

Amended Eff. January 1, 2013;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

10A NCAC 13D .2203      PATIENTS NOT TO BE ADMITTED

(a)  Patients who require health, habilitative or rehabilitative care beyond those for which the facility is licensed and is capable of providing shall not be admitted to the licensed nursing home.

(b)  No person requiring continuous nursing care shall be admitted to an adult care home bed in a combination facility, except under emergency situations as described in Rule .2105 of this Subchapter. Should an existing resident of an adult care home bed require continuous nursing care, the facility shall either discharge the resident or provide the next available nursing facility bed (that is not needed to comply with G.S. 131E-130) to the resident to ensure continuity of care and to prevent unnecessary discharge from the facility.

(c)  During the resident's stay in the adult care section of the combination facility, the facility shall ensure that necessary nursing services are provided.  Should the facility be unable to provide necessary services the resident requires, whether in the adult care or nursing section, the facility shall follow discharge procedures according to Rule .2205 of this Subchapter.

 

History Note:        Authority G.S. 131E-104;

RRC objection due to lack of statutory authority Eff. July 13, 1995;

Eff. January 1, 1996;

Amended Eff. January 1, 2013;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

10A NCAC 13D .2204      RESPITE CARE

(a)  Respite care is not required as a condition of licensure.  Facilities providing respite care, however, shall meet the requirements of this Subchapter with the following exceptions: Rules .2205, .2301, and .2501(b) and (c) of this Subchapter.

(b)  Facilities providing respite care shall meet the following additional requirements:

(1)           A patient's descriptive record of stay shall include the preadmission or admission assessment, interdisciplinary notes as warranted by episodic events, medication administration records and a summary of the stay upon discharge.

(2)           The facility shall complete a preadmission or admission assessment which allows for the development of a short‑term plan of care and is based on the patient's customary routine.  The assessment shall address needs, including but not limited to identifying information, customary routines, hearing, vision, cognitive ability, functional limitations, continence, special procedures and treatments, skin conditions, behavior and mood, oral and nutritional status and medication regimen.  The plan shall be developed to meet the respite care patient's needs.

(3)           The attending physician of the respite care patient will be notified of any acute changes or acute episode which warrant medical involvement.  Medical orders and progress notes shall be written following the physician's visits.

 

History Note:        Authority G.S. 131E‑104;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

10A NCAC 13D .2205      DISCHARGE OF PATIENTS

(a)  The facility shall ensure a medical order for discharge is obtained for all patients except when a patient leaves against medical advice or is discharged for non‑payment.

(b)  The facility shall ensure discharge planning is accomplished according to each patient's needs when a discharge is anticipated.

(c)  The facility shall ensure the patient or the legal representative is informed and included in the discharge planning process.

 

History Note:        Authority G.S. 131E‑104;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

10A NCAC 13D .2206      MEDICAL DIRECTOR

(a)  The facility shall designate a physician to serve as medical director.

(b)  The medical director shall be responsible for implementation of patient care policies and coordination of medical care in the facility.

 

History Note:        Authority G.S. 131E‑104;

RRC objection due to lack of statutory authority Eff. July 13, 1995;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

10A NCAC 13D .2207      PATIENT RIGHTS

(a)  The facility shall enforce the Nursing Facility Patient's Bill of Rights as described in G.S. 131E‑115 through G.S. 131E‑127.

(b)  In matters of patient abuse, neglect or misappropriation the definitions shall have the meaning defined in Rule .2001 of this Subchapter.

 

History Note:        Authority G.S. 131E‑104; 131E‑131;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

10A NCAC 13D .2208      SAFETY

(a)  The facility shall have detailed written plans and procedures to meet potential emergencies and disasters, including but not limited to fire, severe weather and missing patients or residents.

(b)  The plans and procedures shall be made available upon request to local or regional emergency management offices.

(c)  The facility shall provide training for all employees in emergency procedures upon employment and annually.

(d)  The facility shall conduct unannounced drills using the emergency procedures.

(e)  The facility shall ensure that:

(1)           the patients' environment remains as free of accident hazards as possible; and

(2)           each patient receives adequate supervision and assistance to prevent accidents.

 

History Note:        Authority G.S. 131E‑104;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

10A NCAC 13D .2209      INFECTION CONTROL

(a)  A facility shall establish and maintain an infection control program for the purpose of providing a safe, clean and comfortable environment and preventing the transmission of diseases and infection.

(b)  Under the infection control program, the facility shall decide what procedures, such as isolation techniques, are needed for individual patients, investigate episodes of infection and attempt to control and prevent infections in the facility.

(c)  The facility shall maintain records of infections and of the corrective actions taken.

(d)  The facility shall ensure communicable disease testing as required by 10A NCAC 41A, "Communicable Disease Control" which is incorporated by reference, including subsequent amendments. Copies of these Rules may be obtained at no charge by contacting the N.C. Department of Health and Human Services, Division of Public Health, Tuberculosis Control Branch, 1902 Mail Service Center, Raleigh, North Carolina 27699-1902. Screening shall be done upon admission of all patients being admitted from settings other than hospitals, nursing facilities or combination facilities. Staff shall be screened within seven days of the hire date. The facility shall ensure tuberculosis screening annually thereafter for patients and staff.

(e)  All cases of reportable disease as defined by 10A NCAC 41A "Communicable Disease Control" and outbreaks consisting of two or more linked cases of disease transmission shall be reported to the local health department.

(f)  The facility shall use isolation precautions for any patient deemed appropriate by its infection control program and as recommended by the following Centers for Disease Control guidelines, Management of Multidrug-Resistant Organisms In Healthcare Settings, 2006, http://www.cdc.gov/ncidod/dhqp/pdf/ar/MDROGuideline2006.pdf and 2007 Guideline for Isolation Precautions:  Preventing Transmission of Infectious Agents in Healthcare Settings, http://www.cdc.gov/hicpac/2007ip/2007isolationprecautions.html.

(g)  The facility shall prohibit any employee with a communicable disease or infected skin lesion from direct contact with patients or their food, if direct contact is the mode of transmission of the disease.

(h)  The facility shall require all staff to use hand washing technique as indicated in the Centers for Disease Control, "Guideline for Hand Hygiene in Health-Care Settings, Recommendations of the Healthcare Infection Control Practices Advisory Committee and the HICPAC/SHEA/APIC/IDSA Hand Hygiene Task Force".  This information can be accessed at http://www.cdc.gov/mmwr/preview/mmwrhtml/rr5116a1.htm.

(i)  All linen shall be handled, store, processed and transported so as to prevent the spread of infection.

 

History Note:        Authority G.S. 131E‑104; 131E-113;

Eff. January 1, 1996;

Amended Eff. July 1, 2012;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

10A NCAC 13D .2210      REPORTING AND INVESTIGATING ABUSE, NEGLECT OR MISAPPROPRIATION

(a)  A facility shall take measures to prevent patient abuse, patient neglect, or misappropriation of patient property, including orientation and instruction of facility staff on patients' rights and the screening of and requesting of references for all prospective employees.

(b)  A facility shall ensure that the Division of Health Service Regulation is notified within 24 hours of the facility's becoming aware of any allegation against health care personnel of any act listed in G.S. 131E-256(a)(1).

(c)  A facility shall investigate allegations of any act listed in G.S. 131E-256(a)(1), shall document all information pertaining to such investigation, and shall take the necessary steps to prevent further incidents while the investigation is in progress.

(d)  A facility shall ensure that the report of investigation is printed or typed and sent to the Division of Health Service Regulation within five working days of the allegation. The report shall include:

(1)           the date and time of the alleged incident;

(2)           the patient's full name and room number;

(3)           details of the allegation and any injury;

(4)           names of the accused and any witnesses;

(5)           names of the facility staff who investigated the allegation;

(6)           results of the investigation; and

(7)           any corrective action that was taken by the facility.

 

History Note:        Authority G.S. 131E-104; 131E-131; 131E-255; 131E-256;

Eff. January 1, 1996;

Amended Eff. July 1, 2014; February 1, 2013; August 1, 2008; October 1, 1998;

Readopted Eff. July 1, 2016.

 

10A NCAC 13D .2211      PERSONNEL STANDARDS

(a)  The facility shall employ the types and numbers of qualified staff, professional and non‑professional, necessary to provide for the health, safety and proper care of patients.

(b)  Each employee shall be assigned duties consistent with his or her job description and with his or her level of education and training.

(c)  Professional staff shall be licensed, certified or registered in accordance with applicable state laws.

(d)  The facility shall provide orientation regarding facility policies and procedures for all staff upon employment.

(e)  The facility shall train all staff periodically in accordance with their job duties.

(f)  The facility shall maintain an individual personnel record for each employee, including verification of credentials.

(g)  The facility shall have a written agreement with any nursing personnel agency providing staff to the facility and shall orient agency staff as to facility policies and procedures.

 

History Note:        Authority G.S.131E‑104;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

10A NCAC 13D .2212      QUALITY ASSURANCE COMMITTEE

(a)  The administrator shall establish a quality assessment and assurance committee that consists of the director of nursing, a physician designated by the facility, a pharmacist and at least three other staff members.

(b)  The committee shall meet at least quarterly.

(c)  The committee shall develop and implement appropriate plans of action which will correct identified quality care problems.

 

History Note:        Authority G.S. 131E‑104;

RRC objection due to lack of statutory authority Eff. July 13, 1995;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

SECTION .2300 ‑ PATIENT AND RESIDENT CARE AND SERVICES

 

10A NCAC 13D .2301      PATIENT ASSESSMENT AND PLAN OF CARE

(a)  At the time each patient is admitted, the facility shall ensure medical orders are available for the patient's immediate care and that, within 24 hours, a nursing assessment of immediate needs is completed by a registered nurse and measures implemented as appropriate.

(b)  The facility shall perform, within 14 days of admission and at least annually, a comprehensive, accurate, documented assessment of each patient's capability to perform daily life functions. This comprehensive assessment shall be coordinated by a registered nurse and shall include at least the following:

(1)           current medical diagnoses;

(2)           medical status measurements, including current cognitive status, stability of current conditions and diseases, vital signs, and abnormal lab values and diagnostic tests that are a part of the medical history;

(3)           the patient's ability to perform activities of daily living, including the need for staff assistance and assistive devices, and the patient's ability to make decisions;

(4)           presence of neurological or muscular deficits;

(5)           nutritional status measurements and requirements, including but not limited to height, weight, lab work, eating habits and preferences, and any dietary restrictions;

(6)           special care needs, including but not limited to pressure sores, enteral feedings, specialized rehabilitation services or respiratory care;

(7)           indicators of special needs related to patient behavior or mood, interpersonal relationships and other psychosocial needs;

(8)           facility's expectation of discharging the patient within the three months following admission;

(9)           condition of teeth and gums, and need and use of dentures or other dental appliances;

(10)         patient's ability and desire to take part in activities, including an assessment of the patient's normal routine and lifetime preferences;

(11)         patient's ability to improve in functional abilities through restorative care;

(12)         presence of visual, hearing or other sensory deficits; and

(13)         drug therapy.

(c)  The facility shall develop a comprehensive plan of care for each patient and shall include measurable objectives and timetables to meet needs identified in the comprehensive assessment. The facility shall ensure the comprehensive plan of care is developed within seven days of completion of the comprehensive assessment by an interdisciplinary team.  To the extent practicable, preparation of the comprehensive plan of care shall include the participation of the patient and the patient's family or legal representative. The physician may participate by alternative methods, including, but not limited to, telephone or face‑to‑face discussion, or written notice.

(d)  The facility shall review comprehensive assessments and plans of care no less frequently than once every 90 days and make necessary revisions to ensure accuracy.

 

History Note:        Authority G.S. 131E‑104;

RRC objection due to lack of statutory authority Eff. July 13, 1995;

Eff. January 1, 1996;

Amended Eff. February 1, 2013;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

10A NCAC 13D .2302      NURSING SERVICES

(a)  The facility shall designate a registered nurse to serve as the director of nursing on a full‑time basis.

(b)  The director of nursing shall be responsible for the administering of nursing services.

(c)  The director of nursing may serve also as nurse-in-charge, only if the average daily occupancy is less than 60.

(d)  The director of nursing shall not serve as administrator, assistant administrator or acting administrator during an employment vacancy in the administrator position.

 

History Note:        Authority G.S. 131E‑104;

RRC objection due to lack of statutory authority Eff. July 13, 1995;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

10A NCAC 13D .2303      NURSE STAFFING REQUIREMENTS

(a)  A facility shall provide licensed nursing staff sufficient to accomplish the following:

(1)           patient needs assessment;

(2)           patient care planning; and

(3)           supervisory functions in accordance with the levels of patient care advertised or offered by the facility.

(b)  A facility must have sufficient nursing staff to provide nursing and related services to attain or maintain the physical, mental, and psychosocial well-being of each patient, as determined by patient assessments and individual plans of care.

(c)  A multi-storied facility shall have at least one nurse aide on duty on each patient care floor at all times.

(d)  Except for designated units with higher staffing requirements noted elsewhere in this Subchapter, daily direct patient care nursing staff, licensed and unlicensed, shall include:

(1)           at least one licensed nurse on duty for direct patient care at all times; and

(2)           a registered nurse for at least eight consecutive hours a day, seven days a week. This coverage may be spread over more than one shift if such a need exists. The director of nursing may be counted as meeting the requirements for both the director of nursing and patient staffing for facilities with a total census of 60 nursing beds or less.

 

History Note:        Authority G.S. 131E-104; 131E-114.1;

Eff. January 1, 1996;

Amended Eff. January 1, 2013;

Readopted Eff. July 1, 2016.

 

10A NCAC 13D .2304      NURSE AIDES

(a)  A facility shall employ or contract individuals as nurse aides in compliance with N.C. General Statute 131E, Article 15 and facilities certified for Medicare or Medicaid participation shall also comply with 42 CFR Part 483 which is incorporated by reference, including subsequent amendments. The Code of Federal Regulations may be accessed at http://www.access.gpo.gov/nara/cfr/waisidx_08/42cfr483_08.

(b)  A facility shall provide to the Department, upon request, verification of in‑service training and of past or present employment of any nurse aide employed by the facility.

 

History Note:        Authority G.S. 131E‑104; 131E-255; 143B‑165; 42 U.S.C. 1395; 42 U.S.C. 1396;

Eff. January 1, 1996;

Amended Eff. July 1, 2012;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

10A NCAC 13D .2305      QUALITY OF CARE

(a)  The facility shall provide necessary care and services in accordance with medical orders, the patient's comprehensive assessment and on‑going plan of care.

(b)  Acute changes in the patient's physical, mental or psychosocial status shall be evaluated and reported to the physician or other persons legally authorized to perform medical acts.

(c)  The facility shall not utilize any chemical or physical restraints for the purpose of discipline or convenience, and that are not required to treat the patient's medical condition.  An evaluation shall be done to ensure that the least restrictive means of restraint have been initiated on patients requiring restraints.

(d)  The facility shall ensure that all patients who are unable to perform activities of daily living receive the necessary assistance to maintain good grooming, and oral and personal hygiene.  The facility shall ensure appropriate measures are taken to restore the patient's ability to bathe, dress, groom, transfer and ambulate, toilet and eat.

(e)  The facility shall ensure measures are taken to prevent the formation of pressure sores and to promote healing of existing pressure sores.  The facility shall ensure that patients with limited mobility receive appropriate care to promote comfort and maintain skin integrity.

(f)  The facility shall ensure that in‑dwelling catheters are not used unless the patient's clinical condition necessitates their use.  The facility shall ensure incontinent patients receive appropriate treatment to prevent infections and to regain continence to the degree possible.

(g)  The facility shall ensure that patients with limited range of motion, or who are at risk for loss of range of motion, receive treatment services to prevent development of contractures or deformities, and to obtain and maintain their optimal level of functioning.

(h)  The facility shall ensure that patients who are unable to feed themselves receive the appropriate assistance, retraining and assistive devices when needed.

(i)  The facility shall ensure that enteral feeding tubes are used only when the patient's condition indicates the use of an enteral feeding tube is unavoidable.

(j)  The facility shall ensure that patients fed by enteral feeding tubes receive the proper treatment to avoid aspiration pneumonia, metabolic and gastrointestinal problems, and to restore the patient to the highest practicable level of normal feeding function.  The facility shall ensure appropriate care and services are provided to address needs related to hydration and nutrition.

(k)  The facility shall ensure that patients requiring special respiratory care receive appropriate services.

(l)  The facility shall ensure that patients are assisted to utilize personal visual lenses, hearing aids and dentures.

 

History Note:        Authority G.S. 131E‑104;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

10A NCAC 13D .2306      MEDICATION ADMINISTRATION

(a)  The facility shall ensure that medications are administered in accordance with applicable occupational licensure regulations and manufacturer's recommendations.

(b)  The facility shall ensure that each patient's drug regimen is free from drugs used in excessive dose or duplicative therapy, for excessive duration or without indications for the prescription of the drug.  Drugs shall not be used without monitoring or in the presence of adverse conditions that indicate the drugs' usage should be modified or discontinued. As used in this Paragraph:

(1)           "Excessive dose" means the total amount of any medication (including duplicate therapy) given at one time or over a period of time that is greater than the amount recommended by the manufacturer for a resident's age and condition.

(2)           "Excessive Duration" means the medication is administered beyond the manufacturer's recommended time frames or facility-established stop order policies or without either evidence of additional therapeutic benefit for the resident or clinical evidence that would warrant the continued use of the medication.

(3)           "Duplicative Therapy" means multiple medications of the same pharmacological class or category or any medication therapy that replicates a particular effect of another medication that the individual is taking.

(4)           "Indications for the prescription" means a documented clinical rationale for administering a medication that is based upon an assessment of the resident's condition and therapeutic goals and is consistent with manufacturer's recommendations.

(5)           "Monitoring" means ongoing collection and analysis of information (such as observations and diagnostic test results) and comparison to baseline data in order to:

(A)          Ascertain the individual's response to treatment and care, including progress or lack of progress toward a therapeutic goal;

(B)          Detect any complications or adverse consequences of the condition or of the treatments; and

(C)          Support decisions about modifying, discontinuing, or continuing any interventions.

(c)  Antipsychotic therapy shall not be initiated on any patient unless necessary to treat a clinically diagnosed and clinically documented condition.  When antipsychotic therapy is prescribed, unless clinically contraindicated, gradual dose reductions and behavioral interventions shall be employed in an effort to discontinue these drugs. "Gradual dose reduction" means the stepwise tapering of a dose to determine if symptoms, conditions or risks can be managed by a lower dose or if the dose or the medication can be discontinued.

(d)  The facility shall ensure that procedures aimed at minimizing medication error rates include the following:

(1)           All medications or drugs and treatments shall be administered and discontinued in accordance with signed medical orders which are recorded in the patient's medical record. Such orders shall be complete and include drug name, strength, quantity to be administered, route of administration, frequency and, if ordered on an as-needed basis, a stated indication for use.

(2)           The requirements for self-administration of medication shall include the following:

(A)          determination by the interdisciplinary team that this practice is safe;

(B)          administration ordered by the physician or other person legally authorized to prescribe medications;

(C)          instructions for administration printed on the medication label; and

(D)          administration of medication monitored by the nursing staff and consultant pharmacist.

(3)           The administration of one patient's medications to another patient is prohibited except in the case of an emergency. In the event of such emergency, the facility shall ensure that the borrowed medications are replaced and so documented.

(4)           Omission of medications and the reason for omission shall be indicated in the patient's medical record.

(5)           Medication administration records shall provide time of administration, identification of the drug and strength of drug, quantity of drug administered, route of administration, frequency, documentation sufficient to determine the staff who administered the drugs. Medication administration records shall indicate documentation of injection sites and topical medication sites requiring rotation of transdermal medication.

(6)           The pharmacy shall receive an exact copy of each physician's order for medications and treatments.

(7)           When medication orders do not state the number of doses or days to administer the medication, the facility shall implement automatic stop orders according to manufacturer's recommendations.

(8)           The facility shall maintain an accountability of controlled substances as defined by the North Carolina Controlled Substances Act, G.S. 90, Article 5.

 

History Note:        Authority G.S. 131E-104;

Eff. January 1, 1996;

Amended Eff. January 1, 2013;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

10A NCAC 13D .2307      DENTAL CARE AND SERVICES

(a)  The facility shall ensure that routine and emergency dental services are available for all patients.

(b)  The facility shall, if necessary, assist the patient in making appointments and obtaining transportation to the dentist's office.

 

History Note:        Authority G.S. 131E‑104;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

10A NCAC 13D .2308      ADULT CARE HOME PERSONNEL REQUIREMENTS

(a)  The administrator of a combination home shall designate a person to be in charge of the adult care home residents at all times. The nurse-in-charge of the nursing facility may also serve as supervisor-in-charge of the domiciliary beds. 

(b)  If adult care home beds are located in a separate building or a separate level of the same building, there shall be a person on duty in the adult care home portion of the facility at all times.

 

History Note:        Authority G.S. 131E‑104;

RRC Objection due to lack of statutory authority Eff. July 13, 1995;

Eff. January 1, 1996;

Amended Eff. July 1, 2012;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

10A NCAC 13D .2309      CARDIO-PULMONARY RESUSCITATION

(a)  Each facility shall develop and implement a Cardio-Pulmonary Resuscitation (CPR) policy.

(b)  The policy shall be communicated to all residents or their responsible party prior to admission.

(c)  Upon admission each resident or his or her responsible party must acknowledge in writing having received a copy of the policy.

(d)  The policy shall designate an outside emergency medical service provider to be immediately notified whenever an emergency occurs.

(e)  The policy shall designate the level of CPR that is available using terminology defined by the American Heart Association.  American Heart Association terminology is as follows:

(1)           Heartsaver CPR;

(2)           Heartsaver Automatic External Defibrillator (AED);

(3)           Basic Life Support (BLS); or

(4)           Advanced Cardiac Life Support (ACLS).

(f)  The facility shall maintain staff on duty 24 hours a day trained by someone with valid certification from the American Heart Association or American Red Cross capable of providing CPR at the level stated in the policy.  The facility shall maintain a record in the personnel file of each staff person who has received CPR training.

(g)  The facility shall have equipment readily available as required to deliver services stated in the policy.

(h)  The facility shall provide training for staff members who are responsible for providing CPR with regards to the location of resources and measures for self- protection while administering CPR.

 

History Note:        Authority G.S. 131E‑104;

Eff. October 1, 2006;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

SECTION .2400 ‑ MEDICAL RECORDS

 

10A NCAC 13D .2401      MAINTENANCE OF MEDICAL RECORDS

(a)  The facility shall establish a medical records service.  It shall be directed, staffed and equipped to ensure:

(1)           records are processed, indexed and filed accurately;

(2)           records are stored in such a manner as to provide protection from loss, damage or unauthorized use;

(3)           records contain sufficient information to identify the patient plus a record of all assessments; plan of care; pre‑admission screening, if applicable; records of implementation of plan of care; progress notes; and record of discharge, including a discharge summary signed by the physician; and

(4)           records are readily accessible by authorized personnel.

(b)  The facility shall ensure that a master patient index is maintained, listing patients alphabetically by name, dates of admission, dates of discharge and case number.

(c)  The administrator shall designate an employee who works full‑time to be the medical records manager.  The manager shall advise, administer, supervise and perform work involved in the development, analysis, maintenance and use of medical records and reports.  If that employee is not qualified by training or experience in medical record science, he or she shall receive consultation from a registered records administrator or an accredited medical record technician to ensure compliance with rules contained in this Subchapter.  The facility shall provide orientation, on‑the‑job training and in‑service programs for all medical records personnel.

 

History Note:        Authority G.S. 131E‑104;

RRC objection due to lack of statutory authority Eff. July 13, 1995;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

10A NCAC 13D .2402      PRESERVATION OF MEDICAL RECORDS

(a)  A facility shall keep medical records on file for five years following the discharge of an adult patient.

(b)  Not withstanding Paragraph (c) of this Rule, if the patient is a minor when discharged from the nursing facility, the records shall be kept on file until his or her 19th birthday and for the additional time specified in G.S. 1-17(b) for commencement of an action on behalf of a minor.

(c)  If a facility discontinues operation, the licensee shall inform the Division of Health Service Regulation where its records are stored.  For five years after a facility discontinues operations, records shall be stored with a business offering medical record storage and retrieval services.

(d)  All medical records are confidential. A facility shall comply with 42 CFR Parts 160, 162 and 164 of the Health Insurance Portability and Accountability Act.

(e)  At the time of the inspection, a facility shall inform the surveyor of the name of any patient who has denied the Department access to his or her medical record pursuant to G.S. 131E-105.

 

History Note:        Authority G.S. 131E‑104; 131E-105;

Eff. January 1, 1996.

Amended Eff. November 1, 2014;

Readopted Eff. July 1, 2016.

 

SECTION .2500 ‑ PHYSICIAN'S SERVICES

 

10A NCAC 13D .2501      AVAILABILITY OF PHYSICIAN'S SERVICES

(a)  The facility shall ensure each patient's care is supervised by a physician and that provisions are made for emergency physicians when attending physicians are unavailable.  The names and telephone numbers of the designated physicians shall be posted at each nurse's station.

(b)  Patients shall be seen by a physician at least once every 30 days for the first 90 days and at least every 60 days thereafter.  Following the initial visit, the physician may delegate this responsibility to a physician assistant or nurse practitioner every other visit.  A physician's visit is considered timely if the visit occurs not later than 10 days after the visit was required.

(c)  Physicians shall review the patient's medical plan of care, write or dictate and sign progress notes; and sign and date all current orders at each visit.

(d)  Medical orders, given orally by the physician, nurse practitioner or physician assistant, shall be given only to a licensed nurse or other licensed professional who by law is allowed to accept physician's orders, except orders for therapeutic diets which shall be given either to a dietitian or licensed nurse.  The record of each telephone order shall include the name of physician giving the order, or other person legally authorized to prescribe, date and time of order, content of order and name of person receiving the order.  The physician, or other person legally authorized to prescribe, who gives oral orders shall sign the orders within five days.

 

History Note:        Authority G.S. 131E‑104;

RRC objection due to lack of statutory authority and ambiguity Eff. July 13, 1995;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

10A NCAC 13D .2502      PRIVATE PHYSICIAN

(a)  Each patient or legal representative shall be allowed to select his or her private physician except in those facilities affiliated with medical teaching programs and having written policies requiring all patients to participate in the medical teaching program.

(b)  The private physician shall fulfill given requirements as determined by applicable state and federal regulations, and the facility's policies and procedures pertaining to physician services.

(c)  The facility shall have the right, after informing the patient, to seek an alternative physician, when requirements are not being met and to ensure that the patient is provided with appropriate, adequate care and treatment.

 

History Note:        Authority G.S. 131E‑104;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

10A NCAC 13D .2503      USE OF NURSE PRACTITIONERS AND PHYSICIAN ASSISTANTS

(a)  Any facility that employs nurse practitioners or physician assistants shall maintain the following information for each nurse practitioner and physician assistant:

(1)           verification of current approval to practice as a nurse practitioner by the Medical Board and Board of Nursing for each practitioner, or verification of current approval to practice as a physician assistant by the Medical Board for each physician assistant; and

(2)           a copy of the job description or contract signed by the nurse practitioner or physician assistant and the supervising physicians.

(b)  The privileges of the nurse practitioner or physician assistant shall be defined by the facility's policies and procedures, and shall be limited to those privileges authorized in 21 NCAC 36 .0802 and .0809 for the nurse practitioner or 21 NCAC 32S .0212 for the physician assistant.

 

History Note:        Authority G.S. 131E-104;

Eff. January 1, 1996;

Amended Eff. November 1, 2014;

Readopted Eff. July 1, 2016.

 

10a NCAC 13D .2504      LABORATORY AND RADIOLOGY SERVICES

The facility shall provide or obtain clinical laboratory and radiology services to ensure that each patient's needs are met.  Such services shall include the following:

(1)           provision of laboratory and radiology services within the facility or by contractual agreement;

(2)           diagnostic testing to be done only in accordance with a medical order;

(3)           reports to be dated once filed in the patient's medical record;

(4)           notification of the physician, nurse practitioner or physician assistant regarding findings; and

(5)           assistance in arranging transportation for the patient when testing must be done other than in the facility.

 

History Note:        Authority G.S. 131E‑104;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

10A NCAC 13D .2505      BRAIN INJURY LONG‑TERM CARE PHYSICIAN SERVICES

(a)  For facility patients located in designated brain injury long‑term care units, there shall be an attending physician who is responsible for the patient's specialized care program.  The intensity of the program requires that there shall be direct patient contact by a physician at least once per week and more often as the patient's condition warrants.  Each patient's interdisciplinary, rehabilitation program shall be developed and implemented under the supervision of a physiatrist (a physician trained in physical medicine and rehabilitation) or a physician of equivalent training and experience.

(b)  If a physiatrist or physician of equivalent training or experience is not available on a weekly basis to the facility, the facility shall provide for weekly medical management of the patient by another physician.  In addition, oversight for the patient's interdisciplinary, long‑term care program shall be provided by a qualified consultant physician who visits patients monthly, makes recommendations for and approves the interdisciplinary care plan, and provides consultation as requested to the physician who is managing the patient on a weekly basis.

(c)  The attending physician shall actively participate in individual case conference or care planning sessions and shall review and sign discharge summaries and records within 15 days of a patient discharge.  When patients are to be discharged to either another health care facility or a residential setting, the attending physician shall ensure that the patient has been provided with a discharge plan which incorporates optimum utilization of community resources and post discharge continuity of care and services.

 

History Note:        Authority G.S. 131E‑104;

RRC objection due to lack of statutory authority Eff. July 13, 1995;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

10A NCAC 13D .2506      PHYSICIAN SERVICES FOR VENTILATOR DEPENDENT PATIENTS

Facilities with ventilator dependent care patients shall contract with a physician who has specialized training in pulmonary medicine.  This physician shall be responsible for respiratory services and shall:

(1)           establish, with the respiratory therapist and nursing staff, appropriate ventilator policies and procedures, including emergency procedures;

(2)           assess each ventilator‑dependent patient's status at least monthly with corresponding progress notes;

(3)           be available on a emergency basis; and

(4)           participate in individual patient care planning.

 

History Note:        Authority G.S. 131E‑104;

RRC objection due to lack of statutory authority and ambiguity Eff. July 13, 1995;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

SECTION .2600 ‑ PHARMACEUTICAL SERVICES

 

10A NCAC 13D .2601      AVAILABILITY OF PHARMACEUTICAL SERVICES

(a)  The facility shall provide pharmaceutical services under the supervision of a pharmacist, including procedures that ensure the accurate acquiring, receiving and administering of all drugs and biologicals.

(b)  The facility shall be responsible for obtaining drugs, therapeutic nutrients and related products prescribed or ordered by a physician for patients in the facility.

(c)  To ensure that drug therapy is rational, safe and effective, a pharmaceutical care assessment shall be conducted in the facility at least every 31 days for each patient.  All new admissions shall receive a pharmaceutical care assessment at the time of the pharmacist's next visit or within 31 days, whichever comes first.  This assessment shall include at least:

(1)           a review of the patient's diagnoses, history and physical, discharge summary, diet, vital signs, current physician's orders, laboratory values, progress notes, interdisciplinary care plans and medication administration records; and

(2)           the pharmacist's progress notes in the patient's medical record which reflect the results of this assessment and, if necessary, recommendations for change based on desired drug outcomes.

 

History Note:        Authority G.S. 131E‑104; 131E-117;

RRC objection due to lack of statutory authority Eff. July 13, 1995;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

10A NCAC 13D .2602      PHARMACY PERSONNEL

(a)  If the pharmacist is an employee of the facility and performs vending or clinical services, an up‑to‑date job description and personnel file shall be maintained.

(b)  If pharmaceutical vending or clinical services are contracted, there shall be a current written agreement for each service which includes a statement of responsibilities for each party.

(c)  The facility shall keep, or be able to make available, a copy of the current license of the pharmacists.

 

History Note:        Authority G.S. 131E‑104; 131E-117;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

10A NCAC 13D .2603      ADMINISTRATIVE RESPONSIBILITIES

(a)  The pharmacist shall report any potential drug therapy irregularities or discrepancies in drug accountability and administration with recommendations for change to the director of nursing and the attending physician.  Recommendations shall be communicated to the health care professionals in the facility who have the authority to effect a change.  These reports shall be submitted monthly following the pharmacist's pharmaceutical care assessments.

(b)  The administrator shall ensure documentation of action taken relative to the pharmacist's reports.

 

History Note:        Authority G.S. 131E‑104; 131E-117;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

10A NCAC 13D .2604      DRUG PROCUREMENT

(a)  The facility shall not possess a stock of prescription drugs for general or common use except as permitted by the North Carolina Board of Pharmacy and as follows:

(1)           for all intravenous and irrigation solutions in single unit quantities exceeding 49 ml. and related equipment for the use and administration of such;

(2)           diagnostic agents;

(3)           vaccines;

(4)           drugs designated for inclusion in an emergency kit approved by the facility's Quality Assurance Committee;

(5)           water for injection; and

(6)           normal saline for injection.

(b)  Patient Drugs:

(1)           The contents of all prescriptions shall be kept in the original container bearing the original label as described in Subparagraph (b)(2) of this Rule.

(2)           Except in a 72-hour or less unit dose system, each individual patient's prescription drugs shall be labeled with the following information:

(A)          the name of the patient for whom the drug is intended;

(B)          the most recent date of issue;

(C)          the name of the prescriber;

(D)          the name and concentration of the drug, quantity dispensed, and prescription serial number;

(E)           a statement of generic equivalency which shall be indicated if a brand other than the brand prescribed is dispensed;

(F)           the expiration date, unless dispensed in a single unit or unit dose package;

(G)          auxiliary statements as required of the drug;

(H)          the name, address and telephone number of the dispensing pharmacy; and

(I)            the name of the dispensing pharmacist.

(c)  Non-prescription drugs shall be kept in the original container as received from the supplier and shall be labeled with at least:

(1)           the name and concentration of the drug, and quantity packaged;

(2)           the name of the manufacturer, lot number and expiration date.

 

History Note:        Authority G.S. 131E-104; 131E-117;

Eff. January 1, 1996;

Amended Eff. January 1, 2013;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

10A NCAC 13D .2605      DRUG STORAGE AND DISPOSITION

(a)  A facility shall ensure that drug storage areas are clean, secure, well lighted and well ventilated; that room temperature is maintained between 59 degrees F. and 86 degrees F.; and that the following conditions are met:

(1)           All drugs shall be maintained under locked security except when under the direct physical supervision of a nurse or pharmacist.

(2)           Drugs requiring refrigeration shall be stored in a refrigerator containing a thermometer and capable of maintaining a temperature range of 2 degrees C. to 8 degrees C. (36 degrees F. to 46 degrees F.)   Drug containers must be placed in another container separate from non-drug items when stored in a refrigerator.

(3)           Drugs intended for topical use, except for ophthalmic, otic and transdermal medications, shall be stored in an area separate from the drugs intended for oral and injectable use.

(4)           Drugs that are outdated, discontinued or deteriorated shall be removed from the facility within five days.

(b)  Upon discontinuation of a drug or upon discharge of a patient, the remainder of the drug supply shall be disposed of according to the facility's policy. If it is reasonably expected that the patient will return to the facility and that the drug therapy will be resumed, the remaining drug supply may be held for not more than 30 calendar days after the date of discharge or discontinuation.

(c)  The disposition of drugs shall be in accordance with written policies and procedures established by the Quality Assurance Committee.

(d)  Destruction of controlled substances shall be in compliance with Disposal of Unused Controlled Substances From Nursing Home as described in 10A NCAC 26E .0406, which is hereby incorporated by reference including subsequent amendments. These Rules can be accessed online at http://reports.oah.state.nc.us/ncac.asp.

 

History Note:        Authority G.S. 131E‑104; 131E-117;

RRC objection due to lack of statutory authority Eff. July 13, 1995;

Eff. January 1, 1996;

Amended Eff. July 1, 2012;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

10A NCAC 13D .2606      PHARMACEUTICAL RECORDS

(a)  A facility shall ensure that accurate records of the receipt, use and disposition of drugs are maintained and readily available.

(b)  A facility shall ensure accountability of controlled substances as defined by the Disposal of Unused Controlled Substances From Nursing Home as described in 10A NCAC 26E .0406, which is hereby incorporated by reference including subsequent amendments. These Rules can be accessed online at http://reports.oah.state.nc.us/ncac.asp.

 

History Note:        Authority G.S. 131E‑104; 131E-117;

RRC objection due to lack of statutory authority Eff. July 13, 1995;

Eff. January 1, 1996;

Amended Eff. July 1, 2012;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

10A NCAC 13D .2607      EMERGENCY DRUGS

(a)  A facility shall maintain a supply of emergency drugs in compliance with 10A NCAC 26E .0408 which is hereby incorporated by reference including subsequent amendments. This Rule can be accessed online at http://reports.oah.state.nc.us/ncac.asp.

(b)  Emergency drugs shall be stored in a portable container sealed with an easily breakable closure which cannot be resealed or reused and shall be readily accessible for use.

(c)  Emergency drug kits shall be stored in a locked storage cabinet or room out of sight of patients and the general public.  If stored in a locked area the kits shall be accessible to all licensed nursing personnel.

(d)  All emergency drugs and quantity to be maintained shall be approved by the Quality Assurance Committee as defined in 10A NCAC 13D .2212.

(e)  If emergency drug items require refrigerated storage, they shall be stored in a separate sealed container within the medication refrigerator. The container shall be labeled to indicate the emergency status of the enclosed drug and sealed as indicated in Paragraph (b) of this Rule.

(f)  An accurate inventory of emergency drugs and supplies shall be maintained with each emergency drug kit.

(g)  A facility shall examine the refrigerated and non‑refrigerated emergency drug supply at least every 90 days and make any necessary changes at that time.

(h)  The facility shall have written policies and procedures which are enforced to ensure that in the event the sealed emergency drug container is opened and contents utilized, steps are taken to replace the items used.

(i)  The availability of a controlled substance in an emergency kit shall be in compliance with the North Carolina Controlled Substances Act and Regulations (10A NCAC 26E) which is hereby incorporated by reference including subsequent amendments. These Rules can be accessed online at http://reports.oah.state.nc.us/ncac.asp.

 

History Note:        Authority G.S. 131E‑104; 131E-117;

RRC objection due to lack of statutory authority Eff. July 13, 1995;

Eff. January 1, 1996;

Amended Eff. July 1, 2012;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

SECTION .2700 - DIETARY SERVICES

 

10A NCAC 13D .2701      PROVISION OF NUTRITION AND DIETETIC SERVICES

(a)  A facility shall ensure that each patient is provided with a palatable diet that meets his or her daily nutritional and specialized nutritional needs.

(b)  The facility shall designate a person to be known as the director of food service who shall be responsible for the facility's dietetic service and for supervision of dietetic service personnel.

(c)  Based on a resident's assessment, the nursing home must ensure that a patient maintains nutritional status, such as body weight and protein levels, unless the patient's clinical condition demonstrates that it is not possible.

(d)  There shall be sufficient personnel employed to meet the nutritional needs of all patients in the areas of therapeutic diets, food preparation and service, principles of sanitation, and resident's preferences as related to food services.

(e)  The facility shall ensure that menus are followed which meet the nutritional needs of patients in accordance with the recommended dietary allowances of the Food and Nutrition Board of the National Research Council, National Academy of Sciences which are incorporated by reference, including subsequent amendments.  Copies of this publication may be obtained by contacting The National Academy Press, 500 Fifth St. N.W., Washington, D.C. 20001 or accessing it at http://www.nap.edu/catalog.php?record_id=1349.  Menus shall:

(1)           be planned at least 14 days in advance,

(2)           provide for substitutes of similar nutritive value for patients who refuse food that is served, and

(3)           be provided to patients orally or written through such methods as posting and daily announcements.

(f)  Food must be prepared to conserve its nutritive value and appearance.

(g)  Food shall be served at the preferred temperature as discerned by the resident and customary practice, in a form to meet the patient's individual needs and with assistive devices as dictated by the patient's needs.  Hot foods shall leave the kitchen (or steam table) above 135 degrees F; and cold foods below 41 degrees F.  The freezer must keep frozen foods frozen solid.

(h)  If patients require assistance in eating, food shall be maintained at the appropriate temperature until assistance is provided.

(i)  All diets, including enteral and parenteral nutrition therapy, shall be as ordered by the physician or other legally authorized person, and served as ordered.

(j)  At least three meals shall be served daily to all patients in accordance with medical orders.

(k)  No more than 14 hours shall elapse between an evening meal containing a protein food and a morning meal containing a protein food.

(l)  Hour-of-sleep (hs) nourishment shall be available to patients upon request or in accordance with nutritional plans.

(m)  Between-meal fluids for hydration shall be available and offered to all patients in accordance with medical orders.

(n)  The facility shall have a current online or hard copy nutrition care manual or handbook approved by the dietitian, medical staff and the Administrator which shall be used in the planning of the regular and therapeutic diets and be accessible to all staff.

(o)  Food services shall comply with Rules Governing the Sanitation of Restaurants and Other Foodhandling Establishments (15A NCAC 18A .1300) as promulgated by the Commission for Public Health which are incorporated by reference, including subsequent amendments, assuring storage, preparation, and serving of food under sanitary conditions.  Copies of these Rules can be accessed online at http://www.deh.enr.state.nc.us/rules.htm.

 

History Note:        Authority G.S. 90-368(4); 131E-104;

RRC objection due to lack of statutory authority Eff. July 13, 1995;

Eff. January 1, 1996;

Amended Eff. August 1, 2012;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

SECTION .2800 ‑ ACTIVITIES, RECREATION AND SOCIAL SERVICES

 

10A NCAC 13D .2801      ACTIVITY SERVICES

(a)  The facility shall provide a program of activities that is on‑going and in accordance with the comprehensive assessment, and that promotes the interests, as well as physical, mental and psychosocial well‑being, of each patient.

(b)  The administrator shall designate an activities director who shall be responsible for activity and recreational services for all patients and who shall have appropriate management authority.  The director shall:

(1)           be a recreation therapist or be eligible for certification as a therapeutic recreation specialist by a recognized accrediting body; or

(2)           have two years of experience in a social or recreation program within the last five years, one of which was full‑time in a patient activities program in a health care setting; or

(3)           be an occupational therapist or occupational therapy assistant; or

(4)           be certified by the National Certification Council for Activity Professionals; or

(5)           have completed an activities training course approved by the State.

 

History Note:        Authority G.S. 131E‑104; 143B‑165(10); 42 C.F.R. 483.15(f);

RRC objection due to lack of statutory authority Eff. July 13, 1995;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

10A NCAC 13D .2802      SOCIAL SERVICES

(a)  The facility shall provide medically‑related social services to attain or maintain the highest practicable physical, mental and psychosocial well‑being of each resident.

(b)  The administrator shall designate an employee to be responsible full‑time for social services.

(c)  A facility with more than 120 nursing beds shall employ on a full time basis, a social worker who has:

(1)           a Bachelors' degree in social work or a Bachelors' degree in human services field, including but not limited to sociology special education, rehabilitation counseling and psychology; and

(2)           one year of supervised social work experience in a health care setting working directly with patients.

 

History Note:        Authority G.S. 131E‑104;

RRC objection due to lack of statutory authority Eff. July 13, 1995;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

SECTION .2900 ‑ SPECIAL REQUIREMENTS

 

10A NCAC 13D .2901      REPORT OF DEATH

The facility shall have a written plan to be followed in case of patient death.  The plan shall provide for the following:

(1)           collection of data needed for the death certificate as required by G.S. 130A‑117;

(2)           recording time of death;

(3)           pronouncement of death in accordance with facility policy;

(4)           notification of the attending physician responsible for signing the death certificate;

(5)           documented notification of next of kin or legal guardian;

(6)           authorization and release of the body to a funeral home.

 

History Note:        Authority G.S. 131E‑104;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

10A NCAC 13D .2902      PETS

When facility policies permit pets in the facility, the following conditions shall be met:

(1)           The facility policy shall not be in violation of any local health ordinances regarding pet health and control.

(2)           Pets shall not be permitted to enter areas where food is being prepared.

 

History Note:        Authority G.S. 131E‑104;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

SECTION .3000 - SPECIALLY DESIGNATED UNITS

 

10A NCAC 13D .3001      SPECIALIZED REHABILITATIVE AND HABILITATIVE SERVICES

10A NCAC 13D .3002      QUALITY OF SPECIALIZED REHABILITATION SERVICES

 

History Note:        Authority G.S. 131E-104;

RRC objection due to lack of statutory authority Eff. July 13, 1995 (Rule .3002);

Eff. January 1, 1996;

Repealed Eff. January 1, 2013.

 

10A NCAC 13D .3003      VENTILATOR DEPENDENCE

The general requirements in this Subchapter shall apply when applicable.  In addition, facilities having patients requiring the use of ventilators for more than eight hours a day shall meet the following requirements:

(1)           The facility shall be located within 30 minutes of an acute care facility.

(2)           Respiratory therapy shall be provided and supervised by a respiratory therapist currently registered by the National Board for Respiratory Care.  The respiratory therapist shall:

(a)           make, as a minimum, weekly on‑site assessments of each patient receiving ventilator support with corresponding progress notes;

(b)           be on‑call 24 hours daily; and

(c)           assist the pulmonologist and nursing staff in establishing ventilator policies and procedures, including emergency policies and procedures.

(3)           Direct nursing care staffing shall be in accordance with Rule .3005 of this Section.

 

History Note:        Authority G.S. 131E‑104;

RRC objection due to lack of statutory authority Eff. July 13, 1995;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

10A NCAC 13D .3004      BRAIN INJURY LONG‑TERM CARE

(a)  The general requirements in this Subchapter shall apply when applicable, but brain injury long term care units shall meet the supplement requirements in Rules .3004 and .3005 of this Section.  The facility shall provide services through a medically supervised interdisciplinary process as provided in Rule .2505 of this Subchapter and that are directed toward maintaining the individual at the optimal level of physical, cognitive and behavioral functioning.  Following are the minimum requirements for specific services that may be necessary to maintain the individual at optimum level:

(1)           Overall supervisory responsibility for brain injury long term care services shall be assigned to a registered nurse with one year experience in caring for brain injured patients.

(2)           Physical therapy shall be provided by a physical therapist with a current valid North Carolina license.  Occupational therapy shall be provided by an occupational therapist with a current valid North Carolina License.  The services of a physical therapist and occupational therapist shall be combined to provide one full‑time equivalent position for each 20 patients.  The assistance of a physical therapy aide and occupational therapy aide, with appropriate supervision, shall be combined to provide one full‑time equivalent position for each 20 patients.  A proportionate number of hours shall be provided for a census less than 20 patients.

(3)           Clinical nutrition services shall be provided by a dietitian with two years clinical training and experience in nutrition.  The number of hours of clinical nutrition services on either a full‑time or part‑time employment or contract basis shall be adequate to meet the needs of the patients.  Each patient's nutrition needs shall be reviewed at least monthly.  Clinical nutrition services shall include:

(A)          Assessing the appropriateness of the ordered diet for conformance with each patient's physiological and pharmacological condition.

(B)          Evaluating each patient's laboratory data in relation to nutritional status and hydration.

(C)          Applying technical knowledge of feeding tubes, pumps and equipment to each patient's specialized needs.

(4)           Clinical social work shall be provided by a social worker meeting the requirements of Rule .2802 of this Subchapter.

(5)           Recreation therapy, when required, shall be provided on either a full‑time or part‑time employment or contract basis by a clinician eligible for certification as a therapeutic recreation specialist by the State of North Carolina Therapeutic Recreational Certification Board.  The number of hours of therapeutic recreation services shall be adequate to meet the needs of the patients.  In event that a qualified specialist is not locally available, alternate treatment modalities shall be developed by the occupational therapist and reviewed by the attending physician.  The program designed shall be adequate to meet the needs of this specialized population and shall be administered in accordance with Section .3000 of this Subchapter.

(6)           Speech therapy, when required, shall be provided by a clinician with a current valid license in speech pathology issued by the State Board of Speech and Language Pathologists and Audiologists.

(7)           Respiratory therapy, when required, shall be provided by an individual meeting the same qualifications for providing respiratory therapy under Rule .3003 of this Section.

(b)  Each patient's program shall be governed by an interdisciplinary treatment plan incorporating and expanding upon the health plan required under Section .2300 of this Subchapter.  The plan is to be initiated on the first day of admission.  Upon completion of baseline data development and an integrated interdisciplinary assessment, the initial treatment plan is to be expanded and finalized within 14 days of admission.  Through an interdisciplinary process the treatment plan shall be reviewed at least monthly and revised as appropriate.  In executing the treatment plan, the interdisciplinary team shall be the major decision making body and shall determine the goals, process, and time frames for accomplishment of each patient's program.  Disciplines to be represented on the team shall be medicine, nursing, clinical pharmacy and all other disciplines directly involved in the patient's treatment or treatment plan.

(c)  Each patient's overall program shall be assigned to an individually designated case manager.  The case manager acts as the coordinator for assigned patients.  Any professional staff member involved in a patient's care may be assigned this responsibility for one or more patients.  Professional staff may divide this responsibility for all patients on the unit in the best manner to meet all patients' needs for a coordinated, interdisciplinary approach to care.  This case manager shall be responsible for:

(1)           coordinating the development, implementation and periodic review of the patient's treatment plan;

(2)           preparing a monthly summary of the patient's progress;

(3)           cultivating the patient's participation in the program;

(4)           general supervision of the patient during the course of treatment;

(5)           evaluating appropriateness of the treatment plan in relation to the attainment of stated goals; and

(6)           assuring that discharge decisions and arrangements for post discharge follow‑up are properly made.

(d)  For each 20 patients or fraction thereof, dedicated treatment facilities and equipment shall be provided as follows:

(1)           a combined therapy space equal to or exceeding 600 square feet, adequately equipped and arranged to support each of the therapies;

(2)           access to one full reclining wheel chair per patient;

(3)           special physical therapy and occupational therapy equipment for use in fabricating positioning devices for beds and wheelchairs including splints, casts, cushions, wedges, and bolsters; and

(4)           roll‑in bath facilities with a dressing area available to all patients, providing maximum privacy to the patient.

 

History Note:        Authority G.S. 131E‑104;

RRC objection due to lack of statutory authority Eff. July 13, 1995;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

10A NCAC 13D .3005      SPECIAL NURSING REQUIREMENTS FOR BRAIN INJURY LONG‑TERM CARE

Direct care nursing personnel staffing ratios established in Rule .2303 of this Subchapter shall not be applied to nursing services for patients who require brain injury long‑term care.  The minimum direct care nursing staff shall be 5.5 hours per patient day, allocated on a per shift basis as the facility chooses, to appropriately meet the patients' needs.  It is also required that regardless of how low the patient census, the direct care nursing staff shall not fall below a registered nurse and a nurse aide I at any time during a 24‑hour period.

 

History Note:        Authority G.S. 131E‑104;

RRC objection due to lack of statutory authority Eff. July 13, 1995;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

10A NCAC 13D .3006      RESERVED FOR FUTURE CODIFICATION

 

10A NCAC 13D .3007      RESERVED FOR FUTURE CODIFICATION

 

10A NCAC 13D .3008      RESERVED FOR FUTURE CODIFICATION

 

10A NCAC 13D .3009      RESERVED FOR FUTURE CODIFICATION

 

10A NCAC 13D .3010      RESERVED FOR FUTURE CODIFICATION

 

10A NCAC 13D .3011      HIV DESIGNATED UNIT POLICIES AND PROCEDURES

10A NCAC 13D .3012      PHYSICIAN SERVICES IN AN HIV DESIGNATED UNIT

10A NCAC 13D .3013      SPECIAL NURSING REQUIREMENTS FOR AN HIV DESIGNATED UNIT

10A NCAC 13D .3014      SPECIALIZED STAFF EDUCATION FOR HIV DESIGNATED UNITS

10A NCAC 13D .3015      USE OF INVESTIGATIONAL DRUGS FOR HIV DESIGNATED UNITS

10A NCAC 13D .3016      ADDITIONAL SOCIAL WORK REQUIREMENTS FOR HIV DESIGNATED UNITS

 

History Note:        Authority G.S. 131E-104;

RRC objection due to ambiguity Eff. July 13, 1995 (Rules .3011, .3012);

RRC objection due to lack of statutory authority and ambiguity Eff. July 13, 1995 (Rule .3013);

RRC objection due to lack of statutory authority Eff. July 13, 1995 (Rules .3015, .3016);

Eff. January 1, 1996;

Repealed Eff. January 1, 2013.

 

10A NCAC 13D .3017      RESERVED FOR FUTURE CODIFICATION

 

10A NCAC 13D .3018      RESERVED FOR FUTURE CODIFICATION

 

10A NCAC 13D .3019      RESERVED FOR FUTURE CODIFICATION

 

10A NCAC 13D .3020      RESERVED FOR FUTURE CODIFICATION

 

10A NCAC 13D .3021      PHYSICIAN REQUIREMENTS FOR INPATIENT REHABILITATION FACILITIES OR UNITS

10A NCAC 13D .3022      ADMISSION CRITERIA FOR INPATIENT REHABILITATION FACILITIES OR UNITS

10A NCAC 13D .3023      COMPREHENSIVE INPATIENT REHABILITATION EVALUATION

10A NCAC 13D .3024      COMPREHENSIVE INPATIENT REHABILITATION INTERDISCIPLINARY TREAT/PLAN

10A NCAC 13D .3025      DISCHARGE CRITERIA FOR INPATIENT REHABILITATION FACILITIES OR UNITS

10A NCAC 13D .3026      COMPREHENSIVE REHABILITATION PERSONNEL ADMINISTRATION

10A NCAC 13D .3027      COMPREHENSIVE INPATIENT REHABILITATION PROGRAM STAFFING REQUIREMENTS

10A NCAC 13D .3028      STAFF TRAINING FOR INPATIENT REHABILITATION FACILITIES OR UNIT

10A NCAC 13D .3029      EQUIPMENT REQS/COMPREHENSIVE INPATIENT REHABILITATION PROGRAMS

10A NCAC 13D .3030      PHYSICAL FACILITY REQS/INPATIENT REHABILITATION FACILITIES OR UNIT

 

History Note:        Authority G.S. 131E-104;

RRC objection due to lack of statutory authority Eff. July 13, 1995 (Rules .3021, .3027);

Eff. January 1, 1996;

Repealed Eff. January 1, 2013.

 

10A NCAC 13D .3031      ADDITIONAL REQUIREMENTS FOR SPINAL CORD INJURY PATIENTS

Inpatient rehabilitation facilities providing services to persons with spinal cord injuries shall meet the requirements in this Rule in addition to those identified in this Section.

(1)           Direct‑care nursing personnel staffing ratios established in Rule .3027 of this Section shall not be applied to nursing services for spinal cord injury patients in the inpatient rehabilitation facility or unit.  The minimum nursing hours per spinal cord injury patient in the unit shall be 6.0 nursing hours per patient day.  At no time shall direct care nursing staff be less than two full‑time equivalents, one of which shall be a registered nurse.

(2)           The inpatient rehabilitation facility or unit shall employ or provide by contractual agreements physical, occupational or speech therapists in order to provide a minimum of 4.0 hours of specific or combined rehabilitation therapy services per spinal cord injury patient day.

(3)           The facility shall provide special facility or special equipment needs of patients with spinal cord injury, including specially designed wheelchairs, tilt tables and standing tables.

(4)           The medical director of an inpatient spinal cord injury program shall have either two years experience in the medical care of persons with spinal cord injuries or six months minimum in a spinal cord injury fellowship.

(5)           The facility shall provide continuing education in the care and treatment of spinal cord injury patients for all staff.

(6)           The facility shall provide specific staff training and education in the care and treatment of spinal cord injury.

(7)           The size of the spinal cord injury program shall be adequate to support a comprehensive, dedicated ongoing spinal cord injury program.

 

History Note:        Authority G.S. 131E‑104;

RRC objection due to lack of statutory authority Eff. July 13, 1995;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

10A NCAC 13D .3032      RESERVED FOR FUTURE CODIFICATION

 

10A NCAC 13D .3033      DEEMED STATUS FOR INPATIENT REHABILITATION FACILITIES OR UNITS

 

History Note:        Authority G.S. 131E-104;

Eff. January 1, 1996;

Repealed Eff. January 1, 2013.

 

SECTION .3100 ‑ DESIGN AND CONSTRUCTION

 

10A NCAC 13D .3101      GENERAL RULES

(a)  Each facility shall be planned, constructed, equipped, and maintained to provide the services offered in the facility.

(b)  A new facility or remodeling of an existing facility shall meet the requirements of the North Carolina State Building Codes which are incorporated by reference, including all subsequent amendments.  Copies of these codes may be purchased from the International Code Council online at http://www.iccsafe.org/Store/Pages/default.aspx at a cost of five hundred twenty-seven dollars ($527.00) or accessed electronically free of charge at http://www.ecodes.biz/ecodes_support/Free_Resources/2012NorthCarolina/12NorthCarolina_main.html. Existing licensed facilities shall meet the requirements of the North Carolina State Building Codes in effect at the time of construction or remodeling.

(c)  Any existing building converted from another use to a nursing facility shall meet all requirements of a new facility.

(d)  The sanitation, water supply, sewage disposal, and dietary facilities shall comply with the rules of the North Carolina Division of Public Health, Environmental Health Services Section, which are incorporated by reference, including all subsequent amendments.  The "Rules Governing the Sanitation of Hospitals, Nursing Homes, Adult Care Homes and Other Institutions", 15A NCAC 18A .1300 are available for inspection at the North Carolina Department of Health and Human Services, Division of Public Health, Environmental Health Services Section 5605 Six Forks Road, Raleigh, North Carolina 27509.

Copies may be obtained from the Environmental Health Services Section, 1632 Mail Service Center, Raleigh, NC 27699-1632  at no. cost, or can accessed electronically free of charge at http://reports.oah.state.nc.us/ncac.asp?folderName=\Title 15A - Environment and Natural Resources\Chapter 18 - Environmental Health.

(e)  The adult care home portion of a combination facility shall meet the rules for a nursing facility contained in Sections .3100, .3200, and .3400 of this Subchapter, except when separated by two-hour fire resistive construction. When separated by two-hour fire-resistive construction, the adult care home portion of the facility shall meet the rules for adult care homes in 10A NCAC 13F, Licensing of Adult Care Homes, which are incorporated by reference, including all subsequent amendments; and adult care home resident areas must be located in the adult care home section of the facility. Copies of 10A NCAC 13F can be obtained free of charge from the Division of Health Service Regulation, Adult Care Licensure Section, 2708 Mail Service Center, Raleigh, NC 27699-2708, or accessed electronically free of charge at http://reports.oah.state.nc.us/ncac/title%2010a%20-%20health%20and%20human%20services/chapter%2013%20-%20nc%20medical%20care%20commission/subchapter%20d/subchapter%20d%20rules.html.

(f)  An addition to an existing facility shall meet the same requirements as a new facility.

 

History Note:        Authority G.S. 131E-102; 131E-104;

Eff. January 1, 1996;

Amended Eff. July 1, 2014;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

10A NCAC 13D .3102      APPLICATION OF PHYSICAL PLANT REQUIREMENTS

The physical plant requirements for each facility shall be applied as follows:

(1)           New construction shall comply with the requirements of Sections .3100‑.3400 of this Subchapter.

(2)           Except where otherwise specified, existing buildings shall meet licensure and code requirements in effect at the time of construction, alteration or modification.

(3)           New additions, alterations, modifications and repairs shall meet the technical requirements of Sections .3100‑.3400 of this Subchapter; however, where strict conformance with current requirements would be impractical, the Division may approve alternative measures where the facility can demonstrate to the Division's satisfaction that the alternative measures do not reduce the safety or operating effectiveness of the facility.

(4)           Rules contained in Sections .3100‑.3400 of this Subchapter are minimum requirements and are not intended to prohibit buildings, systems or operational conditions that exceed minimum requirements.

(5)           Equivalency: Alternate methods, procedures, design criteria and functional variations from the physical plant requirements, because of extraordinary circumstances, new programs or unusual conditions, may be approved by the Division when the facility can effectively demonstrate to the Division's satisfaction, that the intent of the physical plant requirements are met and that the variation does not reduce the safety or operational effectiveness of the facility.

(6)           Where rules, codes or standards have any conflict, the most stringent requirement shall apply.

 

History Note:        Authority G.S. 131E‑104;

Eff. January 1, 1996;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

10A NCAC 13D .3103      SITE

The site of a proposed facility must be approved by the Department prior to construction as:

(1)           accessible by public roads;

(2)           accessible to fire fighting services;

(3)           having a water supply, sewage disposal system, garbage disposal system, and trash disposal system approved by the local health department having jurisdiction;

(4)           meeting all local ordinances and zoning laws; and

(5)           being free from exposure to hazards and pollutants.

 

History Note:        Authority G.S. 131E-102; 131E-104;

Eff. January 1, 1996;

Amended Eff. July 1, 2014;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

10A NCAC 13D .3104      PLANS AND SPECIFICATIONS

(a)  When construction or remodeling of a facility is planned, one copy of construction documents and specifications shall be submitted by the owner or owner's appointed representative to the Department for review and approval. As a preliminary step to avoid last minute difficulty with construction documents approval, schematic design drawings and design development drawings may be submitted for approval prior to the required submission of construction documents.

(b)  Approval of construction documents and specifications shall be obtained from the Department prior to licensure. Approval of construction documents and specifications shall expire one year after the date of approval unless a building permit for the construction has been obtained prior to the expiration date of the approval of construction documents and specifications.

(c)  If an approval expires, renewed approval shall be issued by the Department, provided revised construction documents and specifications meeting the standards established in Sections .3100, .3200, and .3400 of this Subchapter are submitted by the owner or owner's appointed representative and reviewed by the Department.

(d)  Any changes made during construction shall require the approval of the Department in order to maintain compliance with the standards established in Sections .3100, .3200, and .3400 of this Subchapter.

(e)  Completed construction or remodeling shall conform to the standards established in Sections .3100, .3200, and .3400 of this Subchapter.  Construction documents and building construction including the operation of all building systems shall be approved in writing by the Department prior to licensure or patient and resident occupancy.

(f)  The owner or owner's appointed representative shall notify the Department in writing either by U.S. Mail or e-mail when actual construction or remodeling is complete.

 

History Note:        Authority G.S. 131E-102; 131E-104;

Eff. January 1, 1996;

Amended Eff. July 1, 2014;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

SECTION .3200 ‑ FUNCTIONAL REQUIREMENTS

 

10A NCAC 13D .3201      REQUIRED SPACES

(a)  A facility shall meet the following requirements for bedrooms:

(1)           single bedrooms shall be provided with not less than 100 square feet of floor area;

(2)           bedrooms with more than one bed shall be provided with not less than 80 square feet of floor area per bed;

(3)           bedrooms shall have windows with views to the outdoors.  The gross window area shall not be less than eight percent of the bedroom floor area required by Subparagraphs (1) and (2) of this Paragraph;

(4)           each bedroom shall be provided with one closet or wardrobe per bed.  In nursing facilities and the nursing home portion of combination facilities, the closet or wardrobe shall have clothing storage space of not less than 36 cubic feet per bed with one-half of this space for hanging clothes.  In the adult care home portion of a combination facility, the closet or wardrobe shall have clothing storage space of not less than 48 cubic feet per bed with one-half of this space for hanging clothes; and

(5)           floor space for closets, toilet rooms, vestibules, or wardrobes shall not be included in the areas required by this Subparagraph.

(b)  A facility shall meet the following requirements for dining, activity, and common use areas:

(1)           nursing facilities and the nursing home portion of combination facilities shall have:

(A)          a separate area or areas set aside for dining, measuring not less than 10 square feet per bed;

(B)          a separate area or areas set aside for activities, measuring not less than 10 square feet per bed; and

(C)          an additional dining, activity and common use area or areas, measuring not less than five square feet per bed.  This area may be in a separate area or combined with the separate dining and activity areas required by Part (A) and (B) of this Subparagraph. 

(2)           the adult care home portion of combination facilities shall have:

(A)          a separate area or areas set aside for dining, measuring not less than 14 square feet per bed; and

(B)          a separate area or areas set aside for activities, measuring not less than 16 square feet per bed.

(3)           the dining room area or areas required by this Paragraph may be combined.

(4)           the activity area or areas in nursing facilities and the nursing home portion of combination facilities shall not be combined with the activity area or areas in the adult care home portion of combination facilities.

(5)           floor space for physical, occupational, and rehabilitation therapy shall not be included in the areas required by this Paragraph.  Closets and storage units for equipment and supplies shall not be included in the areas required by this Paragraph.

(6)           dining, activity, and common use areas shall be designed and equipped to provide accessibility to both patients and residents confined to wheelchairs and ambulatory patients or residents.

(7)           dining, activity, and common use areas required by this Paragraph shall have windows with views to the outdoors.  The gross window area shall not be less than eight percent of the required floor area required by Subparagraphs (1) and (2) of this Paragraph.

(8)           for facilities designed with household units for 30 or fewer patients or residents, the dining and activity areas may be combined.

(c)  Outdoor areas for individual and group activities shall be provided and shall be accessible to patients and residents with physical disabilities.  In the adult care portion of a combination facility, a nursing unit with a control mechanism and staff procedures as required by Rule .3404(f) of this Subchapter shall have direct access to an outdoor area.

(d)  Some means for patients and residents to lock personal articles within the facility shall be provided.

(e)  A facility shall meet the following requirements for toilet rooms, tubs, showers, and central bathing areas:

(1)           a toilet room shall contain a toilet and lavatory.  If a lavatory is provided in each bedroom, the toilet room is not required to have a lavatory.

(2)           a toilet room shall be accessible from each bedroom without going through the general corridor.

(3)           one toilet room may serve two bedrooms, but not more than eight beds.

(4)           one tub or shower shall be provided for each 15 beds not individually served by a tub or shower.

(5)           for each 120 beds or fraction thereof, a central bathing area shall be provided with the following:

(A)          a bathtub or a manufactured walk-in bathtub or a similar manufactured bathtub designed for easy transfer of patients and residents into the tub.  Bathtubs shall be accessible on three sides.  Manufactured walk-in bathtubs or a similar manufactured bathtubs shall be accessible on two sides;

(B)          a roll-in shower designed and equipped for unobstructed ease of shower chair entry and use.  If a bathroom with a roll-in shower designed and equipped for unobstructed ease of shower chair entry adjoins each bedroom in the facility, the central bathing area is not required to have a roll-in shower;

(C)          a toilet and lavatory; and

(D)          a cubicle curtain enclosing the toilet, tub, and shower.  A closed cubicle curtain at one of these plumbing fixtures shall not restrict access to the other plumbing fixtures.

(f)  For each nursing unit, or fraction thereof on each floor, the following shall be provided:

(1)           a medication preparation area with:

(A)          a counter;

(B)          a double locked narcotic storage area under the visual control of nursing staff;

(C)          a medication refrigerator;

(D)          eye-level medication storage;

(E)           cabinet storage; and

(F)           a sink. The sink shall be trimmed with valves that can be operated without hands.  If the sink is equipped with blade handles, the blade handles shall not be less than four and one half inches in length.  The sink water spout shall be mounted so that its discharge point is a minimum of 10 inches above the bottom of the sink basin;

(2)           a clean utility room with:

(A)          a counter;

(B)          storage; and

(C)          a sink.  The sink shall be trimmed with valves that can be operated without hands.  If the sink is equipped with blade handles, the blade handles shall not be less than four and one half inches in length.  The sink water spout shall be mounted so that its discharge point is a minimum of 10 inches above the bottom of the sink basin;

(3)           a soiled utility room with:

(A)          a counter;

(B)          storage; and

(C)          a sink.  The sink shall be trimmed with valves that can be operated without hands.  If the sink is equipped with blade handles, the blade handles shall not be less than four and one half inches in length.  The sink water spout shall be mounted so that its discharge point is a minimum of 10 inches above the bottom of the sink basin.  The soiled utility room shall be equipped for the cleaning and sanitizing of bedpans as required by 15A NCAC 18A .1312 Toilet: Handwashing: Laundry: And Bathing Facilities;

(4)           a nurses' toilet and locker space for personal belongings;

(5)           a soiled linen storage room.  If the soiled linen storage room is combined with the soiled utility room, a separate soiled linen storage room is not required;

(6)           clean linen storage provided in one or more of the following:

(A)          a separate linen storage room;

(B)          cabinets in the clean utility room; or

(C)          a linen closet;

(7)           a nourishment station in an area enclosed with walls and doors with:

(A)          work space;

(B)          cabinets;

(C)          refrigerated storage; and

(D)          a small stove, microwave, or hot plate;

(8)           an audio-visual nurse-patient call system arranged to ensure that a patient's or resident's call in the facility notifies and directs staff to the location where the call was activated;

(9)           a control point located no more than 150 feet from the furthest patient or resident bedroom door with:

(A)          an area for charting patient and resident records;

(B)          space for storage of emergency equipment and supplies; and

(C)          nurse patient call and alarm annunciation systems; and

(10)         a janitor's closet.

(g)  If a facility is designed with patient or resident household units, a patient and resident dietary area located within the patient or resident household unit may substitute for the nourishment station.  The patient or resident dietary area shall be for the use of staff, patients, residents, and families.  The patient or resident dietary area shall contain:

(1)           cooking equipment;

(2)           a kitchen sink;

(3)           refrigerated storage; and

(4)           storage areas.

(h)  Clean linen storage shall be provided in a separate room from bulk supplies. 

(i)  The kitchen area and laundry area each shall have a janitor's closet.  Administration, occupational and physical therapy, recreation, personal care, and employee areas shall be provided janitor's closets and may share one as a group.

(j)  Stretcher and wheelchair storage shall be provided.

(k)  The facility shall provide patient and resident storage at the rate of not less than five square feet of floor area per licensed bed.  This storage space shall:

(1)           be used by patients and residents to store out-of-season clothing and suitcases;

(2)           be either in the facility or within 500 feet of the facility on the same site; and

(3)           be in addition to the other storage space required by this Rule.

(l)  Office space shall be provided for business transactions.  Office space shall be provided for persons holding the following positions:

(1)           administrator;

(2)           director of nursing;

(3)           social services director;

(4)           activities director; and

(5)           physical therapist.

(m)  Each combination facility shall provide a minimum of one residential washer and residential dryer in a location accessible by adult care home staff, residents, and residents' families.

 

History Note:        Authority G.S. 131E-104; 42 CFR 483.70;

Eff. January 1, 1996;

Amended Eff. August 1, 2014; October 1, 2008;

Readopted Eff. July 1, 2016;

Amended Eff. October 1, 2016.

 

10A NCAC 13D .3202      FURNISHINGS

(a)  A facility shall provide handgrips at all toilet and bath facilities used by residents.  Handrails shall be provided on both sides of all corridors where corridors are defined by walls and used by residents.

(b)  A facility shall provide flame resistant privacy screens or curtains in multi-bedded rooms.

 

History Note:        Authority G.S. 131E-102; 131E-104;

Eff. January 1, 1996;

Amended Eff. July 1, 2014;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

SECTION .3300 ‑ FIRE AND SAFETY REQUIREMENTS

 

10A NCAC 13D .3301      NEW FACILITY REQUIREMENTS

10A NCAC 13D .3302      ADDITIONS

 

History Note:        Authority G.S. 131E-102; 131E-104;

Eff. January 1, 1996;

Repealed Eff. July 1, 2014.

 

SECTION .3400 ‑ MECHANICAL: ELECTRICAL: PLUMBING

 

10A NCAC 13D .3401      HEATING AND AIR CONDITIONING

(a)  A facility shall provide heating and cooling systems complying with the following:

(1)           The American National Standards Institute and American Society of Heating, Refrigerating, and Air Conditioning Engineers Standard 170: Ventilation of Health Care Facilities, which is incorporated by reference, including all subsequent amendments and editions, and may be purchased for a cost of fifty-four dollars ($54.00) online at http://www.techstreet.com/ashrae/lists/ashrae_standards.tmpl.

This incorporation does not apply to Section 7.1, Table 7-1 Design Temperature for Skilled Nursing Facility. The environmental temperature control systems shall be capable of maintaining temperatures in the facility at 71 degrees F. minimum in the heating season and a maximum of 81 degrees F. during the non-heating season; and

(2)           The National Fire Protection Association 90A: Standard for the Installation of Air-Conditioning and Ventilating Systems, which is incorporated by reference, including all subsequent amendments and editions, and may be purchased at a cost of thirty-nine dollars ($39.00) from the National Fire Protection Association online at http://www.nfpa.org/catalog/ or accessed electronically free of charge at http://www.nfpa.org/aboutthecodes/AboutTheCodes.asp?DocNum=90A.

(b)  In a facility, the windows in dining, activity and living spaces, and bedrooms shall be openable from the inside. To inhibit patient and resident elopement from any window, the facility may restrict the window opening to a six-inch opening.

 

History Note:        Authority G.S. 131E-102; 131E-104;

Eff. January 1, 1996;

Amended Eff. July 1, 2014;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

10A NCAC 13D .3402      EMERGENCY ELECTRICAL SERVICE

A facility shall provide an emergency electrical service for use in the event of failure of the normal electrical service. This emergency electrical service shall consist of the following:

(1)           In any existing facility:

(a)           type 1 or 2 emergency lights as required by the North Carolina State Building Codes: Electrical Code;

(b)           additional emergency lights for all control points required by Rule .3201(l)(9) of this Subchapter, medication preparation areas required by Rule .3201(l)(1) of this Subchapter and storage areas, and for the telephone switchboard, if applicable;

(c)           one or more portable battery-powered lamps at each control point required by Rule .3201(l)(9) of this Subchapter; and

(d)           a source of emergency power for life-sustaining equipment, if the facility admits or cares for occupants needing such equipment, to ensure continuous operation with on-site fuel storage for a minimum of 72 hours.

(2)           An emergency power generating set, including the prime mover and generator, shall be located on the premises and shall be reserved exclusively for supplying the essential electrical system. For the purposes of this Rule, the "essential electrical system" means a system comprised of alternate sources of power and all connected distribution systems and ancillary equipment, designed to ensure continuity of electrical power to designated areas and functions of a facility during disruption of normal power sources, and also to minimize disruption within the internal wiring system as defined by the North Carolina State Building Codes: Electrical Code.

(3)           Emergency electrical services shall be provided as required by Rule .3101(b) of this Subchapter with the following modification: Section 517.10(B)(2) of the North Carolina State Building Codes: Electrical Code shall not apply to new facilities.

(4)           The following equipment, devices, and systems which are essential to life safety and the protection of important equipment or vital materials shall be connected to the critical branch of the essential electrical system as follows:

(a)           nurses' calling system;

(b)           fire pump, if installed;

(c)           one elevator, where elevators are used for the transportation of patients;

(d)           equipment such as burners and pumps necessary for operation of one or more boilers and their necessary auxiliaries and controls, required for heating and sterilization, if installed;

(e)           equipment necessary for maintaining telephone service; and

(f)            task illumination of boiler rooms, if applicable.

(5)           A dedicated critical branch circuit per bed for ventilator-dependent patients is required. This critical branch circuit shall be provided with two duplex receptacles identified for emergency use. When staff determines that the electrical life support needs of the patient exceed the requirements stated in this Item, additional critical branch circuits and receptacles shall be provided.  For the purposes of this Rule, a "critical branch circuit" is a circuit of the critical branch subsystem of the essential electrical system which supplies energy to task lighting, selected receptacles and special power circuits serving patient care areas as defined by the North Carolina State Building Codes: Electrical Code. This Item applies to both new and existing facilities.

(6)           Heating equipment provided for ventilator dependent patient bedrooms shall be connected to the critical branch of the essential electrical system and arranged for delayed automatic or manual connection to the emergency power source if the heating equipment depends upon electricity for proper operation.  This Item applies to both new and existing facilities.

(7)           Task lighting connected to the automatically transferred critical branch of the essential electrical system shall be provided for each ventilator dependent patient bedroom.  For the purposes of this Item, task lighting is defined as lighting needed to carry out necessary tasks for the care of a ventilator dependent patient.  This Item applies to both new and existing facilities.

(8)           Where electricity is the only source of power normally used for the heating of space, an essential electrical system shall provide for heating of patient rooms.  Emergency heating of patient rooms shall not be required in areas where the facility is supplied by at least two separate generating sources or a network distribution system with the facility feeders so routed, connected, and protected that a fault any place between the generating sources and the facility will not cause an interruption of more than one of the facility service feeders.

(9)           An essential electrical system shall be so controlled that after interruption of the normal electric power supply, the generator is brought to full voltage and frequency and connected within 10 seconds through one or more primary automatic transfer switches to all emergency lighting, alarms, nurses' call, and equipment necessary for maintaining telephone service.  All other lighting and equipment required to be connected to the essential electrical system shall either be connected through the 10 second primary automatic transfer switching or shall be connected through delayed automatic or manual transfer switching.  If manual transfer switching is provided, staff of the facility shall operate the manual transfer switch.

(10)         Sufficient fuel shall be stored for the operation of the emergency power generator for a period not less than 72 hours, on a 24-hour per day operational basis with on-site fuel storage. The generator system shall be tested and maintained per National Fire Protection Association Health Care Facilities Code, NFPA 99, which is incorporated by reference, including all subsequent amendments and editions. Copies of this code may be obtained from the National Fire Protection Association - online at http://www.nfpa.org/catalog/ or accessed electronically free of charge at http://www.nfpa.org/aboutthecodes/AboutTheCodes.asp?DocNum=99. The facility shall maintain records of the generator system tests and shall make these records available to the Department for inspection upon request.

(11)         The electrical emergency service at existing facilities shall comply with the requirements established in Sections .3100, and .3400 of this Subchapter in effect at the time a license is first issued.  Any remodeling of an existing facility that results in changes to the emergency electrical service shall comply with the requirements established in Sections .3100, and .3400 of this Subchapter in effect at the time of remodeling.

 

History Note:        Authority G.S. 131E-102; 131E-104;

Eff. January 1, 1996;

Amended Eff. July 1, 2014;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

10A NCAC 13D .3403      GENERAL ELECTRICAL

(a)  In a facility, all main water supply shut off valves in the sprinkler system shall be electronically supervised so that if any valve is closed an alarm will sound at a central station manned 24 hours per day, seven days per week.

(b)  No two adjacent emergency lighting fixtures shall be on the same circuit.

(c)  Receptacles in bathrooms shall have ground fault protection.

(d)  Each patient bed location shall be provided with a minimum of four single or two duplex receptacles. Two single receptacles or one duplex receptacle shall be connected to the critical branch of the emergency power system at each bed location.  Each patient bed location shall also be provided with a minimum of two single receptacles or one duplex receptacle connected to the normal electrical system.

(e)  Each patient bed location shall be supplied by at least two branch circuits.

(f)  The fire alarm system shall be installed to transmit an alarm automatically to the fire department that is legally committed to serve the area in which the facility is located.  The alarm shall be transmitted either to a fire department or to a third-party service that shall transmit the alarm to the fire department.  The method used to transmit the alarm shall be approved by local ordinances.

(g)  In patient areas, fire alarms shall be gongs or chimes rather than horns or bells.

 

History Note:        Authority G.S. 131E-102; 131E-104;

Eff. January 1, 1996;

Amended Eff. July 1, 2014;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

10A NCAC 13D .3404      OTHER

(a)  In general patient areas of a facility, each room shall be served by at least one calling station and each bed shall be provided with a call button.  Two call buttons serving adjacent beds may be served by one calling station. Calls shall register with the floor staff and shall activate a visible signal in the corridor at the patient's or resident's door. On multi-corridor nursing units, additional visible signals shall be installed at corridor intersections. In rooms containing two or more calling stations, indicating lights shall be provided at each station.  Nurses' calling systems that provide two-way voice communication shall be equipped with an indicating light at each calling station that lights and remains lighted as long as the voice circuit is operating.  A nurses' call emergency button shall be provided for patients' and residents' use at each patient and resident toilet, bath, and shower.

(b)  A facility shall provide:

(1)           at least one telephone located to be accessible by patients, residents, and families for making local phone calls; and

(2)           cordless telephones or telephone jacks in patient and resident rooms to allow access to a telephone by patients and residents when needed.

(c)  Outdoor lighting shall be provided to illuminate walkways and drives.

(d)  A flow of hot water shall be within safety ranges specified as follows:

(1)           Patient Areas - 6 1/2 gallons per hour per bed and at a temperature of 100 to 116 degrees F;

(2)           Dietary Services - 4 gallons per hour per bed and at a minimum temperature of 140 degrees F; and

(3)           Laundry Area - 4 1/2 gallons per hour per bed and at a minimum temperature of 140 degrees F.

(e)  If provided in a facility, medical gas and vacuum systems shall be installed, tested, and maintained in accordance with the National Fire Protection Association Health Care Facilities Code, NFPA 99, which is incorporated by reference, including all subsequent amendments and editions.  Copies of this code may be purchased for a cost of sixty-one dollars ($61.50) from the National Fire Protection Association online at http://www.nfpa.org/catalog/ or accessed electronically free of charge at http://www.nfpa.org/aboutthecodes/AboutTheCodes.asp?DocNum=99.

(f)  Each facility shall have a control mechanism and staff procedures for monitoring and managing patients who wander or are disoriented.  The control mechanism shall include egress alarms and any of the following:

(1)           an electronic locking system;

(2)           manual locks; and

(3)           staff supervision.

This requirement applies to new and existing facilities.

(g)  Sections of the National Fire Protection Association Life Safety Code, NFPA 101, 2012 edition listed in this Paragraph are adopted by reference.

(1)           18.2.3.4 with requirements for projections into the means of egress corridor width of wheeled equipment and fixed furniture;

(2)           18.3.2.5 with requirements for the installation of cook tops, ovens and ranges in rooms and areas open to the corridors;

(3)           18.5.2.3(2), (3) and (4) with requirements for the installation of direct-vent gas and solid fuel-burning fireplaces in smoke compartments; and

(4)           18.7.5.6 with requirements for the installation of combustible decorations on walls, doors and ceilings.

Smoke compartments where the requirements of these Sections are applied must be protected throughout by an approved automatic sprinkler system.  For the purposes of this Rule, “smoke compartments” are spaces within a building enclosed by smoke barriers on all sides, including the top and bottom as indicated in NFPA 101, 2012 edition. Where these Sections are less stringent than requirements of the North Carolina State Building Codes, the requirements of the North Carolina State Building Codes shall apply.  Where these Sections are more stringent than the North Carolina State Building Codes, the requirements of these Sections shall apply. Copies of this code may be purchased for a cost of ninety-three dollars ($93.00) from the National Fire Protection Association online at http://www.nfpa.org/catalog/ or accessed electronically free of charge at http://www.nfpa.org/aboutthecodes/AboutTheCodes.asp?DocNum=101.

(h)  Ovens, ranges, cook tops, and hot plates located in rooms or areas accessible by patients or residents shall not be used by patients or residents except under facility staff supervision.  The degree of staff supervision shall be based on the facility's assessment of the capabilities of each patient and resident.

 

History Note:        Authority G.S. 131E-102; 131E-104;

Eff. January 1, 1996;

Amended Eff. July 1, 2014;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.

 

 

 

SUBCHAPTER 13E – Licensing OF OVERNIGHT RESPITE SERVICES

 

SECTION .0100 DEFINITIONS

 

10A NCAC 13E .0101      Definitions

The following definitions apply throughout this Subchapter:

(1)           "Accident" means an unexpected, unintentional, or irregular event that results in injury or illness to a participant or suspected injury or illness to a participant.

(2)           "Overnight respite services" is defined in G.S. 131D-6.1 and shall not exceed 14 consecutive days or more than 60 total calendar days per individual participant in a 365-day period.

(3)           "Participant" means the recipient of the overnight respite services.

(4)           "Personal care" means tasks such as assistance with bathing, dressing, grooming, toileting, eating, ambulation, and transferring.

(5)           "Program" means a facility certified by the Department of Health and Human Services, Division of Aging and Adult Services, to provide adult day care services pursuant to G.S. 131D-6 and 10A NCAC 06R, adult day health services pursuant to 10A NCAC 06S, or both.

(6)           "Responsible party" means the caretaker with primary day-to-day responsibility for a participant.

(7)           "Supervision" means to oversee, manage, and direct for the determination and provision of assistance to a participant.

 

History Note:        Authority G.S. 131D-6.1;

Eff. April 1, 2017.

 

SECTION .0200 – licensing

 

10A NCAC 13e .0201      APPLYING FOR A LICENSE TO PROVIDE OVERNIGHT RESPITE SERVICES

(a)  Except as otherwise provided in Rule .0202 of this Section, the Division of Health Service Regulation (DHSR) shall issue an overnight respite services license to any program that meets the following requirements:

(1)           submission of an initial license application, available at https://www.ncdhhs.gov/dhsr/acls/acforms.html at no cost that includes the following:

(A)          applicant information;

(B)          ownership information; and

(C)          the program's capacity and scope of services;

(2)           payment of the non-refundable license fee required by G.S. 131D-6.1; and

(3)           compliance with the provisions of G.S. 131D-6.1 and the rules of this Subchapter.

(b)  An application for a license to provide overnight respite services shall not be reviewed or approved unless the applicant is certified by the Division of Aging and Adult Services as a program as defined in Rule .0101 of this Subchapter.

(c)  Following review of the initial license application, program policies in accordance with Rule .0501 of this Subchapter, and the Construction Section's recommendation for use, a pre-approval visit shall be made by the DHSR Adult Care Licensure Section or its consultant. The Adult Care Licensure Section shall notify, in writing, the Division of Aging and Adult Services and the applicant of the decision to approve or deny a license to provide overnight respite services as a part of the adult day care program.

 

History Note:        Authority G.S. 131D-6.1;

Eff. April 1, 2017.

 

10A NCAC 13E .0202      PERSONS NOT ELIGIBLE FOR OVERNIGHT RESPITE SERVICES LICENSES

A license for an overnight respite services program shall not be issued to an applicant:

(1)           whose license for any overnight respite services program was revoked until one year after the date of revocation; or

(2)           whose admissions for any overnight respite services program were suspended until six months after the suspension is lifted.

 

History Note:        Authority G.S. 131D-6.1;

Eff. April 1, 2017.

 

10A NCAC 13E .0203      THE LICENSE

(a)  The license shall be posted in a prominent location, accessible to public view, within the overnight respite portion of the facility.

(b)  The license shall be in effect for 12 months from the date of issuance unless revoked for cause or voluntarily or involuntarily terminated.

(c)  The license is not transferable or assignable.

(d)  The license shall be terminated when the program is terminated.

 

History Note:        Authority G.S. 131D-2.4; 131D-6.1;

Eff. April 1, 2017.

 

10A NCAC 13E .0204      RENEWAL OF LICENSE

(a)  The license shall be renewed annually, except as otherwise provided in Rule .0205 of this Section, if the licensee submits an application for renewal and the Department determines that the licensee complies with the provisions of G.S. 131D-6.1 and the rules of this Subchapter. When violations of the rules of this Subchapter are documented and have not been corrected prior to expiration of the license, the Department may approve an extension of a plan of correction or may revoke the license for cause.

(b)  In determining whether to renew a license under G.S. 131D-6.1 or extend a plan of correction, the Department shall take into consideration the following factors:

(1)           the compliance history of the adult day care program;

(2)           the compliance history of overnight respite services;

(3)           the extent to which the conduct of a related licensed program for overnight respite services is likely to affect the quality of care at the applicant service; and

(4)           the hardship on residents of the applicant service if the license is not renewed.

(c)  The license renewal application shall be sent to the applicant by the Department at least 60 days prior to expiration of the license.

(d)  The license renewal application shall include the following:

(1)           applicant information;

(2)           ownership information;

(3)           the program's capacity and scope of services; and

(4)           invoice for the annual nonrefundable renewal licensure fee in accordance with G.S. 131D-6.1(i).

 

History Note:        Authority G.S. 131D-6.1;

Eff. April 1, 2017.

 

10A NCAC 13E .0205      CLOSING OF OVERNIGHT RESPITE SERVICES

If a licensee plans to close its overnight respite services, the licensee shall provide written notification of the planned closing to the Division of Health Service Regulation, Adult Care Licensure Section at 2708 Mail Service Center, Raleigh, NC 27699-2708; the Division of Aging and Adult Services at 2101 Mail Service Center, Raleigh, NC 27699-2101; and the participants and their responsible parties at least 30 days prior to the planned closing. Written notification shall include the date of closing.

 

History Note:        Authority G.S. 131D-6.1;

Eff. April 1, 2017.

 

10A NCAC 13E .0206      DENIAL AND REVOCATION OF LICENSE

(a)  The Division of Health Service Regulation shall deny any licensure application if the applicant fails to comply with G.S. 131D-6.1 and the rules of this Subchapter.

(b)  A license may be revoked by the Division in accordance with G.S. 131D-2.7 and G.S. 131D-6.1.

(c)  The Division shall notify the applicant of a denial of its application or revocation of its license by certified mail stating the reasons for the denial or revocation.

(d)  When an overnight respite service provider receives a notice of revocation, the administrator shall inform each participant and the participant's responsible party of the notice and the reasons for the revocation.

 

History Note:        Authority G.S. 131D-2.7; 131D-6.1;

Eff. April 1, 2017.

 

10A NCAC 13E .0207      SUSPENSION OF ADMISSIONS

(a)  The Division of Health Service Regulation may suspend the admission of participants to overnight respite services when warranted under the provisions of G.S. 131D-6.1 and G.S. 131D-2.7.

(b)  The Division shall notify the overnight respite service licensee by certified mail of the decision to suspend admissions. Such notice shall include:

(1)           the period of the suspension;

(2)           factual allegations;

(3)           citation of statutes and rules alleged to be violated; and

(4)           notice of the licensee's right to a contested case hearing regarding the suspension.

(c)  The suspension shall be effective on the date specified in the notice of suspension. The suspension shall remain effective for the period specified in the notice or until the overnight respite service demonstrates to the Division that conditions are no longer detrimental to the health and safety of the participants based on the factors set forth in G.S. 131D-2.7(d)(2).

(d)  The overnight respite service shall not admit any participants during the effective period of the suspension.

(e)  Any action taken by the Division to revoke a license for overnight respite services shall be accompanied by a suspension of admissions.

 

History Note:        Authority G.S. 131D-2.7; 131D-6.1;

Eff. April 1, 2017.

 

10A NCAC 13E .0208      APPEAL OF LICENSURE ACTION

The licensee may appeal any decision of the Division to deny or revoke a license or any decision to suspend admissions of participants by making such an appeal in accordance with G.S. 150B.

 

History Note:        G.S. 131D-6.1;

Eff. April 1, 2017.

 

SECTION .0300 - PHYSICAL PLANT RULES

 

10A NCAC 13E .0301      SUBMISSION OF INFORMATION TO THE DIVISION OF HEALTH SERVICE REGULATION CONSTRUCTION SECTION

(a)  Prior to operation, an applicant for a license to provide overnight respite services shall submit the following documents to the Division of Health Service Regulation (DHSR) Construction Section:

(1)           an approval letter from the local zoning jurisdiction for the proposed location;

(2)           if an existing structure, a photograph of each side of the existing structure and at least one of each of the interior spaces; and

(3)           a set of building plans of each floor level indicating:

(A)          the layout of all rooms;

(B)          room dimensions (including closets);

(C)          door widths (exterior, bedroom, bathroom, and kitchen doors);

(D)          window sizes and window sill heights;

(E)           type of construction; and

(F)           the proposed participant bedroom locations including the number of occupants in each bedroom.

(b)  The Construction Section shall review the documents and notify the applicant by letter of changes that shall be made to the building to meet the standards established in this Section. The letter shall also contain a list of final documentation required from the local fire marshal, local building code official, and county health department that shall be submitted upon completion of any required changes to the building or completion of construction.

(c)  In order to maintain compliance with the standards established in this Section, any changes made during construction that were not proposed during the document review required by Paragraph (b) of this Rule shall require the approval of the Construction Section.

(d)  Upon receipt of the final documentation required by Paragraph (b) of this Rule, the Construction Section shall review the information and may either approve the overnight respite services program for construction based on documentation or make an on-site visit. If an on-site visit is made, the Construction Section shall inspect the construction and shall notify the applicant by letter of any changes that shall be made to the construction. When the Construction Section determines that the completed construction is in compliance with the standards established in this Section, it shall notify the Division of Health Service Regulation Adult Care Licensure Section of its recommendation for use.

 

History Note:        Authority G.S. 131D-6.1;

Eff. April 1. 2017.

 

10A NCAC 13E .0302      CAPACITY

(a)  Pursuant to G.S. 131D-6.1(c)(8), the Division of Health Service Regulation shall not approve a capacity of greater than six participants for an overnight respite services program. For the purposes of this Rule, "capacity" means the maximum number of participants that the overnight respite services program is licensed to house at any given time.

(b)  An overnight respite services program shall not exceed the capacity shown on its license.

(c)  Prior to an increase in capacity by adding rooms, altering rooms, or changing use of space, the overnight respite services program shall submit a request for capacity increase and two building plans of each floor to the Construction Section. One plan shall indicate the current use of rooms in the existing building. The other plan shall indicate the proposed use of rooms in the existing building and its addition, alteration, or change in use of space. For an addition to an existing building, the building plans shall also indicate how the addition will be tied into the existing building and any proposed changes to the building structure.

(d)  When the overnight respite services program increases its capacity by the addition to or alteration of an existing building, the entire overnight respite services program shall comply with the North Carolina Fire Prevention Code, which is incorporated herein by reference including subsequent amendments and editions. Copies of this code may be purchased from the International Code Council online at http://www.iccsafe.org/Store/Pages/default.aspx at a cost of eighty-five dollars ($85.00) or accessed electronically free of charge at http://codes.iccsafe.org/app/book/toc/2012/North_Carolina/Fire/index.html.

 

History Note:        Authority G.S. 131D-6.1;

Eff. April 1, 2017.

 

10A NCAC 13E .0303      DESIGN AND CONSTRUCTION

(a)  For the purposes of this Rule the following definitions apply:

(1)           "facility" means a building or portion of a building housing an overnight respite services program as defined in G.S. 131D-6.1(a);

(2)           "proposed facility" means the new construction of a building for a facility, an addition or alteration to an existing building for a facility, or the change in use of a building for a facility;

(3)           "existing facility" means a currently licensed facility and a proposed facility that will be built according to building plans approved by the Construction Section for compliance with the standards established in this Section, prior to the effective date of this Rule; and

(4)           "new facility" means a proposed facility that will be built according to building plans approved by the Construction Section for compliance with the standards established in this Section, on or after the effective date of this Rule.

(b)  The physical plant requirements for each facility shall be applied as follows:

(1)           A new facility shall meet the standards established in this Section.

(2)           An existing facility shall meet the standards established in this Section that were in existence at the time of change in use of space, construction, addition, alteration, or repair.

(3)           An existing building converted from another use that a program intends to use for an overnight respite services program shall meet all the requirements of a new facility as indicated in Subparagraph (1) of this Paragraph.

(c)  All new construction, additions, or alterations for a new facility shall meet the requirements of the North Carolina State Building Codes, which are incorporated herein by reference including subsequent amendments and editions. Copies of these codes may be purchased from the International Code Council online at http://www.iccsafe.org/Store/Pages/default.aspx at a cost of five hundred twenty-seven dollars ($527.00) or accessed electronically free of charge at http://codes.iccsafe.org/North%20Carolina.html. All new construction, additions, or repairs of an existing facility shall meet the requirements of the North Carolina State Building Codes in effect at the time of construction, addition, alteration, or repair.

(d)  A facility shall be constructed, equipped, and maintained to comply with the standards established in this Section for the capacity indicated on its license.

(e) The Construction Section may grant an equivalency to allow an alternate design or functional variation from the requirements of the rules contained in this Section. For the purposes of this Rule, an "equivalency" is a Construction Section-approved alternate design and functional variation to a requirement contained in the rules of this Section that meets the intent of the rule requirement but does not reduce the safety and operational effectiveness of the facility design and layout. If granted, the equivalency shall apply to a specific facility. A program shall be granted an equivalency if:

(1)           the overnight respite services program submits a written equivalency request to the Construction Section indicating:

(A)          the rule requirement that will not be met;

(B)          the justification for the equivalency; and

(C)          how the proposed equivalency meets the intent of the corresponding rule requirement; and

(2)           the program receives a written approval of the equivalency from the Construction Section.

(f)  If any of the rules, codes, or standards contained in this Section conflict, the most restrictive requirement shall apply.

(g)  For an existing facility whose license is revoked or suspended by the Division of Health Service Regulation pursuant to G.S. 131D-6.1(g)(2) for at least 60 days, the facility shall meet the requirements of a new facility as required by Subparagraph (b)(1) of this Rule prior to being relicensed.

(h)  Prior to commencement of construction or change in use of space, any program intending to offer overnight respite care services that is planning new construction, an addition or alteration to an existing building, or a change in use of space shall submit building plans and other documents to the Construction Section as specified in Rule .0301 of this Section.

(i)  If the building to be used for a facility is two or more stories in height, it shall meet the following additional requirements:

(1)           construction shall not exceed the allowable area for occupancy in the North Carolina State Building Code;

(2)           participants shall be housed on the level of the principal exterior door as defined in Rule .0312(c) of this Section; and

(3)           participant-use areas shall be located on the level of the principal exterior door.

(j)  The basement and the attic shall not to be used for storage or sleeping.

(k)  The ceiling shall be at least seven and one-half feet from the floor.

(l)  Elevation changes in the floor are not permitted in participant-use areas.

(m)  The door width shall be a minimum of two feet and six inches in the kitchen, dining room, living room, bedrooms, and bathrooms.

(n)  Windows shall be operable and shall be maintained operable. For the purposes of this Rule, "operable" means a window that may be opened and shut to allow outdoor-air ventilation. To inhibit participant elopement from any window, the window opening may be restricted to a six-inch opening.

(o)  Before starting any construction or alterations, the overnight respite services program shall consult with the local building code official for information about required permits and construction requirements.

(p)  The facility shall comply with the sanitation rules of the North Carolina Division of Public Health, Environmental Health Services Section, which are incorporated herein by reference including subsequent amendments and editions. The "Rules Governing the Sanitation of Residential Care Facilities," 15A NCAC 18A .1600 are available for inspection at the North Carolina Department of Health and Human Services, Division of Public Health, Environmental Health Services Section, 5605 Six Forks Road, Raleigh, North Carolina 27609. Copies may be obtained from the Environmental Health Services Section, 1632 Mail Service Center, Raleigh, NC 27699-1632 at no cost or can be accessed electronically free of charge at http://ehs.ncpublichealth.com/docs/rules/294306-4-1600.pdf.

(q)  The facility shall have the following inspection reports available for review upon request by the Construction Section:

(1)           a current sanitation inspection report from the county health department; and

(2)           a current fire safety inspection report from the local fire marshal.

(r)  The building housing a facility shall be equipped with a fire alarm system with pull stations on each floor and sounding devices that are audible throughout the building. The fire alarm system shall be equipped to transmit an automatic signal to the local emergency fire department dispatch center, either directly or through a central station monitoring company connection. The fire alarm system shall be installed in accordance with National Fire Protection Association (NFPA) 72, which is incorporated herein by reference including subsequent amendments and editions and may be obtained from the National Fire Protection Association, 1 Batterymarch Park, Quincy, MA 02269 at the cost of ninety six dollars and 50 cents ($96.50). Underwriters Laboratory (U.L.) listed heat detectors are required in attics and basements and shall be connected to the fire alarm system. These heat detectors shall be interconnected and provided with battery backup. Corridors shall be equipped with smoke detectors that are connected to the fire alarm system.

(s)  A building housing an overnight respite services program or an adult day care or adult health care program shall be equipped with a wet pipe sprinkler system in accordance with NFPA 13, which is incorporated herein by reference including subsequent amendments and editions and may be obtained from the National Fire Protection Association, 1 Batterymarch Park, Quincy, MA 02269 at the cost of one hundred and three dollars ($103.00).

 

History Note:        Authority G.S. 131D-6.1;

Eff. April 1, 2017.

 

10A NCAC 13E .0304      LOCATION

(a)  A program offering overnight respite care services shall be in a location approved by local zoning boards.

(b)  The site of a proposed facility where overnight respite care services are to be provided shall:

(1)           be accessible by public roads that shall be maintained for motor vehicles access;

(2)           be accessible to fire fighting and other emergency services;

(3)           have a water supply, sewage disposal system, garbage disposal system, and trash disposal system approved by the local health department having jurisdiction;

(4)           comply with local ordinances; and

(5)           be free from exposure to waste material that contaminates the air, soil, or water.

 

History Note:        Authority G.S. 131D-6.1;

Eff. April 1, 2017.

 

10A NCAC 13E .0305      LIVING ROOM

(a)  Each overnight respite care program shall have a living area with not less than 40 square feet of floor area per participant.

(b)  The living area for the overnight respite care program required by Paragraph (a) of this Rule may be combined with the adult day care program or adult day health program activities and craft areas only after the Division of Aging and Adult Services of the Department of Health and Human Services determines, in writing, that the requirements of 10A NCAC 06R .0401(d) for an adult day care program and 10A NCAC 06S .0301 for an adult day health program are met.

(c)  The living room shall have windows with views to the outdoors. The gross window area shall not be less than eight percent of the floor area required by Paragraph (a) of this Rule.

 

History Note:        Authority G.S. 131D-6.1;

Eff. April 1, 2017.

 

10A NCAC 13E .0306      DINING ROOM

(a)  Each overnight respite services program shall have a dining area with not less than 20 square feet of floor area per participant. The dining area may be used for other activities during the day.

(b)  The dining area for the overnight respite care program required by Paragraph (a) of this Rule may be combined with the adult day care program or adult day health program activities and craft areas only after the Division of Aging and Adult Services of the Department of Health and Human Services determines, in writing, that the requirements of 10A NCAC 06R .0401(d) for an adult day care program and 10A NCAC 06S .0301 for an adult day health program are met.

(c)  When the dining area is used in combination with a kitchen, an area five feet wide shall be allowed as work space between the kitchen and dining areas. The work space shall not be used as the dining area.

(d)  The dining room shall have windows with views to the outdoors. The gross window area shall not be less than eight percent of the floor area required by Paragraph (a) of this Rule.

 

History Note:        Authority G.S. 131D-6.1;

Eff. April 1, 2017.

 

10A NCAC 13E .0307      KITCHEN

(a)  The kitchen shall have a floor area of not less than 120 square feet. The kitchen may be shared with the adult day care or adult day health program.

(b)  The cooking unit shall be mechanically ventilated to the exterior or be equipped with an unvented recirculation fan provided with a filter as required by the manufacturer's instructions for vent-less use.

(c)  The kitchen floor shall have a non-slippery and water-resistant covering.

 

History Note:        Authority G.S. 131D-6.1;

Eff. April 1, 2017.

 

10A NCAC 13E .0308      BEDROOMS

(a)  There shall be bedrooms sufficient in number and size to meet the individual needs of the participant according to their age and gender.

(b)  A room used as a bedroom shall meet the requirements of this Rule and be approved by the Construction Section.

(c)  A room accessed only through a bathroom, kitchen, or another bedroom shall not be approved for a participant's bedroom.

(d)  Bedrooms occupied by one participant shall be provided with not less than 100 square feet of floor area, including vestibule, closet, or wardrobe space. Bedrooms occupied by two participants shall be provided with not less than 160 square feet of floor area, including vestibule, closet, or wardrobe space,

(e)  The total number of participants assigned to a bedroom shall be based on the square footage requirements of Paragraph (d) of this Rule as approved by the Construction Section for that bedroom.

(f)  A bedroom shall not be occupied by more than two participants.

(g)  Each participant bedroom shall have one or more windows with views to the outdoors. The gross window area shall be equal to at least eight percent of the floor space required by Paragraph (d) of this Rule. The windows shall have a maximum sill height of 44 inches.

(h)  Bedroom closets or wardrobes shall be large enough to provide each participant with a minimum of 22 cubic feet of clothing storage, one-half of which shall be for hanging clothes with an adjustable-height hanging bar.

 

History Note:        Authority G.S. 131D-6.1;

Eff. April 1, 2017.

 

10A NCAC 13E .0309      BATHROOM

(a)  An overnight respite services program shall have one bathroom for each six or fewer respite participants. A bathroom shall contain a toilet, a lavatory, and one of the following:

(1)           a roll-in shower designed and equipped for unobstructed shower chair entry and use;

(2)           a bathtub accessible on three sides; or

(3)           a manufactured walk-in bathtub or a similar manufactured bathtub designed for transfer of participants into the bathtub that is accessible on one short side and one long side of the bathtub.

(b)  The bathroom required by Paragraph (a) of this Rule may be shared with the adult day care program or adult day health program only after the Division of Aging and Adult Services of the Department of Health and Human Services determines, in writing, that the requirements of 10A NCAC 06R .0401(g) for an adult day care facility and 10A NCAC 06S .0301 for an adult day health facility are met.

(c)  A bathroom shall be designed to provide privacy. A bathroom with two or more toilets shall have privacy partitions or curtains for each toilet. Each bathtub or shower shall have privacy partitions or curtains.

(d)  The entrance to the bathroom shall not be through a kitchen, another participant's bedroom, or another bathroom.

(e)  The bathroom shall be located so that there is no more than 40 feet between any participant's bedroom door and a participant-use bathroom door.

(f)  Hand grips shall be installed at all toilets, bathtubs, and showers used by participants.

(g)  Nonskid surfacing or strips shall be installed to the floor or bottom of showers and bathtubs.

(h)  A bathroom shall have mechanical ventilation at the rate of two cubic feet per minute for each square foot of floor area. The mechanical ducted vent shall be vented directly to the outdoors.

(i)  The bathroom floor shall have a non-slippery water-resistant covering.

 

History Note:        Authority G.S. 131D-6.1;

Eff. April 1, 2017.

 

10A NCAC 13E .0310      STORAGE AREAS

(a)  Storage areas shall be provided for the separate storage of clean linens, soiled linens, food and food service supplies, and household supplies and equipment.

(b)  Cleaning agents, bleaches, pesticides, and other substances that may be hazardous if ingested, inhaled, or handled shall be stored in locked areas separate from other materials.

 

History Note:        Authority G.S. 131D-6.1;

Eff. April 1, 2017.

 

10A NCAC 13E .0311      CORRIDOR

(a)  Corridors shall be lighted as required by Rule .0317(e)(3) of this Section.

(b)  Corridors shall be free of equipment and other obstructions.

 

History Note:        Authority G.S. 131D-6.1;

Eff. April 1, 2017.

 

10A NCAC 13E .0312      OUTSIDE ENTRANCE AND EXITS

(a)  Each overnight respite services program shall have at least two exit doors on all floor levels. If there are only two exit doors, the exit doors shall be located and constructed to minimize the possibility that both may be blocked by a fire or other emergency condition.

(b)  One exterior door shall have a minimum width of three feet. Another exterior door shall have a minimum width of two feet and eight inches. For the purposes of this Rule, an "exterior door" means a door used by a participant to enter and exit the building to and from the outdoors.

(c)  At least one principal exterior door for the participants' use shall be at grade level or accessible by a ramp with a one inch rise for each 12 inches of ramp length. For the purposes of this Rule, a "principal exterior door" means a door that is used by participants to access the vehicular pick-up and drop-off area. If the overnight respite services program serves any participant who must have physical assistance with evacuation, the building shall have two exterior doors at grade level or accessible by a ramp.

(d)  All exit door locks shall be easily operable, by a single hand motion, from the inside at all times without keys. Deadbolts or turn buttons on the inside of exit doors shall be disabled.

(e)  Exit doors shall be free of all obstructions or impediments to allow for full instant use in case of fire or other emergency.

(f)  Steps, porches, stoops, and ramps shall be provided with handrails or guardrails.

(g)  In each overnight respite services program with at least one participant who is determined by a physician or appropriate licensed health professional or is otherwise known to be disoriented or who wanders, each exit door for participant-use shall be equipped with a sounding device that is activated when the door is opened. The sound shall be of sufficient volume that it can be heard by staff. If a central system of remote sounding devices is provided, the control panel for the system shall be located in the office area or in a location accessible only to staff authorized by the administrator to operate the control panel.

 

History Note:        Authority G.S. 131D-6.1;

Eff. April 1, 2017.

 

10A NCAC 13E .0313      LAUNDRY ROOM

If the facility uses laundry equipment, the equipment shall not be located in the living, dining, or bedroom areas.

 

History Note:        Authority G.S. 131D-6.1;

Eff. April 1, 2017.

 

10A NCAC 13E .0314      FLOORS

(a)  All floors shall be of smooth, non-skid material and shall be cleanable.

(b)  Scatter or throw rugs shall not be used.

(c)  All floors shall be kept free of damage.

 

History Note:        Authority G.S. 131D-6.1;

Eff. April 1, 2017.

 

10A NCAC 13E .0315      HOUSEKEEPING AND FURNISHINGS

(a)  Each overnight respite services program shall:

(1)           have walls, ceilings, and floors or floor coverings kept clean, well maintained, and free of damage;

(2)           have no lingering odors;

(3)           have furniture clean and free of damage;

(4)           have a North Carolina Environmental Health Services Section approved sanitation classification at all times;

(5)           be maintained in an uncluttered, clean, and orderly condition, free of all obstructions and hazards;

(6)           have a supply of bath soap, clean towels, washcloths, sheets, pillow cases, blankets, and additional coverings adequate for participant use on hand at all times;

(7)           make available the following items as needed but shall not charge the participant's personal funds for the cost of these items:

(A)          protective sheets and clean, absorbent, soft, and smooth pads;

(B)          bedpans, urinals, hot water bottles, and ice bags; and

(C)          bedside commodes, walkers, and wheelchairs;

(8)           have a television and radio, each in good working order;

(9)           have curtains, draperies, shades, or blinds at all windows in participant-use areas to provide for participant privacy;

(10)         have recreational equipment, supplies for games, books, magazines, and a current newspaper available for participants;

(11)         have a clock that has numbers at least 1½ inches tall in an area commonly used by the participants; and

(12)         have at least one working telephone that does not depend on electricity or cellular service to operate.

(b)  Each bedroom shall have the following furnishings for each participant:

(1)           beds equipped with box springs and mattress, solid link springs and no‑sag innerspring, or a foam mattress. A hospital bed shall be provided as needed. A water bed may be allowed if requested by a participant and permitted by the overnight respite services program. Each bed shall have the following:

(A)          at least one pillow with clean pillow case;

(B)          clean top and bottom sheets on the bed, changed at least once a week; and

(C)          clean bedspread and other clean coverings as needed;

(2)           a bedside-type table;

(3)           a chest of drawers or bureau for a single participant or a double chest of drawers or double dresser for two participants when not provided as built-ins;

(4)           a wall or dresser mirror;

(5)           a minimum of one comfortable chair per participant, high enough from the floor for easy rising;

(6)           additional chairs available, as needed, for use by visitors;

(7)           a clean towel, wash cloth, and towel bar within the bedroom or adjoining bathroom; and

(8)           a wall-mounted light overhead of the bed or a lamp with a switch within reach of a person lying on the bed. The light shall provide a minimum of 30 foot‑candle power of illumination for reading.

(c)  The living room shall have living room furnishings for the comfort of participants with coverings that are cleanable.

(d)  The dining room shall have the following furnishings:

(1)           tables and chairs to seat all participants eating in the dining room; and

(2)           chairs that are sturdy, non‑folding, without rollers unless retractable or on front legs only, and designed to minimize tilting.

 

History Note:        Authority G.S. 131D-6.1;

Eff. April 1, 2017.

 

10A NCAC 13E .0316      FIRE SAFETY and Disaster Plan

(a)  Fire extinguishers shall be provided that meet these requirements:

(1)           one five-pound or larger (net charge) "A‑B‑C" type centrally located;

(2)           one five-pound or larger "A‑B‑C" or CO/2 type located in the kitchen; and

(3)           at any other location as required by the North Carolina Fire Prevention Code, which is incorporated herein by reference including subsequent amendments and editions. The availability and cost of the Code is set forth in Rule .0302 of this Section.

(b)  All fire safety requirements required by city or county ordinances shall be met.

(c)  A written fire evacuation plan that includes a diagram and that has the approval of the local fire marshal shall be prepared and posted in a central location on each floor. The plan shall be reviewed with each participant on enrollment and shall be a part of the orientation for new staff.

(d)  There shall be at least four rehearsals of the fire evacuation plan each year on each shift. Records of rehearsals shall be maintained for three years. The records shall include the date and time of the rehearsals, staff members present, and a description of what the rehearsal involved.

(e) A written disaster plan that has the written approval of, or has been documented as submitted to, the local emergency management agency and the local agency designated to coordinate special needs sheltering during disasters shall be prepared and updated annually and shall be maintained in the program offering overnight respite care services.

 

History Note:        Authority G.S. 131D-6.1;

Eff. April 1, 2017.

 

10A NCAC 13E .0317      BUILDING SERVICE EQUIPMENT

(a)  The building and all fire safety, electrical, mechanical, and plumbing equipment shall be maintained in a safe and operating condition.

(b)  There shall be a central heating system sufficient to maintain 75 degrees F (24 degrees C) under winter design conditions. Built-in electric heaters, if used, shall be installed or protected so as to avoid hazards to participants and room furnishings. Unvented fuel burning room heaters and portable electric heaters shall be prohibited.

(c)  Air conditioning shall provide conditions not to exceed 81 degrees F (27 degrees C) under summer design conditions.

(d)  The hot water tank shall be of such size to provide as much hot water as is needed by the kitchen, bathrooms, and laundry. The hot water temperature at all fixtures used by participants shall be maintained at a minimum of 100 degrees F (38 degrees C) and shall not exceed 116 degrees F (46.7 degrees C).

(e)  All participant-use areas shall be lighted for the safety and comfort of the participants. The minimum lighting required is:

(1)           30 foot‑candle of light at floor level in living rooms, dining rooms, bedrooms, and bathrooms;

(2)           10 foot‑candle of light for general lighting; and

(3)           one foot‑candle of light at the floor for corridors at night.

(f)  Fireplaces, fireplace inserts, and wood stoves shall be designed or installed so as to avoid a burn hazard to participants. Fireplace inserts and wood stoves must be Underwriters Laboratories (U.L.) listed.

(g)  Gas logs may be installed if they are of the vented type, installed according to the manufacturers' installation instructions, approved by the local building code official, and protected by a guard or screen to prevent participants and furnishings from burns.

 

History Note:        Authority G.S. 131D-6.1;

Eff. April 1, 2017.

 

10A NCAC 13E .0318      OUTSIDE PREMISES

(a)  The outside grounds of the program shall be maintained in a clean and safe condition.

(b)  If the facility has a fence around the premises, the fence shall not prevent participants from exiting or entering freely and shall not be hazardous.

(c)  Outdoor stairways and ramps shall be illuminated by no less than five foot candles of light at grade level.

 

History Note:        Authority G.S. 131D-6.1;

Eff. April 1, 2017.

 

SECTION .0400 – Staff QUALIFICATIONS and Staffing

 

10A NCAC 13E .0401      Administrator

(a)  An administrator shall be responsible for the operations of the program offering overnight respite care services.

(b)  At all times there shall be one administrator or supervisor-in-charge who is responsible for assuring that all required duties are carried out and for assuring that a staff member is present on-site and available to the program participants.

(c)  The administrator shall:

(1)           be at least 21 years old;

(2)           be a high school graduate or certified under the General Educational Development (GED) Program;

(3)           cooperate with inspectors and DHSR employees in assuring compliance with G.S. 131D-6.1 and the rules of this Subchapter;

(4)           have a tuberculin skin test within 12 months prior to hire date and annually thereafter;

(5)           have no substantiated findings listed on the North Carolina Health Care Personnel Registry pursuant to G.S. 131E-256;

(6)           have documented evidence of managing or supervising personal care to others for at least six months from a current or previous employer; and

(7)           be able to implement all accident, fire safety, and emergency procedures for the protection of the participants of the overnight respite services program.

 

History Note:        Authority G.S. 131D-6.1;

Eff. April 1, 2017.

 

10A NCAC 13E .0402      Supervisor-In-Charge

(a)  The supervisor-in-charge is responsible to the administrator for the operation of the overnight respite services program in the absence of the administrator.

(b)  The supervisor-in-charge shall meet the same requirements as the administrator as set forth in Rule .0401(c) of this Section.

 

History Note:        Authority G.S. 131D-6.1;

Eff. April 1, 2017.

 

10A NCAC 13E .0403      staff and Staffing

(a)  Each staff person shall:

(1)           have a job description that reflects actual duties and responsibilities determined by the program and shall be signed by the administrator and the employee;

(2)           have a tuberculin skin test within 12 months prior to hire and annually thereafter;

(3)           be able to implement all of the program's policies and procedures as defined in Rule .0501 of this Subchapter and accident, fire safety, and emergency procedures for the protection of the participants;

(4)           be informed of the confidential nature of participant information and protect and preserve the information from unauthorized use and disclosure;

(5)           not hinder or interfere with the exercise of the rights as defined by program policy;

(6)           have no substantiated findings listed on the North Carolina Health Care Personnel Registry pursuant to G.S. 131E-256;

(7)           have a statewide criminal background check, upon hire, of the past five years in accordance with G.S. 143B-932; and

(8)           cooperate with inspectors and the monitoring and licensing agencies in complying with the rules of this Subchapter.

(b)  Any staff member left in charge of the care of participants shall be 18 years or older.

(c)  The staffing pattern shall be adequate to meet the needs of each participant, with at least one staff present at all times qualified to administer medications as defined by Rule .0702 of this Subchapter and trained to provide personal care and supervision to current participants.

(d)  Services required beyond personal care and supervision shall not be provided unless staff satisfies the license requirements applicable to such services.

 

History Note:        Authority G.S. 131D-6.1;

Eff. April 1, 2017.

 

10A NCAC 13E .0404      TRAINING ON CARDIO-PULMONARY RESUSCITATION

At least one staff person shall be on the premises at all times, when participants are present, who has completed within the last 24 months a course on cardio-pulmonary resuscitation and choking management, including the Heimlich maneuver, provided by the American Heart Association, American Red Cross, National Safety Council, American Safety and Health Institute, Medic First Aid, or a trainer with documented certification as a trainer on these procedures from one of these organizations.

 

History Note:        Authority G.S. 131D-6.1;

Eff. April 1, 2017.

 

SECTION .0500 – PROGRAM POLICIES

 

10A NCAC 13E .0501      PROGRAM POLICIES

(a)  Each program shall have enrollment policies. Enrollment policies shall be in writing as a part of the program policies and shall define the population served. These policies shall serve as the basis for determining who will be accepted into the program and for planning activities appropriate for the participants. The policies shall prevent enrolling people whose needs cannot be met by the planned activities and services offered and shall provide for discharge of participants whose needs can no longer be met or who can no longer be cared for safely. If the program serves semi‑ambulatory or non‑ambulatory persons as defined by 10A NCAC 06R .0201, it shall be stated in the enrollment criteria.

(b)  The program policies shall also contain:

(1)           a discharge policy outlining:

(A)          the criteria for discharge;

(B)          notification procedures for discharge;

(C)          the timeframe and procedures for notifying the applicant, family member, or other caregiver of discharge; and

(D)          referral or follow-up procedures;

(2)           medication policies and procedures as specified in Section .0700 of this Subchapter;

(3)           a description of participant's rights;

(4)           grievance policies and procedures for families;

(5)           the advance directives policy;

(6)           non-discrimination policies;

(7)           a procedure to maintain confidentiality;

(8)           a policy on reporting suspected abuse or neglect;

(9)           a policy on reporting of participant accidents or incidents to family members or medical providers;

(10)         a policy on infection control and universal precautions;

(11)         a policy on missing participants;

(12)         a policy on identification and supervision of participants who wander; and

(13)         inclement weather policies.

(c)  At enrollment or in the initial interview, the program policies shall be discussed with the applicant, responsible party or other caregiver and a copy of the program policies shall be provided.

(d)  Documentation of, receipt of, and agreement to abide by the program policies by the applicant, responsible party, or other caregiver shall be obtained by the program and kept in the participant's file.

(e)  All program polices shall be maintained on site and available for inspection by Division of Health Service Regulation employees.

(f)  The program shall implement all program policies.

 

History Note:        Authority G.S. 131D-6.1;

Eff. April 1, 2017.

 

SECTION .0600 - enrollment AND SERVICE PLANNING

 

10A NCAC 13E .0601      ENROLLMENT OF PARTICIPANTS

(a)  Prior to enrollment the applicant, responsible party, or other caregiver shall have a personal interview with a program staff member. During the interview, the staff shall complete initial documentation identifying the following:

(1)           social and medical care needs;

(2)           spiritual, religious, or cultural needs; and

(3)           whether the program can meet the applicant's expressed needs.

The staff person doing the interviewing shall sign the assessment of needs and the applicant, responsible party, or other caregiver shall sign the application for enrollment. These signed documents shall be obtained before the individual's first day of attendance as a participant in the program and shall be maintained in the participant's record.

(b)  Any adult (18 years of age or over) who, because of a physical condition or mental disability, needs a substitute home for purpose of respite for the caregiver may be enrolled for overnight respite services when, in the opinion of the caregiver, family, participant, physician, appropriate licensed health professional, or social worker and the administrator, the services and accommodations of the facility will meet the respite needs of the participant.

(c)  Individuals shall not be admitted:

(1)           for treatment of mental illness or alcohol or drug abuse;

(2)           for maternity care;

(3)           for professional nursing care under continuous medical supervision;

(4)           for lodging, when the personal assistance and supervision offered for the participant are not needed; or

(5)           who pose a threat to the health or safety of others.

(d)  A medical examination report signed by a physician or appropriate licensed health professional completed within the prior three months, shall be obtained by the program at the time of enrollment. The report must be updated annually no later than the anniversary date of the initial report.

(e)  The program shall assure that the participant's physician or appropriate licensed health professional is contacted for orders for medications, treatments, and special diets if current physician orders are not part of the medical examination report required in Paragraph (d) of this Rule for inclusion in the participant's record. Prior to or the day of admission, the participant's physician or appropriate licensed health professional shall be contacted for clarification of orders, if orders are not clear or complete.

(f)  The program shall assure that the participant has been tested for tuberculosis disease within the past 12 months of each admission for overnight respite services in accordance with the NC Division of Public Health's Tuberculosis Policy Manual, incorporated herein by reference including any subsequent amendments and editions, and shall be free of active tuberculosis. This manual may be accessed free of charge at http://epi.publichealth.nc.gov/cd/lhds/manuals/tb/toc.html.

 

History Note:        Authority G.S. 131D-6.1;

Eff. April 1, 2017.

 

10A NCAC 13E .0602      Planning Services for Individual participants

(a)  At enrollment of a new participant, the program shall perform an assessment and written service plan for the individual. The assessment shall address the individual's ability to perform activities of daily living and need for supervision while in the program. The mental and physical health status of the individual shall also be assessed. The service plan shall be signed and dated by the administrator or designee. The health component of the service plan shall be written and signed by a registered nurse.

(b)  In developing the written service plan, the program shall include input from the participant, responsible party, other caregiver and other agency professionals with knowledge of the individual's needs. The service plan shall be based on strengths, needs, and abilities identified in the assessment. The assessment and service plan shall be reviewed to assure continued accuracy at each admission for overnight respite services. The service plan shall include:

(1)           the needs and strengths of the participant;

(2)           the interests of the participant;

(3)           the service goals and objectives of care for the participant while in the overnight respite program;

(4)           the type of interventions to be provided by the program in order to reach desired outcomes;

(5)           the services to be provided by the program to achieve the goals and objectives;

(6)           the roles of the participant, responsible party, other caregiver, volunteers and program staff; and

(7)           the time limit for the plan, with provision for review and renewal.

(c)  The participant, responsible party, other caregiver and other service providers may contribute to the development, implementation, and evaluation of the service plan.

(d)  The participant's record shall include:

(1)           a copy of the medical examination report;

(2)           the written service plan;

(3)           documentation of a tuberculosis test according to Rule .0601(f) of this Section;

(4)           documentation of any contacts (office, home or telephone) with the participant's physician or other licensed health professionals from outside the facility;

(5)           physician orders;

(6)           medication administration records;

(7)           a written description of any acute changes including any unusual behavior, change in condition, need for help or services, or any incidents or accidents resulting in injury to the participant, and any action taken by the facility in response to the changes, incidents or accidents; and

(8)           how the responsible party or his or her designated representative can be contacted in case of an emergency.

(e)  The program shall refer a participant to the participant's physician or other appropriate licensed health professional immediately if the participant's behavior, change in condition, any incidents or accidents resulting in injury to the participant, or need for help or services poses an immediate risk to the health and safety of the participant, other participants, or staff in the program.

(f)  Any unusual behavior, change in condition, incident or accident resulting in injury to the participant, or need for help or services shall be reported by the program staff to the responsible party.

(g)  Progress notes in the participant's record shall be updated every 24 hours while in the program.

(h)  The participant or the responsible party may choose the days and number of days the participant will participate in the program with the administrator's approval and documented in the participant's record.

(i)  The reason for any unscheduled participant absence shall be documented by the program staff on the day it occurs. Program staff shall contact or attempt to contact the absent participant or the responsible party and shall document this contact in the participant's record.

(j)  The program is responsible for the participant while the participant is enrolled. A participant leaving the program for part of a day shall sign out, relieving the staff of further responsibility. If a participant has an emotional or mental impairment that requires supervision or is adjudicated incompetent, and that person needs or wants to leave the program during the day, the responsible party or individuals designated by the responsible party shall sign the participant out.

(k)  The participant's responsible party or his or her designated representative shall be contacted and informed of the need to remove the participant from the program if one or more of the following conditions exists:

(1)           the participant's condition is such that he or she is a danger to himself or herself, or poses a direct threat to the health of others, as documented by a physician or appropriate licensed health professional; or

(2)           the safety of individuals in the facility is threatened by the behavior of the participant, as documented by the facility.

Documentation of the emergency discharge shall be retained on file in the facility.

(l)  After the participant has left the program or died, the program shall maintain the participant's record in the facility for one year, and then stored for two more years.

 

History Note:        Authority G.S. 131D-6.1;

Eff. April 1, 2017.

 

SECTION .0700 - medication Administration

 

10A NCAC 13E .0701      Medication Administration POLICIES AND PROCEDURES

There shall be written policies and procedures developed and implemented regarding:

(1)           medication administration;

(2)           documentation of medication administration;

(3)           maintenance of documentation;

(4)           documentation and reporting of medication errors; and

(5)           medication storage and disposition.

 

History Note:        Authority G.S. 131D-6.1;

Eff. April 1, 2017.

 

10A NCAC 13E .0702      Medication Administration Competency Evaluation

(a)  Validation of each staff person's competency to administer medications shall be completed prior to administering medications and shall include:

(1)           documentation by a registered nurse pursuant to G.S. 90 Article 9A or a licensed pharmacist pursuant to G.S. 90 Article 4A of a clinical skills validation on the Medication Administration Skills Validation Form. Copies of this form may be accessed electronically free of charge at https://www.ncdhhs.gov/dhsr/acls/acforms.html#medtest;

(2)           successful completion of a standardized written exam established by the Division of Health Service Regulation; or

(3)           being listed as a medication aide on the NC Medication Aide Registry pursuant to G.S. 131E-270 and 10A NCAC 13O .0201.

(b)  The program shall ensure that a licensed health professional who is authorized to dispense, prescribe, or administer medications is available for consultation with staff. All such consultations shall be documented in the participant's record.

 

History Note:        Authority G.S. 131D-6.1;

Eff. April 1, 2017.

 

10A NCAC 13E .0703      medication Administration

(a)  Medications shall be administered according to current physician's or appropriate licensed health professional's orders and the participant's medication schedule. The medication schedule shall list all medications with dosages and times that medications are to be administered.

(b)  A record of all medication given to each participant shall be accurate and include the following:

(1)           the participant's name;

(2)           the name, dosage, quantity, and route of the medication;

(3)           instructions for giving medication;

(4)           the date and time medication is administered; and

(5)           the name or initials of person giving the medication. If initials are used, a signature for those initials shall be documented and maintained in this record.

(c)  Medications shall be kept in the original pharmacy containers in which they were dispensed. The containers shall be labeled with the participant's full name, the name and strength of the medicine, and dosage and instructions for administration. Medicines shall be kept in a locked location.

 

History Note:        Authority G.S. 131D-6.1;

Eff. April 1, 2017.

 

SECTION .0800 - Nutrition and food service

 

10A NCAC 13E .0801      Food procurement and safety

(a)  The kitchen, dining, and food storage areas shall be clean and maintained in a sanitary condition in accordance with Rules Governing the Sanitation of Residential Care Facilities (15A NCAC 18A .1600) as promulgated by the North Carolina Division of Public Health, Environmental Health Services Section, which are incorporated herein by reference including subsequent amendments and editions.

(b)  All food and beverages shall be procured, stored, prepared, or served by the facility under sanitary conditions in accordance with Rules Governing the Sanitation of Residential Care Facilities (15A NCAC 18A .1600).

(c)  All meat served to participants shall have been processed at a plant approved by the United States Department of Agriculture (USDA).

(d)  There shall be at least a three-day supply of perishable food and a five-day supply of non-perishable food on site, as indicated on the menus prepared as set forth in Rule .0802 of this Section, for both regular and therapeutic diets.

 

History Note:        Authority G.S. 131D-6.1;

Eff. April 1, 2017.

 

10A NCAC 13E .0802      FOOD PREPARATION AND SERVICE

(a)  Staff, space, and equipment shall be provided for safe and sanitary food storage, preparation, and service.

(b)  Table service shall include a napkin and non-disposable place setting consisting of at least a knife, fork, spoon, plate, and beverage containers. Exceptions may be made on an individual basis and shall be based on documented needs or preferences of the participant.

(c)  If participants require assistance with eating, food shall be maintained at serving temperature until assistance is provided.

 

History Note:        Authority G.S. 131D-6.1;

Eff. April 1, 2017.

 

10A NCAC 13E .0803      Menus

(a)  Menus shall be prepared according to the U.S. Department of Health and Human Services (HHS) and the U.S. Department of Agriculture (USDA) Dietary Guidelines for Americans, which is incorporated by reference with all subsequent amendments and editions and is available at no cost at http://www.health.gov/dietaryguidelines.

(b)  Menus shall be maintained in the kitchen and identified as to the current menu day, and cycle for any given day for guidance of food service staff.

(c)  Any substitutions made in the menu shall be of equal nutritional value, appropriate for therapeutic diets, and documented to indicate the foods actually served to participants.

(d)  Menus shall be planned to take into account the food preferences and customs of the participants.

(e)  A licensed dietitian or nutritionist, pursuant to G.S. 90, Article 25, shall plan or review all menus, including all therapeutic diets. The facility shall maintain verification of the licensed dietitian or nutritionist's approval of the therapeutic diets, including an original signature by the licensed dietitian or nutritionist and the licensure number of the licensed dietitian or nutritionist.

(f)  The facility shall have a matching therapeutic diet menu for all physician or appropriate licensed health professional ordered therapeutic diets, for guidance of food service staff.

 

History Note:        Authority G.S. 131D-6.1;

Eff. April 1, 2017.

 

10A NCAC 13E .0804      food requirements

(a)  A minimum of three meals a day shall be served.

(b)  Foods and beverages that are appropriate to overnight respite participants' diets shall be offered or made available to overnight respite participants as snacks between each meal for a total of three snacks per day and shall be shown on the menu as snacks.

 

History Note:        Authority G.S. 131D-6.1;

Eff. April 1, 2017.

 

10A NCAC 13E .0805      therapeutic diets

(a)  All therapeutic diet orders, including thickened liquids, shall be in writing from the participant's physician or appropriate licensed health professional.

(b)  Where applicable, the therapeutic diet order shall be specific to calorie, gram, or consistency, such as for calorie-controlled American Diabetic Association diets, low sodium diets, or thickened liquids, unless there are written orders that include the definition of any therapeutic diet identified in the facility's therapeutic menu approved by a licensed dietitian or nutritionist.

(c)  The facility shall maintain an accurate and current listing of overnight respite participants with physician or appropriate licensed health professional ordered therapeutic diets for guidance of food service staff.

 

History Note:        Authority G.S. 131D-6.1;

Eff. April 1, 2017.

 

10A NCAC 13E .0806      assistance With Eating

(a)  Staff shall provide assistance with eating as needed.

(b)  Food shall be maintained at serving temperature until assistance with eating is provided.

(c)  Participants needing assistance with eating shall be assisted upon receipt of the meal and the assistance shall be unhurried and in a manner that maintains or enhances each participant's dignity.

 

History Note:        Authority G.S. 131D-6.1;

Eff. April 1, 2017.

 

10A NCAC 13E .0807      accommodation of participant needs and preferences

Variations from the required three meals to meet individualized needs or preferences of participants shall be documented in the participant's record.

 

History Note:        Authority G.S. 131D-6.1;

Eff. April 1, 2017.

 

SECTION .0900 - Program Activities

 

10A NCAC 13E .0901      ACTIVITIES PROGRAM

(a)  There shall be a program of activities designed to promote the participants' active involvement with each other, their families, and the community.

(b)  If there is a question about a participant's ability to participate in an activity, the participant, the participant's physician or appropriate licensed health professional, family, or responsible party shall be consulted to obtain a statement regarding the participant's capabilities.

 

History Note:        Authority G.S. 131D-6.1;

Eff. April 1, 2017.

 

 

 

subchapter 13f – licensing of adult care homes of seven or more beds

 

section .0100 - definitions

 

10A NCAC 13F .0101       DEFINITIONS

 

History Note:        Authority G.S. 131D‑2; 143B‑153;

Eff. January 1, 1977;

Readopted Eff. October 31, 1977;

Amended Eff. April 1, 1984;

Repealed Eff. July 1, 2005.

sECTION .0200 – licensing

 

10A NCAC 13F .0201       DEFINITIONS

The following definitions shall apply throughout this Section:

(1)           "Person" means an individual; a trust or estate; a partnership; a corporation; or any grouping of individuals, each of whom owns five percent or more of a partnership or corporation, who collectively own a majority interest of either a partnership or a corporation.

(2)           "Owner" means any person who has or had legal or equitable title to or a majority interest in an adult care home.

(3)           "Affiliate" means any person that directly or indirectly controls or did control an adult care home or any person who is controlled by a person who controls or did control an adult care home.  In addition, two or more adult care homes who are under common control are affiliates.

(4)           "Principal" means any person who is or was the owner or operator of an adult care home, an executive officer of a corporation that does or did own or operate an adult care home, a general partner of a partnership that does or did own or operate an adult care home, or a sole proprietorship that does or did own or operate an adult care home.

(5)           "Indirect control" means any situation where one person is in a position to act through another person over whom the first person has control due to the legal or economic relationship between the two.

 

History Note:        Authority G.S. 131D-2.4; 131D-2.16; 131D-4.5; 143B-165;

Temporary Adoption Eff. December 1, 1999;

Eff. July 1, 2000;

Temporary Amendment Eff. July 1, 2003;

Amended Eff. June 1, 2004.

 

10A NCAC 13F .0202       THE LICENSE

(a)  Except as otherwise provided in Rule .0203 of this Section, the Department shall issue an adult care home license to any person who submits the application material according to Rule .0204 of this Section and the Department determines that the applicant complies with the provisions of all applicable State adult care home licensure statutes and rules.  All applications for a new license shall disclose the names of individuals who are co-owners, partners or shareholders holding an ownership or controlling interest of five percent or more of the applicant entity.

(b)  The license shall be conspicuously posted in a public place in the home.

(c)  When a provisional license is issued, the administrator shall post the provisional license and a copy of the notice from the Division of Health Service Regulation identifying the reasons for it, in place of the full license.

(d)  The license is not transferable or assignable.

(e)  The license shall be terminated when the home is licensed to provide a higher level of care or a combination of a higher level of care and adult care home level of care.

 

History Note:        Authority G.S. 131D-2.4; 131D-2.7; 131D-2.16; 131D-4.5; 143B-165;

Eff. January 1, 1977;

Readopted Eff. October 31, 1977;

Temporary Amendment Eff. July 1, 2003;

Amended Eff. June 1, 2004.

 

10A NCAC 13F .0203       PERSONS NOT ELIGIBLE FOR NEW ADULT CARE HOME LICENSES

No new license shall be issued for any adult care home to an applicant for licensure who is the owner, principal or affiliate of an adult care home that has had its admissions suspended until six months after the suspension is lifted.

 

History Note:        Authority G.S. 131D-2.4; 131D-2.5; 131D-4.5; 131D-2.16; 143B-165;

Temporary Adoption Eff. December 1, 1999;

Eff. July 1, 2000;

Temporary Amendment Eff. July 1, 2003;

Amended Eff. June 1, 2004.

 

10A NCAC 13F .0204       APPLying for a LICENSE to operate a facility not currently licensed

(a)  Prior to submission of a license application, all Certificate of Need requirements shall be met according to G.S. 131E, Article 9.

(b)  In applying for a license to operate an adult care home to be constructed or renovated or in an existing building that is not currently licensed, the applicant shall submit the following to the Division of Health Service Regulation:

(1)           the Initial License Application which is available on the internet website, http://facility-services.state.nc.us/gcpage.htm or the Division of Health Service Regulation, Adult Care Licensure Section, 2708 Mail Service Center, Raleigh, NC 27699-2708;  

(2)           plans and specifications as required in Section .0300 of this Subchapter and a construction review fee according to G.S. 131E-267;

(3)           an approved fire and building safety inspection report from the local fire marshal to be submitted upon completion of construction or renovation;

(4)           an approved sanitation report or a copy of the permit to begin operation from the sanitation division of the county health department to be submitted upon completion of construction or renovation;

(5)           a nonrefundable license fee as required by G.S. 131D-2(b)(1); and

(6)           a certificate of occupancy or certification of compliance from the local building official to be submitted upon completion of construction or renovation. 

Note: Rule .0207 of this Section applies to obtaining a license to operate a currently licensed facility.

(c)  A pre‑licensing survey shall be made by program consultants of the Division of Health Service Regulation and an adult home specialist of the county department of social services.

(d)  The Division of Health Service Regulation shall provide to the applicant written notification of the decision to license or not to license the adult care home.     

 

History Note:        Authority G.S. 131D-2.4; 131D-2.5; 131D-2.16; 143B-165;

Readopted Eff. October 31, 1977;

Amended Eff. April 1, 1984;

Temporary Amendment Eff. September 1, 2003;

Amended Eff. June 1, 2004.

 

10A NCAC 13F .0205       APPLICATION TO LICENSE A NEWLY CONSTRUCTED OR RENOVATED BUILDING

 

History Note:        Authority G.S. 131D‑2; 143B‑153; 143B-165; S.L. 2002-160; 2003-0284;

Eff. January 1, 1977;

Readopted Eff. October 31, 1977;

Amended Eff. April 1, 1984;

Temporary Amendment Eff. September 1, 2003;

Repealed Eff. June 1, 2004.

 

10A NCAC 13F .0206       CAPACITY

(a)  The licensed capacity of adult care homes licensed pursuant to this Subchapter is seven or more residents.

(b)  The total number of residents shall not exceed the number shown on the license.

(c)  A facility shall be licensed for no more beds than the number for which the required physical space and other required facilities in the building are available.

(d)  The bed capacity and services shall be in compliance with G.S. 131E, Article 9, regarding the certificate of need.

 

History Note:        Authority G.S. 131D-2.4; 131D-2.16; 143B-165;

Eff. January 1, 1977;

Readopted Eff. October 31, 1977;

Amended Eff. April 1, 1984;

Temporary Amendment Eff. July 1, 2003;

Amended Eff. June 1, 2004.

 

10A NCAC 13F .0207       CHANGE OF LICENSEE

When a licensee plans to sell the adult care home business, the following procedure is required.

(1)           The current licensee shall provide written notification of a planned change of licensee to the Division of Health Service Regulation, the county department of social services and the residents or their responsible persons prior to the planned change of licensee.

(2)           If the prospective licensee plans to purchase the building, the prospective licensee shall provide the Certificate of Need Section of the Division of Health Service Regulation with prior written notice as required by G.S. 13E-184(a)(8) prior to the purchase of the building. 

(3)           If the licensee is changing but the ownership of the building is not, the applicant for the license shall request in writing an exemption from review from the Certificate of Need Section.

(4)           The prospective licensee shall submit the following license application material to the Division of Health Service Regulation:

(a)           the Initial License Application which is available on the internet website, http://facility-services.state.nc.us/gcpage.htm, or from the Division of Health Service Regulation, Adult Care Licensure Section, 2708 Mail Service Center, Raleigh, NC 27699-2708;

(b)           a current fire and building safety inspection report from the local fire marshal;

(c)           a current sanitation report from the sanitation division of the county health department; and

(d)           a nonrefundable license fee as required by G.S. 131D-2(b)(1).

(5)           Following the licensing of the facility to the new licensee, a survey of the facility shall be made by program consultants of the Division of Health Service Regulation and an adult home specialist of the county department of social services.

 

History Note:        Authority G.S. 131D-2.4; 131D-2.5; 131D-2.16; 143B-165;

Eff. January 1, 1977;

Readopted Eff. October 31, 1977;

Amended Eff. April 1, 1984;

Temporary Amendment Eff. September 1, 2003; July 1, 2003;

Amended Eff. June 1, 2004.

 

10A NCAC 13F .0208       RENEWAL OF LICENSE

(a)  The license shall be renewed annually, except as otherwise provided in Rule .0209 of this Subchapter, if the licensee submits an application for renewal on the forms provided by the Department with a nonrefundable annual license fee according to G.S. 131D-2(b)(1) and the Department determines that the licensee complies with the provisions of all applicable State adult care home licensure statutes and rules.  When violations of licensure rules or statutes are documented and have not been corrected prior to expiration of license, the Department shall either approve a continuation or extension of a plan of correction, issue a provisional license, or revoke the license.

(b)  All applications for license renewal shall disclose the names of individuals who are co-owners, partners or shareholders holding an ownership or controlling interest of five percent or more of the applicant entity.

 

History Note:        Authority G.S. 131D-2.4; 131D-2.5; 131D-2.16; 143B-165;

Eff. January 1, 1977;

Readopted Eff. October 31, 1977;

Temporary Amendment Eff. December 1, 1999;

Amended Eff. July 1, 2000;

Temporary Amendment Eff. July 1, 2003;

Amended Eff. June 1, 2004.

 

10A NCAC 13F .0209       CONDITIONS FOR LICENSE RENEWAL

In determining whether to renew a license under G.S. 131D-2(b)(6), the Department shall take into consideration at least the following:

(1)           the compliance history of the applicant facility;

(2)           the compliance history of the owners, principals or affiliates in operating other adult care homes in the state;

(3)           the extent to which the conduct of a related facility is likely to affect the quality of care at the applicant facility; and

(4)           the hardship on residents of the applicant facility if the license is not renewed.

 

History Note:        Authority G.S. 131D-2.4; 131D-2.16; 143B-165;

Temporary Adoption Eff. December 1, 1999;

Eff. July 1, 2000;

Temporary Amendment Eff. July 1, 2003;

Amended Eff. June 1, 2004.

 

10A ncac 13F .0210       TERMINATION OF LICENSE

 

History Note:        Authority G.S. 131D‑2; 143B‑153; 143B-165; S.L. 2002-160; 2003-0284;

Eff. January 1, 1977;

Readopted Eff. October 31, 1977;

Amended Eff. April 1, 1984;

Temporary Amendment Eff. September 1, 2003;

Repealed Eff. June 1, 2004.

 

10A NCAC 13F .0211       Notification About CLOSING OF HOME

If a licensee plans to close a home, the licensee shall provide written notification of the planned closing to the Division of Health Service Regulation, the county department of social services and the residents or their responsible persons at least 30 days prior to the planned closing.  Written notification shall include date of closing and plans made for the move of the residents.

 

History Note:        Authority G.S. 131D-2.4; 131D-2.16; 143B-165;

Eff. January 1, 1977;

Readopted Eff. October 31, 1977;

Temporary Amendment Eff. September 1, 2003;

Amended Eff. June 1, 2004.

 

10A NCAC 13F .0212       DENIAL OR REVOCATION OF LICENSE

(a)  A license may be denied by the Division of Health Service Regulation for failure to comply with the rules of this Subchapter.

(b)  Denial by the Division of Health Service Regulation shall be effected by mailing to the applicant, by registered mail, a notice setting forth the particular reasons for such action.

(c)  A license may be revoked by the Division of Health Service Regulation in accordance with G.S. 131D-2(b) and G.S. 131D-29.

(d)  When a facility receives a notice of revocation, the administrator shall inform each resident and the resident's responsible person of the notice and the basis on which it was issued.

 

History Note:        Authority G.S. 131D-2.7; 131D-2.16; 131D-4.3; 131D-29; 143B-165;

Eff. January 1, 1977;

Readopted Eff. October 31, 1977;

Temporary Amendment Eff. July 1, 2003;

Amended Eff. June 1, 2004.

 

10A NCAC 13F .0213       APPEAL OF LICENSURE ACTION

The licensee of an adult care home may appeal a licensure action by commencing a contested case according to G.S. 150B-23 following attempts at informal resolution according to G.S. 150B-22.

 

History Note:        Authority G.S. 131D-2.4; 131D-2.16; 143B-165;

Eff. January 1, 1977;

Readopted Eff. October 31, 1977;

Temporary Amendment Eff. July 1, 2003;

Amended Eff. July 1, 2004.

 

10A NCAC 13F .0214       SUSPENSION OF ADMISSIONS

10A NCAC 13G .0214 and .0215 shall control for this Subchapter

 

History Note:        Authority G.S. 131D-2.7;

Eff. January 1, 1982.

 

10A NCAC 13F .0215       ADMINISTRATIVE PENALTY DETERMINATION PROCESS

 

History Note:        Authority G.S. 131D‑34; 143B-165;

Eff. December 1, 1993;

Temporary Amendment Eff. July 1, 2003;

Amended Eff. June 1, 2004;

Repealed Eff. October 1, 2016.

 

SECTION .0300 - physical plant

 

10A NCAC 13F .0301       APPLICATION OF PHYSICAL PLANT REQUIREMENTS

The physical plant requirements for each adult care home shall be applied as follows:

(1)           New construction shall comply with the requirements of this Section.

(2)           Except where otherwise specified, existing licensed facilities or portions of existing licensed facilities shall meet licensure and code requirements in effect at the time of construction, change in service or bed count, addition, renovation, or alteration; however in no case shall the requirements for any licensed facility where no addition or renovation has been made, be less than those requirements found in the 1971 "Minimum and Desired Standards and Regulations" for "Homes for the Aged and Infirm", copies of which are available at the Division of Health Service Regulation, 701 Barbour Drive, Raleigh, North Carolina, 27603 at no cost;

(3)           New additions, alterations, modifications and repairs shall meet the technical requirements of this Section;

(4)           Effective July 1, 1987, resident bedrooms and resident services shall not be permitted on the second floor of any facility licensed for seven or more beds prior to April 1, 1984 and classified as two-story wood frame construction by the North Carolina State Building Code;

(5)           Rules in this Section are minimum requirements and are not intended to prohibit buildings, systems or operational conditions that exceed minimum requirements;

(6)           The bed capacity and services provided in a facility shall be in compliance with G.S. 131E, Article 9 regarding Certificate of Need.  A facility shall be licensed for no more beds than the number for which required physical space and other required facilities are available;

(7)           Equivalency:  Alternate methods, procedures, design criteria and functional variations from the physical plant requirements shall be approved by the Division when the facility can effectively demonstrate that the intent of the physical plant requirements are met and that the variation does not reduce the safety or operational effectiveness of the facility; and

(8)           Where rules, codes or standards have any conflict, the most stringent requirement shall apply and any conflicting requirement shall not apply.

 

History Note:        Authority G.S. 131D-2.16; 143B-165;

Temporary Adoption Eff. July 1, 2004;

Eff. July 1, 2005.

 

10A NCAC 13F .0302       Design and CONSTRUCTION

(a)  Any building licensed for the first time as an adult care home shall meet the requirements of the North Carolina State Building Code for new construction.  All new construction, additions and renovations to existing buildings shall meet the requirements of the North Carolina State Building Code for I-2 Institutional Occupancy if the facility houses 13 or more residents or the North Carolina State Building Code requirements for Large Residential Care Facilities if the facility houses seven to twelve residents.  The North Carolina State Building Code, all applicable volumes, which is incorporated by reference, including all subsequent amendments may be purchased from the Department of Insurance Engineering Division located at 322 Chapanoke Road, Suite 200, Raleigh, North Carolina 27603 at a cost of three hundred eighty dollars ($380.00).  The facility shall also meet all of the rules of this Section.

(b)  Each facility shall be planned, constructed, equipped and maintained to provide the services offered in the facility.

(c)  Any existing building converted from another use to an adult care home shall meet all requirements of a new facility.

(d)  Any existing licensed facility that is closed or vacant for more than one year shall meet all requirements of a new facility.

(e)  The sanitation, water supply, sewage disposal and dietary facilities shall comply with the rules of the

North Carolina Division of Environmental Health, which are incorporated by reference, including all subsequent amendments.  The "Rules Governing the Sanitation of Hospitals, Nursing and Rest Homes, Sanitariums, Sanatoriums, and Educational and Other Institutions", 15A NCAC 18A .1300 are available for inspection at the Department of Environment and Natural Resources, Division of Environmental Health, 2728 Capital Boulevard, Raleigh, North Carolina.  Copies may be obtained from Environmental Health Services Section, 1632 Mail Service Center, Raleigh, North Carolina 27699-1632 at no cost.

(f)  The facility shall have current sanitation and fire and building safety inspection reports which shall be maintained in the home and available for review.

 

History Note:        Authority G.S. 131D-2.16; 143B-165;

Eff. January 1, 1977;

Readopted Eff. October 31, 1977;

Amended Eff. July 1, 1990; September 1, 1986; April 1, 1984;

Temporary Amendment Eff. September 1, 2003;

Amended Eff. June 1, 2004;

Temporary Amendment Eff. July 1, 2004;

Amended Eff. July 1, 2005.

 

10A NCAC 13F .0303       LOCATION

(a)  An adult care home shall be in a location approved by local zoning boards.

(b)  The facility shall be located so that hazards to the occupants are minimized.

(c)  Plans for the building and site are to be reviewed and approved by the Construction Section of the Division of Health Service Regulation prior to licensure.

(d)  An adult care home may be located in an existing building or in a building newly constructed specifically for that purpose.

(e)  The site of the proposed facility shall be approved by the Division of Health Service Regulation prior to construction and shall:

(1)           be accessible by streets, roads and highways and be maintained for motor vehicles and emergency vehicle access;

(2)           be accessible to fire fighting and other emergency services;

(3)           have a water supply, sewage disposal system, garbage disposal system and trash disposal system approved by the local health department having jurisdiction;

(4)           meet all local ordinances and zoning laws; and

(5)           be free from exposure to pollutants known to the applicant or licensee.

 

History Note:        Authority G.S. 131D-2.16; 143B-165;

Eff. January 1, 1977;

Readopted Eff. October 31, 1977;

Amended Eff. January1, 1991; April 1, 1984;

Temporary Amendment Eff. July 1, 2003;

Amended Eff. June 1, 2004;

Recodified from Rule .0301 Eff. July 1, 2004;

Temporary Amendment Eff. July 1, 2004;

Amended Eff. July 1, 2005.

 

10A NCAC 13F .0304       PLANS AND SPECIFICATIONS

(a)  When construction or remodeling of an adult care home is planned, two copies of Construction Documents and specifications shall be submitted by the applicant or appointed representative to the Division for review and approval.  As a preliminary step to avoid last minute difficulty with final plan approval, Schematic Design Drawings and Design Development Drawings may be submitted for approval prior to the required submission of Construction Documents.

(b)  Approval of Construction Documents and specifications shall be obtained from the Division prior to licensure.  Approval of Construction Documents shall expire after one year unless a building permit for the construction has been obtained.

(c)  If an approval expires, renewed approval shall be issued by the Division, provided revised Construction Documents meeting all current regulations, codes and standards are submitted by the applicant or appointed representative and reviewed by the Division.

(d)  Any changes made during construction shall require the approval of the Division to assure that licensing requirements are maintained.

(e)  Completed construction or remodeling shall conform to the requirements of this Section including the operation of all building systems and shall be approved in writing by the Division prior to licensure or occupancy.  Within 90 days following licensure, the owner or licensee shall submit documentation to the Division that "as built" drawings have been received from the builder.

(f)  The applicant or designated agent shall notify the Division when actual construction or remodeling starts and at points when construction is 50 percent, 75 percent and 90 percent complete and upon final completion.

 

History Note:        Authority G.S. 131D-2.16; 143B-165;

Temporary Adoption Eff. July 1, 2004;

Eff. July 1, 2005.

 

10A NCAC 13F .0305       PHYSICAL ENVIRONMENT

(a)  An adult care home shall provide living arrangements to meet the individual needs of the residents, the live-in staff and other live-in persons.

(b)  The requirements for each living room and recreational area are:

(1)           Each living room and recreational area shall be located off a lobby or corridor.  At least 50 percent of required living and recreational areas shall be enclosed with walls and doors;

(2)           In buildings with a licensed capacity of 15 or less, there shall be a minimum area of 250 square feet;

(3)           In buildings with a licensed capacity of 16 or more, there shall be a minimum of 16 square feet per resident; and

(4)           Each living room and recreational area shall have windows.

(c)  The requirements for the dining room are:

(1)           The dining room shall be located off a lobby or corridor and enclosed with walls and doors;

(2)           In buildings with a licensed capacity of 15 or less, there shall be a minimum of 200 square feet;

(3)           In building with a licensed capacity of 16 or more, there shall be a minimum of 14 square feet per resident; and

(4)           The dining room shall have windows.

(d)  The requirements for the bedroom are:

(1)           The number of resident beds set up shall not exceed the licensed capacity of the facility;

(2)           There shall be bedrooms sufficient in number and size to meet the individual needs according to age and sex of the residents, any live-in staff and other persons living in the home.  Residents shall not share bedrooms with staff or other live-in non-residents;

(3)           Only rooms authorized as bedrooms shall be used for residents' bedrooms;

(4)           Bedrooms shall be located on an outside wall and off a corridor.  A room where access is through a bathroom, kitchen, or another bedroom shall not be approved for a resident's bedroom;

(5)           There shall be a minimum area of 100 square feet excluding vestibule, closet or wardrobe space in rooms occupied by one person and a minimum area of 80 square feet per bed, excluding vestibule, closet or wardrobe space, in rooms occupied by two people;

(6)           The total number of residents assigned to a bedroom shall not exceed the number authorized for that particular bedroom;

(7)           A bedroom may not be occupied by more than two residents.

(8)           Resident bedrooms shall be designed to accommodate all required furnishings;

(9)           Each resident bedroom shall be ventilated with one or more windows which are maintained operable and well lighted.  The window area shall be equivalent to at least eight percent of the floor space and be provided with insect screens. The window opening may be restricted to a six-inch opening to inhibit resident elopement or suicide.  The windows shall be low enough to see outdoors from the bed and chair, with a maximum 36 inch sill height; and

(10)         Bedroom closets or wardrobes shall be large enough to provide each resident with a minimum of 48 cubic feet of clothing storage space (approximately two feet deep by three feet wide by eight feet high) of which at least one-half shall be for hanging clothes with an adjustable height hanging bar.

(e)  The requirements for bathrooms and toilet rooms are:

(1)           Minimum bathroom and toilet facilities shall include a toilet and a hand lavatory for each 5 residents and a tub or shower for each 10 residents or portion thereof;

(2)           Entrance to the bathroom shall not be through a kitchen, another person's bedroom, or another bathroom;

(3)           Toilets and baths for staff and visitors shall be in accordance with the North Carolina State Building Code, Plumbing Code;

(4)           Bathrooms and toilets accessible to the physically handicapped shall be provided as required by Volume I-C, North Carolina State Building Code, Accessibility Code;

(5)           The bathrooms and toilet rooms shall be designed to provide privacy. Bathrooms and toilet rooms with two or more water closets (commodes) shall have privacy partitions or curtains for each water closet.  Each tub or shower shall have privacy partitions or curtains;

(6)           Hand grips shall be installed at all commodes, tubs and showers used by or accessible to residents;

(7)           Each home shall have at least one bathroom opening off the corridor with:

(A)          a door of three feet minimum width;

(B)          a three feet by three feet roll‑in shower designed to allow the staff to assist a resident in taking a shower without the staff getting wet;

(C)          a bathtub accessible on at least two sides;

(D)          a lavatory; and

(E)           a toilet.

(8)           If the tub and shower are in separate rooms, each room shall have a lavatory and a toilet;

(9)           Bathrooms and toilet rooms shall be located as conveniently as possible to the residents' bedrooms;

(10)         Resident toilet rooms and bathrooms shall not be utilized for storage or purposes other than those indicated in Item (4) of this Rule;

(11)         Toilets and baths shall be well lighted and mechanically ventilated at two cubic feet per minute.  The mechanical ventilation requirement does not apply to facilities licensed before April 1, 1984, with natural ventilation;

(12)         Nonskid surfacing or strips shall be installed in showers and bath areas; and

(13)         The floors of the bathrooms and toilet rooms shall have water-resistant covering.

(f)  The requirements for storage rooms and closets are:

(1)           General Storage for the Home.  A minimum area of five square feet (40 cubic feet) per licensed capacity shall be provided.  This storage space shall be either in the facility or within 500 feet of the facility on the same site;

(2)           Linen Storage.  Storage areas shall be adequate in size and number for separate storage of clean linens and separate storage of soiled linens.  Access to soiled linen storage shall be from a corridor or laundry room;

(3)           Food Storage.  Space shall be provided for dry, refrigerated and frozen food items to comply with sanitation rules;

(4)           Housekeeping storage requirements are:

(A)          A housekeeping closet, with mop sink or mop floor receptor, shall be provided at the rate of one per 60 residents or portion thereof; and

(B)          There shall be separate locked areas for storing cleaning agents, bleaches, pesticides, and other substances which may be hazardous if ingested, inhaled or handled.  Cleaning supplies shall be monitored while in use;

(5)           Handwashing facilities with wrist type lever handles shall be provided immediately adjacent to the drug storage area;

(6)           Storage for Resident's Articles.  Some means for residents to lock personal articles within the home shall be provided; and

(7)           Staff Facilities.  Some means for staff to lock personal articles within the home shall be provided.

(g)  The requirements for corridors are:

(1)           Doors to spaces other than reach-in closets shall not swing into the corridor;

(2)           Handrails shall be provided on both sides of corridors at 36 inches above the floor and be capable of supporting a 250 pound concentrated load;

(3)           Corridors shall be lighted with night lights providing 1 foot-candle power at the floor; and

(4)           Corridors shall be free of all equipment and other obstructions.

(h)  The requirements for outside entrances and exits are:

(1)           Service entrances shall not be through resident use areas;

(2)           All steps, porches, stoops and ramps shall be provided with handrails and guardrails;

(3)           All exit door locks shall be easily operable, by a single hand motion, from the inside at all times without keys; and

(4)           In homes with at least one resident who is determined by a physician or is otherwise known to be disoriented or a wanderer, each exit door accessible by residents shall be equipped with a sounding device that is activated when the door is opened.  The sound shall be of sufficient volume that it can be heard by staff.  If a central system of remote sounding devices is provided, the control panel for the system shall be located in the office of the administrator or in a location accessible only to staff authorized by the administrator to operate the control panel.

(i)  The requirements for floors are:

(1)           All floors shall be of smooth, non‑skid material and so constructed as to be easily cleanable;

(2)           Scatter or throw rugs shall not be used; and

(3)           All floors shall be kept in good repair.

(j)  Soil Utility Room.  A separate room shall be provided and equipped for the cleaning and sanitizing of bed pans and shall have handwashing facilities.

(k)  Office.  There shall be an area within the home large enough to accommodate normal administrative functions.

(l)  The requirements for laundry facilities are:

(1)           Laundry facilities shall be large enough to accommodate washers, dryers, and ironing equipment or work tables;

(2)           These facilities shall be located where soiled linens will not be carried through the kitchen, dining, clean linen storage, living rooms or recreational areas; and

(3)           A minimum of one residential type washer and dryer each shall be provided in a separate room which is accessible by staff, residents and family, even if all laundry services are contracted.

(m)  The requirements for outside premises are:

(1)           The outside grounds of new and existing facilities shall be maintained in a clean and safe condition;

(2)           If the home has a fence around the premises, the fence shall not prevent residents from exiting or entering freely or be hazardous; and

(3)           Outdoor walkways and drives shall be illuminated by no less than five foot-candles of light at ground level.

(n)  Alternate methods, procedures, design criteria and functional variations from the physical environment requirements, because of extraordinary circumstances, new programs or unusual conditions, shall be approved by the Division when the facility can effectively demonstrate to the Division's satisfaction that the intent of the physical environment requirements are met and the variation does not reduce the safety or operational effectiveness of the facility.

 

History Note:        Authority G.S. 131D-2.16; 143B-165;

Eff. January 1, 1977;

Readopted Eff. October 31, 1977;

Amended Eff. July 1, 1990; April 1, 1987; July 1, 1984; April 1, 1984;

Temporary Amendment Eff. December 1, 1999;

Amended Eff. July 1, 2000;

Recodified from Rule .0303 Eff. July 1, 2004;

Temporary Amendment Eff. July 1, 2004;

Amended Eff. July 1, 2005.

 

10A NCAC 13F .0306       HOUSEKEEPING AND FURNISHINGS

(a) Adult care homes shall:

(1)           have walls, ceilings, and floors or floor coverings kept clean and in good repair;

(2)           have no chronic unpleasant odors;

(3)           have furniture clean and in good repair;